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documents required by this Regulation and necessary in order to complete administrative, program, or technical evaluation of the application; the applicant shall be notified that evaluation will be suspended until such additional information or documents have been furnished. $ 30.302–2 Procedure.

Every application shall be evaluated in accordance with the following procedure: (a) Preliminary administrative evaluation; (b) program relevance; (c) technical and scientific evaluation; (d) final administrative evaluation. At each stage of the evaluation, such informal contact or negotiations as are required shall be conducted. Technical, scientific and program relevancy evaluation shall be performed by the appropriate program office(s), with the advice of such advisory councils or boards as are required by statute or established pursuant to this Regulation. § 30.303 Criteria for award of grant.

Each application shall be evaluated in accordance with the requirements and criteria established pursuant to this Regulation and promulgated herein. Program award critera may be found in Parts 35, 40, and 45 of this subchapter. Grants may be awarded without regard to nonstatutory criteria in exceptional cases, particularly in the case of comprehensive grants: Provided, That the appropriate Regional or Assistant Administrator shall make a written statement setting forth the basis for each such award, which shall be included within the grant file prior to grant award. § 30.304 Responsible prospective

grantee. $ 30.304–1 Scope.

The policy and procedures established by this section shall be followed to determine, prior to award of any grant, whether a prospective grantee will qualify as responsible. 8 30.304–2 General policy.

The award of grants to applicants who are not responsible is a disservice to the public, which is entitled to receive full benefit from the award of grants for the protection and enhancement of the environment. It frequently is inequitable to the applicants themselves, who may suf

fer hardship, sometimes even financial failure, as a result of inability to meet grant or project requirements. Moreover, such awards are unfair to other competing applicants capable of performance, and may discourage them from applying for future grants. It is essential, therefore, that precautions be taken to award grants only to reliable and capable applicants who can reasonably be expected to comply with grant and project requirements. A responsible prospective grantee is one which is found to meet the minimum standards set forth in $ 30.304–3 and such additional standards as may be prescribed and promulgated for a specific grant program. § 30.304–3 Standards.

In order to qualify as responsible, a prospective grantee must meet the following standards as they relate to the particular proposed grant under consideration:

(a) Has adequate financial resources for performance, or has the ability to obtain such resources as required;

(b) Has the necessary experience, organization, technical qualifications, and facilities, or has the ability to obtain them (including proposed subagreements);

(c) Is able to comply with the proposed or required completion schedule for the project;

(d) Has a satisfactory record of integrity, judgment, and performance, including, in particular, performance upon grants and contracts from the Federal Government;

(e) Appears to be able to conform to the Equal Opportunity requirements of this Regulation;

(f) Is otherwise qualified and eligible to receive a grant award under applicable laws and regulations. Acceptable “ability to obtain” financial resources, experience, organization, technical qualifications, skills, and facilities (see paragraphs (a) and (b) of this section) generally shall comprise a firm commitment or arrangement to obtain financial resources, experience, organization, technical qualifications, skills or facilities. $ 30.304-4 Determination of responsi

bility. No grant shall be awarded to any applicant unless after adequate and ap

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propriate evaluation a determination has first been made in writing and included within the grant file that the applicant is responsible within the meaning of $$ 30.304-2 and 30.304–3. Any applicant who is not determined to be responsible shall be notified in writing of such finding and of the basis therefor. & 30.305 Award of grant.

Generally, within 90 days after receipt of a completed application (excluding suspension periods for submission of supplemental information), the application will be (a) approved for grant award; (b) deferred due to lack of funding or other specified reason; or (c) disapproved. The applicant shall be promptly notified in writing of any deferral or disapproval. A deferral or disapproval of an application shall not preclude its reconsideration or a reapplication. The applicant shall not be notified of an approval or grant award prior to transmittal of the grant agreement for execution by the applicant pursuant to $ 30.305–2. $ 30.305-1 Amount and term of grant.

The amount and term of a grant shall be determined by the Administrator or his authorized representative at the time of grant award. § 30.305–2 Grant agreement.

Upon approval of a grant for award, the grant agreement will be transmitted by certified mail (return receipt requested) to the applicant for execution. The grant agreement must be executed by the applicant and returned to the Grants Officer within 3 weeks after receipt, or within any extension of such time that may be granted by the Grants Officer. The grant agreement shall set forth the approved project work, approved budget and the approved commencement and completion dates for the project or major phases thereof. In the case of State and local assistance grants, the grant shall become effective and shall constitute an obligation of Federal funds in the amount and for the purposes stated in the grant agreement, at the time of approval of the project for grant award. In the case of all other EPA grants, the grant shall become effective and shall constitute an obligation of Federal funds in the amount and for the purposes stated in the grant instrument, only upon execution of the grant agree

ment by the parties thereto. Except as may be otherwise provided by statute, no costs may be incurred prior to the execution of the grant agreement by the partics thereto. § 30.305–3 Effect of grant award.

Neither the approval of a project nor the award of any grant shall commit or obligate the United States to award any continuation grant or enter into any grant amendment with respect to any approved project or portion thereof. $ 30.306 Continuation grants.

Upon written application and after receipt of such progress, fiscal or other reports as may be required pursuant to this Regulation, a continuation grant may be awarded in accordance with this Subpart B upon a finding by the Grants Officer that the progress made during the budget period warrants continuation within the project period.

Subpart C-Grant Conditions $ 30.400 General.

All EPA grants shall be subject to applicable statutory provisions, to requirements imposed pursuant to Executive orders, and to the Grant Conditions set forth in this subpart or in Appendix A to this subchapter. Additional special conditions necessary to assure accomplishment of the project or of EPA objectives may be imposed upon any grant or class of grants by agreement with the grantee. § 30.401 Statutory conditions.

All EPA grants are awarded subject to the following statutory requirements, in addition to such statutory provisions as may be applicable to particular grants or grantees or classes of grants or grantees.

(a) The National Environmental Policy Act of 1969, 42 U.S.C. 4321 et seq., as amended, particularly as it relates to the assessment of the environmental impact of federally assisted projects (42 U.S.C. 102(1) (C)).

(b) Section 306 of the Clean Air Act, 42 U.S.C. 1857h-4, as amended, requiring that facilities receiving Federal assistance by way of grant, loan, or contract shall comply with the Clean Air Act.

(c) The Civil Rights Act of 1964, 42 U.S.C. 2000a et. seq., as amended, and particularly title VI thereof, which pro

vides that no person in the United States shall on the ground of race, color, religion, sex, or national origin be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program or activity receiving Federal financial assistance, as implemented by regulations issued thereunder.

(d) The Hatch Act, 5 U.S.C. 1501 et seq., relating to political activities of certain State and local employees.

(e) The Freedom of Information Act, 5 U.S.C. 552, as amended, relating to the right of the public to obtain information and records.

(f) The National Historic Preservation Act of 1966, 16 U.S.C. 470 et seq., as amended, relating to the preservation of historic landmarks.

(g) The Demonstration Cities and Metropolitan Development Act of 1966, 42 U.S.C. 3301 et seq., as amended, and particularly section 204 thereof, which requires that applications for Federal assistance for a wide variety of public facilities projects in metropolitan areas must be accompanied by the comments of an areawide comprehensive planning agency covering the relationship of the proposed project to the planned development of the area, as implemented by OMB Circular No. A-98 (June 5, 1970).

(h) The Intergovernmental Cooperation Act of 1968, 42 U.S.C. 4201 et seq., as amended, which requires coordination by and between local, regional, State, and Federal agencies with reference to plans, programs, and development projects and activities, as implemented by OMB Circular N. A-95 (Rev. Feb. 9, 1971) and OMB Circular No. A-98 (June 5, 1970). $ 30.402 Executive orders.

All EPA grants are subject to the requirements imposed by the following Executive orders, in addition to such other lawful provisions as may be applicable to particular grants or grantees or classes of grants or grantees.

(a) Executive Order 11246 (3 CFR, 1964–1965 Comp., p. 339) dated September 24, 1965, as amended, with regard to equal employment opportunities, and all rules, regulations and procedures prescribed pursuant thereto.

(b) Executive Order 11296 (3 CFR, 1966–1970 Comp., p. 571) dated August 10, 1966, regarding evaluation of flood hazard in locating federally owned or financed buildings, roads, and other

facilities, and in disposing of Federal lands and properties.

(c) Executive Order 11514 (3 CFR, 1966-1970 Comp., p. 902) dated March 5. 1970, providing for the protection and enhancement of environmental quality in furtherance of the purpose and policy of the National Environmenal Policy Act of 1969.

(d) Executive Order 11602 (3 CFR, 1971 Comp., 36 F.R. 12475) dated June 29, 1971, requiring compliance with the Clean Air Act in the award and administration of Federal grants, and all rules, regulations, and procedures prescribed pursuant thereto. $ 30.403 Additional requirements—fed.

erally assisted construction. Grants for projects that involve construction are subject to the following additional requirements:

(a) The Davis-Bacon Act, as amended. 40 U.S.C. 276a et seq., 276c, and the regulations issued thereunder, 29 CFR 5.1 et seq., respecting wage rates for federally assisted construction contracts in excess of $2,000.

(b) The Copeland (Anti-Kickback) Act, 18 U.S.C. 874, 40 U.S.C. 276c, and the regulations issued thereunder, 29 CFR 3.1 et seq.

(c) The Contract Work Hours and Safety Standards Act, 40 U.S.C. 327 et seq., and the regulation issued thereunder.

(d) The Uniform Relocation Assistance and Land Acquisition Policies Act of 1970, 42 U.S.C. 4621 et seq., 4651 et seq., and the regulations issued thereunder, 40 CFR Chapter 1, Part 4. § 30.404 Noncompliance with grant

conditions. In addition to such other remedies as may be provided by law, in the event of noncompliance with any condition imposed pursuant to this Regulation, a grant may be annulled and all EPA grant funds recovered or it may be terminated pursuant to Article 5 of the Grant Conditions (Appendix A), the project work may be suspended pursuant to Article 4 of the Grant Conditions, an injunction may be entered by an appropriate court, or such other action may be taken by the Grants Officer as the Administrator shall direct: Provided, That no such action shall be taken without prior consultation with the grantee.

Subpart D-Patents, Data, and

Copyrights & 30.500 Patents and inventions. $ 30.500-1 Scope.

This subpart sets forth (a) policy and procedures regarding patents, data and copyrights under EPA grants or fellowships involving experimental, developmental or research work, and (b) the grant clauses and regulations which define and implement said policy. & 30.500–2 Definitions.

Definitions applicable to this Subpart D, in addition to those set forth in § 30.1000, are set forth in Appendix B to this subchapter. & 30.501 General.

It is the policy of EPA to allocate rights to inventions that result from federally supported grants or fellowships that involve, or are likely to involve, research, developmental or experimental work, in accordance with the guidance and criteria set forth in the Statement of Government Patent Policy by the President of the United States on August 23, 1971 (36 F.R. 16887) (hereinafter referred to as “Statement”). The Statement sets forth in section 1 thereof three major categories (1(a), 1(b), and 1(c)) of contract or grant objectives, and prescribes the manner for allocation of rights to inventions that result from a grant or contract which falls within the particular category.

(a) Under section 1(a) of the Statement, the United States, at the time of grant award, normally acquires or reserves the right to acquire the principal or exclusive rights to any invention made under the grant or contract. Generally this is implemented by the United States taking all domestic rights to such invention. However, section 1(a) permits that in exceptional circumstances, the grantee may acquire greater rights than a nonexclusive license at the time of grant award where the Administrator certifies that such action will best serve the public interest. Section 1(a) also prescribes circumstances under which the grantee or contractor may acquire such greater rights after an invention is identified. (b) Under section 1(b) of the State

t the grantee normally acquires principal rights at the time of grant award.

(c) Section 1(c) applies to grants that are not covered by section 1(a) or 1(b), and provides that allocation of rights is deferred until after inventions have been identified. § 30.502 Required patent provision.

Every EPA grant or fellowship involving research, developmental, or experimental work shall be deemed subject to section 1(a) of the Statement and shall include the patent provisions set forth in Appendix B to this subchapter. § 30.503 Request for rights to identi

fied inventions. A grantee or fellow may address a request for rights to a reported invention to the Grants Officer pursuant to any of the terms of the patent provisions (Appendix B). § 30.504 Data and copyrights. § 30.504–1 General.

EPA's data policy is to expedite general utilization or further development, of new or improved pollution prevention and abatement technology and procedures developed under EPA grants and fellowships. Therefore, it is most important that the results of EPA sponsored research include data that is sufficient to enable those skilled in the particular area to promptly utilize or further develop such technology and procedures. Availability of adequate data permits accurate assessment of the progress achieved under a grant or fellowship so that EPA priorities can be established. § 30.504–2 Required provision.

Every EPA grant or fellowship involving research, developmental or experimental work shall include the rights in data and copyrights provisions set forth in Appendix C to this subchapter. § 30.505 Deviations.

Any request for deviation from the patent provisions in Appendix B to this subchapter and from the rights in data and copyrights provisions in Appendix C to this subchapter must be submitted in writing pursuant to $ 30.1001. Subpart E-Administration and

Performance of Grants $ 30.600 General.

The primary responsibility for administration of a grant must remain with the grantee, who is responsible for the success of the project for which the


grant was made. Although grantees are encouraged to seek the advice and opinions of EPA on problems that may arise, the giving of such advice shall not shift the responsibility for final decisions to EPA. The primary concern of EPA is that granted funds be used to achieve the objectives of the grant project in a manner that will accord with program objectives and will make a maximum contribution to the betterment of the environment. Grantees and those assisting them on project work must direct their efforts to this end. § 30.601 Adherence to original budget

estimates. Expenditures shall follow the cost allocations (i.e., by budget line item or program elements of the approved budget. The Grants Officer shall be notified of fund transfers among budget cost components (rebudgetingpursuant to $ 30.900. $ 30.602 Payment.

EPA grant funds shall be paid in advance or by way of reimbursement, subject to such conditions as may be imposed pursuant to this Regulation for allowable project costs. Payments may be made periodically and shall be based upon estimated requirements or actual costs. Such payments may be increased or decreased by the amount that prior payments are less than or exceed the EPA share of the costs of the project. All payments will be recorded by the grantee in separate fund accounts which identify such grant funds and their disposition. § 30.602-1 Retention.

An amount not to exceed ten percent (10%) of the EPA grant funds may be withheld until the grantee has complied with all grant conditions, including the patent provisions (Appendix B), and with such other requirements as may be imposed pursuant to this Regulation, including the submission of reports. $ 30.603 Grant related income.

Income derived from a project, including proceeds from the sale or disposition of assets (see 30.800–3), during the period of EPA support until final settlement (see $ 30.802) shall be credited to the EPA grant payments in a proportion equal to the ratio of the EPA grant to total project costs. Equitable title to interest or dividends earned or

paid upon any deposit or investment by the grantee of grant funds shall vest in the United States, except where the grantee is a State (in accordance with OMB Circular No. A-96). Except as otherwise provided in this Regulation or in the grant agreement, such interest or dividends and refunds, rebates, and royalties from copyrights and patents shall be credited to the grant payments and fully accounted for by the grantee. State and local governments are not accountable for income earned by a facility in which the Federal financial participation was limited to assistance in developing, constructing, or equipping the facility. $ 30.604 Grantee publications and pub

licity. § 30.604-1 Publicity.

Press releases and other public dissemination of information by the grantee shall acknowledge EPA grant support of the project. $ 30.604–2 Publications.

Grantees shall give notice in writing to the Grants Officer at least 30 days, or such shorter period as the Grants Officer may allow, prior to the publication or other dissemination of information (other than publicity) resulting directly or indirectly from a grant supported activity. Any such written publication shall acknowledge Federal grant assistance by including a statement substantially as follows: “This project has been financed in part with Federal funds from the Environmental Protection Agency under grant number ------. The contents do not necessarily reflect the views and policies of the Environmental Protection Agency, nor does mention of trade names or commercial products constitute endorsement or recommendation for use.' § 30.604-3 Surveys and questionnaires.

A grantee (or party to subagreement) collecting information from the public on his own initiative in connection with an EPA supported project may not represent that the information is being collected by or for EPA without prior agency approval. If reference is to be made to EPA, prior clearance of plans and report forms must be requested by the grantee through the Grants Officer to assure compliance with the Federal Reports Act of 1942 (44 U.S.C. 35013511).

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