PART 1021 -- NATIONAL

ENVIRONMENTAL POLICY ACT

IMPLEMENTING 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 NEPA

activities.

Subpart B -- DOE Decisionmaking

1021.200 DOE planning.

1021.210 DOE decisionmaking.

1021.211 Interim actions: Limitations on

actions 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 public

participation.

1021.310 Environmental impact statements.

1021.311 Notice of intent and scoping.

1021.312 [Reserved]

1021.313 Public review of environmental

impact statements.

1021.314 Supplemental environmental impact

statements.

1021.315 Records of decision.

1021.320 Environmental assessments.

1021.321 Requirements for environmental

assessments.

1021.322 Findings of no significant impact.

1021.330 Programmatic (including site-wide)

NEPA documents.

1021.331 Mitigation action plans.

1021.340 C1assified, confidential, and

otherwise exempt information.

1021.341 Coordination with other

environmental 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 require

EAs or EISs).

Appendix A to Subpart D to Part 1021 --

Categorical Exclusions Applicable to General

Agency Actions

Appendix B to Subpart D to Part 1021 --

Categorical Exclusions Applicable to Specific

Agency Actions

Appendix C to Subpart D to Part 1021 -- Classes

of Actions that Normally Require EAs but not

Necessarily EISs

Appendix D to Subpart D to Part 1021 -- Classes

of 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, unless

otherwise noted.

Subpart A -- General

§1021.100 Purpose.

The purpose of this part is to establish

procedures that the Department of Energy (DOE)

shall use to comply with section 102(2) of the

National Environmental Policy Act (NEPA) of

1969 (42 U.S.C. 4332(2)) and the Council on

Environmental Quality (CEQ) regulations for

implementing the procedural provisions of

NEPA (40 CFR parts 1500-1508). This part

supplements, and is to be used in conjunction

with, the CEQ Regulations.
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§1021.101 Policy.

It is DOE's policy to follow the letter and

spirit of NEPA; comply fully with the CEQ

Regulations; and apply the NEPA review process

early in the planning stages for DOE proposals.

§1021.102 Applicability.

(a) This part applies to all organizational

elements of DOE except the Federal Energy

Regulatory Commission.

(b) This part applies to any DOE action

affecting the quality of the environment of the

United States, its territories or possessions. DOE

actions having environmental effects outside the

United States, its territories or possessions are

subject to the provisions of Executive Order

12114, “Environmental Effects Abroad of Major

Federal Actions” (3 CFR, 1979 Comp., p. 356;

44 FR 1957, January 4, 1979), DOE guidelines

implementing that Executive Order (46 FR 1007,

January 5, 1981), and the Department of State's

“Unified Procedures Applicable to Major

Federal Actions Relating to Nuclear Activities

Subject to Executive Order 12114" (44 FR

65560, November 13, 1979).

§1021.103 Adoption of CEQ NEPA

regulations.

DOE adopts the regulations for

implementing NEPA published by CEQ at 40

CFR parts 1500 through 1508.

§1021.104 Definitions.

(a) The definitions set forth in 40 CFR part

1508 are referenced and used in this part.

(b) In addition to the terms defined in 40

CFR part 1508, the following definitions apply

to this part:

Action means a project, program, plan, or

policy, as discussed at 40 CFR 1508.18, that is

subject to DOE's control and responsibility. Not

included within this definition are purely

ministerial actions with regard to which DOE

has no discretion. For example, ministerial

actions to implement congressionally mandated

funding for actions not proposed by DOE and as

to which DOE has no discretion (i.e., statutorily

mandated, congressionally initiated

“passthroughs”).

Advance NOI means a formal public notice

of DOE's intent to prepare an EIS, which is

published in advance of an NOI in order to

facilitate public involvement in the NEPA

process.

American Indian tribe means any Indian

tribe, band, nation, pueblo, or other organized

group or community, including any Alaska

native entity, which is recognized as eligible for

the special programs or services provided by the

United States because of their status as Indians.

Categorical exclusion means a category of

actions, as defined at 40 CFR 1508.4 and listed

in appendix A or B to subpart D of this part, for

which neither an EA nor an EIS is normally

required.

CEQ means the Council on Environmental

Quality as defined at 40 CFR 1508.6.

CEQ Regulations means the regulations

issued by CEQ (40 CFR parts 1500-1508) to

implement the procedural provisions of NEPA.

CERCLA-excluded petroleum and natural

gas products means petroleum, including crude

oil or any fraction thereof, that is not otherwise

specifically listed or designated as a hazardous

substance under section 101(14) of the

Comprehensive Environmental Response,

Compensation, and Liability Act (CERCLA) (42

U.S.C. 9601.101(14)) and natural gas, natural

gas liquids, liquefied natural gas, or synthetic gas

usable for fuel or of pipeline quality (or mixtures

of natural gas and such synthetic gas).

Contaminant means a substance identified

within the definition of contaminant in section

101(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 Federal

agency, 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, a

Supplemental EIS.

EPA means the U.S. Environmental

Protection Agency.

FONSI means a Finding of No Significant

Impact as defined at 40 CFR 1508.13.

Hazardous substance means a substance

identified within the definition of hazardous

substances in section 101(14) of CERCLA (42

U.S.C. 9601.101(14)). Radionuclides are

hazardous substances through their listing under

section 112 of the Clean Air Act (42 U.S.C.

7412) (40 CFR part 61, subpart H).

Host state means a state within whose

boundaries DOE proposes an action at an

existing facility or construction or operation of a

new facility.

Host tribe means an American Indian tribe

within whose tribal lands DOE proposes an

action at an existing facility or construction or

operation of a new facility. For purposes of this

definition, tribal lands means the area of “Indian

country,” as defined in 18 U.S.C. 1151, that is

under the tribe's jurisdiction. That section defines

Indian country as:

(i) All land within the limits of any Indian

reservation under the jurisdiction of the United

States government, notwithstanding the issuance

of any patent, and including rights-of-way

running through the reservation;

(ii) All dependent Indian communities within

the borders of the United States whether within

the original or subsequently acquired territory

thereof, and whether within or without the limits

of a state; and

(iii) All Indian allotments, the Indian titles to

which have not been extinguished, including

rights-of-way running through the same.

Interim action means an action concerning a

proposal that is the subject of an ongoing EIS

and that DOE proposes to take before the ROD

is issued, and that is permissible under 40 CFR

1506.1: Limitations on actions during the NEPA

process.

Mitigation Action Plan means a document

that describes the plan for implementing

commitments made in a DOE EIS and its

associated ROD, or, when appropriate, an EA or

FONSI, to mitigate adverse environmental

impacts associated with an action.

NEPA means the National Environmental

Policy Act of 1969 (42 U.S.C. 4321 et seq.).

NEPA document means a DOE NOI, EIS,

ROD, EA, FONSI, or any other document

prepared pursuant to a requirement of NEPA or

the CEQ Regulations.

NEPA review means the process used to

comply with section 102(2) of NEPA.

NOI means a Notice of Intent to prepare an

EIS as defined at 40 CFR 1508.22.

Notice of Availability means a formal notice,

published in the FEDERAL REGISTER, that

announces the issuance and public availability of

a draft or final EIS. The EPA Notice of

Availability is the official public notification of

an EIS; a DOE Notice of Availability is an

optional notice used to provide information to

the public.

Pollutant means a substance identified within

the definition of pollutant in section 101(33) of

CERCLA (42 U.S.C. 9601.101(33)).

Program means a sequence of connected or

related DOE actions or projects as discussed at

40 CFR 1508.18(b)(3) and 1508.25(a).

Programmatic NEPA document means a

broad-scope EIS or EA that identifies and

assesses the environmental impacts of a DOE

program; it may also refer to an associated

NEPA document, such as an NOI, ROD, or

FONSI.

Project means a specific DOE undertaking

including actions approved by permit or other

regulatory decision as well as Federal and

federally assisted activities, which may include

design, construction, and operation of an

individual facility; research, development,

demonstration, and testing for a process or

product; funding for a facility, process, or

product; or similar activities, as discussed at 40
4

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 to

that portion of the scoping process where the

public is invited to participate, as described at 40

CFR 1501.7 (a)(1) and (b)(4).

Site-wide NEPA document means a

broad-scope EIS or EA that is programmatic in

nature and identifies and assesses the individual

and cumulative impacts of ongoing and

reasonably foreseeable future actions at a DOE

site; it may also refer to an associated NEPA

document, such as an NOI, ROD, or FONSI.

Supplement Analysis means a DOE document

used to determine whether a supplemental EIS

should be prepared pursuant to 40 CFR

1502.9(c), or to support a decision to prepare a

new EIS.

Supplemental EIS means an EIS prepared to

supplement a prior EIS as provided at 40 CFR

1502.9(c).

The Secretary means the Secretary of

Energy.

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36239, July 9, 1996]

§1021.105 Oversight of Agency NEPA

activities.

The Assistant Secretary for Environment,

Safety and Health, or his/her designee, is

responsible for overall review of DOE NEPA

compliance. Further information on DOE's

NEPA process and the status of individual

NEPA reviews may be obtained upon request

from the Office of NEPA Policy and Assistance,

U.S. Department of Energy, 1000 Independence

Avenue, 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 accordance

with 40 CFR 1501.2 and this section. In its

planning for each proposal, DOE shall include

adequate time and funding for proper NEPA

review and for preparation of anticipated NEPA

documents.

(b) DOE shall begin its NEPA review as

soon as possible after the time that DOE

proposes an action or is presented with a

proposal.

(c) DOE shall determine the level of NEPA

review required for a proposal in accordance

with §1021.300 and subpart D of this part.

(d) During the development and

consideration of a DOE proposal, DOE shall

review any relevant planning and

decisionmaking documents, whether prepared by

DOE or another agency, to determine if the

proposal or any of its alternatives are considered

in a prior NEPA document. If so, DOE shall

consider adopting the existing document, or any

pertinent part thereof, in accordance with 40

CFR 1506.3.

§1021.210 DOE decisionmaking.

(a) For each DOE proposal, DOE shall

coordinate its NEPA review with its

decisionmaking. Sections 1021.211 through

1021.214 of this part specify how DOE will

coordinate its NEPA review with decision points

for certain types of proposals (40 CFR

1505.1(b)).

(b) DOE shall complete its NEPA review for

each DOE proposal before making a decision on

the proposal (e.g., normally in advance of, and

for use in reaching, a decision to proceed with

detailed design), except as provided in 40 CFR

1506.1 and §§1021.211 and 1021.216 of this

part.

(c) During the decisionmaking process for

each DOE proposal, DOE shall consider the

relevant NEPA documents, public and agency

comments (if any) on those documents, and DOE

responses to those comments, as part of its
5

consideration of the proposal (40 CFR

1505.1(d)) and shall include such documents,

comments, and responses as part of the

administrative record (40 CFR 1505.1(c)).

(d) If an EIS or EA is prepared for a DOE

proposal, DOE shall consider the alternatives

analyzed in that EIS or EA before rendering a

decision on that proposal; the decision on the

proposal shall be within the range of alternatives

analyzed in the EA or EIS (40 CFR 1505.1(e)).

(e) When DOE uses a broad decision (such

as one on a policy or program) as a basis for a

subsequent narrower decision (such as one on a

project or other site-specific proposal), DOE

may use tiering (40 CFR 1502.20) and

incorporation of material by reference (40 CFR

1502.21) in the NEPA review for the subsequent

narrower proposal.

§1021.211 Interim actions: Limitations on

actions during the NEPA process.

While DOE is preparing an EIS that is

required under §1021.300(a) of this part, DOE

shall take no action concerning the proposal that

is the subject of the EIS before issuing an ROD,

except as provided at 40 CFR 1506.1. Actions

that are covered by, or are a part of, a DOE

proposal for which an EIS is being prepared shall

not be categorically excluded under subpart D of

these regulations unless they qualify as interim

actions under 40 CFR 1506.1.

§1021.212 Research, development,

demonstration, and testing.

(a) This section applies to the adoption and

application of programs that involve research,

development, demonstration, and testing for new

technologies (40 CFR 1502.4(c)(3)). Adoption of

such programs might also lead to

commercialization or other broad-scale

implementation by DOE or another entity.

(b) For any proposed program described in

paragraph (a) of this section, DOE shall begin its

NEPA review (if otherwise required by this part)

as soon as environmental effects can be

meaningfully evaluated, and before DOE has

reached the level of investment or commitment

likely to determine subsequent development or

restrict later alternatives, as discussed at 40 CFR

1502.4(c)(3).

(c) For subsequent phases of development

and application, DOE shall prepare one or more

additional NEPA documents (if otherwise

required by this part).

§1021.213 Rulemaking.

(a) This section applies to regulations

promulgated by DOE.

(b) DOE shall begin its NEPA review of a

proposed rule (if otherwise required by this part)

while drafting the proposed regulation, and as

soon as environmental effects can be

meaningfully evaluated.

(c) DOE shall include any relevant NEPA

documents, public and agency comments (if any)

on those documents, and DOE responses to those

comments, as part of the administrative record

(40 CFR 1505.1(c)).

(d) If an EIS is required, DOE will normally

publish the draft EIS at the time it publishes the

proposed rule (40 CFR 1502.5(d)). DOE will

normally combine any public hearings required

for a proposed rule with the public hearings

required on the draft EIS under §1021.313 of this

part. The draft EIS need not accompany notices

of inquiry or advance notices of proposed

rulemaking that DOE may use to gather

information during early stages of regulation

development. When engaged in rulemaking for

the purpose of protecting the public health and

safety, DOE may issue the final rule

simultaneously with publication of the EPA

Notice of Availability of the final EIS in

accordance with 40 CFR 1506.10(b).

(e) If an EA is required, DOE will normally

complete the EA and issue any related FONSI

prior to or simultaneously with issuance of the

proposed rule; however, if the EA leads to

preparation of an EIS, the provisions of

paragraph (d) of this section shall apply.
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§1021.214 Adjudicatory proceedings.

(a) This section applies to DOE proposed

actions that involve DOE adjudicatory

proceedings, excluding judicial or administrative

civil or criminal enforcement actions.

(b) DOE shall complete its NEPA review (if

otherwise required by this part) before rendering

any final adjudicatory decision. If an EIS is

required, the final EIS will normally be

completed at the time of or before final staff

recommendation, in accordance with 40 CFR

1502.5(c).

(c) DOE shall include any relevant NEPA

documents, public and agency comments (if any)

on those documents, and DOE responses to those

comments, as part of the administrative record

(40 CFR 1505.1(c)).

§1021.215 Applicant process.

(a) This section applies to actions that

involve application to DOE for a permit, license,

exemption or allocation, or other similar actions,

unless the action is categorically excluded from

preparation of an EA or EIS under subpart D of

this part.

(b) The applicant shall:

(1) Consult with DOE as early as possible in

the planning process to obtain guidance with

respect to the appropriate level and scope of any

studies or environmental information that DOE

may require to be submitted as part of, or in

support of, the application;

(2) Conduct studies that DOE deems

necessary and appropriate to determine the

environmental impacts of the proposed action;

(3) Consult with appropriate Federal, state,

regional and local agencies, American Indian

tribes and other potentially interested parties

during the preliminary planning stages of the

proposed action to identify environmental factors

and permitting requirements;

(4) Notify DOE as early as possible of other

Federal, state, regional, local or American Indian

tribal actions required for project completion to

allow DOE to coordinate the Federal

environmental review, and fulfill the

requirements of 40 CFR 1506.2 regarding

elimination of duplication with state and local

procedures, as appropriate;

(5) Notify DOE of private entities and

organizations interested in the proposed

undertaking, in order that DOE can consult, as

appropriate, with these parties in accordance

with 40 CFR 1501.2(d)(2); and

(6) Notify DOE if, before DOE completes

the environmental review, the applicant plans to

take an action that is within DOE's jurisdiction

that may have an adverse environmental impact

or limit the choice of alternatives. If DOE

determines that the action would have an adverse

environmental impact or would limit the choice

of reasonable alternatives under 40 CFR

1506.1(a), DOE will promptly notify the

applicant that DOE will take appropriate action

to ensure that the objectives and procedures of

NEPA are achieved in accordance with 40 CFR

1506.1(b).

(c) For major categories of DOE actions

involving a large number of applicants, DOE

may prepare and make available generic

guidance describing the recommended level and

scope of environmental information that

applicants should provide.

(d) DOE shall begin its NEPA review (if

otherwise required by this part) as soon as

possible after receiving an application described

in paragraph (a) of this section, and shall

independently evaluate and verify the accuracy

of information received from an applicant in

accordance with 40 CFR 1506.5(a). At DOE's

option, an applicant may prepare an EA in

accordance with 40 CFR 1506.5(b). If an EIS is

prepared, the EIS shall be prepared by DOE or

by a contractor that is selected by DOE and that

may be funded by the applicant, in accordance

with 40 CFR 1506.5(c). The contractor shall

provide a disclosure statement in accordance

with 40 CFR 1506.5(c), as discussed in

§1021.312(b)(4) of this part. DOE shall complete

any NEPA documents (or evaluation of any EA

prepared by the applicant) before rendering a

final decision on the application and shall
7

consider the NEPA document in reaching its

decision, as provided in §1021.210 of this part.

§1021.216 Procurement, financial

assistance, and joint ventures.

(a) This section applies to DOE competitive

and limited-source procurements, to awards of

financial assistance by a competitive process,

and to joint ventures entered into as a result of

competitive solicitations, unless the action is

categorically excluded from preparation of an

EA or EIS under subpart D of this part.

Paragraphs (b), (c), and (i) of this section apply

as well to DOE sole-source procurements of

sites, systems, or processes, to noncompetitive

awards of financial assistance, and to sole-source

joint ventures, unless the action is categorically

excluded from preparation of an EA or EIS

under subpart D of this part.

(b) When relevant in DOE's judgment, DOE

shall require that offeror's submit environmental

data and analyses as a discrete part of the

offeror's proposal. DOE shall specify in its

solicitation document the type of information

and level of detail for environmental data and

analyses so required. The data will be limited to

those reasonably available to offerors.

(c) DOE shall independently evaluate and

verify the accuracy of environmental data and

analyses submitted by offerors.

(d) For offers in the competitive range, DOE

shall prepare and consider an environmental

critique before the selection.

(e) The environmental critique will be

subject to the confidentiality requirements of the

procurement process.

(f) The environmental critique will evaluate

the environmental data and analyses submitted

by offerors; it may also evaluate supplemental

information developed by DOE as necessary for

a reasoned decision.

(g) The environmental critique will focus on

environmental issues that are pertinent to a

decision on proposals and will include:

(1) A brief discussion of the purpose of the

procurement and each offer, including any site,

system, or process variations among the offers

having environmental implications;

(2) A discussion of the salient characteristics

of each offeror's proposed site, system, or

process as well as alternative sites, systems, or

processes;

(3) A brief comparative evaluation of the

potential environmental impacts of the offers,

which will address direct and indirect effects,

short-term and long-term effects, proposed

mitigation measures, adverse effects that cannot

be avoided, areas where important environmental

information is incomplete and unavailable,

unresolved environmental issues and practicable

mitigating measures not included in the offeror's

proposal; and

(4) To the extent known for each offer, a list

of Federal, Tribal, state, and local government

permits, licenses, and approvals that must be

obtained.

(h) DOE shall prepare a publicly available

environmental synopsis, based on the

environmental critique, to document the

consideration given to environmental factors and

to record that the relevant environmental

consequences of reasonable alternatives have

been evaluated in the selection process. The

synopsis will not contain business, confidential,

trade secret or other information that DOE

otherwise would not disclose pursuant to 18

U.S.C. 1905, the confidentiality requirements of

the competitive procurement process, 5 U.S.C.

552(b) and 41 U.S.C. 423. To assure compliance

with this requirement, the synopsis will not

contain data or other information that may in any

way reveal the identity of offerors. After a

selection has been made, the environmental

synopsis shall be filed with EPA, shall be made

publicly available, and shall be incorporated in

any NEPA document prepared under paragraph

(i) of this section.

(i) If an EA or EIS is required, DOE shall

prepare, consider and publish the EA or EIS in

conformance with the CEQ Regulations and

other provisions of this part before taking any

action pursuant to the contract or award of

financial assistance (except as provided at 40
8

CFR 1506.1 and §1021.211 of this part). If the

NEPA process is not completed before the award

of the contract, financial assistance, or joint

venture, then the contract, financial assistance, or

joint venture shall be contingent on completion

of the NEPA process (except as provided at 40

CFR 1506.1 and §1021.211 of this part). DOE

shall phase subsequent contract work to allow

the NEPA review process to be completed in

advance of a go/no-go decision.

Subpart C -- Implementing Procedures

§1021.300 General requirements.

(a) DOE shall determine, under the

procedures 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, or

this part.

(b) Notwithstanding any other provision of

these regulations, DOE may prepare a NEPA

document for any DOE action at any time in

order to further the purposes of NEPA. This may

be done to analyze the consequences of ongoing

activities, support DOE planning, assess the need

for mitigation, fully disclose the potential

environmental consequences of DOE actions, or

for any other reason. Documents prepared under

this paragraph shall be prepared in the same

manner as DOE documents prepared under

paragraph (a) of this section.

§1021.301 Agency review and public

participation.

(a) DOE shall make its NEPA documents

available to other Federal agencies, states, local

governments, American Indian tribes, interested

groups, and the general public, in accordance

with 40 CFR 1506.6, except as provided in

§1021.340 of this part.

(b) Wherever feasible, DOE NEPA

documents shall explain technical, scientific, or

military terms or measurements using terms

familiar to the general public, in accordance with

40 CFR 1502.8.

(c) DOE shall notify the host state and host

tribe of a DOE determination to prepare an EA

or EIS for a DOE proposal, and may notify any

other state or American Indian tribe that, in

DOE's judgment, may be affected by the

proposal.

(d) DOE shall provide the host state and host

tribe with an opportunity to review and comment

on any DOE EA prior to DOE's approval of the

EA. DOE may also provide any other state or

American Indian tribe with the same opportunity

if, in DOE's judgment, the state or tribe may be

affected by the proposed action. At DOE's

discretion, this review period shall be from 14 to

30 days. DOE shall consider all comments

received from a state or tribe during the review

period before approving or modifying the EA, as

appropriate. If all states and tribes afforded this

opportunity for preapproval review waive such

opportunity, or provide a response before the end

of the comment period, DOE may proceed to

approve or take other appropriate action on the

EA before the end of the review period.

(e) Paragraphs (c) and (d) of this section

shall not apply to power marketing actions, such

as rate-setting, in which a state or American

Indian tribe is a customer, or to any other

circumstances where DOE determines that such

advance information could create a conflict of

interest.

§1021.310 Environmental impact

statements.

DOE shall prepare and circulate EISs and

related RODs in accordance with the

requirements of the CEQ Regulations, as

supplemented by this subpart. DOE shall include

in draft and final EISs a disclosure statement

executed by any contractor (or subcontractor)

under contract with DOE to prepare the EIS

document, in accordance with 40 CFR 1506.5(c).

[61 FR 36239, July 9, 1996]
9

§1021.311 Notice of intent and scoping.

(a) DOE shall publish an NOI in the

FEDERAL REGISTER in accordance with 40

CFR 1501.7 and containing the elements

specified in 40 CFR 1508.22 as soon as

practicable after a decision is made to prepare an

EIS. However, if there will be a lengthy period

of time between its decision to prepare an EIS

and the time of actual preparation, DOE may

defer publication of the NOI until a reasonable

time before preparing the EIS, provided that

DOE allows a reasonable opportunity for

interested parties to participate in the EIS

process. Through the NOI, DOE shall invite

comments and suggestions on the scope of the

EIS. DOE shall disseminate the NOI in

accordance with 40 CFR 1506.6.

(b) If there will be a lengthy delay between

the time DOE has decided to prepare an EIS and

the beginning of the public scoping process,

DOE may publish an Advance NOI in the

FEDERAL REGISTER to provide an early

opportunity to inform interested parties of the

pending EIS or to solicit early public comments.

This Advance NOI does not serve as a substitute

for the NOI provided for in paragraph (a) of this

section.

(c) Publication of the NOI in the FEDERAL

REGISTER shall begin the public scoping

process. The public scoping process for a DOE

EIS shall allow a minimum of 30 days for the

receipt of public comments.

(d) Except as provided in paragraph (g) of

this section, DOE shall hold at least one public

scoping meeting as part of the public scoping

process for a DOE EIS. DOE shall announce the

location, date, and time of public scoping

meetings in the NOI or by other appropriate

means, such as additional notices in the

FEDERAL REGISTER, news releases to the

local media, or letters to affected parties. Public

scoping meetings shall not be held until at least

15 days after public notification. Should DOE

change the location, date, or time of a public

scoping meeting, or schedule additional public

scoping meetings, DOE shall publicize these

changes 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 the

announced comment period held as part of the

public scoping process. DOE may also consider

comments received after the close of the

announced comment period.

(f) A public scoping process is optional for

DOE supplemental EISs (40 CFR 1502.9(c)(4)).

If DOE initiates a public scoping process for a

supplemental EIS, the provisions of paragraphs

(a) through (f) of this section shall apply.

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36239, July 9, 1996]

§1021.312 [Reserved]

§1021.313 Public review of environmental

impact statements.

(a) The public review and comment period

on a DOE draft EIS shall be no less than 45 days

(40 CFR 1506.10(c)). The public comment

period begins when EPA publishes a Notice of

Availability of the document in the FEDERAL

REGISTER.

(b) DOE shall hold at least one public

hearing on DOE draft EISs. Such public hearings

shall be announced at least 15 days in advance.

The announcement shall identify the subject of

the draft EIS and include the location, date, and

time of the public hearings.

(c) DOE shall prepare a final EIS following

the public comment period and hearings on the

draft EIS. The final EIS shall respond to oral and

written comments received during public review

of the draft EIS, as provided at 40 CFR 1503.4.

In addition to the requirements at 40 CFR

1502.9(b), a DOE final EIS may include any

Statement of Findings required by 10 CFR part

1022, “Compliance with Floodplain and Wetland

Environmental Review Requirements,” or a

Statement of Findings may be issued separately.

(d) DOE shall use appropriate means to

publicize the availability of draft and final EISs

and the time and place for public hearings on a

draft EIS. The methods chosen should focus on

reaching persons who may be interested in or
10

affected by the proposal and may include the

methods listed in 40 CFR 1506.6(b)(3).

[57 FR 15144, Apr. 24, 1992, as amended at 68

FR 51432, Aug. 27, 2003]

§1021.314 Supplemental environmental

impact statements.

(a) DOE shall prepare a supplemental EIS if

there are substantial changes to the proposal or

significant new circumstances or information

relevant to environmental concerns, as discussed

in 40 CFR 1502.9(c)(1).

(b) DOE may supplement a draft EIS or final

EIS at any time, to further the purposes of

NEPA, in accordance with 40 CFR 1502.9(c)(2).

(c) When it is unclear whether or not an EIS

supplement is required, DOE shall prepare a

Supplement Analysis.

(1) The Supplement Analysis shall discuss

the circumstances that are pertinent to deciding

whether to prepare a supplemental EIS, pursuant

to 40 CFR 1502.9(c).

(2) The Supplement Analysis shall contain

sufficient information for DOE to determine

whether:

(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 the

public for information. Copies of the

determination and Supplement Analysis shall be

provided upon written request. DOE shall make

copies available for inspection in the appropriate

DOE public reading room(s) or other appropriate

location(s) for a reasonable time.

(d) DOE shall prepare, circulate, and file a

supplement to a draft or final EIS in the same

manner as any other draft and final EISs, except

that scoping is optional for a supplement. If DOE

decides to take action on a proposal covered by a

supplemental EIS, DOE shall prepare a ROD in

accordance with the provisions of §1021.315 of

this part.

(e) When applicable, DOE will incorporate

an EIS supplement, or the determination and

supporting Supplement Analysis made under

paragraph (c) of this section, into any related

formal administrative record on the action that is

the subject of the EIS supplement or

determination (40 CFR 1502.9(c)(3)).

§1021.315 Records of decision.

(a) No decision may be made on a proposal

covered by an EIS during a 30-day “waiting

period” following completion of the final EIS,

except as provided at 40 CFR 1506.1 and

1506.10(b) and §1021.211 of this part. The

30-day period starts when the EPA Notice of

Availability for the final EIS is published in the

FEDERAL REGISTER.

(b) If DOE decides to take action on a

proposal covered by an EIS, a ROD shall be

prepared as provided at 40 CFR 1505.2 (except

as provided at 40 CFR 1506.1 and §1021.211 of

this part).

(c) DOE RODs shall be published in the

FEDERAL REGISTER and made available to

the public as specified in 40 CFR 1506.6, except

as provided in 40 CFR 1507.3(c) and §1021.340

of this part.

(d) No action shall be taken until the decision

has been made public. DOE may implement the

decision before the ROD is published in the

FEDERAL REGISTER if the ROD has been

signed and the decision and the availability of

the ROD have been made public by other means

(e.g., press release, announcement in local

media).

(e) DOE may revise a ROD at any time, so

long as the revised decision is adequately

supported by an existing EIS. A revised ROD is

subject to the provisions of paragraphs (b), (c),

and (d) of this section.

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36239, July 9 1996]

§1021.320 Environmental assessments.

DOE shall prepare and circulate EAs and

related FONSIs in accordance with the

requirements of the CEQ Regulations, as

supplemented by this subpart.
11

§1021.321 Requirements for environmental

assessments.

(a) When to prepare an EA. As required by

40 CFR 1501.4(b), DOE shall prepare an EA for

a proposed DOE action that is described in the

classes of actions listed in appendix C to subpart

D of this part, and for a proposed DOE action

that is not described in any of the classes of

actions listed in appendices A, B, or D to subpart

D, except that an EA is not required if DOE has

decided to prepare an EIS. DOE may prepare an

EA on any action at any time in order to assist

agency planning and decisionmaking.

(b) Purposes. A DOE EA shall serve the

purposes identified in 40 CFR 1508.9(a), which

include providing sufficient evidence and

analysis for determining whether to prepare an

EIS or to issue a FONSI. If appropriate, a DOE

EA shall also include any floodplain/wetlands

assessment prepared under 10 CFR part 1022

and may include analyses needed for other

environmental determinations.

(c) Content. A DOE EA shall comply with

the requirements found at 40 CFR 1508.9. In

addition to any other alternatives, DOE shall

assess the no action alternative in an EA, even

when the proposed action is specifically required

by legislation or a court order.

§1021.322 Findings of no significant impact.

(a) DOE shall prepare a FONSI only if the

related EA supports the finding that the proposed

action will not have a significant effect on the

human environment. If a required DOE EA does

not support a FONSI, DOE shall prepare an EIS

and issue a ROD before taking action on the

proposal addressed by the EA, except as

permitted under 40 CFR 1506.1 and §1021.211

of this part.

(b) In addition to the requirements found at

40 CFR 1508.13, a DOE FONSI shall include

the following:

(1) Any commitments to mitigations that are

essential to render the impacts of the proposed

action not significant, beyond those mitigations

that are integral elements of the proposed action,

and a reference to the Mitigation Action Plan

prepared under §1021.331 of this part;

(2) Any “Statement of Findings” required by

10 CFR part 1022, “Compliance with

Floodplain/Wetlands Environmental Review

Requirements”;

(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) and

1506.6; DOE shall make copies available for

inspection in the appropriate DOE public reading

room(s) or other appropriate location(s) for a

reasonable time.

(d) DOE shall issue a proposed FONSI for

public review and comment before making a

final determination on the FONSI if required by

40 CFR 1501.4(e)(2); DOE may issue a

proposed FONSI for public review and comment

in other situations as well.

(e) Upon issuance of the FONSI, DOE may

proceed with the proposed action subject to any

mitigation commitments expressed in the FONSI

that are essential to render the impacts of the

proposed action not significant.

(f) DOE may revise a FONSI at any time, so

long as the revision is supported by an existing

EA. A revised FONSI is subject to all provisions

of paragraph (d) of this section.

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36239, July 9, 1996]

§1021.330 Programmatic (including

site-wide) NEPA documents.

(a) When required to support a DOE

programmatic decision (40 CFR 1508.18(b)(3)),

DOE shall prepare a programmatic EIS or EA

(40 CFR 1502.4). DOE may also prepare a

programmatic EIS or EA at any time to further

the purposes of NEPA.

(b) A DOE programmatic NEPA document

shall be prepared, issued, and circulated in

accordance with the requirements for any other

NEPA document, as established by the CEQ

Regulations and this part.

(c) As a matter of policy when not otherwise
12

required, DOE shall prepare site-wide EISs for

certain large, multiple-facility DOE sites; DOE

may prepare EISs or EAs for other sites to assess

the impacts of all or selected functions at those

sites.

(d) DOE shall evaluate site wide NEPA

documents prepared under §1021.330(c) at least

every five years. DOE shall evaluate site-wide

EISs by means of a Supplement Analysis, as

provided in §1021.314. Based on the Supplement

Analysis, DOE shall determine whether the

existing EIS remains adequate or whether to

prepare a new site-wide EIS or supplement the

existing EIS, as appropriate. The determination

and supporting analysis shall be made available

in the appropriate DOE public reading room(s)

or in other appropriate location(s) for a

reasonable time.

(e) DOE shall evaluate site-wide EAs by

means of an analysis similar to the Supplement

Analysis to determine whether the existing

site-wide EA remains adequate, whether to

prepare a new site-wide EA, revise the FONSI,

or prepare a site wide EIS, as appropriate. The

determination and supporting analysis shall be

made available in the appropriate DOE public

reading room(s) or in other appropriate

location(s) for a reasonable time.

§1021.331 Mitigation action plans.

(a) Following completion of each EIS and its

associated ROD, DOE shall prepare a Mitigation

Action Plan that addresses mitigation

commitments expressed in the ROD. The

Mitigation Action Plan shall explain how the

corresponding mitigation measures, designed to

mitigate adverse environmental impacts

associated with the course of action directed by

the ROD, will be planned and implemented. The

Mitigation Action Plan shall be prepared before

DOE takes any action directed by the ROD that

is the subject of a mitigation commitment.

(b) In certain circumstances, as specified in

§1021.322(b)(2), DOE shall also prepare a

Mitigation Action Plan for commitments to

mitigations that are essential to render the

impacts of the proposed action not significant.

The Mitigation Action Plan shall address all

commitments to such necessary mitigations and

explain how mitigation will be planned and

implemented. The Mitigation Action Plan shall

be prepared before the FONSI is issued and shall

be referenced therein.

(c) Each Mitigation Action Plan shall be as

complete as possible, commensurate with the

information available regarding the course of

action either directed by the ROD or the action

to be covered by the FONSI, as appropriate.

DOE may revise the Plan as more specific and

detailed information becomes available.

(d) DOE shall make copies of the Mitigation

Action Plans available for inspection in the

appropriate DOE public reading room(s) or other

appropriate location(s) for a reasonable time.

Copies of the Mitigation Action Plans shall also

be available upon written request.

§1021.340 Classified, confidential, and

otherwise exempt information.

(a) Notwithstanding other sections of this

part, DOE shall not disclose classified,

confidential, or other information that DOE

otherwise would not disclose pursuant to the

Freedom of Information Act (FOIA) (5 U.S.C.

552) and 10 CFR 1004.10(b) of DOE's

regulations implementing the FOIA, except as

provided by 40 CFR 1506.6(f).

(b) To the fullest extent possible, DOE shall

segregate any information that is exempt from

disclosure requirements into an appendix to

allow public review of the remainder of a NEPA

document.

(c) If exempt information cannot be

segregated, or if segregation would leave

essentially meaningless material, DOE shall

withhold the entire NEPA document from the

public; however, DOE shall prepare the NEPA

document, in accordance with the CEQ

Regulations and this part, and use it in DOE

decisionmaking.
13

§1021.341 Coordination with other

environmental review requirements.

(a) In accordance with 40 CFR 1500.4(k) and

(o), 1502.25, and 1506.4, DOE shall integrate the

NEPA process and coordinate NEPA compliance

with other environmental review requirements to

the fullest extent possible.

(b) To the extent possible, DOE shall

determine the applicability of other

environmental requirements early in the planning

process, in consultation with other agencies

when necessary or appropriate, to ensure

compliance and to avoid delays, and shall

incorporate any relevant requirements as early in

the NEPA review process as possible.

§1021.342 Interagency cooperation.

For DOE programs that involve another

Federal agency or agencies in related decisions

subject to NEPA, DOE will comply with the

requirements of 40 CFR 1501.5 and 1501.6. As

part of this process, DOE shall cooperate with

the other agencies in developing environmental

information and in determining whether a

proposal requires preparation of an EIS or EA, or

can be categorically excluded from preparation

of either. Further, where appropriate and

acceptable to the other agencies, DOE shall

develop or cooperate in the development of

interagency agreements to facilitate coordination

and to reduce delay and duplication.

§1021.343 Variances.

(a) Emergency actions. DOE may take an

action without observing all provisions of this

part or the CEQ Regulations, in accordance with

40 CFR 1506.11, in emergency situations that

demand immediate action. DOE shall consult

with CEQ as soon as possible regarding

alternative arrangements for emergency actions

having significant environmental impacts. DOE

shall document, including publishing a notice in

the FEDERAL REGISTER, emergency actions

covered by this paragraph within 30 days after

such action occurs; this documentation shall

identify any adverse impacts from the actions

taken, further mitigation necessary, and any

NEPA documents that may be required.

(b) Reduction of time periods. On a case-by-case

basis, DOE may reduce time periods established

in this part that are not required by the CEQ

Regulations. If DOE determines that such

reduction is necessary, DOE shall publish a

notice in the FEDERAL REGISTER specifying

the revised time periods and the rationale for the

reduction.

(c) Other. Any variance from the requirements of

this part, other than as provided by paragraphs

(a) and (b) of this section, must be soundly based

on the interests of national security or the public

health, safety, or welfare and must have the

advance written approval of the Secretary;

however, the Secretary is not authorized to

waive or grant a variance from any requirement

of the CEQ Regulations (except as provided for

in those regulations). If the Secretary determines

that a variance from the requirements of this part

is within his/her authority to grant and is

necessary, DOE shall publish a notice in the

FEDERAL REGISTER specifying the variance

granted and the reasons.

Subpart D -- Typical Classes of Actions

§1021.400 Level of NEPA review.

(a) This subpart identifies DOE actions that

normally:

(1) Do not require preparation of either an

EIS or an EA (are categorically excluded from

preparation of either document) (appendices A

and B to this subpart D);

(2) Require preparation of an EA, but not

necessarily an EIS (appendix C to this subpart

D); or

(3) Require preparation of an EIS (appendix

D to this subpart D).

(b) Any completed, valid NEPA review does

not have to be repeated, and no completed NEPA

documents need to be redone by reasons of these

regulations, except as provided in §1021.314.

(c) If a DOE proposal is encompassed within

a class of actions listed in the appendices to this
14

subpart D, DOE shall proceed with the level of

NEPA review indicated for that class of actions,

unless there are extraordinary circumstances

related to the specific proposal that may affect

the significance of the environmental effects of

the proposal.

(d) If a DOE proposal is not encompassed

within the classes of actions listed in the

appendices to this subpart D, or if there are

extraordinary circumstances related to the

proposal that may affect the significance of the

environmental effects of the proposal, DOE shall

either:

(1) Prepare an EA and, on the basis of that

EA, determine whether to prepare an EIS or a

FONSI; or

(2) Prepare an EIS and ROD.

§1021.410 Application of categorical

exclusions (classes of actions that normally do

not require EAs or EISs).

(a) The actions listed in appendices A and B

to this subpart D are classes of actions that DOE

has determined do not individually or

cumulatively have a significant effect on the

human environment (categorical exclusions).

(b) To find that a proposal is categorically

excluded, DOE shall determine the following:

(1) The proposal fits within a class of actions

that is listed in appendix A or B to this subpart

D;

(2) There are no extraordinary circumstances

related to the proposal that may affect the

significance of the environmental effects of the

proposal. Extraordinary circumstances are

unique situations presented by specific

proposals, such as scientific controversy about

the environmental effects of the proposal;

uncertain effects or effects involving unique or

unknown risks; or unresolved conflicts

concerning alternate uses of available resources

within the meaning of section 102(2)(E) of

NEPA; and

(3) The proposal is not “connected” (40 CFR

1508.25(a)(1)) to other actions with potentially

significant impacts, is not related to other

proposed actions with cumulatively significant

impacts (40 CFR 1508.25(a)(2)), and is not

precluded by 40 CFR 1506.1 or §1021.211 of

this part.

(c) All categorical exclusions may be applied

by any organizational element of DOE. The

sectional divisions in appendix B to this subpart

D are solely for purposes of organization of that

appendix and are not intended to be limiting.

(d) A class of actions includes activities

foreseeably necessary to proposals encompassed

within the class of actions (such as associated

transportation activities and award of

implementing grants and contracts).

Appendix A to Subpart D of Part 1021 --

Categorical Exclusions Applicable to

General Agency Actions

Table of Contents

A1. Routine administrative/ financial/

personnel actions

A2. Contract interpretations/amendments/

modifications, clarifying or

administrative

A3. Certain actions by Office of Hearings and

Appeals

A4. Interpretations/rulings for existing

regulations

A5. Rulemaking (interpreting/amending), no

change in environmental effect

A6. Rulemakings, procedural

A7. Transfer of property, use unchanged

A8. Award of contracts for technical

support/management and

operation/personal services

A9. Information gathering/data analysis/

document preparation/dissemination

A10 Reports or recommendations on

non-DOE legislation

A11 Technical advice and assistance to

organizations

A12 Emergency preparedness planning

A13 Procedural Orders, Notices, and

guidelines

A14 Approval of technical exchange

arrangements
15

A15 Umbrella agreements for cooperation in

energy research and development

A1 Routine actions necessary to support the

normal conduct of agency business, such

as administrative, financial, and

personnel actions.

A2 Contract interpretations, amendments,

and modifications that are clarifying or

administrative in nature.

A3 Adjustments, exceptions, exemptions,

appeals, and stays, modifications, or

rescissions of orders issued by the Office

of Hearings and Appeals.

A4 Interpretations and rulings with respect to

existing regulations, or modifications or

rescissions of such interpretations and

rulings.

A5 Rulemaking interpreting or amending an

existing rule or regulation that does not

change the environmental effect of the

rule or regulation being amended.

A6 Rulemakings that are strictly procedural,

such as rulemaking (under 48 CFR part

9) establishing procedures for technical

and pricing proposals and establishing

contract clauses and contracting practices

for the purchase of goods and services,

and rulemaking (under 10 CFR part 600)

establishing application and review

procedures for, and administration, audit,

and closeout of, grants and cooperative

agreements.

A7 Transfer, lease, disposition, or acquisition

of interests in personal property (e.g.,

equipment and materials) or real property

(e.g., permanent structures and land), if

property use is to remain unchanged; i.e.,

the type and magnitude of impacts would

remain essentially the same.

A8 Award of contracts for technical support

services, management and operation of a

government-owned facility, and personal

services.

A9 Information gathering (including, but not

limited to, literature surveys, inventories,

audits), data analysis (including computer

modelling), document preparation (such

as conceptual design or feasibility

studies, analytical energy supply and

demand studies), and dissemination

(including, but not limited to, document

mailings, publication, and distribution;

and classroom training and informational

programs), but not including site

characterization or environmental

monitoring. (Also see B3.1.)

A10 Reports or recommendations on

legislation or rulemaking that is not

proposed by DOE.

A11 Technical advice and planning assistance

to international, national, state, and local

organizations.

A12 Emergency preparedness planning

activities, including the designation of

onsite evacuation routes.

A13 Administrative, organizational, or

procedural Orders, Notices, and

guidelines.

A14 Approval of technical exchange

arrangements for information, data, or

personnel with other countries or

international organizations, including, but

not limited to, assistance in identifying

and analyzing another country's energy

resources, needs and options.

A15 Approval of DOE participation in

international “umbrella” agreements for

cooperation in energy research and

development activities that would not

commit the U.S. to any specific projects

or activities.

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36239, July 9, 1996]

Appendix B to Subpart D of Part 1021 --

Categorical Exclusions Applicable to

Specific Agency Actions

Table of Contents

B Conditions that are integral elements of

the classes of actions in appendix B

B1 Categorical exclusions applicable to

facility operation

B1.1 Rate increases less than inflation (not

power marketing, but see B4.3)
16

B1.2 Training exercises and simulation

B1.3 Routine maintenance/custodial services

for buildings, structures, infrastructures,

equipment

B1.4 Installation/modification of air

conditioning systems for existing

equipment

B1.5 Improvements to cooling water systems

within existing building, structure

B1.6 Installation/modification of retention

tanks, small basins to control runoff,

spills

B1.7 Acquisition/installation/operation/remova

l of communication systems, data

processing equipment

B1.8 Modifications to screened water

intake/outflow structures

B1.9 Placement of airway safety

markings/painting (not lighting) of

existing lines, antennas

B1.10 Routine onsite storage of activated

material at existing facility

B1.11 Fencing, no adverse effect on wildlife

movement/surface water flow

B1.12 Detonation/burning of failed/damaged

high explosives or propellants

B1.13 Construction/acquisition/relocation of

onsite pathways, short onsite access

roads/railroads

B1.14 Refueling of a nuclear reactor

B1.15 Siting/construction/operation of support

buildings/support structures

B1.16 Removal of asbestos from buildings

B1.17 Removal of polychlorinated

biphenyl-containing items from

buildings, other aboveground locations

B1.18 Siting/construction/operation of

additional/replacement water supply

wells

B1.19 Siting/construction/operation of

microwave/radio communication towers

B1.20 Protect/restore/improve fish and wildlife

habitat

B1.21 Noise abatement

B1.22 Relocation of buildings

B1.23 Demolition/disposal of buildings

B1.24 Transfer of structures/residential,

commercial, industrial use

B1.25 Transfer of land/habitat preservation,

wildlife management

B1.26 Siting/construction/operation/

decommissioning of small water

treatment facilities, less than

approximately 250,000 gallons per day

capacity

B1.27 Disconnection of utilities

B1.28 Minor activities to place a facility in an

environmentally safe condition, no

proposed uses

B1.29 Siting/construction/operation/

decommissioning of small onsite disposal

facility for construction and demolition

waste

B1.30 Transfer actions

B1.31 Relocation/operation of machinery and

equipment

B1.32 Traffic flow adjustments, existing roads

B2 Categorical exclusions applicable to

safety and health

B2.1 Modifications to enhance workplace

habitability

B2.2 Installation of/improvements to

building/equipment instrumentation

(remote controls, emergency warning

systems, monitors)

B2.3 Installation of equipment for personnel

safety and health

B2.4 Equipment Qualification Programs

B2.5 Safety and environmental improvements

of a facility, replacement/upgrade of

facility components

B2.6 Packaging/transportation/storage of

radioactive sources upon request by the

Nuclear Regulatory Commission or other

cognizant agency

B3 Categorical exclusions applicable to site

characterization, monitoring, and general

research

B3.1 Site characterization/environmental

monitoring

B3.2 Aviation activities for

survey/monitoring/security

B3.3 Research related to conservation of fish

and wildlife

B3.4 Transport packaging tests for

radioactive/hazardous material
17

B3.5 Tank car tests

B3.6 Siting/construction/operation/decommissi

oning of facilities for bench-scale

research, conventional laboratory

operations, small-scale research and

development and pilot projects

B3.7 Siting/construction/operation of new

infill exploratory, experimental

oil/gas/geothermal wells

B3.8 Outdoor ecological/environmental

research in small area

B3.9 Certain Clean Coal Technology

Demonstration Program activities

B3.10 Siting/construction/operation/

decommissioning of particle accelerators,

including electron beam accelerators,

primary beam energy less than

approximately 100 MeV

B3.11 Outdoor tests, experiments on materials

and equipment components, no source,

special nuclear, or byproduct materials

involved

B3.12 Siting/construction/operation/

decommissioning of microbiological and

biomedical facilities

B3.13 Magnetic fusion experiments, no tritium

fuel use

B4 Categorical exclusions applicable to

Power Marketing Administrations and to

all of DOE with regard to power

resources

B4.1 Contracts/marketing plans/policies for

excess 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 limits

B4.5 Temporary adjustments to river

operations within existing operating

constraints

B4.6 Additions/modifications to electric power

transmission facilities within previously

developed area.

B4.7 Adding/burying fiber optic cable

B4.8 New electricity transmission agreements

for transfer of power

B4.9 Multiple use of DOE transmission line

rights-of-way

B4.10 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 of

existing electric powerlines

approximately 20 miles in length or less.

B5 Categorical exclusions applicable to

conservation, fossil, and renewable

energy activities

B5.1 Actions to conserve energy

B5.2 Modifications to oil/gas/geothermal

pumps and piping

B5.3 Modification (not

expansion)/abandonment of oil storage

access/brine injection/gas/geothermal

wells, not part of site closure

B5.4 Repair/replacement of sections of

pipeline within maintenance provisions

B5.5 Construction/operation of short crude

oil/gas/steam/geothermal pipeline

segments

B5.6 Oil spill cleanup operations

B5.7 Import/export natural gas, no new

construction

B5.8 Import/export natural gas, new

cogeneration powerplant

B5.9 Temporary exemption for any electric

powerplant

B5.10 Certain permanent exemptions for any

existing electric powerplant

B5.11 Permanent exemption for mixed natural

gas and petroleum

B5.12 Workover of existing oil/gas/geothermal

well

B6 Categorical exclusions applicable to

environmental restoration and waste

management activities

B6.1 Small-scale, short-term cleanup actions

under RCRA, Atomic Energy Act, or

other authorities

B6.2 Siting/construction/operation of

pilot-scale waste

collection/treatment/stabilization/contain
18

ment facilities

B6.3 Improvements to environmental control

systems

B6.4 Siting/construction/operation/

decommissioning of facility for storing

packaged hazardous waste for 90 days or

less

B6.5 Siting/construction/operation/

decommissioning of facility for

characterizing/sorting packaged waste,

overpacking waste

B6.6 Modification of facility for storing,

packaging, repacking waste (not

high-level, spent nuclear fuel)

B6.7 Granting/denying petitions for allocation

of commercial disposal capacity

B6.8 Modifications for waste

minimization/reuse of materials

B6.9 Small-scale temporary measures to

reduce migration of contaminated

groundwater

B6.10 Siting/construction/operation/

decommissioning of small upgraded or

replacement waste storage facilities

B7 Categorical exclusions applicable to

international activities

B7.1 Emergency measures under the

International Energy Program

B7.2 Import/export of special nuclear or

isotopic materials

B. CONDITIONS THAT ARE INTEGRAL

ELEMENTS OF THE CLASSES OF

ACTIONS IN APPENDIX B

B. The classes of actions listed below include

the following conditions as integral elements

of the classes of actions. To fit within the

classes of actions listed below, a proposal must

be one that would not:

(1) Threaten a violation of applicable statutory,

regulatory, or permit requirements for

environment, safety, and health, including

requirements of DOE and/or Executive Orders.

(2) Require siting and construction or major

expansion of waste storage, disposal, recovery,

or treatment facilities (including incinerators),

but the proposal may include categorically

excluded waste storage, disposal, recovery, or

treatment actions.

(3) Disturb hazardous substances, pollutants,

contaminants, or CERCLA-excluded petroleum

and natural gas products that preexist in the

environment such that there would be

uncontrolled or unpermitted releases; or

(4) Adversely affect environmentally sensitive

resources. An action may be categorically

excluded if, although sensitive resources are

present on a site, the action would not adversely

affect those resources (e.g., construction of a

building with its foundation well above a

sole-source aquifer or upland surface soil

removal on a site that has wetlands).

Environmentally sensitive resources include, but

are not limited to:

(i) Property (e.g., sites, buildings, structures,

objects) of historic, archeological, or

architectural significance designated by Federal,

state, or local governments or property eligible

for listing on the National Register of Historic

Places;

(ii) Federally-listed threatened or endangered

species or their habitat (including critical

habitat), Federally- proposed or candidate

species or their habitat, or state-listed

endangered or threatened species or their habitat;

(iii) Wetlands regulated under the Clean Water

Act (33 U.S.C. 1344) and floodplains;

(iv) Areas having a special designation such as

Federally- and state-designated wilderness areas,

national parks, national natural landmarks, wild

and scenic rivers, state and Federal wildlife

refuges, and marine sanctuaries;

(v) Prime agricultural lands;

(vi) Special sources of water (such as sole-source

aquifers, wellhead protection areas, and other

water sources that are vital in a region); and

(vii) Tundra, coral reefs, or rain forests.

B1. Categorical Exclusions Applicable to

Facility Operation

B1.1 Rate increases for products or services

marketed by parts of DOE other than

Power Marketing Administrations and

approval of rate increases for non-DOE

entities that do not exceed the change in

the overall price level in the economy
19

(inflation), as measured by the Gross

National Product (GNP) fixed weight

price index published by the Department

of Commerce, during the period since the

last rate increase. (Also see B4.3.)

B1.2 Training exercises and simulations

(including, but not limited to,

firing-range training, emergency response

training, fire fighter and rescue training,

and spill cleanup training).

B1.3 Routine maintenance activities and

custodial services for buildings,

structures, rights-of-way, infrastructures

(e.g., pathways, roads, and railroads),

vehicles and equipment, and localized

vegetation and pest control, during which

operations may be suspended and

resumed. Custodial services are activities

to preserve facility appearance, working

conditions, and sanitation, such as

cleaning, window washing, lawn

mowing, trash collection, painting, and

snow removal. Routine maintenance

activities, corrective (that is, repair),

preventive, and predictive, are required to

maintain and preserve buildings,

structures, infrastructures, and equipment

in a condition suitable for a facility to be

used for its designated purpose. Routine

maintenance may result in replacement to

the extent that replacement is in kind and

is not a substantial upgrade or

improvement. In kind replacement

includes installation of new components

to replace outmoded components if the

replacement does not result in a

significant change in the expected useful

life, design capacity, or function of the

facility. Routine maintenance does not

include replacement of a major

component that significantly extends the

originally intended useful life of a facility

(for example, it does not include the

replacement of a reactor vessel near the

end of its useful life). Routine

maintenance activities include, but are

not limited to:

(a) Repair of facility equipment, such as

lathes, mills, pumps, and presses;

(b) Door and window repair or

replacement;

(c) Wall, ceiling, or floor repair;

(d) Reroofing;

(e) Plumbing, electrical utility, and

telephone service repair;

(f) Routine replacement of

high-efficiency particulate air filters;

(g) Inspection and/or treatment of

currently installed utility poles;

(h) Repair of road embankments;

(i) Repair or replacement of fire

protection sprinkler systems;

(j) Road and parking area resurfacing,

including construction of temporary

access to facilitate resurfacing;

(k) Erosion control and soil stabilization

measures (such as reseeding and

revegetation);

(l) Surveillance and maintenance of

surplus facilities in accordance with DOE

Order 5820.2, “Radioactive Waste

Management”;

(m) Repair and maintenance of

transmission facilities, including

replacement of conductors of the same

nominal voltage, poles, circuit breakers,

transformers, capacitors, crossarms,

insulators, and downed transmission

lines, in accordance, where appropriate,

with 40 CFR part 761 (Polychlorinated

Biphenyls Manufacturing, Processing,

Distribution in Commerce, and Use

Prohibitions);

(n) Routine testing and calibration of

facility components, subsystems, or

portable equipment (including but not

limited to, control valves, in-core

monitoring devices, transformers,

capacitors, monitoring wells, lysimeters,

weather stations, and flumes); and

(o) Routine decontamination of the

surfaces of equipment, rooms, hot cells,

or other interior surfaces of buildings (by

such activities as wiping with rags, using

strippable latex, and minor vacuuming),

including removal of contaminated intact
20

equipment and other materials (other than

spent nuclear fuel or special nuclear

material in nuclear reactors).

B1.4 Installation or modification of air

conditioning systems required for

temperature control for operation of

existing equipment.

B1.5 Minor improvements to cooling water

systems within an existing building or

structure if the improvements would not:

(1) Create new sources of water or

involve new receiving waters; (2)

adversely affect water withdrawals or the

temperature of discharged water; or (3)

increase introductions of or involve new

introductions of hazardous substances,

pollutants, contaminants, or

CERCLA-excluded petroleum and

natural gas products.

B1.6 Installation or modification of retention

tanks or small (normally under one acre)

basins and associated piping and pumps

for existing operations to control runoff

or spills (such as under 40 CFR part 112).

Modifications include, but are not limited

to, installing liners or covers.

B1.7 Acquisition, installation, operation, and

removal of communication systems, data

processing equipment, and similar

electronic equipment.

B1.8 Modifications to screened water intake

and outflow structures such that intake

velocities and volumes and water effluent

quality and volumes are consistent with

existing permit limits.

B1.9 Placement of airway safety markings and

painting (but excluding lighting) of

existing electrical transmission lines and

antenna structures in accordance with

Federal Aviation Administration

standards.

B1.10 Routine, onsite storage at an existing

facility of activated equipment and

material (including lead) used at that

facility, to allow reuse after decay of

radioisotopes with short half-lives.

B1.11 Installation of fencing, including that for

border marking, that will not adversely

affect wildlife movements or surface

water flow.

B1.12 Detonation or burning of explosives or

propellants that failed in outdoor tests

(i.e., duds) or were damaged in outdoor

tests (e.g., by fracturing) in outdoor areas

designated and routinely used for

explosive detonation or burning under an

existing permit issued by state or local

authorities.

B1.13 Construction, acquisition, and relocation

of onsite pathways and short onsite

access roads and railroads.

B1.14 Refueling of an operating nuclear reactor,

during which operations may be

suspended and then resumed.

B1.15 Siting, construction (or modification),

and operation of support buildings and

support structures (including, but not

limited to, trailers and prefabricated

buildings) within or contiguous to an

already developed area (where active

utilities and currently used roads are

readily accessible). Covered support

buildings and structures include those for

office purposes; parking; cafeteria

services; education and training; visitor

reception; computer and data processing

services; employee health services or

recreation activities; routine maintenance

activities; storage of supplies and

equipment for administrative services and

routine maintenance activities; security

(including security posts); fire protection;

and similar support purposes, but

excluding facilities for waste storage

activities, except as provided in other

parts of this appendix.

B1.16 Removal of asbestos-containing materials

from buildings in accordance with 40

CFR part 61 (National Emission

Standards for Hazardous Air Pollutants),

subpart M (National Emission Standard

for Asbestos); 40 CFR part 763

(Asbestos), subpart G (Asbestos

Abatement Projects); 29 CFR part 1910,

subpart I (Personal Protective

Equipment), §1910.134 (Respiratory
21

Protection); subpart Z (Toxic and

Hazardous Substances), §1910.1001

(Asbestos, tremolite, anthophyllite and

actinolite); and 29 CFR part 1926 (Safety

and Health Regulations for

Construction), subpart D (Occupational

Health and Environmental Controls),

§1926.58 (Asbestos, tremolite,

anthophyllite, and actinolite), other

appropriate Occupational Safety and

Health Administration standards in title

29, chapter XVII of the CFR, and

appropriate state and local requirements,

including certification of removal

contractors and technicians.

B1.17 Removal of polychlorinated biphenyl

(PCB)-containing items, such as

transformers or capacitors,

PCB-containing oils flushed from

transformers, PCB-flushing solutions,

and PCB-containing spill materials from

buildings or other aboveground locations

in accordance with 40 CFR part 761

(Polychlorinated Biphenyls

Manufacturing, Processing, Distribution

in Commerce, and Use Prohibitions).

B1.18 Siting, construction, and operation of

additional water supply wells (or

replacement wells) within an existing

well field, or modification of an existing

water supply well to restore production,

if there would be no drawdown other

than in the immediate vicinity of the

pumping well, no resulting long-term

decline of the water table, and no

degradation of the aquifer from the new

or replacement well.

B1.19 Siting, construction, and operation of

microwave and radio communication

towers and associated facilities, if the

towers and associated facilities would not

be in an area of great visual value.

B1.20 Small-scale activities undertaken to

protect, restore, or improve fish and

wildlife habitat, fish passage facilities

(such as fish ladders or minor diversion

channels), or fisheries.

B1.21 Noise abatement measures, such as

construction of noise barriers and

installation of noise control materials.

B1.22 Relocation of buildings (including, but

not limited to, trailers and prefabricated

buildings) to an already developed area

(where active utilities and currently used

roads are readily accessible).

B1.23 Demolition and subsequent disposal of

buildings, equipment, and support

structures (including, but not limited to,

smoke stacks and parking lot surfaces).

B1.24 Transfer, lease, disposition or acquisition

of interests in uncontaminated permanent

or temporary structures, equipment

therein, and only land that is necessary

for use of the transferred structures and

equipment, for residential, commercial,

or industrial uses (including, but not

limited to, office space, warehouses,

equipment storage facilities) where,

under reasonably foreseeable uses, there

would not be any lessening in quality, or

increases in volumes, concentrations, or

discharge rates, of wastes, air emissions,

or water effluents, and environmental

impacts would generally be similar to

those before the transfer, lease,

disposition, or acquisition of interests.

Uncontaminated means that there would

be no potential for release of substances

at a level, or in a form, that would pose a

threat to public health or the

environment.

B1.25 Transfer, lease, disposition or acquisition

of interests in uncontaminated land for

habitat preservation or wildlife

management, and only associated

buildings that support these purposes.

Uncontaminated means that there would

be no potential for release of substances

at a level, or in a form, that would pose a

threat to public health or the

environment.

B1.26 Siting, construction (or expansion,

modification, or replacement), operation,

and decommissioning of small (total

capacity less than approximately 250,000

gallons per day) wastewater and surface
22

water treatment facilities whose liquid

discharges are externally regulated, and

small potable water and sewage treatment

facilities.

B1.27 Activities that are required for the

disconnection of utility services such as

water, steam, telecommunications, and

electrical power after it has been

determined that the continued operation

of these systems is not needed for safety.

B1.28 Minor activities that are required to place

a facility in an environmentally safe

condition where there is no proposed use

for the facility. These activities would

include, but are not limited to, reducing

surface contamination, and removing

materials, equipment or waste, such as

final defueling of a reactor, where there

are adequate existing facilities for the

treatment, storage, or disposal of the

materials, equipment or waste. These

activities would not include conditioning,

treatment, or processing of spent nuclear

fuel, high-level waste, or special nuclear

materials.

B1.29 Siting, construction, operation, and

decommissioning of a small (less than

approximately 10 acres) onsite disposal

facility for construction and demolition

waste which would not release

substances at a level, or in a form, that

would pose a threat to public health or

the environment. These wastes, as

defined in the Environmental Protection

Agency's regulations under the Resource

Conservation and Recovery Act,

specifically 40 CFR 243.101, include

building materials, packaging, and

rubble.

B1.30 Transfer actions, in which the

predominant activity is transportation,

and in which the amount and type of

materials, equipment or waste to be

moved is small and incidental to the

amount of such materials, equipment, or

waste that is already a part of ongoing

operations at the receiving site. Such

transfers are not regularly scheduled as

part of ongoing routine operations.

B1.31 Relocation of machinery and equipment,

such as analytical laboratory apparatus,

electronic hardware, maintenance

equipment, and health and safety

equipment, including minor construction

necessary for removal and installation,

where uses of the relocated items will be

similar to their former uses and consistent

with the general missions of the receiving

structure.

B1.32 Traffic flow adjustments to existing roads

at DOE sites (including, but not limited

to, stop sign or traffic light installation,

adjusting direction of traffic flow, and

adding turning lanes). Road adjustments

such as widening or realignment are not

included.

B2. Categorical Exclusions Applicable to

Safety and Health

B2.1 Modifications of an existing structure to

enhance workplace habitability

(including, but not limited to:

improvements to lighting, radiation

shielding, or heating/ventilating/air

conditioning and its instrumentation; and

noise reduction).

B2.2 Installation of, or improvements to,

building and equipment instrumentation

(including, but not limited to, remote

control panels, remote monitoring

capability, alarm and surveillance

systems, control systems to provide

automatic shutdown, fire detection and

protection systems, announcement and

emergency warning systems, criticality

and radiation monitors and alarms, and

safeguards and security equipment).

B2.3 Installation of, or improvements to,

equipment for personnel safety and

health, including, but not limited to, eye

washes, safety showers, radiation

monitoring devices, and fumehoods and

associated collection and exhaust

systems, provided that emissions would

not increase.

B2.4 Development and implementation of

Equipment Qualification Programs
23

(under DOE Order 5480.6, “Safety of

DOE-owned Nuclear Reactors”) to

augment information on safety-related

system components or to improve

systems reliability.

B2.5 Safety and environmental improvements

of a facility, including replacement and

upgrade of facility components, that do

not result in a significant change in the

expected useful life, design capacity, or

function of the facility and during which

operations may be suspended and then

resumed. Improvements may include, but

are not limited to: Replacement/upgrade

of control valves, in-core monitoring

devices, facility air filtration systems, or

substation transformers or capacitors;

addition of structural bracing to meet

earthquake standards and/or sustain high

wind loading; and replacement of

aboveground or belowground tanks and

related piping if there is no evidence of

leakage, based on testing that meets

performance requirements in 40 CFR part

280, subpart D (40 CFR part 280.40).

This includes activities taken under

RCRA, 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 for

underground storage tanks. These actions

do not include rebuilding or modifying

substantial portions of a facility, such as

replacing a reactor vessel.

B2.6 Packaging, transportation, and storage of

radioactive materials from the public

domain, in accordance with the Atomic

Energy Act upon a request by the

Nuclear Regulatory Commission or other

cognizant agency, which would include a

State that regulates radioactive materials

under an agreement with the Nuclear

Regulatory Commission or other

agencies that may, under unusual

circumstances, have responsibilities

regarding the materials that are included

in the categorical exclusion. Covered

materials are those for which possession

and use by Nuclear Regulatory

Commission licensees has been

categorically excluded under 10 CFR

51.22(14) or its successors. Examples of

these radioactive materials (which may

contain source, byproduct or special

nuclear materials) are density gauges,

therapeutic medical devices, generators,

reagent kits, irradiators, analytical

instruments, well monitoring equipment,

uranium shielding material, depleted

uranium military munitions, and

packaged radioactive waste not

exceeding 50 curies.

B3. Categorical Exclusions Applicable to

Site Characterization, Monitoring, and

General Research

B3.1 Onsite and offsite site characterization

and environmental monitoring, including

siting, construction (or modification),

operation, and dismantlement or closing

(abandonment) of characterization and

monitoring devices and siting,

construction, and associated operation of

a small-scale laboratory building or

renovation of a room in an existing

building for sample analysis. Activities

covered include, but are not limited to,

site characterization and environmental

monitoring under CERCLA and RCRA.

Specific activities include, but are not

limited to:

(a) Geological, geophysical (such as

gravity, magnetic, electrical, seismic, and

radar), geochemical, and engineering

surveys and mapping, including the

establishment of survey marks;

(b) Installation and operation of field

instruments, such as stream-gauging

stations or flow-measuring devices,

telemetry systems, geochemical

monitoring tools, and geophysical

exploration tools;

(c) Drilling of wells for sampling or

monitoring of groundwater or the vadose

(unsaturated) zone, well logging, and

installation of water-level recording

devices in wells;
24

(d) Aquifer response testing;

(e) Installation and operation of ambient

air monitoring equipment;

(f) Sampling and characterization of

water, soil, rock, or contaminants;

(g) Sampling and characterization of

water effluents, air emissions, or solid

waste streams;

(h) Installation and operation of

meteorological towers and associated

activities, including assessment of

potential wind energy resources;

(i) Sampling of flora or fauna; and

(j) Archeological, historic, and cultural

resource identification in compliance

with 36 CFR part 800 and 43 CFR part 7.

B3.2 Aviation activities for survey,

monitoring, or security purposes that

comply with Federal Aviation

Administration regulations.

B3.3 Field and laboratory research, inventory,

and information collection activities that

are directly related to the conservation of

fish or wildlife resources and that involve

only negligible habitat destruction or

population reduction.

B3.4 Drop, puncture, water-immersion,

thermal, and fire tests of transport

packaging for radioactive or hazardous

materials to certify that designs meet the

requirements of 49 CFR §§173.411 and

173.412 and requirements of severe

accident conditions as specified in 10

CFR §71.73.

B3.5 Tank car tests under 49 CFR part 179

(including, but not limited to, tests of

safety relief devices, pressure regulators,

and thermal protection systems).

B3.6 Siting, construction (or modification),

operation, and decommissioning of

facilities for indoor bench-scale research

projects and conventional laboratory

operations (for example, preparation of

chemical standards and sample analysis);

small-scale research and development

projects; and small-scale pilot projects

(generally less than two years) conducted

to verify a concept before demonstration

actions. Construction (or modification)

will be within or contiguous to an already

developed area (where active utilities and

currently used roads are readily

accessible). See also C12.

B3.7 Siting, construction, and operation of

new infill exploratory and experimental

(test) oil, gas, and geothermal wells,

which are to be drilled in a geological

formation that has existing operating

wells.

B3.8 Outdoor ecological and other

environmental research (including siting,

construction, and operation of a

small-scale laboratory building or

renovation of a room in an existing

building for sample analysis) in a small

area (generally less than five acres) that

would not result in any permanent change

to the ecosystem.

B3.9 Demonstration actions proposed under

the Clean Coal Technology

Demonstration Program, if the actions

would not increase the quantity or rate of

air emissions. These demonstration

actions include, but are not limited to:

(a) Test treatment of 20 percent or less of

the throughput product (solid, liquid, or

gas) generated at an existing and fully

operational coal combustion or coal

utilization facility;

(b) Addition or replacement of equipment

for reduction or control of sulfur dioxide,

oxides of nitrogen, or other regulated

substances that requires only minor

modification to the existing structures at

an existing coal combustion or coal

utilization facility for which the existing

use remains unchanged; and

(c) Addition or replacement of equipment

for reduction or control of sulfur dioxide,

oxides of nitrogen, or other regulated

substances that involves no permanent

change in the quantity or quality of coal

being burned or used and involves no

permanent change in the capacity factor

of the coal combustion or coal utilization

facility, other than for demonstration
25

purposes of two years or less in duration.

B3.10 Siting, construction, operation, and

decommissioning of a particle

accelerator, including electron beam

accelerator with primary beam energy

less than approximately 100 MeV, and

associated beamlines, storage rings,

colliders, and detectors for research and

medical purposes, within or contiguous to

an already developed area (where active

utilities and currently used roads are

readily accessible), or internal

modification of any accelerator facility

regardless of energy that does not

increase primary beam energy or current.

B3.11 Outdoor tests and experiments for the

development, quality assurance, or

reliability of materials and equipment

(including, but not limited to, weapon

system components), under controlled

conditions that would not involve source,

special nuclear, or byproduct materials.

Covered activities may include, but are

not limited to, burn tests (such as tests of

electric cable fire resistance or the

combustion characteristics of fuels),

impact tests (such as pneumatic ejector

tests using earthen embankments or

concrete slabs designated and routinely

used for that purpose), or drop, puncture,

water-immersion, or thermal tests.

B3.12 Siting, construction (or modification),

operation, and decommissioning of

microbiological and biomedical

diagnostic, treatment and research

facilities (excluding Biosafety Level-3

and Biosafety Level-4; reference:

Biosafety in Microbiological and

Biomedical Laboratories, 3rd Edition,

May 1993, U.S. Department of Health

and Human Services Public Health

Service, Centers of Disease Control and

Prevention, and the National Institutes of

Health (HHS Publication No. (CDC)

93-8395)) including, but not limited to,

laboratories, treatment areas, offices, and

storage areas, within or contiguous to an

already developed area (where active

utilities and currently used roads are

readily accessible). Operation may

include the purchase, installation, and

operation of biomedical equipment, such

as commercially available cyclotrons that

are used to generate radioisotopes and

radiopharmaceuticals, and commercially

available biomedical imaging and

spectroscopy instrumentation.

B3.13 Performing magnetic fusion experiments

that do not use tritium as fuel, with

existing facilities (including necessary

modifications).

B4. Categorical Exclusions Applicable to

Power Marketing Administrations and

to All of DOE with Regard to Power

Resources

B4.1 Establishment and implementation of

contracts, marketing plans, policies,

allocation plans, or acquisition of excess

electric power that does not involve: (1)

the integration of a new generation

resource, (2) physical changes in the

transmission system beyond the

previously developed facility area, unless

the changes are themselves categorically

excluded, or (3) changes in the normal

operating limits of generation resources.

B4.2 Export of electric energy as provided by

Section 202(e) of the Federal Power Act

over existing transmission systems or

using transmission system changes that

are themselves categorically excluded.

B4.3 Rate changes for electric power, power

transmission, and other products or

services provided by a Power Marketing

Administration that are based on a

change in revenue requirements if the

operations of generation projects would

remain within normal operating limits.

B4.4 Power marketing services, including

storage, load shaping, seasonal

exchanges, or other similar activities if

the operations of generating projects

would remain within normal operating

limits.

B4.5 Temporary adjustments to river

operations to accommodate day-to-day
26

river fluctuations, power demand

changes, fish and wildlife conservation

program requirements, and other external

events if the adjustments would occur

within the existing operating constraints

of the particular hydrosystem operation.

B4.6 Additions or modifications to electric

power transmission facilities that would

not affect the environment beyond the

previously developed facility area

including, but not limited to, switchyard

rock grounding upgrades, secondary

containment projects, paving projects,

seismic upgrading, tower modifications,

changing insulators, and replacement of

poles, circuit breakers, conductors,

transformers, and crossarms.

B4.7 Adding fiber optic cable to transmission

structures or burying fiber optic cable in

existing transmission line rights-of-way.

B4.8 New electricity transmission agreements,

and modifications to existing

transmission arrangements, to use a

transmission facility of one system to

transfer power of and for another system,

if no new generation projects would be

involved and no physical changes in the

transmission system would be made

beyond the previously developed facility

area.

B4.9 Grant or denial of requests for multiple

use of a transmission facility

rights-of-way, such as grazing permits

and crossing agreements, including

electric lines, water lines, and drainage

culverts.

B4.10 Deactivation, dismantling, and removal

of electric powerlines, substations,

switching stations, and other transmission

facilities, and right-of-way abandonment.

B4.11 Construction of electric power

substations (including switching stations

and support facilities) with power

delivery at 230 kV or below, or

modification (other than voltage

increases) of existing substations and

support facilities, that could involve the

construction of electric powerlines

approximately 10 miles in length or less,

or relocation of existing electric

powerlines approximately 20 miles in

length or less, but not the integration of

major new generation resources into a

main transmission system.

B4.12 Construction of electric powerlines

approximately 10 miles in length or less

that are not for the integration of major

new generation resources into a main

transmission system.

B4.13 Reconstruction (upgrading or

rebuilding) and/or minor relocation of

existing electric powerlines

approximately 20 miles in length or less

to enhance environmental and land use

values. Such actions include relocations

to avoid right-of-way encroachments,

resolve conflict with property

development, accommodate

road/highway construction, allow for the

construction of facilities such as canals

and pipelines, or reduce existing impacts

to environmentally sensitive areas.

B5. Categorical Exclusions Applicable to

Conservation, Fossil, and Renewable

Energy Activities

B5.1 Actions to conserve energy, demonstrate

potential energy conservation, and

promote energy-efficiency that do not

increase the indoor concentrations of

potentially harmful substances. These

actions may involve financial and

technical assistance to individuals (such

as builders, owners, consultants,

designers), organizations (such as

utilities), and state and local

governments. Covered actions include,

but are not limited to: programmed

lowering of thermostat settings,

placement of timers on hot water

heaters, installation of solar hot water

systems, installation of efficient lighting,

improvements in generator efficiency

and appliance efficiency ratings,

development of energy-efficient

manufacturing or industrial practices,

and small-scale conservation and
27

renewable energy research and

development and pilot projects. The

actions could involve building

renovations or new structures in

commercial, residential, agricultural, or

industrial sectors. These actions do not

include rulemakings, standard-settings,

or proposed DOE legislation.

B5.2 Modifications to oil, gas, and

geothermal facility pump and piping

configurations, manifolds, metering

systems, and other instrumentation that

would not change design process flow

rates or affect permitted air emissions.

B5.3 Modification (but not expansion) or

abandonment (including plugging),

which is not part of site closure, of crude

oil storage access wells, brine injection

wells, geothermal wells, and gas wells.

B5.4 Repair or replacement of sections of a

crude oil, produced water, brine, or

geothermal pipeline, if the actions are

determined by the Army Corps of

Engineers to be within the maintenance

provisions of a DOE permit under

section 404 of the Clean Water Act.

B5.5 Construction and subsequent operation

of short crude oil, steam, geothermal, or

natural gas pipeline segments between

DOE facilities and existing

transportation, storage, or refining

facilities within a single industrial

complex, if the pipeline segments are

within existing rights-of-way.

B5.6 Removal of oil and contaminated

materials recovered in oil spill cleanup

operations in accordance with the

National Oil and Hazardous Substances

Pollution Contingency Plan (NCP) and

disposed of in accordance with local

contingency plans in accordance with

the NCP.

B5.7 Approval of new authorization or

amendment of existing authorization to

import/export natural gas under section

3 of the Natural Gas Act that does not

involve new construction and only

requires operational changes, such as an

increase in natural gas throughput,

change in transportation, or change in

storage operations.

B5.8 Approval of new authorization or

amendment of existing authorization to

import/export natural gas under section

3 of the Natural Gas Act involving a

new cogeneration powerplant (as

defined in the Powerplant and Industrial

Fuel Use Act) within or adjacent to an

existing industrial complex and

requiring less than 10 miles of new gas

pipeline.

B5.9 The grant or denial of any temporary

exemption under the Powerplant and

Industrial Fuel Use Act of 1978 for any

electric powerplant.

B5.10 The grant or denial of any permanent

exemption under the Powerplant and

Industrial Fuel Use Act of 1978 of any

existing electric powerplant other than

an exemption under (1) section 312(c)

relating to cogeneration, (2) section

312(l) relating to scheduled equipment

outages, (3) section 312(b) relating to

certain state or local requirements, and

(4) section 312(g) relating to certain

intermediate load powerplants.

B5.11 The grant or denial of a permanent

exemption from the prohibitions of Title

II of the Powerplant and Industrial Fuel

Use Act of 1978 for any new electric

powerplant to permit the use of certain

fuel mixtures containing natural gas or

petroleum.

B5.12 Workover (operations to restore

production, such as deepening, plugging

back, pulling and resetting lines, and

squeeze cementing) of an existing oil,

gas, or geothermal well to restore

production when workover operations

will be restricted to the existing wellpad

and not involve any new site preparation

or earth work that would adversely

affect adjacent habitat.
28

B6. Categorical Exclusions Applicable to

Environmental Restoration and

Waste Management Activities

B6.1 Small-scale, short-term cleanup actions,

under RCRA, Atomic Energy Act, or

other authorities, less than

approximately 5 million dollars in cost

and 5 years duration, to reduce risk to

human health or the environment from

the release or threat of release of a

hazardous substance other than

high-level radioactive waste and spent

nuclear fuel, including treatment (e.g.,

incineration), recovery, storage, or

disposal of wastes at existing facilities

currently handling the type of waste

involved in the action. These actions

include, but are not limited to:

(a) Excavation or consolidation of

contaminated soils or materials from

drainage channels, retention basins,

ponds, and spill areas that are not

receiving contaminated surface water or

wastewater, if surface water or

groundwater would not collect and if

such actions would reduce the spread of,

or direct contact with, the

contamination;

(b) Removal of bulk containers (for

example, drums, barrels) that contain or

may contain hazardous substances,

pollutants, contaminants,

CERCLA-excluded petroleum or natural

gas products, or hazardous wastes

(designated in 40 CFR part 261 or

applicable state requirements), if such

actions would reduce the likelihood of

spillage, leakage, fire, explosion, or

exposure to humans, animals, or the

food chain;

(c) Removal of an underground storage

tank including its associated piping and

underlying containment systems in

compliance with RCRA, subtitle I; 40

CFR part 265, subpart J; and 40 CFR

part 280, subparts F and G if such action

would reduce the likelihood of spillage,

leakage, or the spread of, or direct

contact with, contamination;

(d) Repair or replacement of leaking

containers;

(e) Capping or other containment of

contaminated soils or sludges if the

capping or containment would not affect

future groundwater remediation and if

needed to reduce migration of hazardous

substances, pollutants, contaminants, or

CERCLA-excluded petroleum and

natural gas products into soil,

groundwater, surface water, or air;

(f) Drainage or closing of man-made

surface impoundments if needed to

maintain the integrity of the structures;

(g) Confinement or perimeter protection

using dikes, trenches, ditches,

diversions, or installing underground

barriers, if needed to reduce the spread

of, or direct contact with, the

contamination;

(h) Stabilization, but not expansion, of

berms, dikes, impoundments, or caps if

needed to maintain integrity of the

structures;

(i) Drainage controls (for example,

run-off or run-on diversion) if needed to

reduce offsite migration of hazardous

substances, pollutants, contaminants, or

CERCLA-excluded petroleum or natural

gas products or to prevent precipitation

or run-off from other sources from

entering the release area from other

areas;

(j) Segregation of wastes that may react

with one another or form a mixture that

could result in adverse environmental

impacts;

(k) Use of chemicals and other materials

to neutralize the pH of wastes;

(l) Use of chemicals and other materials

to retard the spread of the release or to

mitigate its effects if the use of such

chemicals would reduce the spread of, or

direct contact with, the contamination;

(m) Installation and operation of gas

ventilation systems in soil to remove

methane or petroleum vapors without

any toxic or radioactive co-contaminants

if appropriate filtration or gas treatment
29

is in place;

(n) Installation of fences, warning signs,

or other security or site control

precautions if humans or animals have

access to the release; and

(o) Provision of an alternative water

supply that would not create new water

sources if necessary immediately to

reduce exposure to contaminated

household or industrial use water and

continuing until such time as local

authorities can satisfy the need for a

permanent remedy.

B6.2 The siting, construction, and operation

of temporary (generally less than 2

years) pilot-scale waste collection and

treatment facilities, and pilot-scale

(generally less than one acre) waste

stabilization and containment facilities

(including siting, construction, and

operation of a small-scale laboratory

building or renovation of a room in an

existing building for sample analysis) if

the action: (1) Supports remedial

investigations/feasibility studies under

CERCLA, or similar studies under

RCRA, such as RCRA facility

investigations/corrective measure

studies, or other authorities, and (2)

would not unduly limit the choice of

reasonable remedial alternatives (by

permanently altering substantial site area

or by committing large amounts of funds

relative to the scope of the remedial

alternatives).

B6.3 Improvements to environmental

monitoring and control systems of an

existing building or structure (for

example, changes to scrubbers in air

quality control systems or ion-exchange

devices and other filtration processes in

water treatment systems) if during

subsequent operations (1) any substance

collected by the environmental control

systems would be recycled, released, or

disposed of within existing permitted

facilities and (2) there are applicable

statutory or regulatory requirements or

permit conditions for disposal, release,

or recycling of any hazardous substance

or CERCLA-excluded petroleum natural

gas products that are collected or

released in increased quantity or that

were not previously collected or

released.

B6.4 Siting, construction (or modification or

expansion), operation, and

decommissioning of an onsite facility

for storing packaged hazardous waste

(as designated in 40 CFR part 261) for

90 days or less or for longer periods as

provided in 40 CFR 262.34 (d), (e), or

(f) (e.g., accumulation or satellite areas).

B6.5 Siting, construction (or modification or

expansion), operation, and

decommissioning of an onsite facility

for characterizing and sorting previously

packaged waste or for overpacking

waste, other than high-level radioactive

waste, if operations do not involve

unpacking waste. These actions do not

include waste storage (covered under

B6.4, B6.6, B6.10, and C16) or the

handling of spent nuclear fuel.

B6.6 Modification (excluding increases in

capacity) of an existing structure used

for storing, packaging, or repacking

waste other than high-level radioactive

waste or spent nuclear fuel, to handle the

same class of waste as currently handled

at that structure.

B6.7 Under the Low-Level Radioactive

Waste Policy Amendments Act of 1985

(5(c)(5)), granting of a petition qualified

under 10 CFR 730.6 for allocation of

commercial disposal capacity for an

unusual or unexpected volume of

commercial low-level radioactive waste

or denying such a petition when

adequate storage capacity exists at the

petitioner's facility.

B6.8 Minor operational changes at an existing

facility to minimize waste generation

and for reuse of materials. These

changes include, but are not limited to,

adding filtration and recycle piping to

allow reuse of machining oil, setting up

a sorting area to improve process
30

efficiency, and segregating two waste

streams previously mingled and

assigning new identification codes to the

two resulting wastes.

B6.9 Small-scale temporary measures to

reduce migration of contaminated

groundwater, including the siting,

construction, operation, and

decommissioning of necessary facilities.

These measures include, but are not

limited to, pumping, treating, storing,

and reinjecting water, by mobile units or

facilities that are built and then removed

at the end of the action.

B6.10 Siting, construction (or modification),

operation, and decommissioning of a

small upgraded or replacement facility

(less than approximately 50,000 square

feet in area) at a DOE site within or

contiguous to an already developed area

(where active utilities and currently used

roads are readily accessible) for storage

of waste that is already at the site at the

time the storage capacity is to be

provided. These actions do not include

the storage of high-level radioactive

waste, spent nuclear fuel or any waste

that requires special precautions to

prevent nuclear criticality. See also

B6.4, B6.5, B6.6, and C16.

B7. Categorical Exclusions Applicable to

International Activities

B7.1 Planning and implementation of

emergency measures pursuant to the

International Energy Program.

B7.2 Approval of import or export of small

quantities of special nuclear materials or

isotopic materials in accordance with the

Nuclear Non-Proliferation Act of 1978

and the “Procedures Established

Pursuant to the Nuclear Non

Proliferation Act of 1978" (43 FR

25326, June 9, 1978).

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36239-36242, July 9, 1996; 61 FR 64608,

Dec. 6, 1996]
31

Appendix C to Subpart D to Part 1021 --

Classes of Actions that Normally Require

EAs But Not Necessarily EISs

Table of Contents

C1. [Reserved]

C2. Rate increases more than inflation, not

power marketing

C3. Electric power marketing rate changes, not

within normal operating limits.

C4. Reconstructing and constructing electric

powerlines.

C5. Implementation of Power Marketing

Administration systemwide vegetation

management program

C6. Implementation of Power Marketing

Administration systemwide erosion

control program

C7. Allocation of electric power, no major

new generation resource/major changes in

operation of generation resources/major

new loads.

C8. Protection of fish and wildlife habitat

C9. Field demonstration projects for wetlands

C10. [Reserved]

C11. Siting/construction/operation/

decommissioning of low- or

medium-energy particle acceleration

facility with primary beam energy greater

than approximately 100 MeV

C12. Siting/construction/operation of energy

system prototypes

C13. Import/export natural gas, minor new

construction (other than a cogeneration

powerplant)

C14. Siting/construction/operation of water

treatment facilities greater than

approximately 250,000 gallons per day

capacity

C15. Siting/construction/operation of research

and development

incinerators/nonhazardous waste

incinerators

C16. Siting/construction/operation/

decommissioning of large waste storage

facilities

C1 [Reserved]

C2 Rate increases for products or services

marketed by DOE, except for electric

power, power transmission, and other

products or services provided by the

Power Marketing Administrations, and

approval of rate increases for non-DOE

entities, that exceed the change in the

overall price level in the economy

(inflation), as measured by the GNP fixed

weight price index published by the

Department of Commerce, during the

period since the last rate increase for that

product or service.

C3 Rate changes for electric power, power

transmission, and other products or

services provided by Power Marketing

Administrations that are based on changes

in revenue requirements if the operations

of generation projects would not remain

within normal operating limits.

C4 Reconstructing (upgrading or rebuilding)

existing electric powerlines more than

approximately 20 miles in length or

constructing new electric powerlines more

than approximately 10 miles in length.

C5 Implementation of a Power Marketing

Administration system-wide vegetation

management program.

C6 Implementation of a Power Marketing

Administration system-wide erosion

control program.

C7 Establishment and implementation of

contracts, policies, marketing plans, or

allocation plans for the allocation of

electric power that do not involve (1) the

addition of new generation resources

greater than 50 average megawatts, (2)

major changes in the operating limits of

generation resources greater than 50

average megawatts, or (3) service to

discrete new loads of 10 average

megawatts or more over a 12 month

period. This applies to power marketing

operations and to siting, construction, and

operation of power generating facilities at

DOE sites.

C8 Protection, restoration, or improvement of

fish and wildlife habitat, fish passage

facilities, and fish hatcheries if the

proposed action may adversely affect an
32

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 lowor medium-energy (but greater than

approximately 100 MeV primary beam

energy) particle acceleration facility,

including electron beam acceleration

facilities, and associated beamlines,

storage rings, colliders, and detectors for

research and medical purposes, within or

contiguous to an already developed area

(where active utilities and currently used

roads are readily accessible).

C12 Siting, construction, and operation of

energy system prototypes including, but

not limited to, wind resource, hydropower,

geothermal, fossil fuel, biomass, and solar

energy pilot projects.

C13 Approval or disapproval of an application

to import/export natural gas under section

3 of the Natural Gas Act involving minor

new construction (other than a

cogeneration powerplant), such as adding

new connections, looping, or compression

to an existing natural gas pipeline or

converting an existing oil pipeline to a

natural gas pipeline using the same

right-of-way.

C14 Siting, construction (or expansion),

operation, and decommissioning of

wastewater, surface water, potable water,

and sewage treatment facilities with a total

capacity greater than approximately

250,000 gallons per day, and of lower

capacity wastewater and surface water

treatment facilities whose liquid

discharges are not subject to external

regulation.

C15 Siting, construction (or expansion), and

operation of research and development

incinerators for any type of waste and of

any other incinerators that would treat

nonhazardous solid waste (as designated

in 40 CFR Part 261.4(b)).

C16 Siting, construction (or modification to

increase capacity), operation, and

decommissioning of packaging and

unpacking facilities (that may include

characterization operations) and large

storage facilities (greater than

approximately 50,000 square feet in area)

for waste, except high-level radioactive

waste, generated onsite or resulting from

activities connected to site operations.

These actions do not include storage,

packaging, or unpacking of spent nuclear

fuel. See also B6.4, B6.5, B6.6, and B6.10.

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36242, July 9, 1996; 61 FR 64608, Dec. 6,

1996]
33

Appendix D to Subpart D of Part 1021 --

Classes of Actions That Normally

Require EISs

Table of Contents

D1. Strategic Systems

D2. Siting/construction/operation/

decommissioning of nuclear fuel

reprocessing facilities

D3. Siting/construction/operation/

decommissioning of uranium enrichment

facilities

D4. Siting/construction/operation/

decommissioning of reactors

D5. Main transmission system additions

D6. Integrating transmission facilities

D7. Allocation of electric power, major new

generation resources/major changes in

operation of generation resources/major

loads.

D8. Import/export of natural gas, involving

major new facilities

D9. Import/export of natural gas, involving

significant operational change

D10. Siting/construction/operation/

decommissioning of major treatment,

storage, and disposal facilities for

high-level waste and spent nuclear fuel

D11. Siting/construction/expansion of waste

disposal facility for transuranic waste

D12. Siting/construction/operation of

incinerators (other than research and

development, other than nonhazardous

solid waste)

D1 Strategic Systems, as defined in DOE

Order 430.1, “Life-Cycle Asset

Management,” and designated by the

Secretary.

D2 Siting, construction, operation, and

decommissioning of nuclear fuel

reprocessing facilities.

D3 Siting, construction, operation, and

decommissioning of uranium enrichment

facilities.

D4 Siting, construction, operation, and

decommissioning of power reactors,

nuclear material production reactors, and

test and research reactors.

D5 Main transmission system additions (that

is, additions of new transmission lines) to

a Power Marketing Administration's main

transmission grid.

D6 Integrating transmission facilities (that is,

transmission system additions for

integrating major new sources of

generation into a Power Marketing

Administration's main grid).

D7 Establishment and implementation of

contracts, policies, marketing plans or

allocation plans for the allocation of

electric power that involve (1) the addition

of new generation resources greater than

50 average megawatts, (2) major changes

in the operating limits of generation

resources greater than 50 average

megawatts, or (3) service to discrete new

loads of 10 average megawatts or more

over a 12 month period.

This applies to power marketing

operations and to siting construction, and

operation of power generating facilities at

DOE sites.

D8 Approval or disapproval of an application

to import/export natural gas under section

3 of the Natural Gas Act involving major

new natural gas pipeline construction or

related facilities, such as construction of

new liquid natural gas (LNG) terminals,

regasification or storage facilities, or a

significant expansion of an existing

pipeline or related facility or LNG

terminal, regasification, or storage facility.

D9 Approval or disapproval of an application

to import/export natural gas under section

3 of the Natural Gas Act involving a

significant operational change, such as a

major increase in the quantity of liquid

natural gas imported or exported.

D10 Siting, construction, operation, and

decommissioning of major treatment,

storage, and disposal facilities for

high-level waste and spent nuclear fuel,

including geologic repositories, but not

including onsite replacement or upgrades

of storage facilities for spent nuclear fuel

at DOE sites where such replacement or

upgrade will not result in increased
34

storage capacity.

D11 Siting, construction (or expansion), and

operation of a disposal facility for

transuranic (TRU) waste and TRU mixed

waste (TRU waste also containing

hazardous waste as designated in 40 CFR

part 261).

D12 Siting, construction, and operation of

incinerators, other than research and

development incinerators or incinerators

for nonhazardous solid waste (as

designated in 40 CFR part 261.4(b)).

[57 FR 15144, Apr. 24, 1992, as amended at 61

FR 36243, July 9, 1996; 61 FR 64608, Dec. 6,

1996]