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WATER QUALITY MANAGEMENT PLANNING portions of more than one State) by the GRANTS

majority of Governors of the States, as

the agency having primary responsibility $ 35.200 Purpose.

for water quality planning in the basin. These provisions establish and codify (b) Be an entity of government legally policies and procedures for grants to constituted or authorized under the laws planning agencies for the development of the State or States in which the basin of comprehensive water pollution con- for which it has planning responsibility is trol and abatement plans for basins. located.' These provisions supplement the EPA

$ 35.215 general grant regulations (40 CFR

Application requirements. Part 30).

An application for a water quality

management planning grant shall be 8 35.201 Authority.

submitted in accordance with 40 CFR These provisions for water quality 30.301 through 30.301-5 to the approplanning grants are issued under section priate Regional Administrator and shall: 3(c) of the Federal Water Pollution

(a) Include a letter from the GoverControl Act, as amended, 33 U.S.C. nor or, when more than one State is in1153(c).

volved, the majority of Governors of the $ 35.202 Definitions.

States, designating the applicant as the

planning agency having primary responAs used herein, the following words

sibility for water quality planning in the and terms shall have the meaning set basin. forth below:

(b) Include a work plan which con. $ 35.202-1 Administrative expenses.

tains the following information:

(1) Explanation of the need for the Approved allowable costs incurred for

planning study. the development of a water pollution

(2) Description of the objectives and control comprehensive basin plan pur

scope of the study. suant to $ 35.225.

(3) Background information on the $ 35.202–2 Basin.

basin and the water pollution problem

in the basin. A planning area. A basin includes, but is not limited to, rivers and their tribu

(4) Description of the manner in taries, streams, coastal waters, sounds,

which the planning study will be con

ducted and the methodology to be used. estuaries, bays, lakes, and portions

(5) Description of the action to be thereof as well as lands drained thereby,

taken by agencies other than the appliand discrete deposits of subsurface water.

cant participating in the study.

(6) Schedule of work to be $ 35.202–3 State.

accomplished. A State, the District of Columbia, the (7) Detailed cost and resource budget. Commonwealth of Puerto Rico, the (8) Identification of anticipated subVirgin Islands, and Guam.

agreements. $ 35.2054 Grant limitations.

(c) Indicate the applicant's capa

bility, including all necessary resources, Water quality management planning grants shall be subject to the following

powers, authority, and jurisdiction to limitations:

develop a water pollution control com(a) No grant may exceed 50 per prehensive basin plan. centum of the administrative expenses of (d) Provide for the continuing parthe planning agency.

ticipation of public and private State, (b) No project period may exceed 3 interstate, local, and (where approyears, beginning with the project com priate) international officials and inmencement date approved at the time of

terests in the basin throughout the planinitial grant award.

ning process. 8 35.210 Eligibility.

(e) Give assurance that the planning To be eligible for a water quality man

program will develop recommendations agement planning grant, a planning

for maintaining and improving water agency must:

quality standards in the basin in ac(a) Be designated by the Governor of cordance with the requirements of the the State or (where the basin includes Federal Water Pollution Control Act.

$ 35.220 Criteria for award.

(f) Recommends administrative and

organization systems and procedures In determining the desirability and extent of funding for a project and rela

necessary to implement the plan. tive merit of an application, considera § 35.230 Reports. tion will be given to the following

$ 35.230–1 Report of project expendi

a criteria:

tures. (a) The severity of the water pollu

No later than 90 days following the tion problem in the basin and the extent to which the proposed planning

end of each budget period, the grantee will contribute to its control;

planning agency shall submit to the (b) The population affected by the Regional Administrator a report of projwater pollution problem in the basin ect expenditures. and the per capita cost of the proposed & 35.230_2 Interim ola planning;

The grant agreement may require the (c) Whether the proposed planning

submission of an interim will provide the opportunity to make

water pollu

tion control comprehensive basin plan substantial advances in the comprehensive, basinwide management of pollu

prior to the end of the project period. tion control;

8 35.240 Continuation grant. (d) The extent of the need in the

To be eligible for a continuation grant basin for more detailed plans or coordi

for a second or third budget period withnated programs, including financial and

in the approved project period, the other institutional arrangements to

grantee planning agency must: complement or carry out comprehensive

(a) Having demonstrated satisfactory basin planning; and

performance during all previous budget (e) The existence and extent of sup

periods; and port by public and private interests in

(b) Submit no later than 30 days prior the basin for water pollution control

to the end of the budget period a conplanning and implementation.

tinuation application which includes a $ 35.225 Water pollution control com detailed progress report, an estimated fiprehensive basin plan.

nancial statement for the current budget Each planning agency receiving a

period, a budget for the new budget pewater quality management planning

riod, and an updated work plan revised grant shall develop and submit to the

to account for actual progress accomRegional Administrator within the ap

plished during the current budget period. proved project period, a water pollution SOLID WASTE PLANNING GRANTS control comprehensive basin plan which:

8 35.300 (a) Is consistent with applicable Fed

Purpose. eral and State water quality standards These provisions establish and codify and objectives;

policies and procedures for grants for (b) Recommends such treatment solid waste planning projects. These proworks and sewer systems as will provide visions supplement the EPA general the most effective and economical means grant regulations (40 CFR Part 30). of collection, storage, treatment, and $ 35.301 Authority. purification of wastes and recommends means to encourage both municipal and

These provisions for solid waste plan

ning grants are issued under section 207 industrial use of such works and

of the Solid Waste Disposal Act as systems;

amended, 42 U.S.C. 3254a. (c) Recommends methods of adequately financing those facilities as may § 35.302 Definitions. be necessary to implement the plan; As used herein, the following words (d) Provides for continuing partici- and terms shall have the mea

and terms shall have the meaning set pation of public and private, State, in

forth below: terstate, local, and (where appropriate) international interests in water quality

§ 35.302–1 Intermunicipal agency. management planning in the basin; and An agency established by two or more

(e) Meets the requirements for water municipalities with responsibility for pollution control planning set forth in planning or administration of solid waste $ 35.150.


$ 35.302–2 Interstate agency.

ment Plan which results in State actions An agency of two or more municipali

to enable regional or local units to finance ties in different States, or an agency es

and manage waste systems efficiently tablished by two or more States, with au

and in a manner protective of the envithority to provide for the disposal of solid

ronment, and recommends alternative wastes and serving two or more munici

State regulatory, financial assistance palities located in different States.

and technical assistance roles with local

units. $ 35.302–3 Municipality.

§ 35.304–2 Special purpose planning. A city, town, borough, county, parish, district, or other public body created by

Special purpose planning concentrates or pursuant to State law with responsi

on how specific components of a solid bility for the planning or administration

waste management system can be develof solid waste disposal, or an Indian tribe.

oped or improved. Examples of special

purpose planning include: $ 35.3024 Solid waste.

(a) Local and regional planning which Garbage, refuse, and other discarded results in closing open dumps and implesolid materials, including solid waste ma menting a new sanitary landfill, and is terials resulting from industrial, com. consistent with any applicable compremercial, and agricultural operations, and hensive solid waste management plan. from community activities, but does not (b) Local and regional planning which include solids or dissolved material in do

results in improved collection service and mestic sewage or other significant pol is consistent with any applicable comlutants in water resources, such as silt, prehensive solid waste management plan. dissolved or suspended solids in indus (c) State planning which results in trial wastewater effiluents, dissolved ma the handling and processing of abanterials in irrigation return flows or other doned or discarded motor vehicles in an common water pollutants.

environmentally sound manner.

(d) State planning which results in a $ 35.302–5 Solid waste disposal.

strategy and methodology for enforcing The collection, storage, treatment, existing State bans on poor solid waste utilization, processing, or final disposal of management practices, e.g., open solid waste.

dumping. $ 35.302–6 State.

§ 35.305 Grant limitations. A State, the District of Columbia, the Solid waste planning grants shall be Commonwealth of Puerto Rico, the Vir subject to the following limitations: gin Islands, Guam, and American Samoa. (a) No grant may exceed 75 percent of

the allowable cost of a project pertaining § 35.304 Solid waste planning projects.

to an area which includes more than one Solid waste planning grants may be municipality. awarded for either or both:

(b) No grant may exceed 6623 percent § 35.304–1 Management planning.

of the allowable cost of a project per

taining to an area which includes only Management planning concentrates on

one municipality. alternative institutional arrangements

(c) No project period may exceed 2 for regulating, operating, and financing

years, beginning with the project coman environmentally sound solid waste management system. Examples of man

mencement date approved at the time agement planning include:

of initial grant award. (a) Local and regional planning which & 35.310 Eligibility, results in the implementation of a selffinanced solid waste agency which will

To be eligible for a solid waste planadequately protect the environment.

ning grant, an applicant must: (b) Local and regional planning which

(a) Be a State, interstate, municipal, results in the establishment of a solid

intermunicipal agency, or organization waste regulatory authority which may composed of public officials which is elithen operate or franchise for collection, gible for assistance under section 701(g) processing, or disposal of solid waste in of the Housing Act of 1954 (40 U.S.C. an environmentally sound manner. 461(g)); or

(c) State planning to develop a com- (b) Have been designated as the sole prehensive State Solid Waste Manage- agency responsible for carrying out the purposes of section 207 of the Solid Waste (d) Indicate provision for active inDisposal Act for the area involved. Desig- volvement of local officials, key managers nation of State agencies is by the Gov- of publicly and privately owned solid ernor: Provided, That local and regional waste agencies and other affected agenapplicants, may be designated by the cies (e.g., public works departments, sanState solid waste management agency itation districts, existing utilities, etc.), designated by the Governor.

local officials, and the general public dur$ 35.315 Application.

ing the entire planning process.

(e) Provide for the assignment of a $ 35.315-1 Preapplication procedures. full-time, qualified project director and

(a) An informal preapplication should other appropriate staff to the project. A be submitted to the appropriate Regional part-time project director may be adeAdministrator prior to formal applica quate for small rural projects. tion.

(f) Schedule conformance to State (b) Such preapplication may be in and local regulations governing solid letter form, must be brief (less than five waste management, e.g., bans on open pages) and should generally include: dumping. Where regulations or ordi

(1) A description of the applicant nances do not exist, assurance must be agency and its jurisdictions;

given that action taken under the grant (2) The proportion of the project de will contribute to the elimination of voted to management planning or special offensive practices harmful to the purpose planning;

environment. (3) The objectives of the project;

(g) Assure that the planning of solid (4) A brief description of the ability waste disposal will be coordinated, with to meet mandatory criteria, the evalua and not duplicate other related State, intive criteria, and the legal requirements. terstate, regional, and local planning

(5) Estimated total costs, schedule of activities, including those financed in the project, expected outputs, and re part with funds pursuant to section 701 quested Federal share.

of the Housing Act of 1954 (40 U.S.C. (c) Preapplications will be reviewed

461). by the EPA Regional Office within 30 days of receipt to determine eligibility

$ 35.320 Criteria for award. and general technical merit.

In determining the desirability and ex(d) Preapplications should be devel tent of funding for a project and priority oped in consultation with State solid

of an application, the Regional Adminwaste agencies and local agencies to be

istrator will consider the following criaffected by the project.

teria: $ 35.315-2 Application requirements.

$ 35.320-1 All applications. An application for a solid waste plan

(a) Priority will be given to managening grant shall be submitted in accordance with 40 CFR 30.301 through

ment planning projects over special pur30.301-5 to the appropriate Regional Ad

pose planning projects. ministrator and shall:

(b) All other factors being equal, pri(a) Include a letter from the Gover ority will be given to applicants supplynor or State solid waste management ing a greater proportion of non-Federal agency designating the applicant as the funding support over those supplying the sole agency responsible for carrying out minimum required non-Federal support. the purposes of section 207 of the Solid (c) Priority will be given to applicaWaste Disposal Act for the area involved. tions which show that data collection is

(b) Include a work plan which con carefully limited to the purposes of the tains the following information:

plan over those which have excessive (1) Explanation and scheduling of the

date collection tasks. tasks to be performed.

(d) Priority will be given to applica(2) Identification of which unit will perform each task.

tions according to the level of progress (3) Estimation of the costs per task.

of their respective State solid waste man(4) Identification of all subagree

agement plans (e.g., progressing satisments.

factorily, completed and accepted by (c) Identify the steps necessary to

EPA, adopted by the Governor). implement the recommendations of the

(e) Priority will be given to plans to plan.

be developed primarily by the applicant's staff over projects relying heavily on con- $35.330-1 Progress reports. tractual outside services.

The grant agreement may require the $ 35.320_2 State applications.

submission of a brief (less than five The following additional criteria will

pages) progress report after the end of apply to State applications:

each quarter of the budget period. This (a) For management planning proj

progress report must show in chart or in

a narrative format the progress achieved ects. (1) Priority will generally be given

on each task in relation to the approved to applications which illustrate an

schedule and project milestones, Special awareness of the management and fi

problems and delays should be explained. nancing options which could be utilized at the State, local, and regional levels.

The more detailed progress report in

cluded with applications for continuation (b) For special purpose planning projects. (1) Priority will be given to States

grants may be used in lieu of a thirdwhich have completed, adopted, and im

quarter report for projects having 1-year plemented a solid waste management

budget periods. plan accepted by EPA.

$ 35.330—2 Report of project expendi(2) Priority will be given to applicants tures. who exhibit a high level of under

No later than 90 days following the standing of the problems to be addressed.

end of each budget period, the grantee $ 35.320–3 Local and regional applica planning agency shall submit to the Retions.

gional Administrator a report of project The following additional criteria will

expenditures. apply to local and regional applications: $ 35.330-3 Final report. (a) Highest priority will be given

The grantee shall submit a final report to applicants who can implement posi

for approval prior to the end of the aptive improvements in solid waste

proved project period. The report shall management. (b) Priority will be given to areawide

document project activities over the en

tire period of grant support and shall planning, that is, planning for an area

present in complete detail all technical which is economically, socially, geographically, and environmentally related

aspects, negative and positive, toward the

achievement of the stated purposes and and which is appropriate for purposes of

objectives, and shall include the plan dea solid waste planning project.

veloped for solution of the solid waste (c) If the applicant cannot directly

management problems. The plan shall implement recommendations of the plan. (1) Priority among management plan

be based upon the project findings, data

analyses, and conclusions, and shall inning projects will be given to applicants

clude specific recommendations for acwho have the following capabilities. (i) Organizational capabilities. State

tion and implementation. The final re

port shall reflect or include EPA comand local ordinances which allow alter

ment. One set of reproducible copy native approaches to solid waste management (e.g., regional solid waste regu

suitable for printing and such other cop

ies as may be stipulated in the grant latory authority, solid waste public or

agreement shall be promptly transmitted private utility, publicly owned and oper

to the Regional Administrator. ated system).

(ii) Financing capabilities. State and $35.340 Continuation grant. local ordinances which regulate solid

To be eligible for a continuation grant waste management functions, such as in

within the approved project period, the cineration, land disposal, and collection.

grantee planning agency must: (2) Priority among special purpose

(a) Have demonstrated satisfactory planning projects will be given to appli

performance during all previous budget cants who have: (i) Shown that the special purpose

periods; and

(b) Submit no later than 30 days prior planning is coordinated with a completed

to the end of the budget period a continsolid waste management plan.

uation application which includes a de(ii) Shown why special purpose plan

tailed progress report, an estimated ning is appropriate, if a comprehensive

financial statement for the current solid waste management plan has not

budget period, a budget for the new been developed.

budget period, and an updated work plan 335.330 Reports.

revised to account for actual progress ac

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