[Code of Federal Regulations]
[Title 40, Volume 1]
[Revised as of July 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR21.3]
[Page 247-249]
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY
PART 21_SMALL BUSINESS--Table of Contents
Sec. 21.3 Submission of applications.
(a) Applications for the statement described in Sec. 21.5 of this
part shall be made to the EPA Regional Office for the region covering
the State in which the additions, alterations, or methods of operation
covered by the application are located. A listing of EPA Regional
Offices, with their mailing addresses, and setting forth the States
within each region is as follows:
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Region Address State
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I..................................... Regional Administrator, region I, Connecticut, Maine,
EPA, John F. Kennedy Federal Bldg., Massachusetts, New Hampshire,
room 2303, Boston, MA 02203. Rhode Island, and Vermont.
II.................................... Regional Administrator, region II, New Jersey, New York, Virgin
EPA, 26 Federal Plaza, room 908, New Islands, and Puerto Rico.
York, NY 10007.
III................................... Regional Administrator, region III, Delaware, District of Columbia,
EPA, Curtis Bldg., 6th and Walnut Pennsylvania, Maryland,
Sts., Philadelphia, PA 19106. Virginia, and West Virginia.
IV.................................... Regional Administrator, region IV, Alabama, Florida, Georgia,
EPA, 345 Courtland St. NE., Atlanta, Kentucky, Mississippi, North
GA 30308. Carolina, South Carolina, and
Tennessee.
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V..................................... Regional Administrator, region V, Illinois, Indiana, Michigan,
EPA, 77 West Jackson Boulevard, Minnesota, Ohio, and Wisconsin.
Chicago, IL 60604.
VI.................................... Regional Administrator, region VI, Arkansas, Louisiana, New Mexico,
EPA, 1201 Elm St., 27th floor, First Oklahoma, and Texas.
International Bldg., 70 Dallas, TX
75201.
VII................................... Regional Administrator, region VII, Iowa, Kansas, Missouri, and
EPA, 1735 Baltimore Ave., Kansas Nebraska.
City, MO 64108.
VIII.................................. Regional Administrator, region VIII, Colorado, Montana, North Dakota,
EPA, 1860 Lincoln St., Suite 900, South Dakota, Utah, and Wyoming.
Denver, CO 80203.
IX.................................... Regional Administrator, region IX, Arizona, California, Hawaii,
EPA, 100 California St., San Nevada, Guam, American Samoa,
Francisco, CA 94111. and Trust Territory of the
Pacific Islands.
X..................................... Regional Administrator, region X, Alaska, Idaho, Oregon, and
EPA, 1200 6th Ave., Seattle, WA Washington.
98101.
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(b) An application described in paragraph (1) of Sec. 21.3(c) may
be submitted directly to the appropriate State, where a State has
assumed responsibility for issuing the statement. Information on whether
EPA has retained responsibility for certification or whether it has been
assumed by the State may be obtained from either the appropriate
Regional Administrator or the State Water Pollution Control Authority in
which the facility is located.
(c) An application need be in no particular form, but it must be in
writing and must include the following:
(1) Name of applicant (including business name, if different) and
mailing address. Address of the affected facility or operation, if
different, should also be included.
(2) Signature of the owner, partner, or principal executive officer
requesting the statement.
(3) The Standard Industrial Classification number for the business
for which an application is being submitted. Such SIC number shall be
obtained from the Standard Industrial Classification Manual, 1972
edition. If the applicant does not know the SIC for the business, a
brief description of the type of business activity being conducted
should be provided.
(4) A description of the process or activity generating the
pollution to be abated by the additions, alterations, or methods of
operation covered by the application, accompanied by a schematic diagram
of the major equipment and process, where practicable.
(5) A specific description of the additions, alterations, or methods
of operation covered by the application. Where appropriate, such
description will include a summary of the facility construction to be
undertaken; a listing of the major equipment to be purchased or utilized
in the operation of the facility; the purchase of any land or easements
necessary to the operation of the facility; and any other items that the
applicant deems pertinent. Any information that the applicant considers
to be a trade secret shall be identified as such.
(6) A declaration of the requirement, or requirements, for
compliance with which the alterations, additions, or methods of
operation are claimed to be necessary and adequate.
(i) If the requirement results from a permit issued by EPA or a
State under section 402 of the Act, the permit number shall be included.
(ii) If the requirement results from a permit issued by EPA or a
State for a publicly-owned treatment works, the municipal permit number
shall be included along with a written declaration from the authorized
agent for the publicly owned treatment works that received the permit
detailing the specific pretreatment requirements being placed upon the
applicant.
(iii) If the requirement initiates from a plan to include the
applicant's effluent in an existing municipal sewer system through the
construction of lateral or interceptor sewers, a written declaration
from the authorized agent for the publicly owned treatment works shall
be included noting that the sewer construction is consistent with the
integrity of the system; will not result in the capacity of the publicly
owned treatment works being exceeded; and where applicable, is
consistent with a facilities plan developed under section 201 of the Act
(see 35 CFR part 917).
[[Page 249]]
(iv) If the requirement results from a State order, regulation, or
other enforceable authority controlling pollution from a vessel as
provided by section 312(f)(3) of the Act, a written declaration from the
authorized agent of the State specifying the control measures being
required of the applicant shall be included.
(v) If the requirement is a result of a permit issued by the Corps
of Engineers related to permits for dredged or fill material as provided
by section 404 of the Act, a copy of the permit as issued shall be
included.
(vi) If the requirement results from a standard of performance for
control of sewage from vessels as promulgated by the Coast Guard under
section 312(b) of the Act, the vessel registration number or
documentation number shall be included.
(vii) If the requirement results from a plan to control or prevent
the discharge or spill of pollutants as identified in section 311 of the
Act, the title and date of that plan shall be included.
(viii) If the requirement is the result of an order by a State or an
areawide management agency controlling the disposal of aqueous
pollutants so as to protect groundwater, a copy of the order as issued
shall be included.
(7) Additionally, if the applicant has received from a State Water
Pollution Control Agency a permit issued by the State within the
preceding two years, and if such permit was not issued under the
authorities of section 402 of the Act, and where the permit directly
relates to abatement of the discharge for which a statement is sought, a
copy of that permit shall also be included.
Comment: Some States under State permit programs, separate and
distinct from the NPDES permit program under the Act, conduct an
engineering review of the facilities or equipment that would be used to
control pollution. The results of such a review would be materially
helpful in determining the necessity and adequacy of any alterations or
additions.
(8) Any written information from a manufacturer, supplier, or
consulting engineer, or similar independent source, concerning the
design capabilities of the additions or alterations covered by the
application, including any warranty limitations or certifications
obtained from or provided by such sources which would bear upon these
design or performance capabilities. The Regional Administrator may waive
the requirement for this paragraph if it appears that there is no
independent source for the information described herein; as, for
example, when the applicant has designed and constructed the additions
or alterations with in-house capability.
(9) An estimated schedule for the construction or implementation of
the alterations, additions, or methods of operation.
(10) An estimated cost of the alterations, additions, or methods of
operation, and where practicable, the individual costs of major elements
of the construction to be undertaken.
(11) Information on previously received loan assistance under this
section for the facility or method of operation, including a description
and dates of the activity funded.
(d) A separate application must be submitted for every addition,
alteration, or method of operation that is at a separate geographical
location from the initial application.
Comment: As an example, a chain has four dry cleaning establishments
scattered through a community. A separate application would have to be
filed for each.
(e) No statement shall be approved for any application that has not
included the information or declaration requirements imposed by
paragraph (c)(6) of Sec. 21.3.
(f) All applications are to be submitted in duplicate.
(g) All applications are subject to the provisions of 18 U.S.C. 1001
regarding prosecution for the making of false statements or the
concealing of material facts.
(h) Instructional guidelines to assist in the submission of
applications for EPA certification are available from EPA or a
certifying State.
[42 FR 8083, Feb. 8, 1977, as amended at 62 FR 1833, Jan. 14, 1997]
