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nical Assistance Grant Program." Application kits are available from EPA Regional Offices upon request.

Instructions for filing an application with a State will be provided by the State.

8 35.4050 Timing of award.

An award of a technical assistance grant will be made no earlier than the start of the response action. Grants to qualified applicants could be delayed depending upon the availability of funds for the Superfund program.

(c) Other potential applicants will have 30 days to contact the original applicant to form a coalition. If the community groups are unable to form a coalition, they must notify EPA within the 30 days. EPA will then accept separate applications from all interested groups for an additional 30day period. EPA may consider written requests for extensions of this time. If there is a qualified applicant, a grant will be awarded from among the competing applications based on the evaluation criteria described in $ 35.4035 of this regulation. The schedule for response activities at a site will not be affected by the technical assistance grant application process.

(d) A formal grant application from a group which has not first submitted a letter of intent to EPA will be considered a letter of intent for the purposes of this subsection. 8 35.4045 Submission of application.

(a) After an applicant submits a letter of intent, it must submit to the Agency its request for a technical assistance grant on EPA Form 5700-33, “State and Local Nonconstruction Programs." Each applicant must submit the original and two copies of the application to the Agency. At least one application must have the original signature (i.e., not a photocopy of the sig. nature) of the Recipient's Project Manager. If the State is administering the program, applicant must submit a request for a technical assistance grant to a State on the appropriate State form;

(b) An applicant must submit a proposed budget clearly showing the proposed expenditure of funds, how it will provide the cash and/or in-kind contributions to meet the "match” requirement, and how the funds and other resources, including the "match," will be used to complete the technical assistance grant project;

(c) An ap ant must submit to the Agency or the State on the appropriate form a short narrative justification to show compliance with the evaluation criteria in $ 35.4035. Instructions for filing an application with the Agency are contained in the application kit and explained in EPA's “Citizens' Guidance Manual for the Tech

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8 35.4055 Ineligible activities.

(a) The following activities are ineligible for assistance under this program:

(1) Litigation or underwriting legal actions such as paying for attorney fees or paying for the time of the tech. nical advisor to assist an attorney in preparing a legal action or preparing for and serving as an expert witness at any legal proceeding;

(2) Political activity and lobbying in accordance with 40 CFR 30.601 which incorporates OMB Circular A-122;

(3) Other activities inconsistent with the cost principles stated in OMB Circular A-122, “Cost Principles for NonProfit Organizations";

(4) Tuition or other expenses for recipient group members or technical advisors to attend training, seminars or courses;

(5) Any activities or expenditures for recipient group members' travel;

(6) Generation of new primary data such as well drilling and testing, including split sampling; and (7) Reopening final Agency decisions

conducting disputes with the Agency.



8 35.4060 Eligible activities.

Technical assistance grants may be used to obtain technical assistance in interpreting information with regard to the nature of the hazard, remedial investigation and feasibility study, record of decision, remedial design, selection and construction of remedial action, operation and maintenance, or a significant removal action at a facility that is (a) listed on the NPL or (b) proposed for listing and at which a response action has begun. Technical assistance grants shall be used to fund activities that will contribute to the public's ability to participate in the decisionmaking process by improving the public's understanding of overall conditions and activities.

technical assistance grant which have been incurred and which the recipi. ents are currently and legally obligated to pay. Recipients may submit quarterly requests for reimbursement to the Agency on SF 270_Request for Advance or Reimbursement, or the appropriate State form if the State is administering the technical assistance grant program. Costs incurred greater than $500 may be submitted monthly.

$ 35.4065 Technical advisor's qualifica

tions. (a) A technical advisor must possess the following credentials:

(1) Demonstrated knowledge of hazardous or toxic waste issues;

(2) Academic training in a relevant discipline (e.g., biochemistry, toxicol. ogy, environmental sciences, engineering); and

(3) Ability to translate technical information into terms understandable to lay persons.

(b) A technical advisor should possess the following credentials:

(1) Experience working on hazardous or toxic waste problems;

(2) Experience in making technical presentations;

(3) Demonstrated writing skills; and

(4) Previous experience working with citizens' or community groups or other groups of individuals.

8 35.4085 Grant limitations.

Technical assistance grants will be awarded subject to the following limitations:

(a) The recipient must contribute 35 percent of the total costs of the technical assistance grant project, except as provided in $ 35.4090(b) of this regulation.

(1) Absent specific statutory authority, no Federal funds may be included in the matching share.

(2) To meet the matching funds requirement, the recipient may use cash and/or in-kind contributions.

(b) The technical assistance grant award will not exceed $50,000 for a single grant recipient, except as provided in § 35.4090(a) of this regulation.

(c) Not more than one technical assistance grant may be awarded for any eligible site.

(d) Unless a waiver is granted, the technical assistance grant award of $50,000 will cover the entire Superfund cleanup process.

(e) Costs of administering the technical assistance grant are allowable to the extent that they do not exceed 15 percent of the total project costs.

8 35.4070 Sanctions.

If EPA determines that the recipient has failed to comply with any terms of the grant agreement, EPA will initiate an appropriate measure as set forth at 40 CFR Part 30, Subpart I. 8 35.4075 Pre-award costs.

(a) Grant funds may not be used to pay costs incurred prior to award of the technical assistance grant, except as provided in paragraph (b) of this section.

(b) Necessary and reasonable costs of incorporation, if incurred for the sole purpose of complying with this regulation, will be eligible pre-award costs and may be charged to the technical assistance ant or count toward the matching funds requirement described in § 35.4085(a)(2).

8 35.4090 Waivers.

(a) Waivers of the $50,000 limit may be granted only in the case of a single application covering multiple sites. In order to reduce the administrative burden to a recipient, the limitation that single recipient cannot receive more than $50,000 may be waived by the Agency where there are several eligible sites in close geographic proximity to each other (e.g., 3 sites X $50,000=grant of $150,000).

(b) Waivers of the matching funds requirement will be granted only in exceptional cases. At any point in the

8 35.4080 Method of payment.

All grant recipients shall be reimbursed for grant-related eligible, allocable, allowable, necessary, and reasonable costs up to the amount of the

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process, the Agency may approve a waiver when it is established that the grant recipient cannot meet the matching funds requirement. The Agency may waive all or part of the recipient's matching funds requirement only after a finding by the Agency that:

(1) There is a need for a waiver because providing the "match” would constitute an unusual financial hardship,

(2) A good faith effort at raising the "match,” including obtaining in-kind services, has failed, and

(3) The waiver is necessary to facilitate public participation in the selection of remedial action at the facility.

(c) Where a recipient who has obtained a grant subsequently obtains a waiver of the matching funds requirement, the grant agreement must be amended. (See 40 CFR Part 30, Subpart G.)

(d) No waivers will be granted by the Agency once the Record of Decision (ROD) has been issued at the last operable unit at the site.

labeled as such and, if adverse to the applicant or recipient, must include notice of the right to request Agency review of the State decision under this section. A State's failure to address the disputed action or omission in a timely fashion, or in writing, will not preclude Agency review.

(1) Requests for Agency review must include:

(i) A copy of any written State decision.

(ii) A statement of the amount in dispute.

(iii) A description of the issues involved, and

(iv) A concise statement of the objections to the State decision.

(2) The request must be filed by reg. istered mail, return receipt requested, within 30 days of the date of the State decision or within a reasonable time if the State fails to respond in writing to the request for review.

(c) The Agency shall determine whether the State's review is comparable to a dispute decision official's (DDO) review pursuant to 40 CFR Part 30, Subpart L. If the State's review is comparable, the Regional Administrator will conduct the Agency's review of the State's decision. If the State's review is not comparable, an Agency DDO will review the State's decision and issue a written decision. If the Agency DDO issues a decision, the applicant or recipient may request a Regional Administrator's review of the decision. The applicant or recipient may request an EPA Assistant Administrator review of a Regional Administrator's decision pursuant to Subpart L.

8 35.4095 Subagreement review.

Each applicant must inform EPA of any proposed subagreement between the recipient and the technical advisor and must provide EPA the opportunity to review the subagreement before it is awarded.

8 35.4100 Disputes.

(a) If the Agency administers the Technical Assistance Grant Program, the Agency shall review disputes between Agency officials and the applicant or recipient in accordance with its dispute resolution procedures set forth at 40 CFR Part 30, Subpart L.

(b) If the State administers the Technical Assistance Grant Program, any applicant or recipient who has been adversely affected by a State's action omission may request Agency review of such action or omission, but must first submit a petition for review to the State agency that made the initial decision. The State must provide, in writing, normally within 45 days of the date it receives the petition, the basis for its decision regarding the disputed action or omission. The final State decision must be


8 35.4105 Audits.

(a) Records and audit-recipient (1) Each recipient shall keep and preserve full written financial records accurately disclosing the amount and the disposition of any funds, whether in cash or in-kind, applied to the technical assistance grant project, and shall comply with the terms and conditions of the grant agreement.

(2) Such records shall be retained for three years from the date of the final Financial Status Report, or until any audit, litigation, cost-recovery, and/or any disputes initiated before the end of the three-year retention period are settled, whichever is longer. A recipient must obtain EPA's prior written approval to destroy records after the record retention period.

(b) Records and auditcontractor(s). (1) The recipient shall require its contractor(s) to keep and preserve detailed records in connection with the subagreement, reflecting acquisitions, work progress, reports, expenditures, and commitments and indicating their relationship to established costs and schedules.

(2) The recipient shall require its contractor(s) to keep such full written financial records to adequately establish compliance with the terms and conditions of the subagreement. Such records shall be retained for three years from closeout of the subagreement, unless audit, litigation, cost-recovery, and/or any disputes are initiated before the end of the three-year retention period. The recipient shall require its contractor(s) to obtain its prior written approval before the contractor(s) destroys any records after the record retention period. The recipient shall not give such approval without first obtaining EPA's approval. (Approved by the Office of Management and Budget under control numbers 20300020 and 2050 0083)

SF-269 or on the appropriate State form if the State is administering the Technical Assistance Grant Program.

(c) Final report. Each recipient shall submit to EPA a draft of the final report for review no later than 90 days prior to the end of the technical assistance grant project and a final report within 90 days of the end of the project. The report shall document technical assistance grant project activities over the entire period of grant support and shall describe the recipient's achievements with respect to stated technical assistance grant project purposes and objectives. (Approved by the Office of Management and Budget under control numbers 20300020 and 2050-0083)

8 35.4115 Availability of information.

Each recipient shall ensure that all final written products developed by a contractor for the recipient under its grant are disseminated by providing copies of such documents to EPA for the local Superfund information repository.

8 35.4120 Budget period.

The budget period may not exceed three years. A technical assistance grant project period may be comprised of more than one three-year budget period.

8 35.4125 Federal facilities.

EPA will determine the eligibility of any group of individuals who may be affected by a release or a threatened release at a Federal facility for a technical assistance grant under this regulation.

8 35.4110 Reports.

(a) Progress reports. Each recipient shall submit quarterly progress reports to EPA for the technical assistance grant project 45 days after the end of each calendar quarter. Progress reports shall fully describe in chart or narrative format the progress achieved in relationship to the approved schedule, budget, and the technical assistance grant project milestones. Special problems encountered must be explained.

(b) Financial status report. Each recipient shall submit to EPA a financial status report annually, within 90 days after the anniversary date of the start of the technical assistance grant project, and within 90 days after the end of the grant budget period and project. A recipient shall submit to the Agency a financial status report on

8 35.4130 Conflict of interest and disclo

sure requirements. (a) The recipient shall require each prospective contractor on any subagreement to provide, with its bid or proposal:

(1) Information on its financial and business relationship with all PRPs at the site, and with their parent companies, subsidiaries, affiliates, subcontractors, and current clients or attorneys and agents (this disclosure requirement encompasses past and anticipated financial and business relaguarantee by the Administrator of full and timely payment of principal and interest on any obligation of the State, municipality, or intermunicipal or interstate agency issued directly and exclusively to the Federal Financing Bank to finance the local share of the costs of any such project.

tionships, including services related to any proposed or pending litigation, with such parties);

(2) Certification that, to the best of its knowledge and belief, it has disclosed such information or no such information exists; and

(3) 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 shall exclude any prospective contractor if the recipient determines the prospective contractor's conflict of interest is significant and cannot be avoided or otherwise resolved.

(b) Contractors and subcontractors may not be technical advisors to recipient groups at the same NPL site for which they are doing work for the Federal or State government or any other entity.



Sec. 39.100 Purpose. 39.905 Definitions. 39.110 Application. 39.115 Conditions of loan guarantee. 39.120 Limitation on assistance. 39.125 Determination of eligibility for as

sistance and issuance of guarantee. 39.130 Determination of reasonable rates. 39.135 Loan terms. 39.140 Loan proceeds. 39.145 Loan payments by borrower. 39.150 Defaults and remedies.

AUTHORITY: Pub. L. 94-558, Sec. 213, Federal Water Pollution Control Act, as amended (86 Stat. 816 et seg. (33 U.S.C. 1281 et seq.) as amended).

SOURCE: 42 FR 25666, May 18, 1977, unless otherwise noted.

8 39.105 Definitions.

The following words and terms shall have the meaning set forth below:

(a) Act. The Federal Water Pollution Control Act Amendments of 1972, as amended (Pub. L. 92-500, 33 U.S.C. 1281 et seq.).

(b) Bank. The Federal Financing Bank established pursuant to the Federal Financing Bank Act of 1973 (12 U.S.C. 2281 et seq.).

(c) Guaranteed Loan Program. The program established pursuant to Pub. L. 94-558 which amended the Act by adding section 213.

(d) Loan agreement. A written agreement between the Bank and the guaranteed borrower stating the terms of the loan.

(e) Loan guarantee agreement. A written agreement between EPA and the guaranteed borrower stating the terms of the loan guarantee.

(f) Local share. The amount of the total grant eligible and allowable project costs which a public body is obligated to pay under the grant.

(g) Note. An evidence of the debt, including a bond, obligation to pay, or other evidence of indebtedness where appropriate.

(h) Public body. A State, interstate agency, a municipality, or an intermunicipal agency, as defined below:

(1) State. A State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Trust Territory of the Pacific Islands.

(2) Interstate agency. An agency of two or more States established by or pursuant to an agreement or compact approved by the Congress, or any other agency of two or more States, having substantial powers or duties pertaining to the control of water pollution.

(3) Municipality. A city, town, borough, county, parish, district, associa.

8 39.100 Purpose.

This part implements section 213 of the Federal Water Pollution Control Act Amendments of 1972, as amended, by establishing policies and procedures to ensure that inability to borrow necessary funds from other sources on reasonable terms does not prevent the construction of any wastewater treatment works for which a grant has been, or will be, awarded in compliance with the Act. It provides for the

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