(h) Proposed budget, including detailed cost estimates;

(i) Proposed subagreements;

(j) Names of any other Federal agencies to which an application has been submitted for Federal assistance for all or a part of the project, or an integrally related project; or which is funding the proposed project, any portion thereof, or an integrally related project;

(k) The period (not less than 90 days) for which the application proposal is valid, or the date (if any) by which the grant award must be made for the project;

(1) Applications for continuation of grant support should be accompanied by 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.

§ 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 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.

§ 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 suffer 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.

No grant shall be awarded to any applicant unless after adequate and appropriate 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 for grant award prior to transmittal of the grant agreement for execution by the applicant pursuant to § 30.305-2.

[36 FR 22716, Nov. 27, 1971, as amended at 37 FR 11650, June 9, 1972]

§ 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 com

mencement 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 agreement 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.

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 provides that no person in the United States shall on the ground of race, color, 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 area wide comprehensive planning agency covering the relationship of the proposed project to the planned development of the area, as implemented by OMB Circular No. A-95 (Rev. February 9, 1971, as revised through Transmittal Memorandum No. 2, March 8, 1972).

(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 No. A-95 (Rev. February 9, 1971, as revised through Transmittal Memorandum No. 2, March 8, 1972) and OMB Circular No. A-95 (June 5, 1970). [36 FR 22716, Nov. 27, 1971, as amended at 37 FR 11650, June 9, 1972]

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-federally 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.

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

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 princi

pal 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 Statement 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.

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