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30.204 Records of grant actions.
30.205 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


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 1-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 Şubagreement. 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.

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 E-Administration and Performance of

Grants 30.600 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. 30.6044 Signs. 30.605 Accounting. 30.605-1 Personnel. 30.606 Audits and inspections. 30.607 Reports.

§ 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 seg.);

(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 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. (36 FR 22716, Nov. 27, 1971, as amended at 37 FR 11650, June 9, 1972] 8 30.103 Publication.

This Regulation is published (in Title 10) in the daily issue of the FEDERAL REGISTER, in cumulated form in the Code of Federal Regulations, and in separate loose-leaf volume form.

8 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. 8 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 "8 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.” & 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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Massachusetts, New Room 2303, Boston, Hampshire, Rhode Mass. 02203.

Island, Vermont. II...

26 Federal Plaza, New Jersey, New

Room 908, New York, Puerto Rico,

York, N.Y. 10007. Virgin Islands. III..... 6th and Walnut, Delaware, District of

Curtis Bldg., Phlla. Columbia, Mary. delphia, Pa. 19106. land, Pennsylvania,

Virginia, West

Virginia. IV...... Suite 300, 1421 Peach- Alabama, Florida, tree St. NE.

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

Carolina, South

Carolina, Tennessee. V...-... 1 North Wacker Dr., Illinois, Indiana, Chicago, IL 60606. Michigan, Minne

sota, Ohio,

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

11th Floor, Dallas, New Mexico, Okla. TX 75201.

homa, Texas. VII..... Room 249, 1735 Iowa, Kansas, MisBaltimore Avenue,

souri, Nebraska. Kansas City, MO

64108. VIII.... Room 900, Lincoln Colorado, Montana,

Tower, 1860 Lincoln North Dakota,
St., Denver, CO South Dakota,

Utah, Wyoming.
IX 100 California

St., San Arizona, California, Francisco, CA

Hawaii, Nevada,

American Samoa,
Guam, Trust Terri-
tories of Pacific
Islands, Wake

X....... 1200 6th Ave.,

Alaska, Idaho,
Seattle, WA 98101.

Oregon, Washington.

§ 30.202 Responsibility of the grantee.

It is the responsibility of the grantee to comply with all the terms and conditions of the grant, to efficiently and effectively manage grant funds within the approved budget, and to complete the project in a diligent and professional manner; this responsibility may be neither delegated nor transferred. The extent to which the Government will monitor grant performance will depend upon a variety of factors. However, neither the extent of monitoring performed by or on behalf of the Government nor the amount of EPA grant assistance shall serve to diminish or shift the responsibility of the grantee. For purposes of this Regulation, an award of a grant shall be deemed to constitute a public trust. This trust is placed in the grantee upon whom the burden of performing the project is principally placed. The personnel of the Environmental Protection Agency must assure that the best interest of the public is served. § 30.203 Grant objectives.

EPA grants are intended to encourage accomplishment of statutory and EPA goals with the minimum administrative requirements necessary to protect the public interest. 8 30.204 Records of grant actions.

An official file shall be established for each EPA grant which shall contain documentation of actions taken with respect to such grant, from application to final disposition. To the extent that retained copies of documents do not represent all significant actions taken, suitable memoranda or a summary statement of such undocumented actions should be prepared promptly and be retained in the grant file. 8 30.205 Comprehensive grants.

A comprehensive grant is a grant funded under more than one grant authority by EPA or an EPA grant awarded in conjunction with one or more Federal agencies. A comprehensive grant shall be awarded and administered pursuant to such conditions and procedures for EPA assistance as the Administrator may direct, which requirements shall comply with this Regulation to the greatest extent practicable.

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

Subpart A Basic Policies $ 30.200 The role of EPA.

The Environmental Protection Agency has a broad mandate to prevent and abate degradation of the environment and to promote environmental enhancement. Grants constitute one of EPA's principal means of achieving these objectives. EPA assistance may be awarded for research, demonstration, training and fellowships, State and local government assistance, or such other programs as will advance the mission of the Agency. $ 30.201 Role of the Administrator.

The Administrator is responsible pursuant to Reorganization Plan No. 3 of 1970 for the administration of the grant activities of the Environmental Protection Agency.

§ 30.206 Foreign grants.

Foreign grants shall be awarded and administered pursuant to such conditions and procedures for EPA assistance as the Administrator may direct, which requirements shall comply with this Regulation to the greatest extent practicable. Grants or agreements entered into with funds under the Special Activities Overseas Program which utilize U.S.-owned excess foreign currencies shall not be subject to the Regulation. § 30.207 Cost sharing.

Cost sharing is mandatory for all projects for which EPA grants are awarded. There must be a contribution by the grantee (see § 30.702) of no less than 5 percent of the allowable actual project costs, except as otherwise required by statute, and provided that in the case of grants for wastewater treatment works contributions by other Federal or State agencies may be credited toward grantee contributions.

Subpart B-Application and Award $ 30.300 Preapplication procedures.

Informal inquiries by potential grant applicants will generally expedite preparation of the grant application documents by the grantee well evaluation of these documents by EPA. Grantees are encouraged, therefore, to make full use of such preapplication procedures as are available through the grant program office. Such procedures will range from informal telephone advice to the potential applicant to briefings of individual potential applicants or classes of applicants. § 30.300-1 Preproposal.

Applications for grants which are received by EPA grant offices but which do not substantially comply with the application requirements of this subchapter may be deemed to be preproposals. The party submitting a preproposal shall be promptly notified by the appropriate grant office (a) that the documents submitted fail to comply with this Regulation; (b) that EPA grant application requirements may be found in this Regulation; and (c) that informal assistance will be rendered upon request to enable the potential applicant to comply with grant application requirements. (36 FR 22716, Nov. 27, 1971, as amended at

37 FR 11650, June 9, 1972; 37 FR 12638,
June 27, 1972)
$ 30.301 Application for grant.

Submittals which substantially com-
ply with this Regulation shall be deemed
to be applications. An application shall
consist of all documents submitted pur-
suant to $ $ 30.301-2 and 30.302-1, includ-
ing the application form, technical docu-
ments and supplementary materials fur-
nished the applicant.
$ 30.301-1 Form.

All applications for EPA grants shall be submitted upon EPA Form 5700-12. Each grant application shall bind the applicant to accept the grant conditions and other requirements of this Regulation; the grantee shall clearly indicate any requested deviations and the justification therefor, in accordance with 8 30.1001. EPA reserves the right to make grant awards in appropriate cases, notwithstanding failure to comply with formal grant application requirements. (36 FR 22716, Nov. 27, 1971, as amended at 37 FR 12638, June 27, 1972] § 30.301-2 Content.

Each application shall include the information set forth below:

(a) Name and address of the applicant;

(b) Date of submission of the application;

(c) Type of applicant (individual; profit, nonprofit, educational, or political organization; other);

(d) Type of project for which a grant award is sought (construction; research; demonstration; training; planning; etc.);

(e) The name, address and telephone number of administrative, financial, and technical personnel who may be contacted by EPA for further information regarding the grant application, for evaluation of the proposal, or for negotiation of a grant award;

(f) Proposed starting and completion dates, expressed either as calendar dates or in relation to award of a grant;

(g) The type (new or continuation) and amount of the grant requested, expressed both as a percentage of the total estimated allowable project cost and dollars;



(h) Proposed budget, including de- $ 30.301-3 Time of submission. tailed cost estimates;

Applications should be submited well (i) Proposed subagreements;

in advance of the desired grant award (j) Names of any other Federal agen

date. Generally grant application proccies to which an application has been

essing requires 90 days. submitted for Federal assistance for all or a part of the project, or an integrally 8 30.301-4 Place of submission. related project; or which is funding the (a) All applications for research, proposed project, any portion thereof,

demonstration, and training grants and or an integrally related project;

fellowships should be addressed to the (k) The period (not less than 90 days)

Grants Administration Division, Enfor which the application proposal is

vironmental Protection Agency, Washvalid, or the date (if any) by which the

ington, D.C. 20460 for the following grant award must be made for the

programs described in the 1971 edition project;

of the Catalog of Federal Domestic (1) Applications for continuation of

Assistance: grant support should be accompanied by an estimate of the amount of unspent,


No. uncommitted funds which will be car

Program ried over beyond the term of the prior

66.002 Air Pollution Fellowships. grant, and shall be accompanied by a

66.003 Air Pollution Manpower Training

Grants. statement comparing expenditures with

66.004 Air Pollution Research Grants. the previously approved project budget

66.005 for each of the categories identified pur

Air Pollution Survey and Demon

stration Grants. suant to paragraph (h) of this section;

66.100 Pesticides Research Grants. (m) A project proposal including ob

66.200 Radiation Research Grants. jectives, strategies, and expected results;

66.201 Radiation Training Grants. required financial, facility, equipment,

66.300 Solid Waste Dem, and Resource Reand manpower resources; and such tech

covery System Grants. nical and other information as may be

66.302 Solid Waste Research Grants. required by Parts 35, 40 or 45 of this

66.303 Solid Waste Training Grants. subchapter;

66.405 Water Pollution Control-Research, (n) Each application containing data,

Dev. and Dem. Grants. including confidential data, which the

66.406 Water Pollution Control-Research applicant desires to be held confidential

Fellowships. and to be used by EPA for evaluation 66.410 Water Pollution Control Training purposes only, shall be marked on the

Grants. cover sheet with the following, or simi- 66.414 Water Hygiene Research Grants. lar, legend:

(b) Applications for EPA grant proData contained in pages.--- of this ap

grams listed below should be transplication shall not be used or disclosed, ex

mitted to the appropriate EPA Regional cept for evaluation purposes, unless such data is obtained from another source with- office, Grants Administration Branch out restriction, Il, however, a grant or con- ($ 30.107): tract is awarded as a result of or in connection with this application, the Government


No. shall have the unlimited right to duplicate,

Program use or disclose such data for any purpose,

66.001 Air Pollution Control Program unless otherwise provided in such grant or

Grants. contract. Such data may be subject to dis- 66.301 Solid Waste Planning Grants. closure pursuant to the Freedom of Infor- 66.400 Wastewater Treatment Works Con. mation Act, 5 U.S.C. 552. Il a grant or con

struction Grants. tract is not awarded as a consequence of 66.401 Water Pollution Control Comprehenthis application, those portions of this ap

sive Basin Planning Grants. plication containing such data shall be rë

66.407 Water Pollution Control State and turned promptly to the applicant no later

Interstate Program Grants. than 6 months after receipt, unless such period of time is extended at the request of the

(36 FR 22716, Nov. 27, 1971, as amended at applicant.

37 FR 11650, June 9, 1972) (0) The signature of a person author

§ 30.301-5 Number of copies of appli.

cation. ized to obligate the applicant to the terms and conditions of the grant, if An original and three copies of each approved.

application shall be submitted.

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