Research Administration Office

University of California

Memo Operating Guidance

No. 93-8

May 17, 1993

Subject: EPA List of Violating Facilities

In response to a campus request, this Memo provides information on the EPA List of Violating Facilities and its operational impact on the University.

What is the List For?

Organizations that violate one or more of various clean air and water standards (e.g. those promulgated by Section 306 of the Clean Air Act or Section 508 of the Clean Water Act) may be placed by the Environmental Protection Agency on its "List of Violating Facilities." Facilities on the list are then ineligible for any federal contract, subcontract, grant, subgrant, loan, or subloan.

How Can the List be Obtained?

Although the EPA maintains this list internally and used to publish it in the Federal Register (see Enclosure A for a copy of the current list), it is currently published only as part of a larger document put out by the General Services Administration called the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs." There are numerous reasons (lettered from A to EE) why an organization may appear on the list, and violation of clean air/water standards is shown as reason H1 or H2. H1 is a "mandatory listing" and H2 is a "discretionary listing," but the practical effect is the same: the University cannot subcontract or subgrant with any of the organizations listed, nor could the University receive federal contract or grant funds if it were on the list.

The "Lists of Parties Excluded..." is obtained by subscription from the Government Printing Office. Enclosure B contains instructions for obtaining copies for those who are interested.

Who Reviews the List?

The Office of the President Research Administration Office has subscribed to this list for several years, and each issue is reviewed to see if the University (campus or Laboratory) is listed. Thus we are in a position to know, and let you know, if the University ever gets listed on the EPA "List of Violating Facilities."

What Are the Requirements for Subagreements?

With respect to subagreements, the University follows the guidance in OMB Circular A-110 and the Federal Acquisition Regulations, both of which set a threshold of $100,000 for application of the clean air/water requirements. Thus the University's standard terms and conditions for purchases (Appendix A) flow down FAR clause 52,223-02, Clean Air and Water, to orders exceeding $100,000. This clause essentially states that the subcontractor will comply with the Clean Air and Water Acts and will not do work in listed facilities. A virtually identical clause was included in the sample clauses for use in subagreements that was attached to Contract and Grant Memo 91-7 (May 30, 1991).

Are We In Compliance?

In conclusion, we can say that the University is and will continue to be in compliance with the requirements of the Clean Air and Water Acts as they pertain to Contract and Grant and purchasing activities.

Refer: William Sellers 510-987-9847

Subject Index: 03

Organization Index: U-115

David F. Mears


Research Administration Office