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§ 30.302 Evaluation of applications. 8 30.304–1 Scope.

Each application shall be subjected (a) The policy and procedures established to administrative evaluation to deter- by this section shall be followed to determine the adequacy of the application in mine, prior to award of any grant, relation to this Regulation and (b) to whether a prospective grantee will qualtechnical and program evaluation to de- ify as responsible. termine the merit and relevancy of the

& 30.304–2 General policy. project.

The award of grants to applicants who § 30.302-1 Supplemental information.

are not responsible is a disservice to the Each applicant shall be notified that public, which is entitled to receive full the application has been received and benefit from the award of grants for the is in the process of evaluation pursuant protection and enhancement of the ento this Regulation. The applicant may vironment. It frequently is inequitable to be requested to furnish information or the applicants themselves, who may sufdocuments required by this Regulation fer hardship, sometimes even financial and necessary in order to complete ad- failure, as a result of inability to meet ministrative, program, or technical eval- grant or proje requirements. Moreuation of the application; the applicant over, such awards are unfair to other shall be notified that evaluation will be competing applicants capable of persuspended until such additional informa

formance, and may discourage them tion or documents have been furnished.

from applying for future grants. It is

essential, therefore, that precautions be & 30.302–2 Procedure.

taken to award grants only to reliable Every application shall be evaluated in

and capable applicants who can reasonaccordance with the following procedure:

ably be expected to comply with grant (a) Preliminary administrative evalua

and project requirements. A responsible tion; (b) program relevance;

prospective grantee is one which is found (c)

to meet the minimum standards set forth technical and scientific evaluation; (d)

in § 30.304–3 and such additional standfinal administrative evaluation. At each

ards as may be prescribed and promulstage of the evaluation, such informal

gated for a specific grant program. contact or negotiations as are required

8 30.304-3 Standards. shall be conducted. Technical, scientific and program relevancy evaluation shall In order to qualify as responsible, a be performed by the appropriate pro

prospective grantee must meet the folgram office(s), with the advice of such

lowing standards as they relate to the advisory councils or boards as are re

particular proposed grant under con

sideration: quired by statute or established pursu

(a) Has adequate financial resources ant to this Regulation.

for performance, or has the ability to $ 30.303 Criteria for award of grant.

obtain such resources as required; Each application shall be evaluated in

(b) Has the necessary experience, oraccordance with the requirements and

ganization, technical qualifications, and

facilities, or has the ability to obtain criteria established pursuant to this

them (including proposed subagreeRegulation and promulgated herein.

ments); Program award critera may be found in

(c) Is able to comply with the proParts 35, 40, and 45 of this subchapter.

posed or required completion schedule Grants may be awarded without regard for the project; to nonstatutory criteria in exceptional

(d) Has a satisfactory record of incases, particularly in the case of com

tegrity, judgment, and performance, inprehensive grants: Provided, That the cluding, in particular, performance upon appropriate Regional or Assistant Ad

grants and contracts from the Federal ministrator shall make a written state

Government; ment setting forth the basis for each

(e) Appears to be able to conform to such award, which shall be included

the Equal Opportunity requtrements of within the grant file prior to grant this Regulation; award.

(f) Is otherwise qualified and eligible $ 30.304 Responsible prospective to receive a grant award under appligrantee.

cable laws and regulations.


Acceptable "ability to obtain” financial mencement and completion dates for the resources, experience, organization, project or major phases thereof. In the technical qualifications, skills, and facili- case of State and local assistance grants, ties (see paragraphs (a) and (b) of this the grant shall become effective and section) generally shall comprise a firm shall constitute an obligation of Federal commitment or arrangement to obtain funds in the amount and for the purfinancial resources, experience, organiza- poses stated in the grant agreement, at tion, technical qualifications, skills or the time of approval of the project for facilities.

grant award. In the case of all other EPA & 30.3044 Determination of responsi

grants, the grant shall become effective bility.

and shall constitute an obligation of

Federal funds in the amount and for the No grant shall be awarded to any ap

purposes stated in the grant instrument, plicant unless after adequate and ap- only upon execution of the grant agreepropriate evaluation a determination has

ment by the parties thereto. Except as first been made in writing and included

may be otherwise provided by statute, within the grant file that the applicant

no costs may be incurred prior to the is responsible within the meaning of

execution of the grant agreement by the $$ 30.304–2 and 30.304–3. Any applicant

partics thereto. who is not determined to be responsible shall be notified in writing of such find- & 30.305-3 Effect of grant award. ing and of the basis therefor.

Neither the approval of a project nor $ 30.305 Award of grant.

the award of any grant shall commit or

obligate the United States to award any Generally, within 90 days after receipt

continuation grant or enter into any of a completed application (excluding grant amendment with respect to any suspension periods for submission of

approved project or portion thereof. supplemental information), the application will be (a) approved for grant

& 30.306 Continuation grants. award; (b) deferred due to lack of fund- Upon written application and after reing or other specified reason; or (c) dis- ceipt of such progress, fiscal or other reapproved. The applicant shall be ports as may be required pursuant to promptly notified in writing of any de- this Regulation, a continuation grant ferral or disapproval. A deferral or dis- may be awarded in accordance with this approval of an application shall not pre- Subpart B upon a finding by the Grants clude its reconsideration or a reapplica- Officer that the progress made during tion. The applicant shall not be notified the budget period warrants continuation of an approval for grant award prior to within the project period. transmittal of the grant agreement for execution by the applicant pursuant to

Subpart C-Grant Conditions $ 30.305–2.

8 30.400 General. (36 FR 22716, Nov. 27, 1971, as amended at

All EPA grants shall be subject to ap37 FR 11650, June 9, 1972)

plicable statutory provisions, to require$ 30.305-1 Amount and term of grant. ments imposed pursuant to Executive The amount and term of a grant shall

orders, and to the Grant Conditions set be determined by the Administrator or

forth in this subpart or in Appendix A his authorized representative at the time

to this subchapter. Additional special of grant award.

conditions necessary to assure accom

plishment of the project or of EPA ob§ 30.305–2 Grant agreement.

jectives may be imposed upon any grant Upon approval of a grant for award, or class of grants by agreement with the the grant agreement will be transmitted grantee. by certified mail (return receipt re

$ 30.401 Statutory conditions. quested) to the applicant for execution. The grant agreement must be executed

All EPA grants are awarded subject to by the applicant and returned to the

the following statutory requirements, in Grants Officer within 3 weeks after re

addition to such statutory provisions as ceipt, or within any extension of such may be applicable to particular grants time that may be granted by the Grants

or grantees or classes of grants or Officer. The grant agreement shall set grantees. forth the approved project work, ap

(a) The National Environmental Polproved budget and the approved com- icy 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 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 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-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)

§ 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 seg., 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 pal or exclusive rights to any invention conditions.

made under the grant or contract. GenIn addition to such other remedies as

erally this is implemented by the United

States taking all domestic rights to such may be provided by law, in the event of

invention. However, section 1(a) permits noncompliance with any condition imposed pursuant to this Regulation, a

that in exceptional circumstances, the grant may be annulled and all EPA grant

grantee may acquire greater rights than funds recovered or it may be terminated

a nonexclusive license at the time of pursuant to Article 5 of the Grant Con

grant award where the Administrator

certifies that such action will best serve ditions (Appendix A), the project work

the public interest. Section 1(a) also premay be suspended pursuant to Article 4

scribes circumstances under which the of the Grant Conditions, an injunction

grantee or contractor may acquire such may be entered by an appropriate court, or such other action may be taken by the

greater rights after an invention is

identified. Grants Officer as the Administrator shall

(b) Under section 1(b) of the Statedirect: Provided, That no such action

ment the grantee normally acquires prinshall be taken without prior consultation with the grantee.

cipal rights at the time of grant award.

(c) Section 1(c) applies to grants that Subpart D-Patents, Data, and are not covered by section 1(a) or 1(b), Copyrights

and provides that allocation of rights is

deferred until after inventions have been $ 30.500 Patents and inventions.

identified. $ 30.500-1 Scope.

8 30.502 Required patent provision. This subpart sets forth (a) policy and Every EPA grant or fellowship involvprocedures regarding patents, data and ing research, developmental, or expericopyrights under EPA grants or fellow- mental work shall be deemed subject to ships involving experimental, develop- section 1(a) of the Statement and shall mental or research work, and (b) the include the patent provisions set forth grant clauses and regulations which de- in Appendix B to this subchapter. fine and implement said policy.

& 30.503 Request for rights to identi$ 30.500-2 Definitions.

fied inventions. Definitions applicable to this Subpart A grantee or fellow may address a reD, in addition to those set forth in quest for rights to a reported invention $ 30.1000, are set forth in Appendix B to to the Grants Officer pursuant to any this subchapter.

of the terms of the patent provisions § 30.501 General.

(Appendix B). It is the policy of EPA to allocate rights

$ 30.504 Data and copyrights. to inventions that result from federally $ 30.504–) General. supported grants or fellowships that in

EPA's data policy is to expedite genvolve, or are likely to involve, research,

eral utilization or further development, developmental or experimental work, in

of new or improved pollution prevention accordance with the guidance and cri

and abatement technology and proceteria set forth in the Statement of Gov

dures developed under EPA grants and ernment Patent Policy by the President

fellowships. Therefore, it is most imporof the United States on August 23, 1971

tant that the results of EPA sponsored (36 F.R. 16887) (hereinafter referred to

research include data that is sufficient as “Statement"). The Statement sets

to enable those skilled in the particular forth in section 1 thereof three major

area to promptly utilize or further decategories (1(a), 1(b), and 1(c)) of con

velop such technology and procedures. tract or grant objectives, and prescribes

Availability of adequate data permits the manner for allocation of rights to

accurate assessment of the progress inventions that result from a grant or

achieved under a grant or fellowship so contract which falls within the particular

that EPA priorities can be established. category. (a) Under section 1(a) of the State

& 30.504–2 Required provision. ment, the United States, at the time of Every EPA grant or fellowship involvgrant award, normally acquires or ing research, developmental or experireserves the right to acquire the princi- mental work shall include the rights in

data and copyrights provisions set forth $ 30.602-1 Retention. in Appendix C to this subchapter.

An amount not to exceed ten percent § 30.505 Deviations.

(10%) of the EPA grant funds may be Any request for deviation from the pat

withheld until the grantee has complied ent provisions in Appendix B to this sub

with all grant conditions, including the chapter and from the rights in data and

patent provisions (Appendix B), and copyrights provisions in Appendix C to

with such other requirements as may be this subchapter must be submitted in

imposed pursuant to this Regulation, inwriting pursuant to § 30.1001.

cluding the submission of reports. Subpart Administration and

$ 30.603 Grant related income. Performance of Grants

Income derived from & project, in

cluding proceeds from the sale or dis& 30.600 General.

position of assets (see $ 30.800–3), durThe primary responsibility for ad- ing the period of EPA support until final ministration of & grant must remain with

settlement (see $ 30.802) shall be credthe grantee, who is responsible for the

ited to the EPA grant payments in a success of the project for which the proportion equal to the ratio of the EPA grant was made. Although grantees are

grant to total project costs. Equitable encouraged to seek the advice and opin

title to interest or dividends earned or ions of EPA on problems that may arise,

paid upon any deposit or investment by the giving of such advice shall not shift

the grantee of grant funds shall vest in the responsibility for final decisions to

the United States, except where the EPA. The primary concern of EPA is

grantee is a State (in accordance with that granted funds be used to achieve the

OMB Circular No. A-102). Except as objectives of the grant project in a man

otherwise provided in this Regulation or ner that will accord with program ob

in the grant agreement, such interest or jectives and will make a maximum con

dividends and refunds, rebates, and roytribution to the betterment of the en

alties from copyrights and patents shall vironment. Grantees and those assist

be credited to the grant payments and ing them on project work must direct

fully accounted for by the grantee. State their efforts to this end.

and local governments are not account

able for income earned by a facility in & 30.601 Adherence to original budget which the Federal financial participation estimates.

was limited to assistance in developing, Expenditures shall follow the cost al

constructing, or equipping the facility. locations (i.e., by budget line item or

136 FR 22716, Nov. 27, 1971, as amended at program elements) of the approved

37 FR 11651, June 9, 1972) budget. The Grants Officer shall be noti- § 30.604 Grantee publications and pub. fied of fund transfers among budget cost

licity. components (rebudgeting) pursuant to & 30.604-1 Publicity. $ 30.900.

Press releases and other public dissem$ 30.602 Payment.

ination of information by the grantee EPA grant funds shall be paid in ad

shall acknowledge EPA grant support of

the project. vance or by way of reimbursement for allowable project costs, in the manner

$ 30.604–2 Publications. provided by this subchapter and in the Grantees shall give notice in writing grant agreement. Payments may be made to the Grants Officer at least 30 days, periodically and shall be based upon or such shorter period as the Grants estimated requirements or actual costs. Oficer may allow, prior to the publicaSuch payments may be increased or de- tion or other dissemination of informacreased by the amount that prior pay- tion (other than publicity) resulting diments are less than or exceed the EPA rectly or indirectly from a grant supshare of the costs of the project. All pay- ported activity. Any such written pubments will be recorded by the grantee in lication shall acknowledge Federal separate fund accounts which identify grant assistance by including a statesuch grant funds and their disposition. ment substantially as follows: "This (36 FR 22716, Nov. 27, 1971, as amended at project has been financed in part with 37 FR 11650, June 9, 1972)

Federal funds from the Environmental

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