obtaining equipment is the most cost effective. In order to obtain the
equipment, the recipient must submit documentation of the cost
comparison analysis to EPA for approval. The recipient must obtain the
equipment through the most cost-effective method, subject to the
following requirements:
    (1) Lease or rent equipment. If it is the most cost-effective
method of acquisition, the recipient may lease or rent equipment,
subject only to the requirements in Sec.  35.6300.
    (2) Use contractor services. (i) If it is the most cost-effective
method of acquisition, the recipient may hire the services of a
contractor.
    (ii) The recipient must obtain award official approval before
authorizing the contractor to purchase equipment with CERCLA funds.
(See Sec.  35.6325, regarding the title and vested interest of
equipment purchased with CERCLA funds.) This does not apply for

recipients who have used the sealed bids method of procurement.
    (iii) The recipient must require the contractor to allocate the
cost of the contractor services by site, activity, and operable unit,
as applicable.
    (3) Purchase equipment with CERCLA funds. If equipment purchase is
the most cost-effective method of obtaining the equipment, the
recipient may purchase the equipment with CERCLA funds. To purchase
equipment with CERCLA funds, the recipient must comply with the
following requirements:
    (i) The recipient must include in the Cooperative Agreement
application a list of all items of equipment to be purchased with
CERCLA funds, with the price of each item.
    (ii) If the equipment is to be used on sites, the recipient must
allocate the cost of the equipment by site, activity, and operable
unit, as applicable, by applying a usage rate subject to the usage rate
requirements in Sec.  35.6320.
    (iii) The recipient may not use CERCLA funds to purchase a
transportable or mobile treatment system.
    (iv) Equipment obtained with Core Program funds must be for non-
site-specific purposes. All purchases of equipment must comply with the
requirements in Sec. Sec.  35.6300, and 35.6310 through 35.6350, except
where these requirements are site-specific.

Sec.  35.6320  Usage rate.

    (a) Usage rate approval. To charge EPA a fee for use of equipment
purchased with recipient funds or to allocate the cost of equipment by
site, activity, and operable unit, as applicable, the recipient must
apply a usage rate. The recipient must submit documentation of the
usage rate computation to EPA. The EPA-approved usage rate must be
included in the Cooperative Agreement before the recipient incurs these
equipment costs.
    (b) Usage rate application. The recipient must record the use of
the equipment by site, activity, and operable unit, as applicable, and
must apply the usage rate to calculate equipment charges by site,
activity, and operable unit, as applicable. For Core Program and pre-
remedial activities, the recipient is not required to apply a usage
rate.

Sec.  35.6325  Title and EPA interest in CERCLA-funded property.

    (a) EPA's interest in CERCLA-funded property. EPA has an interest
(the percentage of EPA's participation in the total award) in both
equipment and supplies purchased with CERCLA funds.
    (b) Title in CERCLA-funded property. Title in both equipment and
supplies purchased with CERCLA funds vests in the recipient.
    (1) Right to transfer title. EPA retains the right to transfer
title of all property purchased with CERCLA funds to the Federal
Government or a third party within 120 calendar days after project
completion or at the time of disposal.
    (2) Equipment used as all or part of the remedy. The following
requirements apply to equipment used as all or part of the remedy:
    (i) Fixed in-place equipment. EPA no longer has an interest in
fixed in-place equipment once the equipment is installed.
    (ii) Equipment that is an integral part of services to individuals.
EPA no longer has an interest in equipment that is an integral part of
services to individuals, such as pipes, lines, or pumps providing
hookups for homeowners on an existing water distribution system, once
EPA certifies that the remedy is operational and functional.

Sec.  35.6330  Title to federally owned property.

    Title to all federally owned property vests in the Federal
Government.

Sec.  35.6335  Property management standards.

    The recipient must comply with the following property management
standards for property purchased with CERCLA funds. The recipient may
use its own property management system if it meets the following
standards.
    (a) Control. The recipient must maintain:
    (1) Property records for CERCLA-funded property which include the
contents specified in Sec.  35.6700(c);
    (2) A control system that ensures adequate safeguards for
prevention of loss, damage, or theft of the property. The recipient
must make provisions for the thorough investigation and documentation
of any loss, damage, or theft;
    (3) Procedures to ensure maintenance of the property are in good
condition and periodic calibration of the instruments used for
precision measurements;
    (4) Sales procedures to ensure the highest possible return, if the
recipient is authorized to sell the property;
    (5) Provisions for financial control and accounting in the
financial management system of all equipment; and
    (6) Identification of all federally owned property.
    (b) Inventory and reporting for CERCLA-funded equipment--(1)
Physical inventory. The recipient must conduct a physical inventory at
least once every two years for all equipment except that which is part
of the in-place remedy. The recipient must reconcile physical inventory
results with the equipment records.
    (2) Inventory reports. The recipient must comply with requirements
for inventory reports set forth in Sec.  35.6660.
    (c) Inventory and reporting for federally owned property--(1)
Physical inventory. The recipient must conduct a physical inventory:
    (i) Annually;
    (ii) When the property is no longer needed; and
    (iii) Within 90 days after the end of the project period.
    (2) Inventory reports. The recipient must comply with requirements
for inventory reports in Sec.  35.6660.

Sec.  35.6340  Disposal of CERCLA-funded property.

    (a) Equipment. For equipment that is no longer needed, or at the
end of the project period, whichever is earlier, the recipient must:
    (1) Analyze two alternatives: The cost of leaving the equipment in
place, and the cost of removing the equipment and disposing of it in
another manner.
    (2) Document the analysis of the two alternatives in the inventory
report. See Sec.  35.6660 regarding requirements for the inventory
report.
    (i) If it is most cost-effective to remove the equipment and
dispose of it in another manner:
    (A) If the equipment has a residual fair market value of $5,000 or
more, the recipient must request disposition instructions from EPA in
the inventory report. See Sec.  35.6345 for equipment disposal options.
    (B) If the equipment has a residual fair market value of less than
$5,000, the recipient may retain the equipment for the recipient's use
on another CERCLA site. If, however, there is any remaining residual
value at the time of final disposition, the recipient must reimburse
the Hazardous Substance Superfund for EPA's vested interest in the
current fair market value of the equipment at the time of disposition.
    (ii) If it is most cost-effective to leave the equipment in place,
recommend in the inventory report that the equipment be left in place.
    (3) Submit the inventory report to EPA, even if EPA has stopped
supporting the project.
    (b) Supplies. (1) If supplies have an aggregate fair market value
of $5,000 or more at the end of the project period, the recipient must
take one of the following actions at the direction of EPA:

    (i) Use the supplies on another CERCLA project and reimburse the
original project for the fair market value of the supplies;
    (ii) If both the recipient and EPA concur, keep the supplies and
reimburse the Hazardous Substance Superfund for EPA's interest in the
current fair market value of the supplies; or
    (iii) Sell the supplies and reimburse the Hazardous Substance
Superfund for EPA's interest in the current fair market value of the
supplies, less any reasonable selling expenses.
    (2) If the supplies remaining at the end of the project period have
an aggregate fair market value of less than $5,000, the recipient may
keep the supplies to use on another CERCLA project. If the recipient
cannot use the supplies on another CERCLA project, then the recipient
may keep or sell the supplies without reimbursing the Hazardous
Substance Superfund.

Sec.  35.6345  Equipment disposal options.

    The following disposal options are available:
    (a) Use the equipment on another CERCLA project and reimburse the
original project for the fair market value of the equipment;
    (b) If both the recipient and EPA concur, keep the equipment and
reimburse the Hazardous Substance Superfund for EPA's interest in the
current fair market value of the equipment;
    (c) Sell the equipment and reimburse the Hazardous Substance
Superfund for EPA's interest in the current fair market value of the
equipment, less any reasonable selling expenses; or
    (d) Return the equipment to EPA and, if applicable, EPA will
reimburse the recipient for the recipient's proportionate share in the
current fair market value of the equipment.

Sec.  35.6350  Disposal of federally owned property.

    When federally owned property is no longer needed, or at the end of
the project, the recipient must inform EPA that the property is
available for return to the Federal Government. EPA will send
disposition instructions to the recipient.

Real Property Requirements Under a Cooperative Agreement

Sec.  35.6400  Acquisition and transfer of interest.

    (a) An interest in real property may be acquired only with prior
approval of EPA.
    (1) If the recipient acquires real property in order to conduct the
response, the recipient with jurisdiction over the property must agree
to hold the necessary property interest.
    (2) If it is necessary for the Federal Government to acquire the
interest in real estate to permit conduct of a remedial action, the
acquisition may be made only if the State provides assurance that it
will accept transfer of the acquired interest in accordance with 40 CFR
300.510(f) of the NCP. States must follow the requirements in Sec.
35.6105(b)(5).
    (b) The recipient must comply with applicable Federal regulations
for real property acquisition under assistance agreements contained in
part 4 of this chapter, ``Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs.''

Sec.  35.6405  Use.

    The recipient must comply with the requirements regarding real
property described in 40 CFR 31.31.

Copyright Requirements Under a Cooperative Agreement

Sec.  35.6450  General requirements.

    The recipient must comply with the requirements regarding
copyrights described in 40 CFR 31.34. The recipient must comply with
the requirements regarding contract copyright provisions described in
Sec.  35.6595(b)(2).

Use of Recipient Employees (``Force Account'') Under a Cooperative
Agreement

Sec.  35.6500  General requirements.

    (a) Force Account work is the use of the recipient's own employees
or equipment for construction, construction-related activities
(including architecture and engineering services), or repair or
improvement to a facility. When using Force Account work, the recipient
must demonstrate that the employees can complete the work as
competently as, and more economically than, contractors, or that an
emergency necessitates the use of the Force Account.
    (b) Where the value of Force Account services exceeds the
simplified acquisition threshold, the recipient must receive written
authorization for use from the award official.

Procurement Requirements Under a Cooperative Agreement

Sec.  35.6550  Procurement system standards.

    (a) Recipient standards. (1) In addition to the basic procurement
policies and procedures described in 40 CFR 31.36(a), the State shall
comply with the requirements in the following: Paragraphs (a)(5),
(a)(9), and (b) of this section, Sec. Sec.  35.6555(c), 35.6565 (the
first sentence in this section, the first sentence in paragraph (b) of
this section, and all of paragraph (d) of this section), 35.6570,
35.6575, and 35.6600. Political subdivisions and Tribes must follow all
of the requirements included or referenced in this section through
Sec.  35.6610.
    (2) EPA review. EPA reserves the right to review any recipient's
procurement system or procurement action under a Cooperative Agreement.
    (3) Code of conduct. The recipient must comply with the
requirements of 40 CFR 31.36(b)(3), which describes standards of
conduct for employees, officers, and agents of the recipient.
    (4) Completion of contractual and administrative issues. (i) The
recipient is responsible for the settlement and satisfactory completion
in accordance with sound business judgment and good administrative
practice of all contractual and administrative issues arising out of
procurements under the Cooperative Agreement.
    (ii) EPA will not substitute its judgment for that of the recipient
unless the matter is primarily a Federal concern.
    (iii) Violations of law will be referred to the local, State,
Tribal, or Federal authority having proper jurisdiction.
    (5) Selection procedures. The recipient must have written selection
procedures for procurement transactions.
    (i) EPA may not participate in a recipient's selection panel except
to provide technical assistance. EPA staff providing such technical
assistance:
    (A) Shall constitute a minority of the selection panel (limited to
making recommendations on qualified offers and acceptable proposals
based on published evaluation criteria) for the contractor selection
process; and
    (B) Are not permitted to participate in the negotiation and award
of contracts.
    (ii) When selecting a contractor, recipients:
    (A) May not use EPA contractors to provide any support related to
procuring a State contractor.
    (B) May use the Corps of Engineers for review of State bidding
documents, requests for proposals and bids and proposals received.
    (6) Award. The recipient may award a contract only to a responsible
contractor, as described in 40 CFR 31.36(b)(8), and must ensure that
each contractor performs in accordance with all the provisions of the
contract. (See also Sec.  35.6020.)
    (7) Protest procedures. The recipient must comply with the
requirements

described in 40 CFR 31.36(b)(12) regarding protest procedures.
    (8) Reporting. The recipient must comply with the requirements for
procurement reporting contained in Sec.  35.6665.
    (9) Intergovernmental agreements. (i) To foster greater economy and
efficiency, recipients are encouraged to enter into intergovernmental
agreements for procurement or use of common goods and services.
    (ii) Although intergovernmental agreements are not subject to the
requirements set forth in this section through Sec.  35.6610, all
procurements under intergovernmental agreements are subject to these
requirements except for procurements that are:
    (A) Incidental to the purpose of the assistance agreement; and
    (B) Made through a central public procurement unit.
    (10) Value engineering. The recipient is encouraged to include
value engineering clauses in contracts for construction projects of
sufficient size to offer reasonable opportunities for cost reductions.
    (b) Contractor standards--(1) Disclosure requirements regarding
Potentially Responsible Party relationships. The recipient must require
each prospective contractor to provide with its bid or proposal:
    (i) Information on its financial and business relationship with all
PRPs at the site and with the contractor's parent companies,
subsidiaries, affiliates, subcontractors, or current clients at the
site. Prospective contractors under a Core Program Cooperative
Agreement must provide comparable information for all sites within the
recipient's jurisdiction. (This disclosure requirement encompasses past
financial and business relationships, including services related to any
proposed or pending litigation, with such parties);
    (ii) Certification that, to the best of its knowledge and belief,
it has disclosed such information or no such information exists; and
    (iii) A statement that it shall disclose immediately any such
information discovered after submission of its bid or proposal or after
award. The recipient shall evaluate such information and if a member of
the contract team has a conflict of interest which prevents the team
from serving the best interests of the recipient, the prospective
contractor may be declared nonresponsible and the contract awarded to
the next eligible bidder or offeror.
    (2) Conflict of interest--(i) Conflict of interest notification.
The recipient must require the contractor to notify the recipient of
any actual, apparent, or potential conflict of interest regarding any
individual working on a contract assignment or having access to
information regarding the contract. This notification shall include
both organizational conflicts of interest and personal conflicts of
interest. If a personal conflict of interest exists, the individual who
is affected shall be disqualified from taking part in any way in the
performance of the assigned work that created the conflict of interest
situation.
    (ii) Contract provisions. The recipient must incorporate the
following provisions or their equivalents into all contracts, except
those for well-drilling, fence erecting, plumbing, utility hook-ups,
security guard services, or electrical services:
    (A) Contractor data. The contractor shall not provide data
generated or otherwise obtained in the performance of contractor
responsibilities under a contract to any party other than the
recipient, EPA, or its authorized agents for the life of the contract,
and for a period of five years after completion of the contract.
    (B) Employment. The contractor shall not accept employment from any
party other than the recipient or Federal agencies for work directly
related to the site(s) covered under the contract for five years after
the contract has terminated. The recipient agency may exempt the
contractor from this requirement through a written release. This
release must include EPA concurrence.
    (3) Certification of independent price determination. The recipient
must require that each contractor include in its bid or proposal a
certification of independent price determination. This document
certifies that no collusion, as defined by Federal and State antitrust
laws, occurred during bid preparation.
    (4) Recipient's Contractors. The recipient must require its
contractor to comply with the requirements in Sec. Sec.  35.6270(a)(1)
and (2); 35.6320 (a) and (b); 35.6335; 35.6700; and 35.6705. For
additional contractor requirements, see also Sec.  35.6710(c);
35.6590(b); and 35.6610.

Sec.  35.6555  Competition.

    The recipient must conduct all procurement transactions in a manner
providing maximum full and open competition.
    (a) Restrictions on competition. Inappropriate restrictions on
competition include the following:
    (1) Placing unreasonable requirements on firms in order for them to
qualify to do business;
    (2) Requiring unnecessary experience and excessive bonding
requirements;
    (3) Noncompetitive pricing practices between firms or between
affiliated companies;
    (4) Noncompetitive awards to consultants that are on retainer
contracts;
    (5) Organizational conflicts of interest;
    (6) Specifying only a ``brand name'' product, instead of allowing
``an equal'' product to be offered and describing the performance of
other relevant requirements of the procurement; and
    (7) Any arbitrary action in the procurement process.
    (b) Geographic and Indian Tribe preferences--(1) Geographic. When
conducting a procurement, the recipient must prohibit the use of
statutorily or administratively imposed in-State or local geographical
preferences in evaluating bids or proposals. However, nothing in this
section preempts State licensing laws. In addition, when contracting
for architectural and engineering (A/E) services, the recipient may use
geographic location as a selection criterion, provided that when
geographic location is used, its application leaves an appropriate
number of qualified firms, given the nature and size of the project, to
compete for the contract.
    (2) Indian Tribe. Any contract or subcontract awarded by an Indian
Tribe or Indian intertribal consortium shall comply with the
requirements of 40 CFR 31.38, ``Indian Self Determination Act.''
    (c) Written specifications. The recipient's written specifications
must include a clear and accurate description of the technical
requirements and the qualitative nature of the material, product or
service to be procured.
    (1) This description must not contain features which unduly
restrict competition, unless the features are necessary to:
    (i) Test or demonstrate a specific thing;
    (ii) Provide for necessary interchangeability of parts and
equipment; or
    (iii) Promote innovative technologies.
    (2) The recipient must avoid the use of detailed product
specifications if at all possible.
    (d) Public notice. When soliciting bids or proposals, the recipient
must allow sufficient time (generally 30 calendar days) between public
notice of the proposed project and the deadline for receipt of bids or
proposals. The recipient must publish the public notice in professional
journals, newspapers, or publications of general circulation over a
reasonable area.

    (e) Prequalified lists. Recipients may use prequalified lists of
persons, firms, or products to acquire goods and services. The list
must be current and include enough qualified sources to ensure maximum
open and free competition. Recipients must not preclude potential
bidders from qualifying during the solicitation period.

Sec.  35.6565  Procurement methods.

    The recipient must comply with the requirements for payment to
consultants described in 40 CFR 31.36(j). In addition, the recipient
must comply with the following requirements:
    (a) Small purchase procedures. Small purchase procedures are those
relatively simple and informal procurement methods for securing
services, supplies, or other property that do not cost more than the
simplified acquisition threshold in the aggregate. If small purchase
procurements are used, the recipient must obtain and document price or
rate quotations from an adequate number of qualified sources.
    (b) Sealed bids (formal advertising). (For a remedial action award
contract, except for Architectural/Engineering services and post-
removal site control, the recipient must obtain the award official's
approval to use a procurement method other than the sealed bid method.)
Bids are publicly solicited and a fixed-price contract (lump sum or
unit price) is awarded to the responsible bidder whose bid, conforming
with all the material terms and conditions of the invitation for bids,
is the lowest in price.
    (1) In order for the recipient to use the sealed bid method, the
following conditions must be met:
    (i) A complete, adequate, and realistic specification or purchase
description is available;
    (ii) Two or more responsible bidders are willing and able to
compete effectively for the business; and
    (iii) The procurement lends itself to a fixed-price contract and
the selection of the successful bidder can be made principally on the
basis of price.
    (2) If the recipient uses the sealed bid method, the recipient must
comply with the following requirements:
    (i) Publicly advertise the invitation for bids and solicit bids
from an adequate number of known suppliers, providing them sufficient
time prior to the date set for opening the bids;
    (ii) The invitation for bids, which must include any specifications
and pertinent attachments, must define the items or services in order
for the bidder to properly respond;
    (iii) Publicly open all bids at the time and place prescribed in
the invitation for bids;
    (iv) Award the fixed-price contract in writing to the lowest
responsive and responsible bidder. Where specified in bidding
documents, the recipient shall consider factors such as discounts,
transportation cost, and life cycle costs in determining which bid is
lowest. The recipient may only use payment discounts to determine the
low bid when prior experience indicates that such discounts are usually
taken advantage of; and
    (v) If there is a sound documented reason, the recipient may reject
any or all bids.
    (c) Competitive proposals. The technique of competitive proposals
is normally conducted with more than one source submitting an offer,
and either a fixed-price or cost-reimbursement type contract is
awarded. It is generally used when conditions are not appropriate for
the use of sealed bids. If the recipient uses the competitive proposal
method, the following requirements apply:
    (1) Recipients must publicize requests for proposals and all
evaluation factors and must identify their relative importance. The
recipient must honor any response to publicized requests for proposals
to the maximum extent practical;
    (2) Recipients must solicit proposals from an adequate number of
qualified sources;
    (3) Recipients must have a method for conducting technical
evaluations of the proposals received and for selecting awardees;
    (4) Recipients must award the contract to the responsible firm
whose proposal is most advantageous to the program, with price and
other factors considered; and
    (5) Recipients may use competitive proposal procedures for
qualifications-based procurement of architectural/engineering (A/E)
professional services whereby competitor's qualifications are evaluated
and the most qualified competitor is selected, subject to negotiation
of fair and reasonable compensation. This method, where price is not
used as a selection factor, may only be used in the procurement of A/E
professional services. The recipient may not use this method to
purchase other types of services even though A/E firms are a potential
source to perform the proposed effort.
    (d) Noncompetitive proposals. (1) The recipient may procure by
noncompetitive proposals only when the award of a contract is
infeasible under small purchase procedures, sealed bids or competitive
proposals, and one of the following circumstances applies:
    (i) The item is available only from a single source;
    (ii) The public exigency or emergency for the requirement will not
permit a delay resulting from competitive solicitation (a declaration
of an emergency under State law does not necessarily constitute an
emergency under the EPA Superfund program's criteria);
    (iii) The award official authorized noncompetitive proposals; or
    (iv) After solicitation of a number of sources, competition is
determined to be inadequate.
    (2) When using noncompetitive procurement, the recipient must
conduct a cost analysis in accordance with the requirements described
in Sec.  35.6585.

Sec.  35.6570  Use of the same engineer during subsequent phases of
response.

    (a) If the public notice clearly stated the possibility that the
firm or individual selected could be awarded a contract for follow-on
services and initial procurement complied with the procurement
requirements, the recipient of a CERCLA remedial response Cooperative
Agreement may use the engineer procured to conduct any or all of the
follow-on engineering activities without going through the public
notice and evaluation procedures.
    (b) The recipient may also use the same engineer during subsequent
phases of the project in the following cases:
    (1) Where the recipient conducted the RI, FS, or design activities
without EPA assistance but is using CERCLA funds for follow-on
activities, the recipient may use the engineer for subsequent work
provided the recipient certifies:
    (i) That it complied with the procurement requirements in Sec.
35.6565 when it selected the engineer and the code of conduct
requirements described in 40 CFR 31.36(b)(3).
    (ii) That any CERCLA-funded contract between the engineer and the
recipient meets all of the other provisions as described in the
procurement requirements in this subpart.
    (2) Where EPA conducted the RI, FS, or design activities but the
recipient will assume the responsibility for subsequent phases of
response under a Cooperative Agreement, the recipient may use, with the
award official's approval, EPA's engineer contractor without further
public notice or evaluation provided the recipient follows the rest of
the procurement requirements to award the contract.

Sec.  35.6575  Restrictions on types of contracts.

    (a) Prohibited contracts. The recipient's procurement system must
not allow cost-plus-percentage-of-cost (e.g., a multiplier which
includes profit) or percentage-of-construction-cost types of contracts.
    (b) Removal. Under a removal Cooperative Agreement, the recipient
must award a fixed-price contract (lump sum, unit price, or a
combination of the two) when procuring contractor support, regardless
of the procurement method selected, unless the recipient obtains the
award official's prior written approval.
    (c) Time and material contracts. The recipient may use time and
material contracts only if no other type of contract is suitable, and
if the contract includes a ceiling price that the contractor exceeds at
its own risk.

Sec.  35.6580  Contracting with minority and women's business
enterprises (MBE/WBE), small businesses, and labor surplus area firms.

    (a) Procedures. The recipient must comply with the six steps
described in 40 CFR 31.36(e)(2) to ensure that MBEs, WBEs, and small
businesses are used whenever possible as sources of supplies,
construction, and services. Tasks to encourage small, minority, and
women's business utilization in the Superfund program are eligible for
funding under Core Program Cooperative Agreements.
    (b) Labor surplus firms. EPA encourages recipients to procure
supplies and services from labor surplus area firms.
    (c) ``Fair share'' objectives. It is EPA's policy that recipients
award a fair share of contracts to small, minority and women's
businesses. The policy requires that fair share objectives for minority
and women-owned business enterprises be negotiated with the States and/
or recipients, but does not require fair share objectives be
established for small businesses.
    (1) Each recipient must establish an annual ``fair share''
objective for MBE and WBE use. A recipient is not required to attain a
particular statistical level of participation by race, ethnicity, or
gender of the contractor's owners or managers.
    (2) If the recipient is awarded more than one Cooperative Agreement
during the year, the recipient may negotiate an annual fair share for
all Cooperative Agreements for that year. It is not necessary to have a
fair share for each Cooperative Agreement. When a Cooperative Agreement
is awarded to a recipient with which a ``fair share'' agreement has not
been negotiated, the recipient must not award any contracts under the
Cooperative Agreement until the recipient has negotiated a fair share
objective with EPA.

Sec.  35.6585  Cost and price analysis.

    (a) General. The recipient must conduct and document a cost or
price analysis in connection with every procurement action including
contract modification.
    (1) Cost analysis. The recipient must conduct and document a cost
analysis for all negotiated contracts over the simplified acquisition
threshold and for all change orders regardless of price. A cost
analysis is not required when adequate price competition exists and the
recipient can establish price reasonableness. The recipient must base
its determination of price reasonableness on a catalog or market price
of a commercial product sold in substantial quantities to the general
public, or on prices set by law or regulation.
    (2) Price analysis. In all instances other than those described in
paragraph (a)(1) of this section, the recipient must perform a price
analysis to determine the reasonableness of the proposed contract
price.
    (b) Profit analysis. For each contract in which there is no price
competition and in all cases in which cost analysis is performed, the
recipient must negotiate profit as a separate element of the price. To
establish a fair and reasonable profit, consideration will be given to
the complexity of the work to be performed, the risk borne by the
contractor, the contractor's investment, the amount of subcontracting,
the quality of its record of past performance, and industry profit
rates in the surrounding geographical area for similar work.

Sec.  35.6590  Bonding and insurance.

    (a) General. The recipient must meet the requirements regarding
bonding described in 40 CFR 31.36(h). The recipient must clearly and
accurately state in the contract documents the bonds and insurance
requirements, including the amounts of security coverage that a bidder
or offeror must provide.
    (b) Accidents and catastrophic loss. The recipient must require the
contractor to provide insurance against accidents and catastrophic loss
to manage any risk inherent in completing the project.

Sec.  35.6595  Contract provisions.

    (a) General. Each contract must be a sound and complete agreement,
and include the following provisions:
    (1) Nature, scope, and extent of work to be performed;
    (2) Time frame for performance;
    (3) Total cost of the contract; and
    (4) Payment provisions.
    (b) Other contract provisions. Recipients' contracts must include
the following provisions:
    (1) Energy efficiency. A contract must comply with mandatory
standards and policies on energy efficiency contained in the State's
energy conservation plan, which is issued under 10 CFR part 420.
    (2) Patents inventions, and copyrights. All contracts must include
notice of EPA requirements and regulations pertaining to reporting and
patent rights under any contract involving research, developmental,
experimental or demonstration work with respect to any discovery or
invention which arises or is developed while conducting work under a
contract. This notice shall also include EPA requirements and
regulations pertaining to copyrights and rights to data contained in 40
CFR 31.34.
    (3) Labor standards. The recipient must comply with 40 CFR
31.36(i)(3) through (6).
    (4) Conflict of interest. The recipient must include provisions
pertaining to conflict of interest as described in Sec.
35.6550(b)(2)(ii).

Sec.  35.6600  Contractor claims.

    (a) General. The recipient must conduct an administrative and
technical review of each claim before EPA will consider funding these
costs.
    (b) Claims settlement. The recipient may incur costs (including
legal, technical and administrative) to assess the merits of or to
negotiate the settlement of a claim by or against the recipient under a
contract, provided:
    (1) The claim arises from work within the scope of the Cooperative
Agreement;
    (2) A formal Cooperative Agreement amendment is executed
specifically covering the costs before they are incurred;
    (3) The costs are not incurred to prepare documentation that should
be prepared by the contractor to support a claim against the recipient;
and
    (4) The award official determines that there is a significant
Federal interest in the issues involved in the claim.
    (c) Claims defense. The recipient may incur costs (including legal,
technical and administrative) to defend against a contractor claim for
increased costs under a contract or to prosecute a claim to enforce a
contract provided:

    (1) The claim arises from work within the scope of the Cooperative
Agreement;
    (2) A formal Cooperative Agreement amendment is executed
specifically covering the costs before they are incurred;
    (3) Settlement of the claim cannot occur without arbitration or
litigation;
    (4) The claim does not result from the recipient's mismanagement;
    (5) The award official determines that there is a significant
Federal interest in the issues involved in the claim; and
    (6) In the case of defending against a contractor claim, the claim
does not result from the recipient's responsibility for the improper
action of others.

Sec.  35.6605  Privity of contract.

    Neither EPA nor the United States shall be a party to any contract
nor to any solicitation or request for proposals.

Sec.  35.6610  Contracts awarded by a contractor.

    The recipient must require its contractor to comply with the
following provisions in the award of contracts (i.e. subcontracts).
(This section does not apply to a supplier's procurement of materials
to produce equipment, materials and catalog, off-the-shelf, or
manufactured items.)
    (a) The requirements referenced in Sec.  35.6020.
    (b) The limitations on contract award in Sec.  35.6550(a)(6).
    (c) The requirements regarding minority and women's business
enterprises, and small business in Sec.  35.6580.
    (d) The requirements regarding specifications in Sec.  35.6555
(a)(6) and (c).
    (e) The Federal cost principles in 40 CFR 31.22.
    (f) The prohibited types of contracts in Sec.  35.6575(a).
    (g) The cost, price analysis, and profit analysis requirements in
Sec.  35.6585.
    (h) The applicable provisions in Sec.  35.6595 (b).
    (i) The applicable provisions in Sec.  35.6555(b)(2).

Reports Required Under a Cooperative Agreement

Sec.  35.6650  Progress reports.

    (a) Reporting frequency. The recipient must submit progress reports
as specified in the Cooperative Agreement. Progress reports will be
required no more frequently than quarterly, and will be required at
least annually. The reports shall be due within 30 days after the
reporting period. The final progress report shall be due 90 days after
expiration or termination of the Cooperative Agreement.
    (b) Content. The progress report must contain the following
information:
    (1) An explanation of work accomplished during the reporting
period, delays, or other problems, if any, and a description of the
corrective measures that are planned. For pre-remedial Cooperative
Agreements, the report must include a list of the site-specific
products completed and the estimated number of technical hours spent to
complete each product.
    (2) A comparison of the percentage of the project completed to the
project schedule, and an explanation of significant discrepancies.
    (3) A comparison of the estimated funds spent to date to planned
expenditures and an explanation of significant discrepancies. For
remedial, enforcement, and removal reports, the comparison must be on a
per task basis.
    (4) An estimate of the time and funds needed to complete the work
required in the Cooperative Agreement, a comparison of that estimate to
the time and funds remaining, and a justification for any increase.

Sec.  35.6655  Notification of significant developments.

    Events may occur between the scheduled performance reporting dates
which have significant impact upon the Cooperative Agreement-supported
activity. In such cases, the recipient must inform the EPA project
officer as soon as the following types of conditions become known:
    (a) Problems, delays, or adverse conditions which will materially
impair the ability to meet the objective of the award. This disclosure
must include a statement of the action taken, or contemplated, and any
assistance needed to resolve the situation.
    (b) Favorable developments which enable meeting time schedules and
objectives sooner or at less cost than anticipated or producing more
beneficial results than originally planned.

Sec.  35.6660  Property inventory reports.

    (a) CERCLA-funded property--(1) Content. The report must contain
the following information:
    (i) Classification and value of remaining supplies;
    (ii) Description of all equipment purchased with CERCLA funds,
including its current condition;
    (iii) Verification of the current use and continued need for the
equipment by site, activity, and operable unit, as applicable;
    (iv) Notification of any property which has been stolen or
vandalized; and
    (v) A request for disposition instructions for any equipment no
longer needed on the project.
    (2) Reporting frequency. The recipient must submit an inventory
report to EPA at the following times:
    (i) Within 90 days after completing any CERCLA-funded project or
any response activity at a site; and
    (ii) When the equipment is no longer needed for any CERCLA-funded
project or any response activity at a site.
    (b) Federally owned property--(1) Content. The recipient must
include the following information for each federally owned item in the
inventory report:
    (i) Description;
    (ii) Decal number;
    (iii) Current condition; and
    (iv) Request for disposition instructions.
    (2) Reporting frequency. The recipient must submit an inventory
report to the appropriate EPA property accountable officer at the
following times:
    (i) Annually, due to EPA on the anniversary date of the award;
    (ii) When the property is no longer needed; and
    (iii) Within 90 days after the end of the project period.

Sec.  35.6665  Procurement report.

    (a) The recipient must report on its use of MBE (minority business
enterprise) and WBE (women's business enterprise) firms by submitting a
completed Minority and Women's Business Utilization Report (SF-334) to
the award official. Reporting commences with the recipient's award of
its first contract and continues until it and its contractors have
awarded their last contract for the activities or tasks identified in
the Cooperative Agreement. The recipient must submit the MBE/WBE
Utilization Report within 30 days after the end of each Federal fiscal
quarter, regardless of whether the recipient awards a contract to an
MBE or WBE during that quarter.
    (b) The recipient must also report on its efforts to encourage MBE
participation in the Superfund program pursuant to CERCLA Sec. 105(f).
Information on the recipient's efforts to encourage MBE participation
in the Superfund program may be included in each SF-334 submitted
quarterly, but is required in the SF-334 submitted for the fourth
quarter, due November 1 of each year.

Sec.  35.6670  Financial reports.

    (a) General. The recipient must comply with the requirements
regarding financial reporting described in 40 CFR 31.41.
    (b) Financial Status Report--(1) Content. (i) The Financial Status
Report (SF-269) must include financial information by site, activity,
and operable unit, as applicable.

    (ii) A final Financial Status Report (FSR) must have no
unliquidated obligations. If any obligations remain unliquidated, the
FSR is considered an interim report and the recipient must submit a
final FSR to EPA after liquidating all obligations.
    (2) Reporting frequency. The recipient must file a Financial Status
Report as follows:
    (i) Annually due 90 days after the end of the Federal fiscal year
or as specified in the Cooperative Agreement; or if quarterly or
semiannual reports are required in accordance with 40 CFR 31.41(b)(3),
due 30 days after the reporting period;
    (ii) Within 90 calendar days after completing each CERCLA-funded
response activity at a site (submit the FSR only for each completed
activity); and
    (iii) Within 90 calendar days after termination or closeout of the
Cooperative Agreement.

Records Requirements Under a Cooperative Agreement

Sec.  35.6700  Project records.

    The lead agency for the response action must compile and maintain
an administrative record consistent with section 113 of CERCLA, the
National Contingency Plan, and relevant EPA policy and guidance. In
addition, recipients of assistance (whether lead or support agency) are
responsible for maintaining project files described as follows.
    (a) General. The recipient must maintain project records by site,
activity, and operable unit, as applicable.
    (b) Financial records. The recipient must maintain records which
support the following items:
    (1) Amount of funds received and expended; and
    (2) Direct and indirect project cost.
    (c) Property records. The recipient must maintain records which
support the following items:
    (1) Description of the property;
    (2) Manufacturer's serial number, model number, or other
identification number;
    (3) Source of the property, including the assistance identification
number;
    (4) Information regarding whether the title is vested in the
recipient or EPA;
    (5) Unit acquisition date and cost;
    (6) Percentage of EPA's interest;
    (7) Location, use and condition (by site, activity, and operable
unit, as applicable) and the date this information was recorded; and
    (8) Ultimate disposition data, including the sales price or the
method used to determine the price, or the method used to determine the
value of EPA's interest for which the recipient compensates EPA in
accordance with Sec. Sec.  35.6340, 35.6345, and 35.6350.
    (d) Procurement records--(1) General. The recipient must maintain
records which support the following items, and must make them available
to the public:
    (i) The reasons for rejecting any or all bids; and
    (ii) The justification for a procurement made on a noncompetitively
negotiated basis.
    (2) Procurements in excess of the simplified acquisition threshold.
The recipient's records and files for procurements in excess of the
simplified acquisition threshold must include the following
information, in addition to the information required in paragraph
(d)(1) of this section:
    (i) The basis for contractor selection;
    (ii) A written justification for selecting the procurement method;
    (iii) A written justification for use of any specification which
does not provide for maximum free and open competition;
    (iv) A written justification for the choice of contract type; and
    (v) The basis for award cost or price, including a copy of the cost
or price analysis made in accordance with Sec.  35.6585 and
documentation of negotiations.
    (e) Other records. The recipient must maintain records which
support the following items:
    (1) Time and attendance records and supporting documentation;
    (2) Documentation of compliance with statutes and regulations that
apply to the project; and
    (3) The number of site-specific technical hours spent to complete
each pre-remedial product.

Sec.  35.6705  Records retention.

    (a) Applicability. This requirement applies to all financial and
programmatic records, supporting documents, statistical records, and
other records which are required to be maintained by the terms, program
regulations, or the Cooperative Agreement, or are otherwise reasonably
considered as pertinent to program regulations or the Cooperative
Agreement.
    (b) Length of retention period. The recipient must maintain all
records for 10 years following submission of the final Financial Status
Report unless otherwise directed by the EPA award official, and must
obtain written approval from the EPA award official before destroying
any records. If any litigation, claim, negotiation, audit, cost
recovery, or other action involving the records has been started before
the expiration of the ten-year period, the records must be retained
until completion of the action and resolution of all issues which arise
from it, or until the end of the regular ten-year period, whichever is
later.
    (c) Substitution of an unalterable electronic format. An
unalterable electronic format, acceptable to EPA, may be substituted
for the original records. The copying of any unalterable electronic
format must be performed in accordance with the technical regulations
concerning Federal Government records (36 CFR parts 1220 through 1234)
and EPA records management requirements.
    (d) Starting date of retention period. The recipient must comply
with the requirements regarding the starting dates for records
retention described in 40 CFR 31.42(c) (1) and (2).

Sec.  35.6710  Records access.

    (a) Recipient requirements. The recipient must comply with the
requirements regarding records access described in 40 CFR 31.42(e).
    (b) Availability of records. The recipient must, with the exception
of certain policy, deliberative, and enforcement documents which may be
held confidential, ensure that all files are available to the public.
    (c) Contractor requirements. The recipient must require its
contractor to comply with the requirements regarding records access
described in 40 CFR 31.36(i)(10).

Other Administrative Requirements for Cooperative Agreements

Sec.  35.6750  Modifications.

    The recipient must comply with the requirements regarding changes
to the Cooperative Agreement described in 40 CFR 31.30.

Sec.  35.6755  Monitoring program performance.

    The recipient must comply with the requirements regarding program
performance monitoring described in 40 CFR 31.40 (a) and (e).

Sec.  35.6760  Enforcement and termination for convenience.

    The recipient must comply with all terms and conditions in the
Cooperative Agreement, and is subject to the requirements regarding
enforcement of the terms of an award and termination for convenience
described in 40 CFR 31.43 and 31.44.

Sec.  35.6765  Non-Federal audit.

    The recipient must comply with the requirements regarding non-
Federal audits described in 40 CFR 31.26.

Sec.  35.6770  Disputes.

    The recipient must comply with the requirements regarding dispute
resolution procedures described in 40 CFR 31.70.

Sec.  35.6775  Exclusion of third-party benefits.

    The Cooperative Agreement benefits only the signatories to the
Cooperative Agreement.

Sec.  35.6780  Closeout.

    (a) Closeout of a Cooperative Agreement, or an activity under a
Cooperative Agreement, can take place in the following situations:
    (1) After the completion of all work for a response activity at a
site; or
    (2) After all activities under a Cooperative Agreement have been
completed; or
    (3) Upon termination of the Cooperative Agreement.
    (b) The recipient must comply with the closeout requirements
described in 40 CFR 31.50 and 31.51.
    (c) After closeout, EPA may monitor the recipients' compliance with
the assurance to provide all future operation and maintenance as
required by CERCLA section 104(c) and addressed in 40 CFR 300.510(c)(1)
of the NCP.

Sec.  35.6785  Collection of amounts due.

    The recipient must comply with the requirements described in 40 CFR
31.52, regarding collection of amounts due.

Sec.  35.6790  High risk recipients.

    If EPA determines that a recipient is not responsible, EPA may
impose restrictions on the award as described in 40 CFR 31.12.

Requirements for Administering a Superfund State Contract (SSC)

Sec.  35.6800  Superfund State Contract.

    A Superfund State Contract (SSC) with a State is required before
EPA can obligate or expend funds for a remedial action at a site within
the State and before EPA or a political subdivision can conduct the
remedial action. An SSC also ensures State or Indian Tribe involvement
consistent with CERCLA sections 121(f) and 126, respectively, and
obtains the required section 104 assurances (See Sec.  35.6105(b)). An
SSC may also be used to document the roles and responsibilities of a
State, Indian Tribe, and political subdivision during any response
action at a site. A political subdivision may be a signatory to the
SSC.

Sec.  35.6805  Contents of an SSC.

    The SSC must include the following provisions:
    (a) General authorities, which documents the relevant statutes and
regulations (of each government entity that is a party to the contract)
governing the contract.
    (b) Purpose of the SSC, which describes the response activities to
be conducted and the benefits to be derived.
    (c) Negation of agency relationship between the signatories, which
states that no signatory of the SSC can represent or act on the behalf
of any other signatory in any matter associated with the SSC.
    (d) A site description, pursuant to Sec.  35.6105(a)(2)(i).
    (e) A site-specific Statement of Work, pursuant to Sec.
35.6105(a)(2)(ii) and a statement of whether the contract constitutes
an initial SSC or an amendment to an existing contract.
    (f) A statement of intention to follow EPA policy and guidance.
    (g) A project schedule to be prepared during response activities.
    (h) A statement designating a primary contact for each party to the
contract, which designates representatives to act on behalf of each
signatory in the implementation of the contract. This statement must
document the authority of each project manager to approve modifications
to the project so long as such changes are within the scope of the
contract and do not significantly impact the SSC.
    (i) The CERCLA assurances, as appropriate, described as follows:
    (1) Operation and maintenance. The State must provide an assurance
pursuant to Sec.  35.6105(b)(1). The State's responsibility for
operation and maintenance generally begins when EPA determines that the
remedy is operational and functional or one year after construction
completion, whichever is sooner (See, 40 CFR 300.435(f)).
    (2) Twenty-year waste capacity. The State must provide an assurance
pursuant to Sec.  35.6105(b)(3).
    (3) Off-site storage, treatment, or disposal. If off-site storage,
destruction, treatment, or disposal is required, the State must provide
an assurance pursuant to Sec.  35.6105(b)(4); the political subdivision
may not provide this assurance.
    (4) Real property acquisition. When real property must be acquired,
the State must provide an assurance pursuant to Sec.  35.6105(b)(5).
    (5) Provision of State cost share. The State must provide
assurances for cost sharing pursuant to Sec.  35.6105(b)(2). Even if
the political subdivision is providing the actual cost share, the State
must guarantee payment of the cost share in the event of default by the
political subdivision.
    (j) Cost share conditions, which include:
    (1) An estimate of the response action cost (excluding EPA's
indirect costs) that requires cost share;
    (2) The basis for arriving at this figure (See Sec.  35.6285(c) for
credit provisions); and
    (3) The payment schedule as negotiated by the signatories, and
consistent with either a lump-sum or incremental-payment option. Upon
completion of activities in the site-specific Statement of Work, EPA
shall invoice the State for its final payment, with the exception of
any change orders and claims handled during reconciliation of the SSC.
    (k) Reconciliation provision, which states that the SSC remains in
effect until the financial settlement of project costs and final
reconciliation of response costs (including all change orders, claims,
overpayments, reimbursements, etc.) ensure that both EPA and the State
have satisfied the cost share requirement contained in section 104 of
CERCLA, as amended. Overpayments in an SSC may not be used to meet the
cost-sharing obligation at another site. Reimbursements for any
overpayment will be made to the payer identified in the SSC.
    (l) Amendability of the SSC, which provides that:
    (1) Formal amendments are required when alterations to CERCLA-
funded activities are necessary or when alterations impact the State's
assurances pursuant to the National Contingency Plan and CERCLA, as
amended. Such amendments must include a Statement of Work for the
amendment as described in paragraph (e) of this section; and
    (2) Any change(s) in the SSC must be agreed to, in writing, by the
signatories, except as provided elsewhere in the SSC, and must be
reflected in all response agreements affected by the change(s).
    (m) List of support agency Cooperative Agreements that are also in
place for the site.
    (n) Litigation, which describes EPA's right to bring an action
against any party under section 106 of CERCLA to compel cleanup, or for
cost recovery under section 107 of CERCLA.
    (o) Sanctions for failure to comply with SSC terms, which states
that if the signatories fail to comply with the terms of the SSC, EPA
may proceed under the provisions of section 104(d)(2) of CERCLA and may
seek in the

appropriate court of competent jurisdiction to enforce the SSC or to
recover any funds advanced or any costs incurred due to a breach of the
SSC. Other signatories to the SSC may seek remedies in the appropriate
court of competent jurisdiction.
    (p) Site access. The State or political subdivision or Indian Tribe
is expected to use its own authority to secure access to the site and
adjacent properties, as well as all rights-of-way and easements
necessary to complete the response actions undertaken pursuant to the
SSC.
    (q) Final inspection of the remedy. The SSC must include a
statement that following completion of the remedial action, the State
and EPA shall jointly inspect the project to determine that the remedy
is functioning properly and is performing as designed.
    (r) Exclusion of third-party benefits, which states that the SSC is
intended to benefit only the signatories of the SSC, and extends no
benefit or right to any third party not a signatory to the SSC.
    (s) Any other provision deemed necessary by all parties to
facilitate the response activities covered by the SSC.
    (t) State review. The State or Indian Tribe must review and comment
on the response actions pursuant to the SSC. Unless otherwise stated in
the SSC, all time frames for review must follow those prescribed in the
NCP (40 CFR part 300).
    (u) Responsible party activities, which states that if a
Responsible Party takes over any activities at the site, the SSC will
be modified or terminated, as appropriate.
    (v) Out-of-State or out-of-an-Indian-Tribal-area-of-Indian-country
transfers of CERCLA waste, which states that, unless otherwise provided
for by EPA or a political subdivision, the State or Indian Tribe must
provide the notification requirements described in Sec.  35.6120.

Sec.  35.6815  Administrative requirements.

    In addition to the requirements specified in Sec.  35.6805, the
State and/or political subdivision must comply with the following:
    (a) Financial administration. The State and/or political
subdivision must comply with the following requirements regarding
financial administration:
    (1) Payment. The State may pay for its share of the costs of the
response activities in cash or credit. As appropriate, specific credit
provisions should be included in the SSC consistent with the
requirements described in Sec.  35.6285(c). The State may not pay for
its cost share using in-kind services, unless the State has entered
into a support agency Cooperative Agreement with EPA. The use of the
support agency Cooperative Agreement as a vehicle for providing cost
share must be documented in the SSC. If the political subdivision
agrees to provide all or part of the State's cost share pursuant to a
political subdivision-lead Cooperative Agreement, the political
subdivision may pay for those costs in cash or in-kind services under
that agreement. The use of a political subdivision-lead Cooperative
Agreement as a vehicle for providing cost share must also be documented
in the SSC. The specific payment terms must be documented in the SSC
pursuant to Sec.  35.6805.
    (2) Collection of amounts due. The State and/or political
subdivision must comply with the requirements described in 40 CFR
31.52(a) regarding collection of amounts due.
    (3) Failure to comply with negotiated payment terms. Failure to
comply with negotiated payment terms may be construed as default by the
State on its required assurances, even if the political subdivision is
responsible for providing all or part of the cost share. (See Sec.
35.6805(i)(5).)
    (b) Personal property. The State, Indian Tribe, or political
subdivision is required to accept title. The following requirements
apply to equipment used as all or part of the remedy:
    (1) Fixed in-place equipment. EPA no longer has an interest in
fixed in-place equipment once the equipment is installed.
    (2) Equipment that is an integral part of services to individuals.
EPA no longer has an interest in equipment that is an integral part of
services to individuals, such as pipes, lines, or pumps providing
hookups for homeowners on an existing water distribution system, once
EPA certifies that the remedy is operational and functional.
    (c) Reports. The State and/or political subdivision or Indian Tribe
must comply with the following requirements regarding reports:
    (1) EPA-lead. The nature and frequency of reports between EPA and
the State or Indian Tribe will be specified in the SSC.
    (2) Political subdivision-lead. The political subdivision must
submit to the State a copy of all reports which the political
subdivision is required to submit to EPA in accordance with the
requirements of its Cooperative Agreement. (See Sec.  35.6650 for
requirements regarding progress reports.)
    (d) Records. The State and political subdivision or Indian Tribe
must maintain records on a site-specific basis. The State and political
subdivision or Indian Tribe must comply with the requirements regarding
record retention described in Sec.  35.6705 and the requirements
regarding record access described in Sec.  35.6710.

Sec.  35.6820  Conclusion of the SSC.

    (a) In order to conclude the SSC, the signatories must:
    (1) Satisfactorily complete the response activities at the site and
make all payments based upon project costs determined in Sec.
35.6805(j);
    (2) Produce a final accounting of all project costs, including
change orders and outstanding contractor claims;
    (3) Submit all State cost share payments to EPA (See Sec.
35.6805(i)(5));
    (4) Assume responsibility for all future operation and maintenance
as required by CERCLA section 104(c) and addressed in 40 CFR 300.510
(c)(1) of the NCP, and if applicable, accept transfer of any Federal
interest in real property (See Sec.  35.6805(i)(4)).
    (b) After the administrative conclusion of the Superfund State
Contract, EPA may monitor the signatory's compliance with assurances to
provide all future operation and maintenance as required by CERCLA
section 104(c) and addressed in 40 CFR 300.510(c)(1) of the NCP.

[FR Doc. E7-7990 Filed 5-1-07; 8:45 am]

BILLING CODE 6560-50-P


[Federal Register Volume 85, Number 197 (Friday, October 9, 2020)]
[Notices]
[Page 64147]
[FR Doc No: 2020-22395]

-----------------------------------------------------------------------

ENVIRONMENTAL PROTECTION AGENCY

[ER-FRL-9053-3]

Environmental Impact Statements; Notice of Availability

    Responsible Agency: Office of Federal Activities, General
Information<PHONE_NUMBER> or https://www.epa.gov/nepa.

Weekly receipt of Environmental Impact Statements (EIS)
Filed September 28, 2020 10 a.m. EST Through October 5, 2020 10 a.m.
EST
Pursuant to 40 CFR 1506.9.

    Notice: Section 309(a) of the Clean Air Act requires that EPA make
public its comments on EISs issued by other Federal agencies. EPA's
comment letters on EISs are available at: https://cdxnodengn.epa.gov/cdx-enepa-public/action/eis/search.

EIS No. 20200197, Final, TVA, IL, Sugar Camp Energy, LLC Mine Number 1
Boundary Revision 6, Review Period Ends: 11/09/2020, Contact: Elizabeth
Smith<PHONE_NUMBER>.
EIS No. 20200198, Final, TxDOT, TX, North Houston Highway Improvement
Project, Review Period Ends: 11/09/2020, Contact: Carlos Swonke 512-
416-2734.
EIS No. 20200199, Draft, USA, AK, Heat and Electrical Upgrades at Fort
Wainwright, Alaska, Comment Period Ends: 12/08/2020, Contact: Laura
Sample<PHONE_NUMBER>.
EIS No. 20200200, Final, USFS, NV, Lee Canyon EIS, Review Period Ends:
11/09/2020, Contact: Jonathan Stein<PHONE_NUMBER>.
EIS No. 20200201, Draft, FHWA, GA, Project DeRenne Draft Environmental
Impact Statement and Draft Section 4(f) Evaluation, Comment Period
Ends: 11/23/2020, Contact: Aaron Hernandez<PHONE_NUMBER>. Amended
Notice:
EIS No. 20200170, Draft, FAA, NY, LaGuardia Airport Access Improvement
Project, Comment Period Ends: 10/20/2020, Contact: Andrew Brooks 718-
553-2511.

    Revision to FR Notice Published 08/21/2020; Extending the Comment
Period from 10/05/2020 to 10/20/2020.

    Dated: October 5, 2020.
Cindy S. Barger,
Director, NEPA Compliance Division, Office of Federal Activities.
[FR Doc. 2020-22395 Filed 10-8-20; 8:45 am]
BILLING CODE 6560-50-P


Comparison of the 2007 and 2009 Science and Technology for Sustainability Research Program Bibliometric Analysis Results

Bibliometric Analysis	STS 2007	STS 2009

No. of Papers Analyzed	662	794

No. of Papers Cited At Least Once in a Journal	546 (82.5%)	723 (91.1%)

Highly Cited Publications (Top 10% Threshold)	187 (28.2%)	225 (28.3%)

Highly Cited Publications (Top 1% Threshold)	32 (4.8%)	35 (4.4%)

Highly Cited Publications (Top 0.1% Threshold)	6 (0.9%)	7 (1.0%)

Highly Cited Publications (Top 0.01% Threshold)	1 (0.15%)	1 (0.1%)

No. of Times Cited	12,887	18,684

Expected No. of Times Cited	5,134	8,029

Ratio of Actual Cited to Expected Cites	2.5	2.3

Papers in High Impact Journals by Impact Factor	227 (34.3%)	281 (35.4%)

Papers in High Impact Journals by Immediacy Index	 239 (36.1%)	275 (34.6%)

No. of Author Self Cites (%)	477 (3.7%)	658 (3.5%)

No. of Hot Papers (%)	8 (1.2%)	11 (1.4%)

No. of Authors in ISIHighlyCited.com	8 (0.9%)	13 (1.2%)

No. of Patents/Patent Applications	25/9	30/3


[Federal Register Volume 82, Number 197 (Friday, October 13, 2017)]
[Notices]
[Pages 47748-47749]
[FR Doc No: 2017-22192]

-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2017-D-5913]

Assessing User Fees Under the Prescription Drug User Fee
Amendments of 2017; Draft Guidance for Industry; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

-----------------------------------------------------------------------

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
the availability of a draft guidance for industry entitled ``Assessing
User Fees Under the Prescription Drug User Fee Amendments of 2017.''
This draft guidance concerns FDA's implementation of the Prescription
Drug User Fee Amendments of 2017 and certain proposed changes in
policies and procedures surrounding its application.

DATES: Submit either electronic or written comments on the draft
guidance by December 12, 2017 to ensure that the Agency considers your
comment on this draft guidance before it begins work on the final
version of the guidance.

ADDRESSES: You may submit comments on any guidance at any time as
follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2017-D-5913 for ``Assessing User Fees Under the Prescription Drug
User Fee Amendments of 2017; Draft Guidance for Industry.'' Received
comments will be placed in the docket and, except for those submitted
as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m.
and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852.
    You may submit comments on any guidance at any time (see 21 CFR
10.115(g)(5)).
    Submit written requests for single copies of the draft guidance to
the Division of Drug Information, Center for Drug Evaluation and
Research, Food and Drug Administration, 10001 New Hampshire Ave.,
Hillandale Building, 4th Floor, Silver Spring, MD 20993-0002; or to the
Office of Communication, Outreach and Development, Center for Biologics
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 71, Rm. 3128, Silver Spring, MD 20993-0002. Send
one self-addressed adhesive label to assist the office in processing
your requests. See the SUPPLEMENTARY INFORMATION section for electronic
access to the draft guidance document.

FOR FURTHER INFORMATION CONTACT: Peter Chen, Center for Drug Evaluation
and Research, Food and Drug Administration, 10001 New Hampshire Ave.,
Rm. 2185, Silver Spring, MD 20993,<PHONE_NUMBER>,
<EMAIL_ADDRESS>or Stephen Ripley, Center for Biologics
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 71, Rm. 7301, Silver Spring, MD 20993-0002, 240-
402-7911.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a draft guidance for industry
entitled ``Assessing User Fees Under the Prescription Drug User Fee
Amendments of 2017.'' This draft

guidance concerns the implementation of the Prescription Drug User Fee
Amendments of 2017 (PDUFA VI) and certain proposed changes in policies
and procedures surrounding its application. Because PDUFA VI created
significant changes to the user fee program, this draft guidance serves
to provide an explanation about the new fee structure and types of fees
for which applicants are responsible.
    PDUFA VI provides two different fee types that applicants pay:
application and program fees. This draft guidance describes when these
fees are incurred and the process for which applicants can submit
payments. The draft guidance also provides information on consequences
of failing to pay PDUFA VI fees as well as the process for submitting a
reconsideration and appeals request.
    This draft guidance is being issued consistent with FDA's good
guidance practices regulation (21 CFR 10.115). The draft guidance, when
finalized, will represent the current thinking of FDA on assessing user
fees under the Prescription Drug User Fee Amendments of 2017. It does
not establish any rights for any person and is not binding on FDA or
the public. You can use an alternative approach if it satisfies the
requirements of the applicable statutes and regulations. This guidance
is not subject to Executive Order 12866.

II. Electronic Access

    Persons with access to the internet may obtain the draft guidance
at either https://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm, https://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm, or
https://www.regulations.gov.

    Dated: October 10, 2017.
Anna K. Abram,
Deputy Commissioner for Policy, Planning, Legislation, and Analysis.
[FR Doc. 2017-22192 Filed 10-12-17; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 77, Number 154 (Thursday, August 9, 2012)]
[Notices]
[Pages 47625-47626]
[FR Doc No: 2012-19520]

-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER12-2311-000]

Beebe Renewable Energy, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding,
of Beebe Renewable Energy, LLC's application for market-based rate
authority, with an accompanying rate schedule, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability is August 24, 2012.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St. NE., Washington, DC 20426.
    The filings in the above-referenced proceeding(s) are accessible in
the

Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive email notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please email<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

    Dated: August 3, 2012.
Kimberly D. Bose,
Secretary.
[FR Doc. 2012-19520 Filed 8-8-12; 8:45 am]
BILLING CODE 6717-01-P


Record of Consultations Between the U.S. Environmental Protection Agency
and

Respondents to the Information Collection Request:

“Plant-Incorporated Protectants; CBI Substantiation and Adverse
Effects Reporting”

(Consultations conducted September, 2006)

1. Myrna Q. Sevilla, Ph. D.;  BHN Research

2. Penny Hunst;  Dow Agrosciences

3. Russell Schneider;  Monsanto Co.

15 September 2006

Dear Mr. Torla:

Here are my answers to the questions

Are the data EPA asks for available from another source?

No, I do not think that EPA is asking for data that is available from

another source. In the case of adverse effects, I believe that each

experience is unique for each submitter and that although there may be

similar studies published in scientific journals, the conditions and

parameters at which such are conducted will still be different from that
ofany submitter's.

Are the instructions for submission clear?-Please include any comments
on frequency of information collection here.

The instructions are clear for the reporting of the adverse effects. I
would suggest a similar format for CBI, i.e. there should be a standard
form as to what information should be included in the claim.

Frequency - At the time of submission and any time the CBI status
changes from CBI to non-CBI; Adverse effects - within 30 days and status
report every month until all PIPS sold/distributed are accounted for.

Would you be interested in electronic reporting of data?

Yes, this will make the process faster but only if EPA can guarantee

absolute secure transmission and data storage.

4. Do you find the burden and costs estimates in the ICR realistic? See
the attached tables.

I think the estimates are realistic.

Hope this helps. Let me know if you have any other questions.

Sincerely,

Myrna Sevilla

************************************************************************
****

Myrna Q. Sevilla, Ph. D.

Biotech Coordinator/Molecular Biologist

BHN Research

Mailing Address: PO Box 3267, Immokalee, FL 34142

Physical Address: 25675 Immokalee Rd, Immokalee, FL 34142

Phone:<PHONE_NUMBER>

Fax:<PHONE_NUMBER>

Email<EMAIL_ADDRESS>
Web: www.bhnseed.com

************************************************************************
****

18 September 2006

Penny Hunst

Dow Agrosciences

We are renewing the ICR (information collection request) for the PIP;
CBI Substantiation and Adverse Effects Reporting rule   OMB
No.:2070-0142       EPA ICR No.: 1693.03).  ICR’s are required to be
renewed every three years and we re-estimate burden based on any new
information available to the Agency.  Note that the burden/cost tables
are labeled draft and if we change the estimates prior to submission to
the Office of Management and Budget, we will provide you copies of the
new estimates and an opportunity to comment again.

Part of this renewal requires EPA to contact at least three persons
whose names and contact numbers will be listed in the ICR document.  I
propose to list email addresses rather than phone numbers.  Please let
me know which you prefer.  You may have access to another phone number
or email address to which such responses would be routed to. Please do
not list my e-mail or phone.  Instead, use the following e-mail address:

			  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>
Summarized comments will also be included in the ICR document without
identification of the specific source.  Registrants and the Agency now
have had several years of CBI substantiation and several years of no
adverse effects reports. The lack of adverse effects reports implies we
have no information to better estimate the burden of adverse effects
reporting on industry or the Agency.

We are repeating the original questions with the aim of seeing if the
data required are available from another public source, how often the
information should be collected, are the instructions for data
collection sufficiently clear, thoughts on electronic reporting of data
and the burden and costs of the information.

EPA has changed its method of estimating labor costs for both industry
and EPA. The effect of this method change has been to lower the dollar
burden estimates.

The CBI Substantiation requires registrants to substantiate and claims
of CBI for PIP registration related submissions.  The Adverse Effects
Reporting requirement requires registrants to submit claims of adverse
effects for exempted PIPs’.  We have yet to receive an adverse effects
report for an exempted PIP.

The questions follow:

      1.  Are the data EPA asks for available from another source?  Not
that I am aware of.

Are the instructions for submission clear?—Please include any comments
on frequency of  information collection here.  Yes, the instructions are
clear.

Would you be interested in electronic reporting of data?  Yes, it would
be of interest.

Do you find the burden and costs estimates in the ICR realistic? Yes,
however, hourly rates may be a little “light”.  See the attached
tables.

     Please let me thank you in advance for your review of this
information.

Robert F. Torla,

Economist

20 September 2006

Russell Schneider

Monsanto Co.

We are renewing the ICR (information collection request) for the PIP;
CBI Substantiation and Adverse Effects Reporting rule   OMB
No.:2070-0142       EPA ICR No.: 1693.03).  ICR’s are required to be
renewed every three years and we re-estimate burden based on any new
information available to the Agency.  Note that the burden/cost tables
are labeled draft and if we change the estimates prior to submission to
the Office of Management and Budget, we will provide you copies of the
new estimates and an opportunity to comment again.

Part of this renewal requires EPA to contact at least three persons
whose names and contact numbers will be listed in the ICR document.  I
propose to list email addresses rather than phone numbers.  Please let
me know which you prefer.  You may have access to another phone number
or email address to which such responses would be routed to.  Summarized
comments will also be included in the ICR document without
identification of the specific source.  Registrants and the Agency now
have had several years of CBI substantiation and several years of no
adverse effects reports. The lack of adverse effects reports implies we
have no information to better estimate the burden of adverse effects
reporting on industry or the Agency.

We are repeating the original questions with the aim of seeing if the
data required are available from another public source, how often the
information should be collected, are the instructions for data
collection sufficiently clear, thoughts on electronic reporting of data
and the burden and costs of the information.

EPA has changed its method of estimating labor costs for both industry
and EPA. The effect of this method change has been to lower the dollar
burden estimates.

The CBI Substantiation requires registrants to substantiate and claims
of CBI for PIP registration related submissions.  The Adverse Effects
Reporting requirement requires registrants to submit claims of adverse
effects for exempted PIPs’.  We have yet to receive an adverse effects
report for an exempted PIP.

The questions follow:

      1.  Are the data EPA asks for available from another source?  NO

Are the instructions for submission clear?—Please include any comments
on frequency of  information collection here.  YES

Would you be interested in electronic reporting of data?  YES, IF
CONFIDENTIAL INFORMATION COULD BE PROTECTED.

Do you find the burden and costs estimates in the ICR realistic?  See
the attached tables.  THEY LOOK ACCEPTABLE.  HOWEVER, IN THE ADVERSE
REPORTING SECTION I THINK YOU NEED TO ADD THE COST OF DATA COLLECTION
FOR POISON CONTROL CENTERS AND ANIMAL POISON CONTROL CENTER.  OFTEN
THESE SERVICES REQUIRE CONTRACTS AND COSTS CAN BE QUITE HIGH.   IN OUR
CASE WE SPEND ABOUT $150,000 PER YEAR TO HELP US WITH THIS EFFORT.

     Please let me thank you in advance for your review of this
information.

Robert F. Torla,

Economist


[Federal Register Volume 77, Number 57 (Friday, March 23, 2012)]
[Rules and Regulations]
[Pages 16921-16923]
[FR Doc No: 2012-6996]

-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2011-1194; Directorate Identifier 2011-NE-36-AD;
Amendment 39-16999; AD 2012-06-18]
RIN 2120-AA64

Airworthiness Directives; Pratt & Whitney Division Turbofan
Engines

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: We are adopting a new airworthiness directive (AD) for all
Pratt & Whitney PW4050, PW4052, PW4056, PW4060, PW4060A, PW4060C,
PW4062, PW4062A, PW4152, PW4156, PW4156A, PW4158, PW4160, PW4460,
PW4462, and PW4650 turbofan engines, including models with any dash
number suffix. This AD was prompted by reports of five engine in-flight
shutdowns and seven unplanned engine removals. This AD requires
inspections, cleaning, and engine modifications to address coking in
the No. 4 bearing compartment and in the oil pressure and scavenge
tubes. We are issuing this AD to prevent an engine fire, a fractured
fan drive shaft, and damage to the airplane.

DATES: This AD is effective April 27, 2012.

ADDRESSES: For service information identified in this AD, contact Pratt
& Whitney, 400 Main St., East Hartford, CT 06108; phone:<PHONE_NUMBER>;
fax:<PHONE_NUMBER>. You may review copies of the referenced service
information at the FAA, Engine & Propeller Directorate, 12 New England
Executive Park, Burlington, MA. For information on the availability of
this material at the FAA, call<PHONE_NUMBER>.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The address for the
Docket Office (phone:<PHONE_NUMBER>) is Document Management Facility,
U.S. Department of Transportation, Docket Operations, M-30, West
Building Ground Floor, Room W12-140, 1200 New Jersey Avenue SE.,
Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: James Gray, Aerospace Engineer, Engine
& Propeller Directorate, FAA, 12 New England Executive Park,
Burlington, MA 01803; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an AD that would apply to the specified products.
That NPRM published in the Federal Register on November 23, 2011 (76 FR
72353). That NPRM proposed to require inspections, cleaning, and engine
modifications to address coking in the No. 4 bearing compartment and
oil pressure and scavenge tubes.

Comments

    We gave the public the opportunity to participate in developing
this AD. The following presents the comments received on the proposal
and the FAA's response to each comment.

Request To Not Call Out Specific Instructions

    Delta Airlines requested that we do not call out specific
instructions to inspect, clean, and install the modifications, because
operators have developed their own maintenance practices that are
adequate, but may not align 100% with the Service Bulletin (SB)
instructions.
    We agree. We changed the AD to not incorporate by reference the
SBs, and to list them only as related information, without calling out
any specific revision numbers of them.

Request To Recognize Compliance by Accomplishing SBs Before the
Effective Date of the AD

    Federal Express, United Parcel Service, and United Airlines
requested that we recognize that their compliance by accomplishing
earlier versions of Pratt & Whitney SB No. PW4ENG 72-472 and SB No.
PW4ENG 79-76 before the effective date of the AD is terminating action
to the AD. The commenters stated that many engines have already had the
modifications accomplished but to earlier versions of the SBs.
    We agree. Because we no longer incorporate the SBs by reference, if
the requirements of the AD have already been done either by the current
revision or an earlier revision of SB No. PW4ENG 72-472, SB No. PW4ENG
79-76, and Alert SB No. A72-436, or other methods, techniques, or
practices acceptable to the Administrator, then no further action is
required. We have also changed the applicability to limit the AD to
only those engines that have not already made the modifications.

Update to the List of Affected Engine Models

    Since we issued the NPRM (76 FR 72353, November 23, 2011), we
determined that we need to update the list of affected engine models,
to reflect the models listed in the title block of the type certificate
data sheet. Engine models PW4060C, PW4062, PW4062A, PW4650, and PW4160
have been added in this AD. The affected engine models in operation, as
listed in the NPRM, have not changed in this AD.

Conclusion

    We reviewed the relevant data, considered the comments received,
and determined that air safety and the public interest require adopting
the AD with the changes described previously. We also determined that
these changes will not increase the economic burden on any operator or
increase the scope of the AD.

Costs of Compliance

    We estimate that this AD will affect 44 turbofan engines installed
on airplanes of U.S. registry. We estimate that it will take 8 work-
hours per engine to perform an inspection and cleaning of the No. 4
bearing compartment; 7 work-hours per engine to perform the
modification to stop buildup of coking in the No. 4 bearing
compartment; and 33.7 work-hours per engine to perform the rerouting of
the No. 4 bearing pressure and scavenge tubes. The average labor rate
is $85 per work-hour. Required parts will cost about $69,322 per
engine. Based on these figures, we estimate the total cost of the AD to
U.S. operators to be $3,232,306.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    This AD will not have federalism implications under Executive Order
13132. This AD will not have a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979),
    (3) Will not affect intrastate aviation in Alaska, and
    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

Adoption of the Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

2012-06-18 Pratt & Whitney Division: Amendment 39-16999; Docket No.
FAA-2011-1194; Directorate Identifier 2011-NE-36-AD.

(a) Effective Date

    This AD is effective April 27, 2012.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to all Pratt & Whitney PW4050, PW4052, PW4056,
PW4060, PW4060A, PW4060C, PW4062, PW4062A, PW4152, PW4156, PW4156A,
PW4158, PW4160, PW4460, PW4462, and PW4650 turbofan engines,
including models with any dash number suffix, that have not
incorporated Pratt & Whitney Alert Service Bulletin (ASB) No.
PW4ENG-A72-436; Service Bulletin (SB) No. PW4ENG-79-76; and SB No.
PW4ENG-72-472.

(d) Unsafe Condition

    This AD was prompted by reports of five engine in-flight
shutdowns and seven unplanned engine removals due to clogging of No.
4 bearing compartment oil pressure and scavenge tubes. We are
issuing this AD to prevent an engine fire, a fractured fan drive
shaft, and damage to the airplane.

(e) Compliance

    (1) If you have incorporated Pratt & Whitney ASB No. PW4ENG-A72-
436; SB No. PW4ENG-79-76; and SB No. PW4ENG-72-472, then no further
action is required.
    (2) Comply with this AD within the compliance times specified,
unless already done.

(f) Inspection and Cleaning of No. 4 Bearing Compartment for Coking

    (1) Within 1,000 cycles-in-service (CIS) after the effective
date of this AD, inspect and clean the No. 4 bearing compartment.
    (2) Thereafter, within every additional 1,000 CIS, re-inspect
and clean the No. 4 bearing compartment.

(g) Modification To Stop Buildup of Coking in the No. 4 Bearing
Compartment, and Rerouting of the No. 4 Bearing Pressure and Scavenge
Tubes

    At the next engine shop visit, but not to exceed 5 years after
the effective date of this AD, do the following:
    (1) Replace the No. 4 bearing packing transfer tube assembly;
    (2) Replace the No. 4 bearing internal scavenge tube assembly;
    (3) Remove the No. 4 bearing shield, and the No. 4 bearing
shield option; and
    (4) Install the new No. 4 bearing shield options.
    (5) Modify the turbine exhaust case to relocate the No. 4
bearing pressure and scavenge tube ports to below the engine
centerline;
    (6) Replace the internal No. 4 bearing pressure and scavenge
tubes;
    (7) Modify or replace the turbine case cooling brackets to
support the new No. 4 bearing pressure and scavenge tubes;
    (8) Replace the turbine case manifolds as necessary; and
    (9) Install the new brackets and clamps to support the new
routing configuration.

(h) Terminating Action to the Repetitive Inspections and Cleaning

    Performing the modifications specified in paragraphs (g)(1)
through (g)(9) of this AD is terminating action for the repetitive
inspections and cleanings specified in paragraph (f)(2) of this AD.

(i) Definition of Shop Visit

    For the purpose of this AD, a shop visit is when the engine is
inducted into the shop for any maintenance involving the separation
of pairs of major mating engine flanges (lettered flanges). However,
the separation of engine flanges solely for the purposes of
transporting the engine without subsequent engine maintenance is not
an engine shop visit.

(j) Alternative Methods of Compliance (AMOCs)

    The Manager, Engine Certification Office, may approve AMOCs for
this AD. Use the procedures found in 14 CFR 39.19 to make your
request.

(k) Related Information

    (1) For more information about this AD, contact James Gray,
Aerospace Engineer, Engine & Propeller Directorate, FAA, 12 New
England Executive Park, Burlington, MA 01803; phone:<PHONE_NUMBER>;
fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>    (2) Pratt & Whitney ASB No. PW4ENG-A72-436; SB No. PW4ENG-79-76;
and SB No. PW4ENG-72-472, pertain to the subject of this AD.
    (3) For service information identified in this AD, contact Pratt
& Whitney, 400 Main St., East Hartford, CT 06108; phone: 860-565-
8770; fax:<PHONE_NUMBER>. For information on the availability of this
material at the FAA, call<PHONE_NUMBER>.

(l) Material Incorporated by Reference

    None.

    Issued in Burlington. Massachusetts, on March 19, 2012.
Peter A. White,
Manager, Engine & Propeller Directorate, Aircraft Certification
Service.
[FR Doc. 2012-6996 Filed 3-22-12; 8:45 am]
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