1625-0015 Stat/Authority

Council on Environmental Quality

§ 1501.1

erowe on DSK5CLS3C1PROD with CFR

(a) Integrating the NEPA process
into early planning (§ 1501.2).
(b) Emphasizing interagency cooperation before the environmental impact
statement is prepared, rather than submission of adversary comments on a
completed document (§ 1501.6).
(c) Insuring the swift and fair resolution of lead agency disputes (§ 1501.5).
(d) Using the scoping process for an
early identification of what are and
what are not the real issues (§ 1501.7).
(e) Establishing appropriate time
limits for the environmental impact
statement process (§§ 1501.7(b)(2) and
1501.8).
(f) Preparing environmental impact
statements early in the process
(§ 1502.5).
(g) Integrating NEPA requirements
with other environmental review and
consultation requirements (§ 1502.25).
(h) Eliminating duplication with
State and local procedures by providing for joint preparation (§ 1506.2)
and with other Federal procedures by
providing that an agency may adopt
appropriate environmental documents
prepared by another agency (§ 1506.3).
(i) Combining environmental documents with other documents (§ 1506.4).
(j) Using accelerated procedures for
proposals for legislation (§ 1506.8).
(k) Using categorical exclusions to
define categories of actions which do
not individually or cumulatively have
a significant effect on the human environment (§ 1508.4) and which are therefore exempt from requirements to prepare an environmental impact statement.
(l) Using a finding of no significant
impact when an action not otherwise
excluded will not have a significant effect on the human environment
(§ 1508.13) and is therefore exempt from
requirements to prepare an environmental impact statement.
§ 1500.6 Agency authority.
Each agency shall interpret the provisions of the Act as a supplement to
its existing authority and as a mandate
to view traditional policies and missions in the light of the Act’s national
environmental objectives. Agencies
shall review their policies, procedures,
and regulations accordingly and revise
them as necessary to insure full com-

pliance with the purposes and provisions of the Act. The phrase ‘‘to the
fullest extent possible’’ in section 102
means that each agency of the Federal
Government shall comply with that
section unless existing law applicable
to the agency’s operations expressly
prohibits or makes compliance impossible.

PART 1501—NEPA AND AGENCY
PLANNING
Sec.
1501.1 Purpose.
1501.2 Apply NEPA early in the process.
1501.3 When to prepare an environmental
assessment.
1501.4 Whether to prepare an environmental
impact statement.
1501.5 Lead agencies.
1501.6 Cooperating agencies.
1501.7 Scoping.
1501.8 Time limits.
AUTHORITY: NEPA, the Environmental
Quality Improvement Act of 1970, as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean
Air Act, as amended (42 U.S.C. 7609, and E.O.
11514 (Mar. 5, 1970, as amended by E.O. 11991,
May 24, 1977).
SOURCE: 43 FR 55992, Nov. 29, 1978, unless
otherwise noted.

§ 1501.1

Purpose.

The purposes of this part include:
(a) Integrating the NEPA process
into early planning to insure appropriate consideration of NEPA’s policies
and to eliminate delay.
(b) Emphasizing cooperative consultation among agencies before the
environmental impact statement is
prepared rather than submission of adversary comments on a completed document.
(c) Providing for the swift and fair
resolution of lead agency disputes.
(d) Identifying at an early stage the
significant environmental issues deserving of study and deemphasizing insignificant issues, narrowing the scope
of the environmental impact statement
accordingly.
(e) Providing a mechanism for putting appropriate time limits on the environmental impact statement process.

837

VerDate Mar<15>2010

10:27 Aug 12, 2011

Jkt 223176

PO 00000

Frm 00847

Fmt 8010

Sfmt 8010

Y:\SGML\223176.XXX

223176

§ 1501.2

40 CFR Ch. V (7–1–11 Edition)

erowe on DSK5CLS3C1PROD with CFR

§ 1501.2 Apply NEPA early in the process.
Agencies shall integrate the NEPA
process with other planning at the earliest possible time to insure that planning and decisions reflect environmental values, to avoid delays later in
the process, and to head off potential
conflicts. Each agency shall:
(a) Comply with the mandate of section 102(2)(A) to ‘‘utilize a systematic,
interdisciplinary approach which will
insure the integrated use of the natural
and social sciences and the environmental design arts in planning and in
decisionmaking which may have an impact on man’s environment,’’ as specified by § 1507.2.
(b) Identify environmental effects
and values in adequate detail so they
can be compared to economic and technical analyses. Environmental documents and appropriate analyses shall
be circulated and reviewed at the same
time as other planning documents.
(c) Study, develop, and describe appropriate alternatives to recommended
courses of action in any proposal which
involves unresolved conflicts concerning alternative uses of available
resources as provided by section
102(2)(E) of the Act.
(d) Provide for cases where actions
are planned by private applicants or
other non-Federal entities before Federal involvement so that:
(1) Policies or designated staff are
available to advise potential applicants
of studies or other information
foreseeably required for later Federal
action.
(2) The Federal agency consults early
with appropriate State and local agencies and Indian tribes and with interested private persons and organizations
when its own involvement is reasonably foreseeable.
(3) The Federal agency commences
its NEPA process at the earliest possible time.
§ 1501.3 When to prepare an environmental assessment.
(a) Agencies shall prepare an environmental assessment (§ 1508.9) when necessary under the procedures adopted by
individual agencies to supplement
these regulations as described in
§ 1507.3. An assessment is not necessary

if the agency has decided to prepare an
environmental impact statement.
(b) Agencies may prepare an environmental assessment on any action at
any time in order to assist agency
planning and decisionmaking.
§ 1501.4 Whether to prepare an environmental impact statement.
In determining whether to prepare an
environmental impact statement the
Federal agency shall:
(a) Determine under its procedures
supplementing these regulations (described in § 1507.3) whether the proposal
is one which:
(1) Normally requires an environmental impact statement, or
(2) Normally does not require either
an environmental impact statement or
an environmental assessment (categorical exclusion).
(b) If the proposed action is not covered by paragraph (a) of this section,
prepare an environmental assessment
(§ 1508.9). The agency shall involve environmental agencies, applicants, and
the public, to the extent practicable, in
preparing assessments required by
§ 1508.9(a)(1).
(c) Based on the environmental assessment make its determination
whether to prepare an environmental
impact statement.
(d) Commence the scoping process
(§ 1501.7), if the agency will prepare an
environmental impact statement.
(e) Prepare a finding of no significant
impact (§ 1508.13), if the agency determines on the basis of the environmental assessment not to prepare a
statement.
(1) The agency shall make the finding
of no significant impact available to
the affected public as specified in
§ 1506.6.
(2) In certain limited circumstances,
which the agency may cover in its procedures under § 1507.3, the agency shall
make the finding of no significant impact available for public review (including State and areawide clearinghouses) for 30 days before the agency
makes its final determination whether
to prepare an environmental impact
statement and before the action may
begin. The circumstances are:

838

VerDate Mar<15>2010

10:27 Aug 12, 2011

Jkt 223176

PO 00000

Frm 00848

Fmt 8010

Sfmt 8010

Y:\SGML\223176.XXX

223176

Council on Environmental Quality

§ 1501.6

erowe on DSK5CLS3C1PROD with CFR

(i) The proposed action is, or is closely similar to, one which normally requires the preparation of an environmental impact statement under the
procedures adopted by the agency pursuant to § 1507.3, or
(ii) The nature of the proposed action
is one without precedent.
§ 1501.5 Lead agencies.
(a) A lead agency shall supervise the
preparation of an environmental impact statement if more than one Federal agency either:
(1) Proposes or is involved in the
same action; or
(2) Is involved in a group of actions
directly related to each other because
of their functional interdependence or
geographical proximity.
(b) Federal, State, or local agencies,
including at least one Federal agency,
may act as joint lead agencies to prepare an environmental impact statement (§ 1506.2).
(c) If an action falls within the provisions of paragraph (a) of this section
the potential lead agencies shall determine by letter or memorandum which
agency shall be the lead agency and
which shall be cooperating agencies.
The agencies shall resolve the lead
agency question so as not to cause
delay. If there is disagreement among
the agencies, the following factors
(which are listed in order of descending
importance) shall determine lead agency designation:
(1) Magnitude of agency’s involvement.
(2) Project approval/disapproval authority.
(3) Expertise concerning the action’s
environmental effects.
(4) Duration of agency’s involvement.
(5) Sequence of agency’s involvement.
(d) Any Federal agency, or any State
or local agency or private person substantially affected by the absence of
lead agency designation, may make a
written request to the potential lead
agencies that a lead agency be designated.
(e) If Federal agencies are unable to
agree on which agency will be the lead
agency or if the procedure described in
paragraph (c) of this section has not resulted within 45 days in a lead agency

designation, any of the agencies or persons concerned may file a request with
the Council asking it to determine
which Federal agency shall be the lead
agency.
A copy of the request shall be transmitted to each potential lead agency.
The request shall consist of:
(1) A precise description of the nature
and extent of the proposed action.
(2) A detailed statement of why each
potential lead agency should or should
not be the lead agency under the criteria specified in paragraph (c) of this
section.
(f) A response may be filed by any potential lead agency concerned within 20
days after a request is filed with the
Council. The Council shall determine
as soon as possible but not later than
20 days after receiving the request and
all responses to it which Federal agency shall be the lead agency and which
other Federal agencies shall be cooperating agencies.
[43 FR 55992, Nov. 29, 1978; 44 FR 873, Jan. 3,
1979]

§ 1501.6

Cooperating agencies.

The purpose of this section is to emphasize agency cooperation early in the
NEPA process. Upon request of the lead
agency, any other Federal agency
which has jurisdiction by law shall be a
cooperating agency. In addition any
other Federal agency which has special
expertise with respect to any environmental issue, which should be addressed in the statement may be a cooperating agency upon request of the
lead agency. An agency may request
the lead agency to designate it a cooperating agency.
(a) The lead agency shall:
(1) Request the participation of each
cooperating agency in the NEPA process at the earliest possible time.
(2) Use the environmental analysis
and proposals of cooperating agencies
with jurisdiction by law or special expertise, to the maximum extent possible consistent with its responsibility
as lead agency.
(3) Meet with a cooperating agency at
the latter’s request.
(b) Each cooperating agency shall:
(1) Participate in the NEPA process
at the earliest possible time.

839

VerDate Mar<15>2010

10:27 Aug 12, 2011

Jkt 223176

PO 00000

Frm 00849

Fmt 8010

Sfmt 8010

Y:\SGML\223176.XXX

223176

§ 1501.7

40 CFR Ch. V (7–1–11 Edition)

(2) Participate in the scoping process
(described below in § 1501.7).
(3) Assume on request of the lead
agency responsibility for developing information and preparing environmental analyses including portions of
the environmental impact statement
concerning which the cooperating
agency has special expertise.
(4) Make available staff support at
the lead agency’s request to enhance
the latter’s interdisciplinary capability.
(5) Normally use its own funds. The
lead agency shall, to the extent available funds permit, fund those major activities or analyses it requests from cooperating agencies. Potential lead
agencies shall include such funding requirements in their budget requests.
(c) A cooperating agency may in response to a lead agency’s request for
assistance in preparing the environmental impact statement (described in
paragraph (b)(3), (4), or (5) of this section) reply that other program commitments preclude any involvement or
the degree of involvement requested in
the action that is the subject of the environmental impact statement. A copy
of this reply shall be submitted to the
Council.

erowe on DSK5CLS3C1PROD with CFR

§ 1501.7

Scoping.

There shall be an early and open
process for determining the scope of
issues to be addressed and for identifying the significant issues related to a
proposed action. This process shall be
termed scoping. As soon as practicable
after its decision to prepare an environmental impact statement and before the scoping process the lead agency shall publish a notice of intent
(§ 1508.22) in the FEDERAL REGISTER except as provided in § 1507.3(e).
(a) As part of the scoping process the
lead agency shall:
(1) Invite the participation of affected Federal, State, and local agencies, any affected Indian tribe, the proponent of the action, and other interested persons (including those who
might not be in accord with the action
on environmental grounds), unless
there is a limited exception under
§ 1507.3(c). An agency may give notice
in accordance with § 1506.6.

(2) Determine the scope (§ 1508.25) and
the significant issues to be analyzed in
depth in the environmental impact
statement.
(3) Identify and eliminate from detailed study the issues which are not
significant or which have been covered
by
prior
environmental
review
(§ 1506.3), narrowing the discussion of
these issues in the statement to a brief
presentation of why they will not have
a significant effect on the human environment or providing a reference to
their coverage elsewhere.
(4) Allocate assignments for preparation of the environmental impact
statement among the lead and cooperating agencies, with the lead agency
retaining responsibility for the statement.
(5) Indicate any public environmental
assessments and other environmental
impact statements which are being or
will be prepared that are related to but
are not part of the scope of the impact
statement under consideration.
(6) Identify other environmental review and consultation requirements so
the lead and cooperating agencies may
prepare other required analyses and
studies concurrently with, and integrated with, the environmental impact
statement as provided in § 1502.25.
(7) Indicate the relationship between
the timing of the preparation of environmental analyses and the agency’s
tentative planning and decisionmaking
schedule.
(b) As part of the scoping process the
lead agency may:
(1) Set page limits on environmental
documents (§ 1502.7).
(2) Set time limits (§ 1501.8).
(3) Adopt procedures under § 1507.3 to
combine its environmental assessment
process with its scoping process.
(4) Hold an early scoping meeting or
meetings which may be integrated with
any other early planning meeting the
agency has. Such a scoping meeting
will often be appropriate when the impacts of a particular action are confined to specific sites.
(c) An agency shall revise the determinations made under paragraphs (a)
and (b) of this section if substantial
changes are made later in the proposed

840

VerDate Mar<15>2010

10:27 Aug 12, 2011

Jkt 223176

PO 00000

Frm 00850

Fmt 8010

Sfmt 8010

Y:\SGML\223176.XXX

223176

Council on Environmental Quality

§ 1502.1

action, or if significant new circumstances or information arise which
bear on the proposal or its impacts.

erowe on DSK5CLS3C1PROD with CFR

§ 1501.8

Time limits.

Although the Council has decided
that prescribed universal time limits
for the entire NEPA process are too inflexible, Federal agencies are encouraged to set time limits appropriate to
individual actions (consistent with the
time intervals required by § 1506.10).
When multiple agencies are involved
the reference to agency below means
lead agency.
(a) The agency shall set time limits
if an applicant for the proposed action
requests them: Provided, That the limits are consistent with the purposes of
NEPA and other essential considerations of national policy.
(b) The agency may:
(1) Consider the following factors in
determining time limits:
(i) Potential for environmental harm.
(ii) Size of the proposed action.
(iii) State of the art of analytic techniques.
(iv) Degree of public need for the proposed action, including the consequences of delay.
(v) Number of persons and agencies
affected.
(vi) Degree to which relevant information is known and if not known the
time required for obtaining it.
(vii) Degree to which the action is
controversial.
(viii) Other time limits imposed on
the agency by law, regulations, or executive order.
(2) Set overall time limits or limits
for each constituent part of the NEPA
process, which may include:
(i) Decision on whether to prepare an
environmental impact statement (if
not already decided).
(ii) Determination of the scope of the
environmental impact statement.
(iii) Preparation of the draft environmental impact statement.
(iv) Review of any comments on the
draft environmental impact statement
from the public and agencies.
(v) Preparation of the final environmental impact statement.
(vi) Review of any comments on the
final environmental impact statement.

(vii) Decision on the action based in
part on the environmental impact
statement.
(3) Designate a person (such as the
project manager or a person in the
agency’s office with NEPA responsibilities) to expedite the NEPA process.
(c) State or local agencies or members of the public may request a Federal Agency to set time limits.

PART 1502—ENVIRONMENTAL
IMPACT STATEMENT
Sec.
1502.1 Purpose.
1502.2 Implementation.
1502.3 Statutory requirements for statements.
1502.4 Major Federal actions requiring the
preparation of environmental impact
statements.
1502.5 Timing.
1502.6 Interdisciplinary preparation.
1502.7 Page limits.
1502.8 Writing.
1502.9 Draft, final, and supplemental statements.
1502.10 Recommended format.
1502.11 Cover sheet.
1502.12 Summary.
1502.13 Purpose and need.
1502.14 Alternatives including the proposed
action.
1502.15 Affected environment.
1502.16 Environmental consequences.
1502.17 List of preparers.
1502.18 Appendix.
1502.19 Circulation of the environmental impact statement.
1502.20 Tiering.
1502.21 Incorporation by reference.
1502.22 Incomplete or unavailable information.
1502.23 Cost-benefit analysis.
1502.24 Methodology and scientific accuracy.
1502.25 Environmental review and consultation requirements.
AUTHORITY: NEPA, the Environmental
Quality Improvement Act of 1970, as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean
Air Act, as amended (42 U.S.C. 7609), and E.O.
11514 (Mar. 5, 1970, as amended by E.O. 11991,
May 24, 1977).
SOURCE: 43 FR 55994, Nov. 29, 1978, unless
otherwise noted.

§ 1502.1 Purpose.
The primary purpose of an environmental impact statement is to serve as
an action-forcing device to insure that
the policies and goals defined in the

841

VerDate Mar<15>2010

10:27 Aug 12, 2011

Jkt 223176

PO 00000

Frm 00851

Fmt 8010

Sfmt 8010

Y:\SGML\223176.XXX

223176