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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 responsibility.

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.

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

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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 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-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.

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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

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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.

§ 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 identified 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

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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.

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EPA grant funds shall be paid in advance or by way of reimbursement for allowable project costs, in the manner provided by this subchapter and in the grant agreement. 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. [36 FR 22716, Nov. 27, 1971, as amended at 37 FR 11650, June 9, 1972]

§ 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-102). 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.

[36 FR 22716, Nov. 27, 1971, as amended at 37 FR 11651, June 9, 1972]

§ 30.604 Grantee publications and publicity.

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Where project work is visible to the public, the grantee shall erect and suitably display such informational sign(s) as the Grants Officer may approve to identify the project and EPA grant support.

§ 30.605 Accounting.

Accounting for project funds (including receipts, grantee contributions, and expenditures) will be in accordance with generally accepted accounting principles and practices, consistently applied, regardless of the source of funds. Supporting records of grant expenditures must be recorded in sufficient detail to show that grant funds were used for the purpose for which the grant was made. § 30.605-1 Personnel.

Salaries and wages, whether treated as direct costs or allocated as indirect costs, will be supported by appropriate time distribution records.

§ 30.606 Audits and inspections.

Grant records are subject to audit and inspection by the Comptroller General of the United States and EPA in addition to other audit and inspections provided for in the grant agreement or this Regulation.

30.607 Reports.

Grantees shall prepare and submit to the Grants Officer an acceptable final report and such progress, financial and other reports relating to the conduct and

results of the approved project as may be specified in the grant agreement. Failure to submit reports required by the grant agreement or this Regulation may result in (a) retention of grant funds (see § 30.602-1), (b) suspension or termination of the grant, (c) a finding of nonresponsibility for future grant awards (see § 30.304), or (d) such other action as the Grants Officer may be authorized to take.

Subpart F-Expenditures by Grantee § 30.700 Use of funds.

All Federal assistance received under EPA grants shall be expended by the grantee solely for carrying out the approved project in accordance with the terms of the grant agreement and this Regulation. The grantee may not delegate or transfer his responsibility for the use of such funds.

§ 30.701 Allocation and allowability of

costs.

Except as otherwise provided by statute, allocation and allowability of costs will be governed in the case of grants to educational institutions by the provisions of Office of Management and Budget (OMB) Circulars Nos. A-21 (Revised), and A-88, and in the case of grants to State and local governments by the provisions of OMB Circular A-87. All other grants shall be governed by the policies and principles established in the Federal Procurement Regulations, Title 41, Code of Federal Regulations, Chapter 1, Subpart 1-15.2 to the greatest practicable extent.

§ 30.702 Cost sharing.

In addition to direct and in-kind contributions, the grantee's cost share (see § 30.207) may include allowable indirect costs. The grantee must maintain records to adequately evidence the required costsharing contribution in relation to actual allowable project costs.

Subpart G-Grantee Accountability § 30.800 Equipment, materials, or supplies.

Except as may be otherwise provided by law or in this Regulation or in the grant agreement, title to movable or fixed equipment, materials, or supplies (materials) shall vest in the grantee, subject to such equitable interest in the United States as may be provided for in this Regulation or in the grant agreement.

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