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30.204 Records of grant actions.

Comprehensive grants. 30.206

Foreign grants. 30.207 Cost sharing.

Subpart B-Application and Award 30.300 Preapplication procedures. 30.300-1 Preproposal. 30.301 Application for grant. 30.301-1 Form. 30.301-2 Content. 30.301-3 Time of submission. 30.301-4 Place of submission. 30.301-5 Number of copies of application. 30.302 Evaluation of applications. 30.302-1 Supplemental information. 30.302-2 Procedure. 30.303 Criteria for award of grant. 30.304 Responsible prospective grantee. 30.304-1 Scope. 30.304-2 General policy. 30.304-3 Standards. 30.304-4 Determination of responsibility. 30.305 Award of grant. 30.305-1 Amount and term of grant. 30.305-2 Grant agreement. 30.305-3 Effect of grant award. 30.306 Continuation grants.

Subpart C-Grant Conditions 30.400 General. 30.401 Statutory conditions. 30.402 Executive orders. 30.403 Additional requirements-fed

erally assisted construction. 30.404 Noncompliance with grant con

ditions. Subpart D-Patents, Data, and Copyrights 30.500 Patents and inventions. 30.500-1 Scope. 30.500-2 Definitions. 30.501 General. 30.502 Required patent provisions. 30.503 Request for rights to identified

inventions. 30.504 Data and copyrights. 30.504-1 General. 30.504-2 Required provision. 30.505 Deviations. Subpart Administration and Performance of

Grants 30.500 General. 30.601 Adherence to original budget

estimates. 30.602 Payment. 30.602-1 Retention. 30.603 Grant related income. 30.604 Grantee publications and

publicity. 30.604-1 Publicity. 30.604-2 Publications. 30.604-3 Surveys and questionnaires. 30.604-4 Signs. 30.605 Accounting. 30.605–1 Personnel. 30.606 Audits and inspections. 30.607 Reports.

Subpart Expenditures by Grantee Sec. 30.700 Use of funds. 30.701 Allocation and allowability of

costs. 30.702 Cost sharing.

Subpart G-Grantee Accountability 30.800 Equipment, materials, or sup

plies. 30.800-1 Waiver of equipment account

ability. 30.800-2 Retention by the grantee. 30.800-3 Sale or other disposition by

grantee. 30.800-4 Transfer to the United States. 30.800-5 Other provisions. 30.801

Final accounting. 30.802 Final settlement. Subpart H-Modification, Suspension and

Termination of Grants 30.900 Project changes. 30.900-1 Notice of project changes. 30.900-2 Disapproval of project changes. 30.901 Grant amendments. 30.902 Suspension of grants. 30.902-1 Use of stop-work orders. 30.902-2 Contents of orders. 30.902-3 Subsequent action. 30.902-4 Disputes provision. 30.903 Termination of grants. 30.903-1 Termination agreement. 30.903-2 Project termination by grantee. 30.903-3 Termination by EPA. 30.903-4 Termination costs. 30.903-5 Disputes provision.

Subpart l-Miscellaneous 30.1000 Definitions. 30.1000-1 Administrator. 30.1000-2 Agency. 30.1000-3 Applicant. 30.1000–4 Budget. 30.1000-5 Budget period. 30.1000-6 Cost sharing. 30.1000-7 Educational institution. 30.1000-8 Federal assistance. 30.1000-9 Grant. 30.1000–10 Grant agreement. 30.1000-11 Grantee. 30.1000-12 Grants officer. 30.1000–13 Matching share. 30.1000–14 Nonprofit organization. 30.1000-15 Project. 30.1000-16 Project costs. 30.1000–17 Project manager. 30.1000-18 Project period. 30.1000-19 Subagreement. 30.1001 Deviation. 30.1001-1 Applicability. 30.1001–2 Request for deviation. 30.1001–3 Approval of deviation.

AUTHORITY: The provisions of this Part 30 issued under the authorities cited in $ 30.101.

SOURCE: The provisions of this Part 30 appear at 36 F.R. 22716, Nov. 27, 1971, unless otherwise noted.

§ 30.100 Purpose of regulation.

This subchapter (hereinafter referred to as "Regulation") establishes and codifies uniform policies and procedures for all grants awarded by the U.S. Environmental Protection Agency (EPA). $ 30.101 Authority.

This Regulation is promulgated by the Administrator of the Environmental Protection Agency pursuant to the authority conferred by Reorganization Plan No. 3 of 1970 and pursuant to the following statutes which authorize the award of Environmental Protection Agency grants:

(a) The Federal Water Pollution Control Act, as amended (33 U.S.C. 1151 et seq.);

(b) The Clean Air Act, as amended (42 U.S.C. 1857 et seq.);

(c) The Solid Waste Disposal Act, as amended (42 U.S.C. 3251 et seq.);

(d) The Noise Pollution and Abatement Act of 1970 (42 U.S.C. 1858 et seq.);

(e) Section 210 of the National Emission Standards Act, as amended (42 U.S.C. 1857f-6b);

(f) Section 301 et seq. of the Public Health Service Act, as amended (42 U.S.C. 241, 242b, 243, and 246);

(g) Section 204(5) of the National Environmental Policy Act (42 U.S.C. 4321 et seq.); and

(h) The Grant Act (42 U.S.C. 1891 et seq.). § 30.102 Applicability and scope.

This part contains policies and procedures which will apply to all grants made by the Environmental Protection Agency and is designed to achieve maximum uniformity throughout the various grant programs of the Agency. Except as directed by the President, Congress, or other superior authority, these policies and procedures are mandatory with respect to all Environmental Protection Agency grants and shall apply to grants awarded or administered within and outside the United States, unless otherwise specified herein. $ 30.103 Publication.

This Regulation is published (in Title 40) in the daily issue of the FEDERAL REGISTER, in cumulated form in the Code of Federal Regulations, and in separate loose-leaf volume form.

$ 30.104 Copies.

Copies of this Regulation in FEDERAL REGISTER and Code of Federal Regulations form may be purchased by Federal agencies and the public from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402. Copies of this Regulation in loose-leaf volume form may be obtained by Federal agencies from the Environmental Protection Agency, in a very limited quantity, and may be purchased by the public from the Superintendent of Documents. § 30.105 Citation.

This Regulation will be cited in accordance with FEDERAL REGISTER standards. Thus, this section, when referred to in divisions of this Regulation, should be cited as “30.105 of this subchapter.” When this section is referred to formally in official documents, such as legal briefs, it should be cited as “40 CFR 30.105.” Any section of this Regulation may be informally identified, however, for purposes of brevity, as "EPA-GR” followed by the section number, such as “EPA-GR 30.105.” 8 30.106 Amendment.

This Regulation may be amended from time to time to establish new or improved grant policies and procedures, to simplify and abbreviate grant application procedures, to simplify and standardize grant conditions and related requirements, and to improve the administration of grants by the Agency as well as the grantee. The development of new grant techniques, procedures, or policies is encouraged. To the maximum practicable extent, and where appropriate and feasible, public comment and the views of interested Federal agencies will be solicited in the development of this Regulation. Suggestions for changes to this Regulation may be addressed to the Director, Grants Administration Division, Environmental Protection Agency, Washington, D.C. 20460. § 30.107 Grant information.

Information concerning Agency grants and application forms may be obtained through the Grants Administration Division, Environmental Protection Agency, Washington, D.C. 20460, or any Regional Office Grants Administration


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Branch of the Environmental Protec- approved budget, and to complete the tion Agency:

project in a diligent and professional manner; this responsibility may be

neither delegated nor transferred. The Region Address


extent to which the Government will

monitor grant performance will depend John F. Kennedy Connecticut, Maine,

Massachusetts, New
Federal Bldg.,

upon a variety of factors. However, Room 2303, Boston, Hampshire, Rhode neither the extent of monitoring perMass. 02203.

Island, Vermont. II...... 26 Federal Plaza,

formed by or on behalf of the GovernNew Jersey, New Room 847, New

York, Puerto Rico, ment nor the amount of EPA grant asYork, N.Y. 10007. Virgin Islands.

sistance shall serve to diminish or shift III..... 6th and Walnut, Delaware, District of Curtis Bldg., Phila- Columbia, Mary

the responsibility of the grantee. For purdelphia, Pa. 19106. land, Pennsylvania, poses of this Regulation, an award of a

Virginia, West

grant shall be deemed to constitute a IV......

Suite 300, 1421 Peach- Alabama, Florida, public trust. This trust is placed in the
tree St, NE.,

Georgia, Kentucky,
Atlanta, GA 30309. Mississippi, North

grantee upon whom the burden of perCarolina, South

forming the project is principally placed. Carolina, Tennessee.

The personnel of the Environmental ProV....... 1 North Wacker Dr., Illinois, Indiana, Chicago, IL 60606. Michigan, Minne

tection Agency must assure that the best sota, Ohio,

interest of the public is served.

VI...... 1600 Patterson St., Arkansas, Louisiana,

§ 30.203 Grant objectives.
11th Floor, Dallas, New Mexico, Okla-
TX 75202.
homa, Texas.

Ý EPA grants are intended to encourage
911 Walnut St., Room Towa, Kansas, Mis-
702, Kansas City, souri, Nebraska.

accomplishment of statutory and EPA MO 64106.

goals with the minimum administrative VIII.... Room 900, Lincoln Colorado, Montana, Tower, 1860 Lincoln North Dakota,

requirements necessary to protect the St., Denver, CO South Dakota,

public interest.

Utah, Wyoming.
100 California St., San Arizona, California, & 30.204 Records of grant actions.
Francisco, CA

Hawaii, Nevada,
American Samoa,

An official file shall be established for
Guam, Trust Terri-
tories of Pacific

each EPA grant which shall contain docIslands, Wake

umentation of actions taken with respect Islands.

to such grant, from application to final 1200 6th Ave.,

Alaska, Idaho,
Seattle, WA 98101. Oregon, Washington, disposition. To the extent that retained

copies of documents do not represent all

significant actions taken, suitable memSubpart A—Basic Policies

oranda or a summary statement of such $ 30.200 The role of EPA.

undocumented actions should be pre

pared promptly and be retained in the The Environmental Protection Agency

grant file. has a broad mandate to prevent and abate degradation of the environment § 30.205 Comprehensive grants. and to promote environmental enhance

A comprehensive grant is a grant ment. Grants constitute one of EPA's

funded under more than one grant auprincipal means of achieving these ob

thority by EPA or an EPA grant awarded jectives. EPA assistance may be awarded

in conjunction with one or more Federal for research, demonstration, training and

agencies. A comprehensive grant shall fellowships, State and local government

be awarded and administered pursuant assistance, or such other programs as

to such conditions and procedures for will advance the mission of the Agency.

EPA assistance as the Administrator § 30.201 Role of the Administrator. may direct, which requirements shall The Administrator is responsible pur

comply with this Regulation to the greatsuant to Reorganization Plan No. 3 of est extent practicable. 1970 for the administration of the grant § 30.206 Foreign grants. activities of the Environmental Protection Agency.

Foreign grants shall be awarded and

administered pursuant to such conditions § 30.202 Responsibility of the grantee.

and procedures for EPA assistance as It is the responsibility of the grantee the Administrator may direct, which reto comply with all the terms and condi quirements shall comply with this Regutions of the grant, to efficiently and effec- lation to the greatest extent practicable. tively manage grant funds within the Grants or agreements entered into with

funds under the Special Activities Over- & 30.301-1 Form. seas Program which utilize U.S.-owned

All applications for EPA grants shall excess foreign currencies shall not be

be submitted upon such forms as the subject to the Regulation.

Administrator shall prescribe. Each $ 30.207 Cost sharing.

grant application shall bind the appliCost sharing is mandatory for all proj

cant to accept the grant conditions and

other requirements of this Regulation; ects for which EPA grants are awarded.

the grantee shall clearly indicate any There must be a contribution by the

requested deviations and the justificagrantee (see § 30.702) of no less than 5

tion therefor, in accordance with percent of the allowable actual project

§ 30.1001. EPA reserves the right to make costs, except as otherwise required by

grant awards in appropriate cases, notstatute, and provided that in the case of

withstanding failure to comply with forgrants for wastewater treatment works

mal grant application requirements. contributions by other Federal or State agencies may be credited toward grantee § 30.301–2 Content. contributions.

Each application shall include the inSubpart B-Application and Award formation set forth below:

(a) Name and address of the appli§ 30.300 Preapplication procedures. cant;

Informal inquiries by potential grant (b) Date of submission of the applicaapplicants will generally expedite prep

tion; aration of the grant application docu

(c) Type of applicant (individual; ments by the grantee as well as profit, nonprofit, educational, or politevaluation of these documents by EPA. ical organization; other); Grantees are encouraged, therefore, to

(d) Type of project for which a grant make full use of such preapplication pro

award is sought (construction; research; cedures as are available through the demonstration; training; planning; grant program office. Such procedures

etc.); will range from informal telephone ad (e) The name, address and telephone vice to the potential applicant to brief

number of administrative, financial, and ings of individual potential applicants or

technical personnel who may be contactclasses of applicants.

ed by EPA for further information re

garding the grant application, for evalu8 30.300—1 Preproposal.

ation of the proposal, or for negotiation Applications for grants which are re of a grant award; ceived by EPA grant offices but which do (f) Proposed starting and completion not substantially comply with the re

dates, expressed either as calendar dates quirements of this Regulation may be

or in relation to award of a grant;

(g) The type (new or continuation) deemed to be preproposals. The party

and amount of the grant requested, exsubmitting a preproposal shall be

pressed both as a percentage of the total promptly notified by the appropriate

estimated allowable project cost and grant office (a) that the documents sub- dollars: mitted fail to comply with this Regula- (h) Proposed budget, including detion; (b) that EPA grant application tailed cost estimates; requirements may be found in this Regu (i) Proposed subagreements; lation; and (c) that informal assistance (j) Names of any other Federal agenwill be rendered upon request to enable cies to which an application has been the potential applicant to comply with

submitted for Federal assistance for all grant application requirements.

or a part of the project, or an integrally

related project; or which is funding the $ 30.301 Application for grant.

proposed project, any portion thereof, Submittals which substantially com or an integrally related project; ply with this Regulation shall be deemed

(k) The period (not less than 90 days) to be applications. An application shall

for which the application proposal is consist of all documents submitted pur

valid, or the date (if any) by which the

grant award must be made for the suant to $ $ 30.301–2 and 30.302–1, includ

project; ing the application form, technical docu

(1) Applications for continuation of ments and supplementary materials fur

grant support should be accompanied by nished the applicant.

an estimate of the amount of unspent,


uncommitted funds which will be carried over beyond the term of the prior grant, and shall be accompanied by a statement comparing expenditures with the previously approved project budget for each of the categories identified pursuant to paragraph (h) of this section;

(m) A project proposal including objectives, strategies, and expected results; required financial, facility, equipment, and manpower resources; and such technical and other information as may be required by Parts 35, 40 or 45 of this subchapter;

(n) Each application containing data, including confidential data, which the applicant desires to be held confidential and to be used by EPA for evaluation purposes only, shall be marked on the cover sheet with the following, or similar, legend:

Data contained in pages.--- of this application shall not be used or disclosed, except for evaluation purposes, unless such data is obtained from another source without restriction. If, however, a grant or contract is awarded as a result of or in connection with this application, the Government shall have the unlimited right to duplicate, use or disclose such data for any purpose, unless otherwise provided in such grant or contract. Such data may be subject to disclosure pursuant to the Freedom of Information Act, 5 U.S.C. 552. If a grant or contract is not awarded as a consequence of this application, those portions of this application containing such data shall be returned promptly to the applicant no later than 6 months after receipt, unless such period of time is extended at the request of the applicant.

(0) The signature of a person authorized to obligate the applicant to the terms and conditions of the grant, if approved. 8 30.301-3 Time of submission.

Applications should be submited well in advance of the desired grant award date. Generally grant application processing requires 90 days. $ 30.301-4 Place of submission.

(a) All applications for research, demonstration, and training grants and fellowships should be addressed to the Grants Administration Division, Environmental Protection Agency, Washington, D.C. 20460 for the following programs described in the 1971 edition

of the Catalog of Federal Domestic Assistance: Catalog

Program 66.002 Air Pollution Fellowships. 66.003 Air Pollution Manpower Training

Grants. 66.004 Air Pollution Research Grants. 66.005 Air Pollution Survey and Demon

stration Grants. 66.100 Pesticides Research Grants. 66.200 Radiation Research Grants. 66.201 Radiation Training Grants. 66.300 Solid Waste Dem. and Resource Re

covery System Grants. 66.301 Solid Waste Planning Grants. 66.302 Solid Waste Research Grants. 66.303 Solid Waste Training Grants. 66.405 Water Pollution Control-Research,

Dev. and Dem. Grants. 66.406 Water Pollution Control-Research

Fellowships. 66.410 Water Pollution Control Training

Grants. 66.414 Water Hygiene Research Grants.

(b) Applications for EPA grant programs listed below should be transmitted to the appropriate EPA Regional office, Grants Administration Branch ($ 30.107): Catalog No.

Program 66.001 Air Pollution Control Program

Grants. 66.400 Wastewater Treatment Works Con

struction Grants. 66.401 Water Pollution Control Comprehen

sive Basin Planning Grants. 66.407 Water Pollution Control State and

Interstate Program Grants. § 30.301-5 Number of copies of appli

cation. An original and three copies of each application shall be submitted. § 30.302 Evaluation of applications.

Each application shall be subjected (a) to administrative evaluation to determine the adequacy of the application in relation to this Regulation and (b) to technical and program evaluation to determine the merit and relevancy of the project. § 30.302-1 Supplemental information.

Each applicant shall be notified that the application has been received and is in the process of evaluation pursuant to this Regulation. The applicant may be requested to furnish information or

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