87-23 v RESOLUTION NO. 87-23
A RESOLUTION OF THE CITY COMMISSION
CITY OF ATLANTIC BEACH, FLORIDA, PERTAINING TO THE
ACCEPTANCE OF FEDERAL GRANT OFFER BY THE
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
FOR
MAJOR SEWER REHABILITATION
CONSTRUCTION GRANT ASSISTANCE
WHEREAS, the Board of City Commission of the City of Atlantic Beach,
with the assistance of the engineering firm of Smith and Gillespie Engineers,
Inc. , has determined that it is necessary to undertake a Major Sewer
Rehabilitation program in Section "A" of the City. And,
WHEREAS, the City of Atlantic Beach has applied to the United States
Environmental Protection Agency for a federal grant in the amount of $85,450
which represents fifty-five (55) percent of the Environmental Protection
Agency (EPA) eligible cost. And,
WHEREAS, the City of Atlantic Beach has been notified that the Florida
Department of Environmental Regulation has accepted the plans and specifications
entitled "Major Sewer Rehabilitation," as prepared and submitted by Smith
and Gillespie Engineers, Inc. , effective as of April 9, 1987. And,
WHEREAS, the City of Atlantic Beach has received an offer dated June
29, 1987, of a federal grant in the amount of $85,450 for construction of
said project in accordance with the provisions of the Federal Water Pollution
Control Act as amended, representing fifty-five (55) percent of the
Environmental Protection Agency (EPA) eligible costs.
WHEREAS, said City desires to forthwith accept said offer and proceed
with construction of said improvements,
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COMMISSION OF THE CITY OF
ATLANTIC BEACH, FLORIDA:
Section 1. The City of Atlantic Beach, Florida, does hereby accept the
U.S. Environmental Protection Agency (EPA) Offer of Federal Grant in the
amount of $85,450.00 for Step III construction of the Major Sewer
Rehabilitation.
I
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Section 2. The City Manager is hereby authorized and directed to
accept said Officer of Federal Grant and make the assurances contained
therein and provide reasonable requested or required information to the
regulator agencies on behalf of the City of Atlantic Beach, Florida.
Section 3. The City Manager is hereby authorized and directed to give
to Smith and Gillespie Engineers, Inc. , Consulting Engineers, notice to
proceed with implementing said projects as set forth in the Step III
applications and therein requirements of the EPA Offer of Federal Grant to
the City of Atlantic Beach, Florida.
Section 4. This resolution shall go into effect immediately upon its
passage and adoption and authentication by the signatures of the Mayor and
the City Clerk.
Section 5. All Resolutions in conflict herewith be and are hereby
repealed.
APPROVED AND ADOPTED by the Board of City Commission of the City of
Atlantic Beach, Florida, at a meeting held this 13th day of July 1987.
Mayor
ATTEST:
City Clerk
APPROVED AS TO FORM:
4141!
City Attorney
111/
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' 4 U.:.... ENVIRONMENTAL PROTECTION AGENCY C120747-Ub-U L
. EPA ASSISTANCE AGREEMENT/AMENDMENT 3. OAT R WARg987 4.MAILING DATE
• PART I I.ASSISTANCE NOTIFICATION INFORMATION i1YN 1 I JUN 2 9 1987
5.AGREEMENT TYPE 6.PAYMENT METHOD
C000erativ m
Agr.. .nt ❑ Advnc• ® R.Imbure.m.nt ❑ Lotter of Credit
Grant Agreement X Send Payment Request To: 7.TYPE OF ACTION
AssIst.nc•Am•ndment Financial Management Continuation
8. RECIPIENT 9.PAYEE
City of Atlantic Beach Same as #8
o Post Office Drawer 25
a Atlantic Beach, Florida 32233
N
a FY: October 1 - September 30
gc EIN NO. CONGRESSIONAL DTTTIZT 10. RECIPIENT TYPE
59-6000267 4 Municipality
W 11. PROJECT MANAGER AND TELEPHONE NO. 12. CONSULTANT(WWT Construction Grants Only)
WRichard C. Fellows, City Manager Smith and Gillespie Engineers, Inc.
904/249-2395 Post Office Box 53138
Jacksonville, Florida 32201
904/743-6950
13. ISSUING OFFICE (City/Stott) 14. EPA PROJECT/STATE OFFICER AND TELEPHONE NO.
Water Management Division Richard W. Smith, P.E. , Acting Chief
;5. Environmental Protection Agency Bureau of Wastewater Management and Grants
Region IV Department of Environmental Regulation
0 345 Courtland Street, Northeast 2600 Blair Stone Road
a Atlanta, Georgia 30365 Tallahassee, Florida 32399-2400 904/488-8163
a.
W 15. EPA CONGRESSIONAL LIAISON & TEL NO. 16.STATE APPL 10 (Clearinghouse) 17. FIELD OF SCIENC 18. PROJECT STEP(WWT CG
Pat Gaskins 202-382-5184 NA NA. Only) 3
19.STATUTORY AUTHORITY 20. REGULATORY AUTHORITY 21.STEP 2 +3 &STEP 3 (WWT Construction Only)
PL 92-500 as amended 40 CFR 35 a.Treatment Levi INA I
Title II , Section 201 Subpart I b. Project Type MOD I
c.Treatment Process I NA
IC.Sludge D.•I9n I NA I
22.PROJECT TITLE AND DESCRIPTION
This project consists• of structural sewer rehabilitation work in portions of
Subsystem A of the City of Atlantic Beach collection system. See Attachment A
for complete description.
23.PROJECT LO CATION (Arcus Impacted by Project)
City/Piece I County I State Congressional DistrIct
Atlantic Beach Duval FL 4
24.ASSISTANCE PROGRAM(CFDA Pro>rram No. & Title) 25.PROJECT PERIOD 26. BUDGET PERIOD
66.418 Const. Grants for WWTW - 4/30/88 - 4/30/88
27. COMMUNITY POPULATION (WWT CG 28.TOTAL BUDGET PERIOD COST 29.TOTAL PROJECT PERIOD COST
Only). 9,000
NA $155,364
FUNDS L FORMER AWARD I THIS ACTION AMENDED TOTAL
30. EPA Amount This Action NA 85,450 NA
31. EPA In-Kind Amount NA NA NA
32. Unexoended Prior Y•er Blanca I NA NA NA
33.Other F.o.r,l Fund, I NA NA I NA
34. Redolent Contribution NA 69,914 j NA
35.Stat.Contrloutlon I NA I NA I NA
36. Local Contribution NA I NA I NA
37. Other Contribution NA I NA ] NA
38. Allowable Frolics Cost NA 155,364 ) NA
Program Ei.m•nt FY Aoprooriatlon Doc.Control No. Account Number Object Cl... Obligation/Deobhg. Amount
J
. GRAW80 86 68X0103.J F40015 NGRA042002 41. 11 85,450
I
EPA Form 5700-20A (Rev. 5-32) Redleces Orevidus rd.tions end EPA Forts 5700-1A. B.C.ano D.all or wnicn are ooso.ete.
PART II-APPROVED BUDGET ASSISTANCE IOENTIF,CATION NO. C120747-I16.:0
TABLE A - OBJECT CLASS CATEGORY TOTAL APPROVED ALLOWABLE
BUDGET PERIOD COST
(Non-construction)
1. PERSONNEL
2. FRINGE BENEFITS
3. TRAVEL
4. EQUIPMENT
5. SUPPLIES
6. CONTRACTUAL
7. CONSTRUCTION
8. OTHER
9. TOTAL DIRECT CHARGES
10. INDIRECT COSTS: RATE 7. BASE
II. TOTAL (Share: Recipient. %. Federal %)
12. TOTAL APPROVED ASSISTANCE AMOUNT NA
TABLE B - PROGRAM ELEMENT CLASSIFICATION
(Non-construction)
2.
3.
4.
S.
6.
7.
8.
9.
10.
I1.
12. TOTAL (Shore: Recipient %. Federal %) •
13. TOTAL APPROVED ASSISTANCE AMOUNT S NA
TABLE C - PROGRAM ELEMENT CLASSIFICATION
(Construction)
I. ADMINISTRATION EXPENSE 4,815
2. PRELIMINARY EXPENSE -0-
3. LAND STRUCTURES. RIGHT-OF-WAY -0-
4. ARCHITECTURAL ENGINEERING BASIC FEES 7,704
S. OTHER ARCHITECTURAL ENGINEERING FEES 4,815
6. PROJECT INSPECTION FEES 28,890
7. LAND DEVELOPMENT -0-
8. RELOCATION EXPENSES
9. RELOCATION PAYMENTS TO INDIVIDUALS AND BUSINESSES -0-
10. DEMOLITION AND REMOVAL
11. CONSTRUCTION AND PROJECT IMPROVEMENT 92,048
12. EQUIPMENT -0-
-p
13. W14'64,6044EGIJS Design allowance 7,887
14. TOTAL (Lines 1 thru 13) 146,159
15. ESTIMATED INCOME(II applicable) -0-
16. NET PROJECT AMOUNT (Line 14 minus 15) 146,159
17.LESS: INELIGIBLE EXCLUSIONS -O
18. ADD: CONTINGENCIES 9,205
19 TOTAL (Shore: Recipient, 45 %. Federal 55 %) 155,364
20.,TOTAL APPROVED ASSISTANCE AMOUNT $ 85,450
PAGE 2 OF 4
EPA Form 5700-20A (Roy. 8-79)
PART III—AWARE) GUNUII IONS C120/47-06-0
a. GENERAL CONDITIONS
The recipient covenants and agrees that it will expeditiously initiate and timely complete the project work for
which assistance has been awarded under this agreement, in accordance with all applicable provisions of 40 CFR
Chapter I, Subpart B. The recipient warrants, represents, and agrees that it, and its contractors, subcontractors,
employees and representatives, will comply with: (1) all applicable provisions of 40 CFR Chapter I, Subchapter B,
INCLUDING BUT NOT LIMITED TO the provisions of Appendix A to 40 CFP Part 30, and (2) any special
conditions set forth in this assistance agreement or any assistance amendment pursuant to 40 CFR 30.425.
b. SPECIAL CONDITIONS:
(For cooperative agreements include identification or summarization o1 EPA responsibilities that reflect or
contribute to substantial involvement.)
1 . The grantee agrees to submit, immediately after execution, a copy of all contracts (A/E
and Construction) associated with this grant. The contract documents are required in
order to process grant payments and change orders.
2. EPA reimbursement for engineering fees will be limited to 30% of the total eligible
engineering fees until the DER approves the contract for engineering services.
3. Estimated eligible construction costs were determined to be $92,048 or 96.3% of total
construction costs of $95,548. This factor, applied to relevant line items of the
approved application budget, yields the following:
Administration $ 5,000 x 96.3% = $ 4,815
Basic engineering 8,000 x 96.3% = 7,704
Other engineering 5,000 x 96.3% = 4,815
Project inspection 30,000 x 96.3% = 28,890
4. One year after the date of initiation of operation of project facilities, the
grantee agrees to certify to the following performance standards:
Work is to be performed in accordance with the accepted plans and
specifications.
Rehabilitated sewers are to be structurally sound and free of any major
defects or obstructions.
Infiltration/exfiltration for replaced sewers is not to exceed 50
gallons/inch-diameter/mile/day.
NOTE: The project's ability to meet performance standards is to be
evaluated using field measurements obtained under operating
conditions.
5. The grantee agrees to submit at least one interim progress report summarizing the
results of data collected, observations made and resources expended during that portion of
the twelve-month operational period prior to performance certification. The final report
shall summarize the remaining portion of the operational period prior to certification.
6. The design allowance was calculated at 8.5683% of the estimated eligible building
costs of $92,048 pursuant to 40 CFR 35, Appendix B, Table 2, dated February 17, 1984.
7. The grantee agrees to comply with the provisions of OMB Circular A-128 governing the
audit of state and local government and Indian tribe federal assistance recipients for
fiscal years beginning after December 31 , 1984. (This requirement replaces
40 CFR 30.540(b) which is based on OMB Circular A-102, Attachment P. )
EPA Peels 5700-20A (Re.. 1-79) PAGE 3 Or
ASSISTANCE IDENTIFICATION No._C120747-06-0
b. SPECIAL CONDITIONS(Continued) ,
8. The grantee agrees to comply with the following project schedule:
Advertise bids July 1987
Open bids August 1987
Award construction contract September 1987
Initiate construction October 1987
Complete construction April 1988
Initiate operation May 1988
Certify project performance May 1989
PART IV
NOTE: The Agreement must be completed in duplicate and the Original returned to the Grants Administration
Division for Headquarters awards and to the appropriate Grants Administrations Office for State and local
awards within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA.
Receipt of a written refusal or failure to return the properly executed document within the prescribed time, may
result in the withdrawal of the offer by the Agency. ,Any change to the Agreement by the recipient subsequent
to the document being signed by the EPA Award Official which the Award Official determines to materially
alter the Agreement shall void the Agreement.
OFFER AND ACCEPTANCE
The United States of America, acting by and through the U.S. Environmental Protection Agency (EPA), hereby offers
assistance/amendment to the City of Atlantic Beach
RECIPItNr ORGANIZAYION
9or % of all approved costs incurred up to and not exceeding S 85,450
A5I TANCE AMOUNT
for the support of approved budget period effort described in application (including all application modifications)
Construction Grant Application dated April 1987 included he,ein by reference.
DAT,: AND T TLE
ISSUING OFFICE (Grants Administration Office) AWARD APPROVAL OFFICE
ORGANIZATION/ADDRESS ORGANIZATION/ADDRESS
U.S. Environmental Protection Agency Regional Administrator
Region IV, Water Management Division Environmental Protection Agency, Region IV
345 Courtland Street, NE 345 Courtland Street, NE
Atlanta, Georgia 30365 . Atlanta , Georgia 30365
THE UNITED STATES OR AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNAT E 0F AR 0 FICIAL TYPED NAME AND TITLE
(4 AJack E. Ravan, Regional Administrator DA'IN2
2 1987
1
This Agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance
regulations. In accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned
represents that he is duly authorized to act on behalf of the recipient organization, and (2, the recipient agrees
(a) that the award is subject to the applicable provisions of 40 CFR Chapter I, Subchapter B and of the provisions
of this agreement (Parts I thru IV), and (b) that acceptance of any payments constitutes an agreement by the payee
that the amounts, if any found by EPA to have been overpaid will be refunded or credited in full to.EPA.
BY AVD—ON-BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
SIGNATva TYPED NAME AND TITLE DATE
(s(J 2A-� Richard C. Fellows , City Manager 7 —tkl —x7
EPA Form 5700-20A (Ror. 8-79)
PAGE 4 OR 4
C120747060
City of Atlantic Beach
Attachment A
Project Description
This project consists of structural sewer rehabilitation work in portions of
Subsystem A of the City of Atlantic Beach collection system. Specifically, the
project includes:
1 . Excavation and point repair of approximately 835 linear feet of gravity sewer
pipe ranging in diameter from 8 to 12 inches;
2. Replacement of approximately 560 linear feet of 8-inch-diameter gravity sewer
pipe;
3. Replacement of 7 wye connections;
4. Replacement of approximately 1 ,000 linear feet of 6-inch-diameter service pipe.
Item 4 is ineligible for funding. Items 1 through 3 are 100 percent eligible as
replacement will not provide increased capacity.
STANDARD CONDITIONS FOR STEP III •
PL 92-500, as amended - Title II
GRANTS FOR CONSTRUCTION OF TREATMENT WORKS
A. GENERAL
1. The grantee shall canply with all provisions of the following regulations
and all applicable rules, regulations, and procedures prescribed pur-
suant thereto:
a. 40 CFR, Part 35, Subpart I as published 2/17/84.
b. 40 CFR Part 30.
c. Title VI of the Civil Rights Act of 1964, as amended.
d. Executive Order 11246, as amended.
e. 40 CFR, Part 4, Implementing the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970.
f. 40 CFR, Part 25, Public Participation Requirements.
g. 40 CFR, Part 403, Pretreatment Requirements.
h. 40 CFR, Part 6, Implementing the National Environmental Protection
Act.
i. 40 CFR, Parts 7, & 12 combined & 8 on nondiscrimination and equal
employment opportunity.
j. 40 CFR Part 29, Intergovernmental Review.
k. 40 CFR, Part 32, Debarment.
1. 40 CFR, Part 33, Procurement.
m. OMB circulars A-102 and A-87.
n. 40 CFR, Part 260-265, 122-124 published May 19, 1980, Hazardous
Waste and Consolidated Permit Regulation.
o. 40 CFR, Part' 257 published September 13, 1979, as amended, Criteria
for Classification of Solid Waste Disposal Facilities and Practices;
Final and, Interim Final.
Revised March 1985
- 2 -
p. 40 CFR Parts 60 and 61, Air Pollution Control as applicable to
Disposal of Municipal Sludge.
q. 40 CFR, Part 761.10 (a) (5) published May 31, 1979, Polychlorinated
Biphenyls (PCB) , Criteria Modification Hearing (Disposal of POTW
Sludge containing PCB under The Toxic Substance Control Act of
1976).
r. 40 CFR, Parts 122 - 125, National Pollution Discharge Elimination
System.
2. By acceptance of the grant, the grantee agrees to pay the non-federal
project costs and commits itself to complete the treatment works in
accordance with the facilities plan, plans and specifications, and
related grant documents approved by the Regional Administrator, and to
maintain and operate the treatment works to meet the enforceable
requirements of the Act for the design life of the treatment works, as
required by 40 CFR 35.2180 and 35.2214.
3. Resource Conservation and Recovery Act of 1976, Subpart C, Hazardous
Waste Management:
a. Municipal sewage sludge are potentially subject to the requirement
of the hazardous waste regulation promulgated on May 19, 1980, For
new facilities, the grantee is obligated to determine if the sludge
qualifies as a hazardous waste in accordance with the procedures
set forth in Section 262.11. If the sludge is determined to be
hazardous (fails any of the characteristic tests - Section 261,
Subpart C) you must motify EPA/State of the hazardous waste activi-
ties (generator 262.12, transporter/storage (over 90 days) disposal
- 264.11 or 265.11 (interim) . In addition, you must apply for a
Part A and B RCRA permit for the HW treatment, storage (over 90
days) and/or disposal 180 days prior to physical construction.
b. The grantee shall comply with 40 CFR 122.26(c) , Permit by Rule, for
Public Own Treatment Work's (POTW's) if hazardous waste is received
for treatment, storage (over 90 days) , and/or disposal via truck,
rail, ship or sewer pipe specifically designated for industrial
waste.
4. All measures required to minimize water pollution to affected waters
shall be employed in the construction of the facilities including com-
pliance with Section 404 of PL 92-500, as amended. The approval of
federal project 'for federal financial assistnce does not constitute ,
federal sanction or approval of any changes or deviations from estab-
lished water quality standards, criteria, or implementation dates, or
form dates establsihed by applicable enforcement proceedings.
Revised March 1985 •
. - 3 -
5. The grantee agrees to establish and maintain the financial manage-
ment system that adequately accounts for revenues and expenditures
as required by 40 CFR 35.2214 and 35.2140.
6. No portion of this award may be used for lobbying or prapaganda
purposes as prohibited by USC Section 1913 or Section 607(c) of
Public Law 96-74.
7. It is the responsibility of the grantee to provide the treatment
and operating expertise to provide a discharge which will meet the
effluent criteria of the grantee's NPDES permit. The grantee must
comply with Section 402, PL 92-500, as amended, and the implementing
regulations 40 CFR 122 - 125.
8. The grantee shall comply with the provision of Section 504 of the
Rehabilitation Act of 1973, as amended (29 USC #749). The grantee
shall comply with 40 CFR 7 published 1/12/84 in regard to employing
the handicaped and the provision for assessability in new construc-
tions 40 CFR 7.70.
9. The grantee shall comply with applicable portions of the Clean Air
Act and the Federal Water Pollution Control Act (See 40 CFR 30.600
(a) & (d) , 40 CFR 33.1020, 40 CFR 60 and 40 CFR 61.
10. Subagreements:
The grantee agrees to submit documentation for proposed procurement
actions under this grant for A/E services and construction contracts
for State/EPA approval prior to contract award, if the grantee's
procurement system does not at any time during the project period,
meet the intent of the requirements of 40 CFR 33 and 40 CFR 2212(d) .
11. Access:
The grantee must insure that EPA, the State and U. S. Army Corps of
Engineers representatives will have access to the project work when-
ever it is in preparation or progress. The grantee must provide
proper facilities for access and inspection. The grantee must allow
the Regional Administrator, the Comptroller General of the United
States, the State agency, or any authorized representative, to have
access to any books, documents, plans, reports, papers, and other •
records of the contractor which are pertinent to the project for the
purpose of making audit, examination, excerpts, copies and transcrip-
tions.
12. The grantee and all contractors for the project shall retain all
project records for these (3) years following final payment of the
final Step 3 grant or for such other period as the Administrator may
•
prescribe pursuant to 40 CFR 30.501, Records on nonexpendable per-
sonal property and real property must be kept for 3 years from the
date of final disposition of the property.
Revised March 1985
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If litigation, a claim, an appeal or an audit is begun before the
end of the 3 year period, all records must be kept for 3 years or
until litigation, appeal, claim or audit is complete and resolved
whichever is longer.
13. Mandatory Dates for Project and Contract Completion:
The grantee must cause the scope of work identified in and funded by
this grant agreement to be completed within the project period
defined in blocks 25 and 26 of this grant agreement. The grantee
must require all contractors to satisfactorily complete all work
within the time stated in the executed contract (subagreement) .
Exception: In the event situations occur which require an extension
of the project and budget periods, the Regional Administrator, upon
submission of a justified request, may grant an extension. Extension
of any contract completion date must be approved by the EPA/State
Project Officer. Additional costs incurred as the result of a time
extension, not receiving prior EPA approval, are not eligible for
participation. See mandatory schedule for this project included
in the "Special Conditions".
14. Civil Rights and Labor Standards Requirements and use of MBE, WBE
and Small Businesses:
a. Positive efforts shall be made by grantees and their consultants
and contractors to utilize small businesses, minority-awned bus-
inesses and women-owned businesses for sources of supply and
services. Such efforts should allow thses sources the maximum
feasible opportunity to compete for subagreements and contracts
to be performed utilizing EPA grant funds. Documentation of
efforts made to utilize minority and women-owned firms must be
maintained by all applicants/grantees, consulting firma and
construction contractors, as set forth in 40 CFR 35.2104 (d) and
33.240 (See Condition D.4) .
b. The grantee shall submit directly to EPA each quarters the
"Recipients Report," form 6005-1, reporting minority and women's
Owned business utilization on the project.
•
c. The grantee shall not award contracts to any firm that has been
debarred for noncompliance with the Federal Labor Standards,
Title VI of the Civil Rights Act of 1964, as amended, or Execu-
tive Order 11246, as amended or that appears on EPA's list of
debarred firms. The grantee shall also comply with 40 CFR 32.
d. The grantee shall require all prime construction contractors, as
part of their bid, to certify that subcontracts have not and will
not be awarded to any firm that has been debarred for noncom-
pliance with the Federal labor Standards, Title VI of the Civil
Rights Act of 1964, as amended, or Executive Order 11246, as
amended or that appears on EPA's list of debarred firms.
Revised March 1985
- 5 -
e. The grantee agrees to comply with all the requirements of 41 CFR
Part 60-4 published in the Federal Register on October 1, 1980,
Vol. 45, No. 194 which implements Executive Order 11246, as
amended.
f. The grantee agrees to require all construction contractors and
their subcontractor to comply with the Affirmative Action, Equal
Opportunity Clause, Goals and Timetables and the other require-
ments of 41 CFR part 60-4, as amended, : if the amount of the
contract is in excess of $10,000. (See Condition D.3) .
g. The grantee shall require all contractors on the project to comply
with the Department of Labor Safety and Health Regulations for
Construction promulgated under the Occupational Safety and Health
Act of 1970 (PL 91-946) under Section 107 of the Contract Work
Hours and Safety Standards Act (PL 91-54).
15. Acquisition of Real Property:
a. In accordance with 40 CFR 35.2210, the grantee shall not make an
offer to the owner of real property the cost of which is deter-
mined allowable under 40 CFR Subpart I, Appendix A until the
Regional Administrator has determined that applicable provisions
of 40 CFR Part 4 have been met.
b. The grantee shall comply with all applicable provisions of the
Uniform Relocation and Real Property Acquisition Policies Act of
1970 (PL 92-646) , in regard to acquisition of all real property
( including easements) for the project covered by this grant and
any resulting relocating of persons, businesses or farm opera-
tions.
16. Prompt Payment and Payment Retainage:
It is the policy of the Environmental Protection Agency to make
timely periodic grant payments to the grantee and to require the
grantee to make prompt periodic payment on subagreements.
Partial payments on this grant will be made promptly upon request,
subject to adequate documentation of incurred eligible costs and
subject to the grantee's compliance with the conditions of this
grant and subsequent amendments. All payments, by EPA to the
grantee, shall be made in accordance with the provisions of 40 CFR
35.2300, as amended.
a. The grantee agrees to make prompt payment to its contractor and
to retain only such amount as may be justified by specific
circumstances and provisions of this grant or the construction
•
contract.
Revised March 1985
- 6 -
b. The grantee agrees to include appropriate provisions in each
construction contract and to require the prime contractor to
include them in all subcontracts to implement this prompt payment
requirement.
c. The grantee agrees to report and return to EPA all interest
earned on grant funds pending their disbursement for project
• purpose as required by 40 CFR 30.526.
d. EPA shall make payments on the federal share of the allowance
for planning and design as applicable, in accordance with
Appendix B to 40 CFR 35 Subpart I.
B. CONTRACT MANAGEMENT
The grantee must provide EPA a schedule of projected outlays for each
construction or A/E contract in excess of $100,000 awarded under this
grant. For any contracts not awarded within six months of grant award,
the grantee must furnish a schedule of projected start and completion
dates for each contract. The schedules must be submitted at the time
of contract award. The grantee must also review every contract schedule
each year and submit revisions, as necessary, no later than July 1st.
The information that Heist be submitted each year by July 1st is as
follows:
o EPA project identification (grant) number
o Grantee name
o Contract identification (name and number)
o Contract award date
o Total eligible contract amount
o Quarterly payment schedule for the remaining quarters of the current
fiscal year and all of the following fiscal year, and an annual esti-
mate for the succeeding fiscal year.
o Other information required by the Regional Administrator for effec-
tive contract management.
C. CONSTRUCTION
1. The grantee shall enact the User Charge System and the Sewer Use
Ordinance as approved by EPA before the treatment works constructed
with this grant is placed in operation.
Revised March 1985
- 7 -
2. The grantee shall complete and submit the Final Plan of Operation
pursuant to Section 204(a) (4) of the Federal Water Pollution
Control Act Amendments of 1972 (PL 92-500) , as amended, and 40 CFR
35.2106 and 35.2206(b) .
3. The grantee must accept flows from any ccamunity or area so design-
ated in the approved facilities plan to be served by the system
funded by EPA, generally without regard to any condition other than
user charges developed on an equitable cost basis and the terms of
the intermunicipal agreements required by 40 CFR 35.2107.
4. The grantee agrees to provide engineering services as required by
40 CFR 35.2214 (b) and 35. 2218 during construction and during the
first year following initiation of operation.
5. The grantee agrees to provide certification after one (1) year of
performance, stating that the plant is capable of meeting the
project performance standards as required by Section 35.2218(c) .
6. Qualified inspectors shall be provided at the construction site. A
summary of the inspector's qualifications and experience shall be
submitted to EPA/State. If an inspector is to be used on more than
one construction site location or contract, the justification for
using one inspector for two or more jobs sites must be submitted to
EPA for prior approval.
7. The grantee shall employ an adequate number of qualified operators,
provid an approved project plan of operation and a project opera-
tion and maintenance manual. The grantee assures that the facility
will be operated and maintained in accordance with such requirements
as the Administrator may publish frau time-to-time concerning
methods, techniques, and practices for economic, efficient and
effective operation and maintenance of public-owned treatment works.
8. The grantee agrees to acquire, or to require the construction
contractor to acquire, as appropriate, and maintain any flood
insurance made available under the National Flood Insurance Act of
1968, as amended. The insurance shall be in an amount at least
equal to the total eligible project costs excluding cost of land
and uninsurable improvements, or to the maximum limit of coverage
made available under the National Flood Insurance Act of 1968, as
amended, whichever is less, for the entire useful life of the
project.
Revised March 1985
- 8 -
This requirement is applicable only if the project location is -
inside the boundaries of a special flood hazard area delineated on
a Flood Hazard Boundary Map or Flood Insurance Rate Map which has
been issued by the Department of Housing and Urban Development,
Federal Emergency Management Agency. This requirement is not
applicable if the total value of improvements insurable under the
National Flood Insu.Lance Act is less than $10,000. The cost of the
insurance is e' igible for EPA participation during the grant period
only. The grantee is required to .maintain the insurance, after
completion of the project, for the entire useful life of the fac-
ility, at the grantee expenses.
9. The grantee shall conduct a preconstruction conference, if applic-
able, for each construction contract in cooperation with the State
and in accordance with guidelines which shall be furnished by EPA.
D. ACTION BATES (STEP 3 Construction Period) :
1. The grantee shall advertise for bids within ninety (90) days frau
the date of acceptance of the grant. The State/EPA may approve an
extension of (30) thirty days because of extraordinary circum-
stances.
2. Adequate time, generally thirty (30) days, shall be allowed from the
first date of publication to the date of bid opening. Recipients who
have not certified their procurement system must allow at least 30
days between the date it first publishes the public notice and the
date by which bids must be submitted.
3. Submit EEO ducunents within fourteen (14) days after bid opening.
4. Submit WBE, MBE and Small Business documentation indicating can-
pliance with 40 CFR 33.240, within fourteen (14) days after bid
opening, if the grantee has not certified its procurement system.
5. Submit the Project Review and Cost Summary and back-up documents
within twenty-one (21) days after bid opening, if the grantee has
not met the procurement system certification requirements. If
procurement system is satisfied, submit bid tabulations within (10)
days after bid opening.
6. The time interval between acceptance of bids and award of contract
shall not exceed sixty (60) days. State/EPA may approve an exten-
sion of thirty (30) days because of extraordinary circumstances.
7. The grantee shall notify the State/EPA immediately when contracts
are awarded.
8. Submit a schedule of project outlays for each major contract and
subagreement concurrent with the award date. (See condition D •
above) .
Revised March 1985
- 9 -
9. The User Charge system and the Sewer Use Ordinance, as approved by
EPA, must be enacted before the treatment works constructed with the
grant is placed in operation.
10. The grantee shall conduct a cost analysis of all negotiated change
orders and negotiated contracts estimated to exceed $10,000. The
grantee shall conduct price analysis of all formerally advertised
procurement estimated to exceed $10.000, if there are fewer than
three bidders.
Those recipients whose procurement system are not certified must
submit cost and price analysis and documentation of negotiation to
the State for review. (See 40 CFR 33.290, 33.250 and Appendix A of
Part 33).
11. Grant Payment Requests Requiring Submittal and Approval of Documents
Prior to Payment.
The following documents should be submitted to EPA/State sixty (60)
days before the deadlines to allow review time so that payments are
not delayed:
a. Prior to the first payment, Proof of Flood Insurance must be
submitted.
b. Prior to the first payment, specific quantitative design spec-
ifications.
c. No more than ninety (90) percent of the grant may be paid until
the final O&M Manual is submitted and approved.
Exception: Grantees may opt to utilize Policy WD 81-003 (revised) .
d. No more than fifty (50) percent of the grant may be paid until
the Final Plan of Operation is submitted and approved.
e. The sewer use ordinance shall be enacted prior to completion of
the project and final payment.
f. No more than ninety (90) percent payment may be made until a
list of all non-expendable personal property purchased in part .
or in whole with grant funds (prepared in accordance with 40
CFR 30.521 is submitted) .
12. The following documentation must be submitted with the first, 50%,
90% an final payment request:
a. Engineering invoices and construction estimates. (If not
cumulative, all invoices mist be submitted) .
b. Any special grant conditions precluding payment must be satis-
fied.
13. The grantee shall notify the State/EPA when construction of the
project is complete.
Revised March 1985
- --ails` '•�
' If Grantee has certified For Grants made after May 12, 1982
'Procurement System, this
form should not be •
submitted. ATTACHMZNT VII .L.1 Page 1 of 4
PROJECT REVIEW AND ODST SIM4ARY
THIS QUESTIONNAIRE/CHEM SHEET IS FURNISHED AS AN ADMINISTRATIVE AID AND IS
SUGGESTED FOR USE IN SUPPLYING REQUIRED INFORMATION AND DOCUMENTS, REPORTJ N(:
MANOR CHANGES AND PROJECT STATUS. REPORT IMMEDIATELY A.FYER TAKING SIDS FUR
CONSTRUCTION CONTRACTS. DO NOT USE TO REQUEST MAJOR CHANGES OR.T0 REQUEST
. GIANT INCREASES. 'ORM 5700-32 MUST 3E USED FOR ALL MAJOR CHANGES AND CHANCES
" I, TIE GIANT AMOUNT.
•
1. project Location project Number
2. Grantee's Nae and Address
3. Charges: Save there been any changes in the project since execution of
the grant agreement:
a. Construction Drawings If so, submit
revised drawing and addenda. - See Note'
b. Specifications If so,submit addenda. - See Note'
c. Site - explain Suit new Site Certificate.
d. Increase/Decrease in eligible cost If.so, submit
request for Dant Agreement Amendrent (Form 5700-12). '
•. Authorized Representative (Mayor, City Manager, etc.)
f. Funds to finance construction, operation and maintenance
g. Other, explain
!Nott: prior approval is required for changes in design, supe, type of
treatment, size, capacity, time to complete the project, etc.
Changes Which result in increase in the amount of a contract rust be
negotiated in accordance with 33.10300113.
4. Certification that adequate resident inspection will be provided
including the name and qualifications of the proposed inspector.
Revised J"ly 1982
- - _
.a
1
Page 2 of 4
• PROJECT REVI E#4 AND COST SUMMARY
5. Advertising and Award Information Remarks: Date Bids Expire
Attach two copies of the following:
a. Dopy of advertisement with certification by publisher with date of ad.
b. _ Certified bid tabulation.
c. Proposal of the successful bidder(s).
d. Bid Bond.
e. Buy American Certification (all prime contractors).
f. Ctrulative Outlay Schedule (CQntracts over $100,000) .
g. Statement that the following documents have been sent to the Office
of Civil Rights and Urban Affairs of BPA:
(1) MBE documentation frau bid specifications. (MBE Data Sheet, Part
1, Part II or Part III, as applicable from the specifications)
•
(2) Contractor's EEO certification.
(3) EDD docupentation required by Executive Qrder 11246 as mended.
h. Certified copy of tentative award resolution made by grantee's
governing body tentatively awarding the contract(s) to the lai
responsive, responsible bidder(s).
i. Engineer's letter to grantee reoomending award of the contract. If
award is recommended to be made to other than the low bidder, a
justification indicating why the low bidder is not responsive or
responsible.
j. Contractor's Certification that he has made certain or will make
certain no subcontract has been or will be awarded to any firm that
has been debarred fran being awarded a contract on a Federally
assisted project.
6. Wage determination used in bidding:
a. Expiration of Building Rates
b. Date of Heavy Rates
7. Was copy of 40CFR 33,195 and Subpart F (33.1UUS-33.1135) included in the
bid documents?
Note: The above documents will be used in reviewing procurement
procedures. A preaward conference nay be required on contracts that
will be awarded in an amount of $10,000. or over. Contact the EPA
Office of Civil Rights and Urban Affairs to arrange for conference
(404/881-7900).
PROJECT REVIEW AND COST SU MARY Page 4 of 4
9. Comments:
•
•
Signature of Authorised Representative Date
Name and Title of Representative
•
Revised July 1982
•,
PROJECT REVIEW AND COST StniARY Page 3 of 4
t
1. Budget Information
•
Project Cost (as bid) Total Cost Eligible Cost
a. Construction Segment of
Contractor Works
•
1.
2.
•
3.
4.
3.
6. Estimated Cost of Later Contracts
7. Prior approved "force account work"
TOTAL CONSTRUCTION
b. Technical Service
C. Administrative (explain)
6. Real Property Arquisition/Relocation
Costs (property for land application
treatment)
a. Contingency
f. Other (explain)
1. Final Allowance
t40CFRhut 35, S)pa�t I,
Appendix B per Table 1 or
t
Z as appropriate)
Friday
- - September 30, 1983
RE
•
prill_is,
11.1
a
Part VIII
ip Environmental
Protection Agency
_ rtj General Regulation for Assistance
Programs
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. Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45057
aeaprt Cr OMrr Faisal Reepdlreerte FormerMForme seC.On I F . l Nee seen For**Mon
rf +_
reincomTerrorisera Farrfrr tee Nom seciar
30.620 Grant nested come I}30 525 30 920 1 Terroriser Qpr . j 30 903
Former melon Former/e Nes action 20.620-, Proposes horn sere at real 30.525 23920-1 20.920.2 sonternepenon by heti 30 903
resment I 30 903
a were p.- *Py
30 400 Gwwal grant=aeons......_ Delete 30.620-2 Royalism reeved from 30.525 M
80 400 9terAay.inions........_...._20.600 odrar pfrle end parrna 30.920-3 Cham)er=rata.+by EPA30 903
0. New*.lon l Er w1.1 ormer.) 30.60020.620-3 ime.st aimed on gram 30.526. 30.930-8 EMerx a terrerseon 130 903
Policy Aa lures 30.920-5 Annulment d gram 1 30 904
30.015-2 Unions Relocation Mai"- 30.600() 30.626 Grantee p.Ltiubns and 30.515.
ante and Ran Property pubraty. seaport 1-O.*la6one
Mauston Parana.Act 20.625-1 Pubes/......._.___.._._._.. Deane
30405-3 Ci`i Funs Act a 1964 _.__ 3060040 30.625-2 Puideaaana_.._._..._..__--.._. 30.515. 301000 General Subpart J
30 406-4 Federal ware Parson 30.9004 30.625-3 ergrn_._....--------......._._....... 30 s,s 30 1000-1 Aopue.brty................._....._._, SiU.1 J
Control Act Mweelmerw 30.630 Surreys end a9..9or.u.aa.._ 30.515. 301000-2 Rapist a desel on subpart J
at 1972 Section 13 30.635 Reports._...-------..._.___.._ 30 515 30 1000-3 Approve a&'otior Subpar.J
30.401-6 It., IX a M Educator 30./0034)
Amendments 0 1972. 20.635-1
Amendmraarrn progrwl naporla...__.. 30.505
20.63•-2 Fine report.....__..___.,30.506 left J- rl.a
30.406-4 HOW Act. -.30.90IXk1 30.635-3 Feencei stale.-_-_.I 30.505. i
30.400.7 Neaorar Malone Pte encs 30.80IXL 20.635-4 invention report._�.....__. 20.506. 30 1100 Frei DiapMp demonI Sateen 1.
t Son Apt30.636-6 Property repose..__..._. 30.506.A0. 30 1105 Orrnae xeper.i..........._...._..... ..open L
30.40541 Public La.90.291.............._._30.600(x) 30.635-6 (Reserved)_. 30.1115 Rim a 9s grantee and Sateen L
30.406-9 Demonstration Cir.. and 40 CFR 29. ...-'�. 9s po.erarrm
Metropolitan Development Conprrto....�_..-.-_- DeWitt 30.1120 Deem of re Mtwara- Subpar L
20340 Ureseco a Gwvrnmere 20.536
20406.10 Rood ()cast Prunccon 30.600(45. procurement sources30.1125 OaaM/6orr
A . 20345 Paw woe.*ep► .._r_30320. 30.1130 oe.paon a au61on9y......_....oe.rd
90.406-11 Claw Ar Ant.Senior 308__ 30.600(4*- 30.1150 Appeal procedures ...... Deme
80.406.12 Federal taeaer Pollution 33.60010 Selep~I.-Preset Coes 3Appsdd A Genre Grant Cordaona.._... Darted
Coned Ad•Sector 505. Append:11 Patents and rme+eore 0.4.4.0
80.410 E.swaeara Orders..- __-_ 20.600. 30.700 Um a lends.- -.30.307. Appends C Rights et Dela and Copy- App.C
80.410-1 EaanAw Order 1124...-_- 30.600441. 30.706 Aaouwble dial._.-._._... 30.410. ori.
30410-2 Esalr.Order 11966.. 30.600 W a 30.706-1 Payment to mus/Mrb....... 40 CFR 33.
le 30.710 Federal woe princpr-.-__30.410. �.,�,,�n^
80.410-3 &soave Order 11514 30-4004.1 30.713 Direct aDaa
ed e�ect eft.._-. 80.412 p^'�sWto Comments
10.410-4 _._ 40 CF
It
orf.-1,721__ 30.600 la a 30.113 , Deed was _ 30 412 response to out utast for
pl 20.7,5-2 inked owes 30.412
80.410-6 E,.cvw.ager 61500.... _. 30-1100(e.(y. 80.720 cos d+.t+p....__.. 30.307, comments on the proposed rule
10.4,5 Additional iagiaamno- 310.103. 80.725 Cee.rd price t.wyt■.- '°CFR». published in the Federal Register(47 FR
t'o'rah aaer'l'd 001 30.725-1 Paley. .- 40 CFR s3. 28584) lune 18,1982,we received 19
mutation 30.725-3 Pew aids*...._ n 34* on
30.415-1 00,x8.r Ad..____.. 30.03W. 30.726a Cool rwy-.._ .. 40 CFR 33 letters and 2 telephone calls.
I 30.413-2 Th.Copeland Ad..-..__.- 30.00304 30.725-4 Rsquramente..___..____ 40 CFA 33.
10.415-3 The Corral *err Noes 30.6031.. Format
and S.k.4y Sanded,Act .)lent a--prase.Adeeua.aMfr
30.415-4 Caned •---- This regulation uses . question/
20.420 Aderola naerr,*es-a9 Need 30100 Rms.management___- 30.510. answer format designed to make it more
readable and understandable and to
EPA grana. 20105 Moon.._ ._ 80.500.
10420.1 r;� cone wren- 30111 30.510 Property 2050,
gent Otil30.51 , o.k+9a,._._.-.._ ___.. 30200. lead a new applicant through the entire
20.420-2 4.a b ber4.M..._.-. 30.613 301110-2to-2 Mtl+.ae a propwly..__._.._. 30.530. •
30.420-3 Redeem ageing *listing 30.100 301 -3 airtap. ra 10Rowe ni. 30.531. assistance process.In the preamble of
tacr6w sendarde the proposed rule,we requested
. 30.420-4 Conflict d rrweet...__...___30.113 801104 Tee b properly... 20.530 comments on the readability of the rule.
I 80.420-6 Employment precedes_____ Deleted 10.110-6 Mat property._ 30336.
30.420.4 Conernelee and .)lotus Deleted X10-4 a ,a , ,t 30.530 All who responded to the question
tea a energy. „r„d ,, p
dem.person*pewee_ believed the new format assisted them
20.423 Spacial col0aar. 30.3090de 20.810-7 Nosprduble peso* 20332
30A30 V --_ � revere 4 ed MPand was preferable to the previous
Federal Mee- regulation.
.dent D-pa9.11d.Doge gni CapyrlrI4. 20.110-4 Emendate to peaarl Pop, 30332_
ere mewed we Irani Definitions
20.500 General. 30.1100. Mee
30.502 Daangon.._. Weed 20810-1 Properly repos_ 30.505. Several commenters addressed the
30.505 Mu7ured provision regerdlrg App.a. 20815 Final esalenten.. _ 20.902 proposed definitions: the major
went ed retarget n 802120 Aid`.'__ _.. 80540.
rrw«rwri comments are noted below.
30.510 Pewee and reenetorta.. 30.1101. atepwt N-._an...w,,n,.pe,eai we Tenorsee "Allowable costa" One commenter
30.515 R.a.ed patent proven.._ Am.a. was concerned that the proposed
20.520 Open*
04Weed 20.1led ~gm and rant 30.700.
20.525 Date are oopyhe,.-._ App.C. mddecations a definition excluded costs incurred while
30.330 eased rete and olpyrtgle Deleted 20.900-1 Forma gran arwdmerrr_.... 30.700. performing tasks under a formal
30.540 I 301104 30100-2 Aa .ser*.' grant DelDeleted.' amendment That person suggested that
30.900-3 Treater a rine change 20.700. the phrase"and within the scope of
leap 1 11-Ad.+mw.6e..W Pr4ere.nw.4 arse. a rams'w. .par. work approved by the assistance
30900-4 Grarew prates Wenger ..... 20.703 e=arl or formal amendment"be
G'enera....--.---._.._._...._.... oe+rd 30.915 So p. a grarri-•neap- 20.901. a�
3400aes 0....--.-� ----.--.... ._....---- 30 5..._ .a«;4.n,.,. • j added to the definit;on When a for-.a!
305 ..,. a,.-.: .:.r ,.ern 13050, ,..: .a w£C�-c' -•
t..• , ane,..-., ._• :i ...r.
x610. eyr
1 wed_!peren ..._-.._.'X400 a'si-: �, 3nF:t.:a.7:.i 4-E4.1-t: ..tr... ....c.7-_ . .
404144 C 1 espo.e. . 30.400. 20.915-3 iesu.nw a n pawire.;8D 901. no change is necessary.
00.0/4. *inhaling al Inds .j 30.102, 30.111114a a.. Elect al11
p-mall 1181.._ 30.1101.
30.4111-4 Macaroni- 30.406. 3/3.11111-42_o,
-4 • napo x probt -.-.7 30,1101. "Cooperative agreement and grant
agreement":Another commenter wanted
•
V
45058 Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations
the regulation to specify which programs after September 30, 1983 In this final Payment
award grant agreements and which rule we have deleted all references to Section 30.400 three
award cooperative agreements. On OMB Circular A-95. However, the A-95 alternative methods describes may use to pay
October 30.1979,EPA published (44 FR requirements remain in effect for,
82331)EPA Order 1000.19 which assistance agreements awarded before recipients. One commenter was
contains that information.We agree that October 1,1983. The A-95 requirements concerned that EPA was limiting
Part 30 should contain that information are found in 40 CFR Part 30, as revised advance payments to the initial request
and we have added it to the chart of through July 1,1982,(H 30.305 through with reimbursement thereafter. This was
EPA assists:ce programs in Appendix 30.305-8). not our intent, so we have clarified that
A. Section 30.305 requires recipients to provision. When a recipient submits a
"Program income":The definition sign and return EPA assistance "Request for Advance or
which we proposed included income agreements within three weeks of Reimbursement" (SF-270). it indicates
received from the sale of unneeded receiving them from EPA. One the amount of its expenditures to date
property and fees received on royalties. commenter thought the requirement to and its cash needs for the coming
A commenter pointed out that this return the signed agreement was period.EPA's advance payment will be
conflicted with OMB Circular A-102, unnecessary paperwork which caused sufficient to meet those future needs,
Attachment E.Therefore,we modified delays and suggested that the recipient's provided the request is reasonable.
the definition by eliminating the application should be sufficient to Section 30.405 prohibits assigning
reference to unneeded property and demonstrate their intent to accept an payment to anyone other than the
made it clear that fees received on award.We believe the recipient's recipient. A commenter pointed out that
royalties are not program income unless signed, formal and timely acceptance of this conflicts with ¢ 35.2025(b)(2) of
the assistance agreement states that an award is necessary to assure that EPA's Grants for Construction of
they will be.Unneeded property is money is not tied up unduly where Treatment Works regulation which
handled under the property disposals recipients decide not to proceed with a permits States to assign their payments
requirements in 4 30.532. -project.Also, the requirement reduces for advances of allowance to small
"Unsolicited proposal":A commenter the chance for misunderstandings communities. We have revised this final
indicated that,as proposed, this because the recipient acknowledges and rule to reflect this exception.
definition was inconsistent with accepts all special conditions. Section 30.410 describes the cost
i i 30.302(c)(* 30.302(b) in the final rule) Section 30.308(d)permits EPA to principles applicable to different
I which requires all applicants to reimburse recipients for allowable costs categories of recipients.A commentr'r
complete a standard application before incurred between the end of a budget asked which ones apply to
receiving an award.In the final rule,we period and dote of award for the next or"subcontractors."
have deleted the phrase"unsolicited budget period.A commenter identified Regardless of whether the organization
proposals need not be submitted on an an inconsistency between this section is the recipient of the award or
EPA standard application form"from and ! 35.140(b)of our proposed Part 35, performing services for the recipient, the
the definition.An unsolicited proposal is Subpart A, "State end Local Financial nature of the organization is the sole
a written request for review of a
proposed project.EPA will review an
Assistance for Continuing criterion for determining applicable cost
Environmental Programs" regulation(47 principles. For example. State
unsolicited proposal in terms of EPA's FR 25912, June 15,1982).While proposed governments must comply with OMBneeds and will determine whether the Part 30 did not address submission of an Circular A-87;educational institutions
award should be either a contract or an application,the final Part 35, Subpart A, must comply with OMB Circulars A-2]
assistance agreement.Before EPA will ; 35.141 (47 FR 44948,October 12,1982) and A-88. We have clarified this point.
award an assistance agreement under requires that in order to be reimbursed Section 30.412 defines direct and
this Part you must submit a standard for prior incurred cost,the applicant indirect costs.One commenter believed
application for the proposal. must submit a continuation application our proposed definitions were
Application Process before the expiration of the prior budget inadequate and inconsistent with OMB's
On July 14,1982,President Reagan
period.We think this is necessary for
good program management and have definitions.rely on the OMB's tnitions. We acceptedd
ed this ss .
uggestion
issued Executive Order 12372.That included it in this final rule.
order directed the Director of the Office Section 30.307 requires recipients to Assistance Management
of Management and Budget(OMB) to contribute at least five percent of total
• revoke the intergovernmental review allowable project cost for each budget Section 30.501 requires recipients of
system governed by OMB Circular A-05 period.One commenter objected to the construction grants to retain records for
and to develop a new process and requirement,calling it burdensome and three years from the approval date of
regulation to allow States to establish unnecessary.We disagree.The EPA's final payment.A commenter was
their own processes for State and local Department of Housing and Urban concerned about the effect of this
elected officials to review and Development Independent Agencies requirement on step 1 or step 2
coordinate proposed Federal financial Appropriation Act(Pub.L 97-272), wastewater treatment construction
assistance.Under the new system.a which governs EPA,requires recipients grants since audits are generally
State may choose whether to have a of research assistance for proposals not performed after the completion of the
consultation process and what Federal s-,-ifi ally solicited hFFA to cost step 3 grant. We deve sped this finE,.
prnY: mR tc cover . .... ,..,. - . _ !8 !:': ._ - .,... :r .. b, •_ -ev.,
i-ioweyer,the C'raer t.rt .e:•al _ _ . e .t _. .3s . 'EPA :c: __. .. • ..-na'er ihat
agencies to operate under the existing requires will be at least five percent, but regulation anc.in accoraarce with i'UL.
A-95 procedure until September 30, will reflect the mutuality of interest of L 97-117,EPA no longer awards step 1
1983. EPA's new regulation,40 CFR Part the recipient and EPA in the project.We or step 2 construction grants. Step I or
29(48 FR 29288,June 24,1983) do not believe the cost sharing Step 2 grants awarded before the
implements the new process and will be requirement prevents institutions from effective date of this regulation are
effective for assistance awards made participating in our programs. subject to the previous Part 30.
Federal Register / Vol. 48, No. 191 / Friday, September 30, 1963 / Rules and Regulations 45059
Section 30.502 establishes EPA's right Several commenters requested the profit institutions of higher education, or
of access to the recipient's and option to publish research results in by non-profit organizations whose
oontractor's project records. As their own monographs or laboratory primary purpose is the conduct of
proposed.this provision did not include research series or other non-refereed scientific research, if the property is for
delegated States under the wastewater journals before submission of the report the conduct of basic or applied research.
treatment construction grants program. to EPA.Under EPA's peer and However.consistent with A-110. EPA
We have revised this rule to include administrative review process,EPA reserves the right to transfer the title to
delegated States. oust decide whether to publish a report non-expendable personal property with
Section 30.505(b)requires recipients to as an EPA document or to allow a unit acquisition cost of¶1.000 or more
submit a financial status report(FSR) independent publication of the report. to the Federal Government or a third
within 90 days after the end of each The only exception EPA can make is party by establishing that right in the
budget period. Several commenters independent publication in a refereed assistance agreement or otherwise
indicated that the FSR is seldom final journal because the journal's peer establishing that right in writing.
because it often includes unliquidated review process replaces an EPA peer Other commenters questioned the
obligations. Since a final FSR must show review. if EPA decides not to release the need for the award official's approval of
that all obligations are liquidated, we report to the public as an EPA purchases of property or equipment
clarified the final rule to state that a FSR publication.the recipient may costing$10,000 or more,as required in
is required within 90 days after the end independently publish the report with I 30.530(a). We believe that requirement
of each budget period and a final FSR is the appropriate disclaimer. Is needed to assure that property or
required immediately after ail Other commenters stated that the equipment purchased with EPA
obligations are liquidated. We added a Agency's peer and administrative assistance is both necessary for the
provision to allow the Award Official to review conflicts with the Federal Grant project and not available from other
disallow unliquidated obligations if they and Cooperative Agreement Act of 1977, sources.To avoid delays, award
are not expended within a reasonable because it represents substantial officials may approve equipment
time after the 90 day period. Federal involvement in the development purchases at the time of the award,
Section 30.505(d)requires recipients to and delivery of technical reports under provided the items and estimated costs
submit an annual inventory of ail research grants.EPA disagrees. The are specifically identified in the
Federally owned property used on the peer review process takes place at the assistance agreement.
project. Several commenters objected conclusion of a project,not while it is Section 30.531 establishes property
that this requirement exceeds the underway, EPA has the right to review management standards for non-
requirements for property management and evaluate research results and to expendable personal property.These
* in OMB Circular A-102.This section make suggestions which EPA feels standards apply to all organizations
applies only to property owned by a would enhance the credibility of the governed by OMB Circular A-102. In the
Federal agency, and such reports are report.Recipients do not have to final rule,we made it clear that they do
required by the Circular and the lease incorporate these suggestions. not apply to certain organizations
agreements.Title to property which Finally, other commenters were governed by OMB Circular A-110 unless
recipients purchase with assistance concerned that their final reports would EPA reserves the right to transfer such
funds vests in the recipient and is not be accepted or assistance property in the assistance agreement.
governed by 130.530. agreements dosed out until EPA peer Section X.538 prohibits recipients
Section 30.518 requires that recipients reviewers determined their reports were from using excess Government property.
of EPA assistance cnn>ply with EPA acceptable. Again,the purpose of the One commenter recommended that EPA
' Order 220.4'December 28,1981)which Order is to protect the technical and eliminate this section since he knew of
establishes a peer and administrative scientific quality of public materials no sixth statutory prohibition. While
review process for scientific, published by EPA.As soon as a decision there is no statutory prohibition.Section
informational,and educational is reached as to whether the report will 3 of Pub.L 94-519 generally requires
documents attributable to EPA.The be published ss an EPA report,the Federal agencies to pay the United
Agency peer and administrative review assistance agreements may be closed States Treasury 29%of the original
gives EPA the opportunity to evaluate a out. Appropriate time will be included in acquisition cast of excess Government
document for eaentific and schedules for future grant and property whenever sash property is
informational credibility and to cooperative agreements to permit the transferred to an eligible recipient.
determine an estimated cost for its conduct of review within the project Because of the cast to EPA of complying
production and distribution period. with the 35%payment requirement,it is
Numerous commenters expressed (Recipients should be aware that EPA EPA's policy to prohibit EPA recipients
concern that the Agency review considers printing by the National from uaatg excess Government property.
requirements violate the principle of Technical Information Service to be a Section 30.540 describes audit
academic freedom and would preclude cost-effective method of publishing EPA requirements.Several commenters
the'-universities from accepting documents.l regime/Jed that we distinguish between
ri ..~h a w•-!-ds aA now reoognaes Section 3.7:.530 governs recipients' aiai.'t requirernent:a for A-10Z
e - - ..-e,;_:e.' id n. - 9e c' ---1pery Sever{' o" --i'atione and'--110 tT B uzations
r = . '. t- . .; t ... .:e 4.. '-.s: S. T` -
A.ene, U`:ler. Our.;...P.:1.AI Gut is provisicma-. .`.:s se-:_err t:.:£R pr ,. locilx for G:cb:. a:L o.--, _.;. A-Ai=
become substantially involved intim requirements in OMB Circular A-110.In organizations aunt comply with
development of a report nor is it to response we revised II 30.530 to be Attachment P,which requires a recipient
mold the final conclusions to fit our consistent with A-110.In accordance to conduct en organization-wide audit
polioiea.Rather, the sole intent of the with Section 7(4 of Pub.L 95-.224(41 once every two years to evaluate the
Order is to insure the high quality. U.S.C.5081.generally EPA will not fiscal integrity of its financial system
completeness,and acatracy of restrict the use or disposition of arid to determine Its compliance with
documents EPA publishes. personal property purchased by eon- the tern®acid oeeditioas of the
45060 Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983' / Rules and Regulations ,
assistance agreement.A-110 charge State and local governments terms and conditions of its assistance
organizations must comply with the interest on overdue debts.The General agreement.Several commenters
provisions of OMB Circular A-88, which Accounting Office (GAO)in an August questioned the use of"stop work order"
requires all Federal agencies to rely on 23,1983, Comptroller General Decision and "withholding of payment" actions.
audits performed by agencies assigned (B-212222, "Debt Collection They argued that while a "stop work
audit cognizance for the recipient. Administrative Offset and Interest order" is required by the Defense
Assistance Agreement Changes against State and local governments"), Acquisition Regulations it is not
stated that although the Debt Collection authorized by OMB Circulars A-102 or
Sections 30.700 and 30.705 identify the Act does not apply to Stalk and local A-110.We disagree.OMB Circulars A-
types of changes which require prior governments, the Act does not prohibit 102,Attachment L, and A-110,
EPA approval by formal amendment Federal agencies from collecting interest Attachment L require Federal agencies
and those which recipients may make charges on the overdue debts of State to establish procedures to follow when
without prior EPA approval.Former Part and local governments.The GAO recipients fail to comply with terms and
30 required recipients to get prior EPA decision concluded that to the extent conditions of an agreement.Both
approval on budget changes in excess of that there is authority other than Circulars permit Federal agencies, upon
10% or$10,000 of the project budget.The sections 10 and 11 of the Debt Collection reasonable notice to the recipient, to
proposed rule did not include these Act of 1982(whether the authority is suspend the award,withhold further
dollar amount restrictions.Several founded in statute or common law), payments or prohibit the recipient from
commenters questioned the wisdom of Federal agencies are authorized to use incurring additional costs.It is EPA
this deletion.We believe the former Part administrative offset and to assess policy that full and prompt payment be
30 requirements were too stringent and interest against State and local made to recipients for eligible project
did not provide recipients with sufficient governments in order to collect debts costs. However,when recipients are not
flexibility to manage their projects. owed to'the United States.The Federal complying with their assistance
Further, the small benefit to EPA Claims Collection Standards (4 CFR agreements, EPA has the responsibility
provided by this requirement does not 102.12)and OMB Circular A-50 allows to take corrective actions.
justify the costs of processing change EPA to use administrative offset on
requests and related project delays.Interest Charges
debts owed by State and local Appeals
governments.EPA's authority to collect One commenter was concerned about
interest on overdue debts owed by State the lack of access of the Audit
Section 30.802(x)in the proposed rule and local governments to the United Resolution Board decisions.These
f stated that"final settlement is not States is contained in the Federal decisions are available upon request.
complete until all claims, audits, Claims Collection Standards.Treasury You may receive copies of decisions by
appeals, and litigations are resolved." If Fiscal Requirements Manual 8-8000, contacting:the recipient owes EPA funds as a result OMB Circular A-50,Pub.L 96-526,and
of any of these actions, it must Pub.L 96-304.Accordingly, 4 30.802(c) Chairman.EPA Audit Resolution Board.401
reimburse the Federal government that
exempts State and local governments M Street SW.,Washington.D.C.20480
amount before the project is settled.We from penalty and handling charges,but Section 30.1235 lists EPA decisions
have restructured this section for clarity. makes it clear that these types of that a recipient may not appeal. Several
4 30.802(b)requires the recipient to pay recipients will be charged interest commenters wanted to know why
interest on any amount owed EPA if the charges on all overdue debts. "advanced wastewater treatment
recipient fails to pay within 30 days of The same commenter also argued that decisions of the Administrator" and
the date of the award official's the effect of the interest rule will be "to decisions of the EPA Audit
i. determination (see Subpart L). chill the use of the grant appeal Resolution Board" cannot be appealed.
One commenter questioned EPA's process".We disagree.Once the award They are not appealable because both
authority to charge interest on overdue official determines that funds are owed decisions are made at high
debts.Since April 30,1979,EPA has had to EPA,this is a legitimate debt,subject administrative levels in EPA
the responsibility to assess interest on to interest charges.The interest Headquarters.In the first case,the
all debts(Federal Claims Collection requirements do not restrict the use of decision is made by the Administrator,
Standards.4 CFR 102.12).In addition. the appeals process. and in-the second case,the Audit
provisions in two EPA appropriations Before the award official makes a Resolution Board is acting under a
acts(Pub.L 96-526, y 418,1980,and proposed determination,the recipient is delegation from the Administrator.The
Pub.490-304, section 306,1980)and given an opportunity to review the Audit Resolution Board consists of the
Office of Management and Budget proposed findings and present any facts Assistant Administrator for
Circular A-50 require EPA to charge in its favor to alter the decision. Administration.the Associate
interest on outstanding debts.The Consequently,interest does not begin to Administrator for the Office of Legal
Agency implemented this requirement accrue until after the recipient has an and Enforcement Counsel,the Assistant
administratively in October 1981.Thus, opportunity to rebut the findings. Administrator from the affected program
rather than exceeding authority,EPA Additionally,since interest does not office and a Regional Administrator.
actually has been slow in carrying out accrue until 30 days after the award
its responsibility. official's proposed decision, the Financial Assistance Disp..tes
lAe have revises. 4 30.802.however. torecie. an avri-' .a'e-est a.ttoeeth r Procedu•es. Subpart L sets fcrtt new
,' c_
t w',•:,. the F e:..'ra, ' C.r.•ecti„n t' . ...e,". !e: - -- a._- __ • f. rfE,h F''ani
Act of 1982.(October25, 1982) i i.cfs in u:e award offic.-. a incision an..the_, ..'. - _' -- . . 37.:
amended the Federal Claims Collection appealing. assistance recipients or applicants.
Act of 1966.The 1982 Act directs Federal Under the existing appeal process,
agencies to assess interest,penalties. Non-Compliance Actions disputes over final decisions in EPA
and handling charges on all debts, Section 30.900 describes the assistance programs ultimately were
except for the debts of State and local alternative actions EPA may take when resolved by the EPA Board of
governments.We will continue to a recipient fails to comply with the Assistance Appeals(the Board)at EPA
•
Federal Register / Vol. 48, No. 191 / Friday, September 30. 1983 / Rules and Regulations 45061
Headquarters.The Board was Headquarters award official and 2. "Interim Guidelines and
established by the Agency in 1979 (see Regional Administrators will be able to Specifications for Preparing Quality
40 CFR Part 30.Subpert I,and the consult with the Office of General Assurance Project PL.ns." QAMS-005/
appeal procedures published at 44 FR Counsel and Headquarters program 80(EPA-600/4-83-004. NTIS P1383-
48770 August 8,1979).The existing offices Further, potential access to the 170514).
Board process, which operates outside Assistant Administrators will help These documents may be obtained by
the Agency's policy and rulemaking assure consistency. writing to:
system administered by program We have determined that it is
National Technical Information Sen;ce.58b5
managers. has made assistance disputes appropriate to make Subpart L effective hal Rof Te nicd. Springfield.Virginia 22161
resolution extremely adversarial.Based for all new appeals tiled after October
an this experience. EPA has developed a 31. 1983, regardless of when EPA We received several questions on
new administrative review process in awarded the financial assistance. whether the QA policy applies to
Subpart L which it believes is a better Delaying implementation until recipients of wastewater treatment
system to resolve EPA's assistance November 1, 1983, will give EPA construction grants under Title 11 of the
disputes.The new process complements Headquarters and Regional program Clean Water Act. If a construction grant
other Agency efforts to improve the offices the opportunity to prepare for agreement specifically requires the
management of EPA's assistance their increased responsibilities in recipient to gather environmentally
programs and gives the Agency's disputes resolution.The EPA Board of related data, the recipient must comply
program managers full control over and Assistance Appeals will resolve appeals with the requirements in 5 30.302.
responsibility for the fair and efficient docketed before October 1,983.
resolution of assistance disputes. Improper Use of Assistance Funds
The new process will: Quality Assurance
1.Encoura,ge cooperation between the EPA's policy is that all On April 26, 1982, the Director of the
Agency's officials and those applying for environmentally related measurements Office of Management and Budget
and receiving assistance: and data collected and used in EPA instructed all Federal agencies to
2. Develop a good administrative assistance programs be scientifically
examine existing award procedures to
record to support the Agency's final y ensure that assistance funds were not
sound,defensible,and of known, being used to influence legislation or
decisions acceptable,documented quality.On
3. Provide applicants and recipients March 12 1982,OMB cleared the appropriations pending before Congress
high-level review of Agency decisions or used for partisan or political
end a forum for resolving disputes paperwork requirements of EPA's advocacy purposes. After reviewing our
i quality assurance(QA) program. current practices. we have determined
I informally, expeditiously,and
Therefore, we are including the quality we need to make recipients more aware
inexpensively. assurance requirements in the final rule. P
4. Provide applicants and recipients a of this restriction on the use of
We have added five definitions to
written decision explaining the basis for
the position.
assistance funds. In the final rule, we
30.200 "Environmentally related
have added these restrictions(see
measurements," "qualityassurance
Fair and consistent dispute resolution30.601).
remains a central principle of narrative statement," "quality assurance
administering EPA's assistance program plan.""quality assurance Regulation Development
4 programs.The procedures in Subpart L project plan.' end "standard operating Under Executive Order 12291.EPA is`
continue togive recipients and procedure."
P Effective with assistance agreements required to judge whether a regulation is
applicants the right to request a high "major"and,therefore,subject to the
level review of decisions a Ponce awarded for fiscal year 1984 recipients
regulatory impact analysis requirements
issues arisingunder the EPA assistance will need to implement a QA program
of the Order.We have determined that
rams.Under these procedares, consistent with EPA's QA policy if their
disputes over Regional decisions are projects involve environmentally related notthis
hege uulation ass not a"ntilmact aj as
it
the
will
ssubject to review bythe Regional measurements.Recipients must submit
Administrator and possible further with their application a QA plan which Nation's economy or large numbers of
individuals or businesses.There will be
administrative review by the Assistant meets EPA's requirements in 1 30.503.
Administrator of the program office if you are applying for non-research no major increase in assts or prices for
responsible for the assistance program. financial assistance you must submit a consumers. individuals. industries, or
Decisions concerning assistance QA plan (either a program plan or a Federal,State,or local governments.
programs administered by EPA project-plan), acceptable to the award The rule was submitted to the Office of
Headquarters are subject to review by official, for all programs involving Management and Budget for review as
the Assistant Administrator of the environmentally related measurements required by Executive Order 12291.
appropriate program office.In cases (see I 30.302). If you are applying for Under the Paperwork Reduction Act
where the Regional Administrator or the research financial assistance (either a of 1980,44 U.S.C. 3501 et seq.,the
Assistant Administrator rendered the grant or a cooperative agreement).you information provisions in this rule have
ir.. .� decisic: the request for review must submit a narrative statement on been approved by the Office of
G ria as F. -euuest for Duality assurar:e. accer'', •+e to the Management and Fudge: (OMB
.r -i"--,-. r..ar' .:Tic: . .our , _ .7_-at!):- ,lea. r•,.e '.r:s. 27t --IOC..:"..,ii0-C43
rob iii--. priicebs -.71Uuid t.c m! Sec:1,.n 30 i« cx.piains , :eq'.-. . �..._-J� - --- _--.. . . -.•... .
efficient than the Board system because contents of aQA plan.The program or Dated.September 22,1983
it is a relatively simple,expeditious,and project plan should also comply with the List of Subjects in 40 CFR Part 30
inexpensive means to resolve disputes. guidelines in the following documents:
It eliminates the need for the routine 1."Guidelines and Specifications for Administrative practice and
invahierneat of Heedgrarters personnel Preparing Quality Assurance Program procedure.Environmental protection.
in every assistance appeal.For Plans."QAMS 004/80(EPA-000/8-83- Grant programs--environmental
consistency in deciding appeals,the 024; NTIS PB/13-2196671. protection, Inventions and patents.
45062 Federal Register / Vol. 48, No. 191 / Friday. September 30, 1983 / Rules and Regulations
Copy-right, Reporting and recordkeeping Sec.30.526 How do I treat interest earned Subpart J--Can I pet an Exception •
requirements. on EPA funds? ("Deviation")From These Regulations?
• Alvin L Alm, Sec.30.530 May I purchase personal 30.1001Will EPA grant any exceptions to
Acting Administrator. property using EPA assists ce funds? these regulations?
For the reasons set forth in the 30.531 What property management 30.1002 Who may request a deviation?
standards must I follow for 30.1003 What information must I include in
preamble, EPA is revising 40 CFR Part nonexpendable personal property a deviation request?
30 to read as follows: purchased with an EPA award? 30.1004 Who approves or disapproves a
. PART 30-GENERAL REGULATION 30.532 How do I dispose of personal deviation request?
FOR ASSISTANCE PROGRAMS property? 30.1005 May I appeal a deviation decision?
30.535 May I purchase real property with
Subpart A-What is the purpose and scope EPA awarded funds? impart K-What Policies Apply to Patents,
of this regulation? 30.538 How do I manage Federally-owned Data,and Copyrights?
Sec 30.100 What is the purpose of this property? 30.1100 What assistance agreements are
regulation? 30.537 Are contractors required to comply subject to EPA patent rules?
Sec.30.101 What is the scope of this with EPA property policies? 30.1101 What Federal patent laws or
regulation? 30.538 May I use General Services policies govern my assistance
Sec.30.102 What laws authorize EPA to Administration(GSA)supplies and agreement?
issue this regulation? services? 30.1102 What are my invention rights and
Subpart B-What definitions apply to this other
Who will audit my project? my reporting requirements if my award is
other than an award under section 8814
regulation? Subpart F-What Other Federal of RCRA?
Sec.30.200 What definitions apply to this Requirements Must I Comply With? 30.1103 What are my invention rights and
regulation? 30.800 Whet Federal laws and policies obligations if I am a profitmaking firm
Subpart C-How do 1 spot),for and receive affect my award? with an award under section 8814 of
sere? 30.801 Are there restrictions on the use of RCRA?
Sec 30.300 What activities does EPA fundi assistance funds for advocacy purposes? 30.1104 Can I get a waiver from section
Sec.30.301 To whom does EPA award 30.003 What additional Federal laws apply 6961(c)of RCRA?
assistance? to EPA assisted construction projects? 30.1108 Do the patent rules apply to
Sea 30.302 How do I apply for assistance? 30.810 What are my responsibilities for subagreements?
Sec.30.303 What steps must I take when preventing and detecting fraud and other 30.1106 Does EPA require any type of
filing a standard application? corrupt practices? licensing of background patents that I
Sec.30.304 Is the information I submit to 30.811 Can I hire.'person or agency to own?
EPA confidential? solicit EPA assistance for me? 30.1112 Are there any other patent clauses
Sec.30.305 How do I find out if EPA 30.612 May an EPA employee act as my or conditions that apply to my award?
approved or disapproved my representative? 30.1130 What rights in data and copyrights
application? 30.813 What is EPA's policy on conflict of does EPA acquire?
Sec.30.308 How long will I have to interest?
Su
complete my project? bpart L- are Disputes Between EPA
Sec.30.307 How much must I contribute to 30.615 May I employ a former EPA Officials and me Resolved?
the funding of my project? employee and still receive assistance? 301200 What happens if an EPA official and
Sec.30.306 When may?.begin incurring Subpart o-c.n an Assistance Agreement I disagree about an assistance agreement
costs? be Changed'? requirement?
Sec.30.309 What is the effect of accepting 30.1205 If I file a request for review,with
an assistance agreement? 30.700What changes to my assistancewhom must I file?
agreement require a formal amendment? 301210 What must I include in my request
Subpart D-How dose EPA pay me? 30.705 What changes can I make to my
Sec.30.400 How does EPA make payments? assistance agreement without a formal for review or reconsideration?
Sec.30.405 Can I assign my payments to amendment? 30.1215 What are my rights after I file a
anyone else? 30.710 Can I terminate a part or all of my request for review or reconsideration?
Sec.30.410 How does EPA determine assistance agreement? 30.1220 If the Assistant Administrator
allowable costs? confirms the proposed decision of the
II
Sec.30.412 How are coats categorized?
H-How do I Does out my Projlect? Headquarters disputes decision official.
E-�ow do I 30.800 What records and reports must I may I seek further administrative
Subpart must managemmlainta ?dinreview?
keep after I complete my project?
Sec.30.500 What record
30.802 Under what conditions will I owe 30.1225 If the Regional Administrator
Sec.30.501 How long must I keep these money to EPA? confirms the proposed decision of the
records? Regional disputes decision official,may
Sec.30.502 To whom must my contractors Subpart I-What Measures may EPA Take seek further administrative review at
and 1 show these records? for Non-compiianoe? EPA Headquarters?
Sec-.3a5°3 What type of quality assurance 30.900 What are the sanctions for non- 30.1230-Will I be charged Interest if I owe
practices am I required to have? compliance? money to EPA?
Sec.30.505 What reports must I submit? 30.901 'What are the consequences of a stop- 30.1235 Are there any EPA decisions which
Sr_ 30.510 What type of financial work order, may not be reviewed under this subpart?
management system must I nnmas:g iinT
30.902 yc,s. s-p the conseouences of Appendix A-EPA Programs
_ • �; F- d: kyr; rr
o;reveT 3. 4.. :c ec:,.: - _ -2S of
Sec.30.516 What are the procedures of termination for cause? Appendix C-Rtgha .:. '.,a:E C:.:....ipyng~,ts.
publishing scientific,informational,and 30.904 What are the consequences of Appendix D-Part 30 Reporting
educational documents? annulment? Requirements.
Sec.30.520 When may I use my own 30.905 May I appeal a termination.or Authority:33 U.S.C.1251 et seq.;42 U.S.C.
employees("force account")? annulment? 7401 et seq.;42 U.S.C.8801 et seq.;7 U.S.C.
Sec.30.521 How should I treat program 30.908 What are the consequences of 300f et seq.;7 U.S.C.136 et seq.:15 U.S.C.
income? suspension or debarment? 2801 et seq.:42 U.S.C.9601 et seq.
Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45063
Subpart A—What Is the Purpose and (f)The Toxic Substances Control Act assessment of chemical,physical.or•
Scope of This Regulation? (15 U.S.C. 2801 et seq.); and biological factors in the environment
(g)The.Comprehensive Environmental which affect human health or the quality
30.100 What Is the purpose ol this Response,Compensation and Liability of life.The following are examples of
motion? Act of 198042 U.S.C.9601 et seq.).q.). environmentally related measurements:
(a)The U.S.Environmental Protection (a)A determination of pollutant
Agency (EPA)is responsible for SUBPART B—WHAT DEFINITIONS concentrations from sources or in the
protecting and enhancing the quality of APPLY TO THIS REGULATION? ambient environment.including studies
the environment.To achieve these of pollutant transport and fate; (b) A
Il 30.200 What definitions apply to this
objectives,EPA may award assistance regulation? determination of the effects of pollutants
in the form of grants. cooperative on human health and on the
agreements,or fellowships to support: Allowable costs." , renshose project environment; (c)A determination of the
costs that are:eligible, reasonable,
(1)State and local pollution control risk/benefit of pollutants in the
necessary,and allocable to the project;
programs; (2)research,demonstration, enviroment; (d)A determination of the
permitted by the appropriateFederal
Fedl
or training projects;and (3)other coat principles,and approved by EPA in quality of environmental data used in
projects that advance EPA's mission. the assistance agreement: economic studies: and(e) A
This regulation tells how to apply forApplicant "Any entity that files an determination of the environmental
and manage an EPA project.describes application or unsolicited proposal for impact of cultural and natural processes.
EPA involvement in the process, and EPA financial assistance under this Expendable personal property."All
identifies recipients'responsibilities. subchapter. tangible personal property other than
Other EPA assistance regulations Assistance agreement"The legal nonexpendable personal property.
supplement these.They are found in 40 "Force account work."The use of the
CFR Part 32 Debarment ,Part 33 instrument EPA uses to transfer money,
( ) property, services, or anything of value recipient's own employees or equipment
(Procurement Under Assistance to a recipient to accomplish a public for construction,construction-related
Agreements),Part 35(State and Local purpose.It is either a grant or a activities(including A&E services),or
Assistance),Part 40(Research and cooperative agreement and will specify: for repair or improvement to a facility.
Demonstration),Part 45(Training)and
Part 48(Fellowships).
budget and project periods; the Federal "Foreign grants."An EPA award of
share of eligible project costs;a assistance when all or part of the
(c)This regulation incorporates the description of the work to be project is performed in a foreign country
requirements of Office of Management accomplished and any special y(a)a U.S.recipient. (b)a foreign
and Budget (OMB) Circulars and EPA conditions. recipient,or(c)an international
Orders. 'Award official."The EPA official organization.
(d)Recipients must provide the with the authority to execute assistance 'Formal amendment"A written
reporting information required in this agreements and to take other actions modification of an assistance agreement
part to be eligible for EPA assistance authorized by this subchapter and by signed by both the authorized
awards. EPA Orders. representative of the recipient and the
(Nob.—The OMB clearances required by ' "Budget period."The length of time award official.
the Paperwork Reduction Act are identified EPA specifies in an assistance "Grant agreement"An assistance
in Appendix D to this part.] agreement during which the recipient agreement that does not substantially
130.101 What Is the scope of this may expend or obligate Federal funds. involve EPA in the project and where
' regulation? "Consolidated assistance."An the recipient has the authority and
This regulation covers financial assistance agreement awarded under capability to complete all elements of
assistance awards made as grants or more than one EPA program authority or the program(does not include
cooperative agreements under funded together with one or more other fellowships).
4 requirements of the Federal Grant and Federal agencies.Applicants for "In-kind contribution."The value of a
Cooperative Agreement Act(P.L 95- consolidated assistance submit only one non-cash contribution to meet a
224).It does not cover direct EPA application. recipient's cost sharing requirements.
contracts under which EPA acquires 'Continuation award."An assistance An in-kind contribution may consist of
property or services for its use. agreement after the initial award,for a charges for real property and equipment
project which has more than one budget or the value of goods and services
I 30.102 What laws wthonis.EPA to Issueperiod in its approved project period directly benefiting the EPA funded
this reguletion?\ (see 1 30.308). project.
Reorganization Plan Number 3 of 1970
"Contractor."Any party to whom a "Non expendable personal property."
and
Reorganization
t inn authorize 3 of the recipient awards a subagreement. Personal property with a useful life of at
and the following
noEPA to statutes issue this 'Cooperative agreement' An least two years and an acquisition cost
Administrator
assistance agreement in which of$500 or more.
(a)reuThe Clean Water Act,as amended substantial EPA involvement is 'Personal property."Property other
nnticinet,,d during the performance of than real property.It may be tangible
(31 U S.C. 12.51 et seq.): the r • -t (does r.. - Include ihving physical existence), such as
The?visa:• -.,r Act.a,- , ^ter?-fi 142 fe:, „s1 cc -me-, and s.:^-':es. or .• - rt. tae
'4i;1 r' s.-v i .,76:o i,.:..-7g.” . for:un of (i.b s..4 no jaysica. Lf,s:e:.:_' - -r BF
(c)The Solid Waste Disposal Act,as alio Kable project costs dial a recipient patents, inventions, and copy,-16' ..
amended(42 U.S.C.69901 et seq.); contributes toward completing its "Program income."Gross income the
(d)The Safe Drinking Water Act,as project(i.e.,non-Federal share,matching recipient earns during its project period
amended(42 U.S.C.300f et seq.); share). from charges for the project.This may
(e)The Federal Insecticide,Fungicide, 'Environmentally related include income from service fees,sale of
and Rodenticide Act,as amended(7 measurements."Any data collection commodities,trade-in allowances,or
U.S.C.138 et seq.); activity or investigation involving the usage or rental fees.Fees from royalities
45064 Federal Register 1 Vol. 48, No. 191 / Friday. September 30, 1983 / Rules and Regulations
are program income only if the method for performing certain routine or funds,and assets,as required in Subpart
assistance agreement so states.Revenue repetitive tasks. E of this part
generated under the governing powers "Subagreensent."A written agreement (5)Procurement standards that
of a State or local government which between an EPA recipient and another comply with Part 33 of this Subchapter,
could have been generated without an party(other than another public agency) (8)Properly management systems for
award is not considered program and any lower tier agreement for acquiring, maintaining,safeguarding.
income.Such revenues include fines or services,supplies,or construction and disposing of property.as required in
penalties levied under judicial or penal necessary to complete the project. Subpart E of this part;and
power and used as a means to enforce Subagreements include contracts and (7)Demonstrated compliance or
laws. (Revenue from wastewater subcontracts for personal and willingness to comply with the civil
treatment construction grant projects professional services, agreements with rights, equal employment opportunity,
under Title II of the Clean Water Act. as consultants, and purchase orders. labor law, and other statutory
amended, is not program income.It must "Violating facility."Any facility that requirements under Subpart F of this
be used for operation and maintenance is owned,leased,or supervised by an part.
costs of the_recipient's wastewater applicant,recipient,contractor, or (b)EPA considers your submission of
facilities.) subcontractor that EPA lists under 40 an assistance application as your
"Project."The activities or tasks EPA CFR Part 15 as not in compliance with assurance that you can and will meet
identifies in the assistance agreement. Federal,State, or local requirements these standards.EPA niay conduct a
"Project costs."All costs the recipient under the Clean Air Act or Clean Water preaward audit or other review to
incurs in carrying out the project.EPA Act.A facilityincludes
considers all allowable project costs to any buildi n8 determine your capabu�ities.
plant, installation, structure,mine, (c)EPA must notify you in writing if it
include the Federal share. vessel,or other floating craft. finds you unable to meet these
"Project officer."The EPA official "Unsolicited
designated in the assistance-agreement proposal•"An informal standards.The written notice will state
as EPA's program contact with the written offer to perform EPA funded the reasons for the finding. You may
recipient. Project officers are work for which EPA did not publish a appeal EPA's findings under the
responsible for monitoring the project. solicitation. disputes procedures in Subpart L
"Project period."The length of time Subpart C—How Do I (d)Individuals,agencies,or
EPA specifies in the assistance Apply For and organizations voluntarily excluded.
Rae
agreement for completion of all project
work.
or debarred under 40 CFR
work.It may be composed of more than ¢30.300 What activttses does EPA fund? Part 32 are ineligible to receive
one budget period. EPA awards'assistance to support
"Quality assurance narrative various activities that protect the f 90 902 How do I apply for assistance
statement."A description of how environment and reduce or control
precision,accuracy,representativeness, pollution.EPA u a these activities (a)You must submit a standard
completeness,and compatibility will be �D p application to apply far EPA assistance.
into the following types of assistance (b)Before you file an application to
assessed,and which is sufficiently programs: perform unsolicited work,you may
detailed to allow an unambiguous. (a)State and localpollution control
determination of the quality assurance submit an unsolicited proposal.EPA will
practices to be followed throughout a ro)Construction of wastewater apprise you of your proposal's potential
research project. treatment works; for funding.
"Quality assurance program plan."A (c)Research; (c)You can get program information
formal document which describes an (d)Demonstration: and an application kit with instructions
R orderly assembly of management (e)Training from the EPA grants office which is
• policies,objectives,principles, (f)Fellowships; responsible for administering that
i. organizational responsibilities,and (g)Special investigations,surveys or program.Regional EPA grants offices
procedures by which an agency or. studies;and provide and review applications and
laboratory specifies how it intends to: (h)Consolidated assistance. award assistance for State and local
(a)Produce data of documented pollution control projects.State water
quality,and
•
at tsr+eNam �t whom doss EPA award pollution control agencies provide and
(b)Provide for the preparation of review applications for grants for the
quality assurance project plana and (a)EPA awards assistance only to construction of wastewater treatment
standard operating procedures. applicants which are eligible under facilities.EPA Headquarters provides
..Quality assurance project plan."An applicable statutes and regulations and and reviews applications for and
organization's written procedures which which have the ability to meet the awards research,demonstration.
delineate how it produces quality data following criteria: fellowships, and training assistance.
for a specific project or measurement (1)Financial resources,technical (d)(1)For assistance agreements
method. qualifications,experience.organization. awarded for Fiscal Year 1984.you must
"Real property."Land,including land and facilities adequate to carry out the develop and implement a quality
imprvemcr.ts and structures and project.or a demonstrated ability•to assurance program acceptable to the
ac7. a- _ _-. :nova tie obtain these: Gwa!C off-'sl :f - r.roposa'. i.. ^rues
IT.- . ...._ . R-. ._-res tc ,,. .'.P rrz'ect t -
'neciprent.' Any entity which rias completion iicneduia contaiiit ci in the C:t66.utruteii:b Or c0:c a :.C.6::�r.
been awarded and accepted an EPA assistance agreement Except as noted in paragraphs(d)(2)
assistance agreement. (9)A satisfactory performance record and(3)of this section,your application
"Standard operating procedure"A for completion of projects and for financial assistance must include a
document which describes in detail an subagreementa; quality assurance plan which meets the
operation,analysis,or action which to (4)Accounting and auditing requirements in(l 30.509.If you already
commonly accepted as the preferred procedures adequate to control property, have an EPA approved quality
Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45065
assurance plan,you need only reference 552) and on the provision for patents accomplishments during the current
that plan in your application,provided and rights in data and copyrights under budget period.
the plan covers the project in your Subpart K of this part. (5)An annual invention report and
application. (b)If you submit data,documents,or (8)Any other reports that the
(2)The recipient of an assistance parts of documents which you consider assistance agreement may require.
award under the Comprehensive to be confidential,you should clearly (c)If approved by the award official,
Environmental Response, identify them with the words"trade you may carry over unexpended prior
Compensation.end Liability Act of 1960, secret." "proprietary,"or"business year funds: (1)In lieu of new funds; (2)
must submit a schedule for developing a confidential."For further instructions on to complete work started in prior years:
quality assurance project plan within 30 assertion of confidentiality claims,see or(3) to supplement the new award. You
days of receiving an assistance award. 40 CFR Part 2,Subpart B. must meet all program and cost sharing
Recipients may not begin field or requirements in each budget period to
laboratory work until the award official f 30.305 How do I find out tt EPA carry over funds.
n:wad my app
approves the recipient's assurance ordisoOr7 (d)If EPA executes a continuation
project plan. (a)If EPA approves your application, agreement,EPA twill reimburse you for
(3)The recipient of a wastewater the award official will prepare and sign allowable costs you incur between the
treatment construction grant awarded an assistance agreement and send it to end of a budget period and date of
under Title II of the Clean Water Act you for signature.Your authorized award for the next budget period
must comply with ; 30.503 only if a representative must either sign and provided you submit a continuation
grant condition specifically requires the return the agreement to EPA within application before the expiration of the
recipient to gather environmental three calendar weeks after you receive prior budget period.
related data.If a quality assurance it or request EPA to extend the time for
program is required,recipients must acceptance_If you do not sign or request ;30.307 How much must 1 oonr'tbuW to
submit a schedule for developing a an extension within the three week Its tip of wry Prolaet7
quality assurance project plan within 30 period. the assistance agreement is null (a)The amount of cost sharing you
days of assistance award.Recipients and void. must contribute depends upon the
must not begin field or laboratory work (b)If EPA disapproves your statutory and regulatory cost sharing
until the award official approves the application,it will promptly notify you provisions that apply to your specific
recipient's quality assurance project in writing.You may appeal EPA's assistance project(see 40 CFR Parts 35
plan. disapproval under Subpart L and 40).You must contribute at least a•5
30 303 What steps must I tats when (c)Sometimes,EPA will defer your percent share of the total allowable
•30.ktg a standard steps
I application.You will be notified in project costs for each budget period
(a)Before you file an application, you writing of this decision. unless:
(1)A lesser amount is specified in the
must complete the forms according to I 30.305 How lona will I have to complete respective statute or regulation
the instructions. At least one copy of the mY Pte'► applicable to your project or
completed application must have an (a)Your assistance agreement will (2)The assistance agreement is for a
original signature of the person state the length of your approved budget remedial planning action under the
authorized to obligate you or your period(s)and project period.Subject to Comprehensive Environmental
organization to the terms and conditions statutory provisions,your approved Response,Compensation and Liability
EPA's regulations and assistance project period may induce more than Act of 1980.
agreement. one budget period.In this case,you must (b)You may satisfy the requirement
(b)You must: submit a continuation application to for cost sharing with cash or,when not
! (1)Comply with your State's EPA to request funding for.each budget prohibited by statute or regulations.
intergovernmental review process.if it period after the initial one.EPA make with in-kind contributions.Your
established one under Executive Order continuation awards subject to contribution may not be paid with
12372.See 40 CFR Part 29(4d FR 29288, availability of funds and Agency Federal funds or with property or
•
June 24.1983). priorities.(Assistance awards under 40 services received under another
t (2) Comply with the areawide review CFR Part 35,Subpart A.do not have assistance agreement.unless authorised
requirements of Section 204 of the project periods,but recipients of such by statute.Additionally,your
Demonstration Cities and Metropolitan award may receive continuation contributions must be:
Development Act of 1988,as amended awards.) (1)Negotiated before and specified In
(42 U.S.C.3334)1f your project will be (b)The continuation application must
located in a metropolitan area.EPA include: your assistance agreement:
programs that are subject to areawide i)A detailed ss reportfor the (2)3Verifiable from your records;
review are listed in 48 FR 29304,June 24.
(1) (3)Used exclusively for a single
1963,and marked with an asterisk(•). current budget period projectand
(2) A preliminary financial statement (4)Properly allocable to and
I 30.304 M ths ire:r-natio• 'aubesl!to EPA for the current budget period that ai.wable under the :noted
Carr',• ,_,r, Lnci.:th ' tirnetes c.r.,'e arti::,”nt you __Il p ..roe `.re
e- ...,er:i:: b a ••:3:7. c ..ii-
IV: .,C: ;.:4•• A.t:`:..-c:. ..:::..._ie the
confidential.When EPA receives your current L,..:get period and isle amours: of Federal snare
assistance application or unsolicited any uncommitted funds which you
proposal the information you submit propose to carry over beyond the term 130.308 When may I begin Incurring
becomes part of the Agency's records. of the current budget period; Dotes?
As such,it is subject to EPA's disclosure (3)A budget for the new budget Except as permitted in I 30.308(d)or
of information policy(40 CFR Part 2) period: other EPA regulations,the award official
which is based on the provisions of the (4)A detailed work plan revised to and you must sign the EPA assistance
Freedom of Information Act(5 U.S.C. account for your actual agreement before you incur costs.
45066 Federal Register / VoI. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations '
130-309 What la t e affect of accepting en monthly,indicating the amount of your specific project only or as an indirect .
assistance agrsarnivoti expenditures to date and your request cost as described in the applicable cost
(a)When the award official signs the for funds for the coming period. principles (see 4 30.410).To receive
assistance agreement.EPA will obligate (3)By reimbursement. If you do not payment for indirect costs, you must
Federal funds for the amount stated in meet letter of credit requirements or have negotiated an indirect cost rate
your assistance agreement for the receive advance payments,EPA will pay with your cognizant Federal Agency and
purposes of the award.EPA is not you by reimbursement.Also,EPA your assistance agreement must provide
obligated to provide Federal funds for generally will pay you under the for the use of that rate.
any costs incurred by you in excess of reimbursement method if you are (b) You may request a special indirect
the Federal share of your approved receiving assistance under EPA's cost rate, if(1)your project is conducted
budget.(See Subpart G of this part.) wastewater treatment construction at an off-site location; or(2) your project
(b)The award of an assistance grants program(see 40 CFR Part 35, is a large.one-time project and its costs
agreement constitutes a public trust.By Subpart I). When EPA pays by this would distort the normal direct cost
signing and accepting an assistance method,you will be reimbursed for costs base used in computing the indirect cost
agreement,you become responsible for which you have incurred and are rate.
complying with all terms and conditions currently and legally obligated to pay.
of your assistance agreement,including Subpart E—How Do t Manage My
any special conditions necessary to 130.405 Can I assign my payment to Award?
assure compliance with EPA policies anyone else?
and objectives, this subchapter, and any Except as provided for in 40 CFR 130.500 What records must I maintain?
other applicable statute or regulation. 35.202.5(b)(2) of EPA's wastewater (a)You must maintain official records
You must efficiently and effectively treatment construction grants regulation, for each assistance award you receive
manage your project,successfully you cannot assign your right to receive and identify them with EPA assistance
complete the project according to the payments under your assistance identification numbers.These records
schedule. end meet all monitoring and agreement.EPA will make payments must contain the following information:
reporting requirements.You may not only to the payee identified in the (1)Amount received and expended for
delegate or transfer this responsibility. assistance agreement. the project,including all Federal and
Subpart D--How Does EPA Pay Me? 130.410 How does EPA determine cost sharing funds;
allowable costs? (2)Program income;
f 30.400 How does EPA mak*payments? To be allowable,costs must meet (3)Total cost of the project (both
I (a)EPA will promptly pay you for applicable statutory provisions and direct and indirect costs);
allowable costs you incur in accordance Federal cost principles.EPA uses the (4) Property purchased under the
I with EPA regulations and your following cost principles in determining award or used as part of your in-kind
t assistance agreement.If at any time, allowable costs for all EPA assistance contribution;
EPA determines you received payment agreements and subagreements under (5)Time records and other supporting
for unallowable cost or received an them,except as otherwise provided by data; and
over-payment,you are required to statute or this subchapter. Regardless of (8)Documentation of compliance with
reimburse EPA. (See 130.802.) whether the organization is the recipient applicable statutes and regulations.
(b)Your assistance agreement will of the award or is performing services (b)Your contractor must maintain
specify one of the following ways for for the recipient, the nature of theit books,documents,papers,and records
EPA to pay you.You will receive the organization is the sole criterion for pertinent to the project.
S appropriate forms and instructions with determining applicable cost principles.
your assistance agreement. (a)State and local governments must 130.501 How long must I keep these
(1)By letter of credit.EPA will pay use OMB Circular A-87 to determine records?
,, you by the letter of credit method.it you allowable costs; (a)Generally you and your contractor
s meet the Treasury Department's criteria (b)Educational institutions must use: must keep all records for three years
contained in Treasury Circular No.1075, (1)OMB Circular A-21 cost principles from the end of the project.Except for
as revised.You must establish a for research and development, training, real property and nonexpendable
separate bank account when payments and other educational services under personal property records.the beginning
under a letter of credit are made on a grants,cooperative agreements, and date of the three year period depends on
"check-paid" basis. subagreements,and(2)OMB Circular the type of project you are conducting.
(2)By advance.If you do not qualify A-88 which provides principles for as follows:
for a letter of credit.EPA may pay you coordinating the establishment of (1)For research,demonstration,and
by the advance payment method.You indirect cost rates and the auditing of
ate
must negotiate the amount of your initial rants,cooperative agreements,and training l Financialamthetsubmission(SF-
advanceSwith the award official.The g e of a final Status Report tubagreemente; 289);
negotiated amount should not exceed (c)Other nonprofit institutions must
the cash you will need for the first three use OMB Circular A-122: (2)For State and local assistance
months of operatior.. You must request (d!Profitmaking organizations must Programs, the submission date of the t
the trite, advance on.Standard Form �N r r._--i o en P •'I . rq final Financial Sta'us Report (SF-289,
u Q.. �prorur_rne 1
270 SiiJ0. "Re3 test fc . vanes Or (7:1' `- :,ar .-'-_ 0-
Reimbursement")which wi;:be:nuiuded appropriate.1-15.-1! and or't' • _t.-' _ .•'- ..s tr.
in your award package.EPA will issue a (e)Hospitals must use 45 CFR Part 74, approval date of EFA s final payment
check for the first three months or one Appendix E. for the project
check each month(at EPA's option) to (b)You must keep your records on
pay the advance.After your initial 130.412 How are costs categorized? real property and nonexpendable
advance,you must submit an SF 270 at (a)Costs are categorized as being personal property for three years from
least quarterly,but not more often than either a direct cost if they support a the date of final disposition.
Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45067
(c)If EPA terminates your award, you (2)Project requirements for precision, (f)All other applicants for financial
must keep all records for three years accuracy, representativeness, assistance must submit with their
•
from the termination date,except as completeness, comparability, and how application(see ! 30.302(d))a quality
provided in paragraph(b)of this section. these will be determined; assurance project plan acceptable to the
(d)If litigation, a claim, an appeal, or (3) Procedures for selection of samples award official.(For assistance in
an audit is begun before the end of the or sampling sites and collection or preparing a quality assurance project
three year period,you must keep all preparation of samples; plan see"Interim Guidelines and
records until the three years have (4)Procedures for sample handling, Specifications for Preparing Quality
passed or until the litigation, appeal, identification,preservation, Assurance Projects Plans"QAMS-005/
claim, or audit is completed and transportation,and storage; 80.This document(EPA-800/4.83-004:
resolved, whichever is longer. (5)Description of measurement NTIS PB 83-170514)may be obtained
methods or test precedures with a from the National Technical Information
+30.502 To whom must my contractor statement of performance Service.5885 Port Royal Road,
and I stow these records? characteristics if methods are non- Springfield,Virginia 22161.)The project
You and your contractor must allow standard: plan must address the following items:
the project officer and any authorized (6)Standard quality assurance/ (1)Title of project and name of
representative of EPA,including the quality control procedures (e g., principal investigator(s);
Office of Inspector General, the American Society for Testing Materials. (2)Table of contents of project plan;
Comptroller General of the United American Public Health Association (3)Project description;
States, the Department of Labor,or a standard procedures)to be followed. (4)Project organization and
representative of delegated States under Non-standard procedures must be responsibilities;
the wastewater treatment construction documented; and (5)Quality assurance objectives and
grants program, to inspect,copy,and (7) Data reduction and reporting criteria for determining precision,
audit records pertinent to the project. procedures,including description of accuracy, completeness,
Access to records is not limited to the statistical analyses to be used. representativeness, and comparability of
required retention periods.You and your (e)If you are a State or local data;
contractor must allow access to records government(except for recipients of (8)Sampling procedures;
at any reasonable time for as long as the wastewater construction grants under (7)Sample custody;
records are kept. Title II of the Clean Water Act, as (8)Calibration procedures and
I 3o sas Whet type of quality assuranceamended,or assistance awards under frequency end traceability of standards;
( 10.303am I required to haw? the Comprehensive Environmental (9)Analytical procedures;
practicesResponse.Compensation, and Liability (10)Data reduction,validation, and
(a)If four project involves Act of 1980),you must have a quality reporting;
environmentally related measurements assurance program plan acceptable to (11)Internal quality control checks:
or data generation, you must develop the award official. (For assistance in (12)Performance and system audits.
and implement quality assurance • preparing a program plan, see (13)Preventive maintenance;
practices consisting of policies. .• "Guidelines and Specifications for (14)Specific standard operating
procedures.specifications, standards. preparing Quality Assurance Program procedures used to assess data
and documentation which will produce Plans"QAMS-.004/80.This document precision.accuracy, representativeness,
data of quality adequate to meet project �A 800/8.-83..024;NTIS PB 83-219887) and comparability;
objectives and will minimize loss of may be obtained from the National (15)Corrective action for out-of-
data due to out-of-control conditions or Technical Information Service,5885 Port control situations;and
malfunctions. Royal Road,Springfield.Virginia 22161.) (16)Quality assurance reporting
(b)Your quality assurance practices The program plan must address the procedures.
must assure the reliability of monitoring following areas: (g)Recipients of an assistance award
and measurement data and integrate (1)Name of principal investigator(s) under the Comprehensive
quality planning,quality assessment, and quality assurance officer, Environmental Response,
and quality improvement efforts. (2)Background,purpose,and scope of Compensation,and Liability Act of 1980
(c)As required fn f 343.302(d), you the quality assurance plan: (Superfund),must comply with the
must develop and implement a quality (3)Quality assurance policy quality assurance project plan
assurance program which is acceptable statement requirements in paragraph(i)in this
to the award official in order to receive (4)Quality assurance management section
an EPA assistance award.All plan: (h)If required(see 130.302(d)(3)), a
applications for financial assistance (5)Personnel qualifications; recipient of a wastewater treatment
must include a document as specified in (8)Facilities.equipment,and services: construction grant under Title II of the
paragraphs(d),(e).or(f)of this section. (7)Data generation and general Clean Water Act,as amended must
(d)If your application is for research quality assurance requirements; comply with the quality assurance
financial assistance it must include a (8)Data processing,e.g.. reduction. project plan requirements in paragraph
q-..,6. 'y assurer.;e narrative statement va'.ldrlion.reporting (f)in this section.
a nic, s :her 6_._ =.-gee th ...-_-.,7:r.,-: f9;'Data ooa"ty zesesamrrt
areal a, provides ?uc.:fica:..-. why tory i13; -Jr-•__ ••e ,ic:rr; fc r cut : -
of these areas do not apply to the cono'o situations; M Interim and'ino,pr - repa:zs.
-proposal: (11)Development of individual quality You must submit interim and final
(1)The intended use of the data and assurance project plans and standard progress reports if the assistance
the associated acceptance criteria for operating procedures.if required in the agreement or EPA regulations require
data quality(precision.accuracy, program plan;and them.See 40 CFR Parts 35,4C and 45 for
representativeness,completeness, (12)Implementation requirements and specific requirements.EPA or its
comparability); schedule. authorized representatives may inspect
45068 Federal Register / Vol. 48, No. 191 / Friday, September 30, 1963 / Rules and Regulations
i
your project at any reasonable time to these solely for their authorized (3)If an agreement is reached that the
review its progress. purpose: material is appropriate for release as an
(b)Financial reports. (1)You must (d)A comparison of actual costs EPA publication.the following
submit a Financial Status Report(SF versus budgeted object class amounts: statement must be included in the
289)within 90 days after each budget (e)Procedures to ensure prompt document:
period within 90 days after the end of disbursement of Federal funds after you The information in this document has been
your project completion or termination. receive them; funded wholly or in part by the United States
If either the Financial Status Report (f)Procedures for determining Environmental Protection Agency under
(FSR)you submit after the budget period allowable,allocable,and reasonable assistance agreement(number)to(recipient).
or the FSR you submit after your project costs; It has been subjected to the Agency's peer
is completed or terminated includes (g)Audits at least every other year on and administrative review and hes been
unliquidated obligations,you must an organization-wide basis(see approved for publication as an EPA
submit a final FSR immediately after 130.540);and document.Mention of trade names or
those obligations are liquidated.If you (h)A systematic method to resolve commercial product,does not constitute
do not submit a final FSR within a audit findings and recommendations. endorsement or recommendation for use.
reasonable time after the 90 day period. (c)If agreement cannot be reached
))30.315 Whatmons,
restrictions tions on M
the award official may disallow they and must I that the material is appropriate for
aurVeyunliquidated obligations. observe? release as an EPA publication. you may
(2)Under the wastewater treatment (a)Signs.You must place a visible independently publish and distribute the
construction grants program,your final project identification sign ate document for your own use and at your
"Outlay Report and Request for construction site.The sign must give own expense provided you include the
Reimbursement for Construction following statement In the document:
will serve as the project information and credit EPA for
Programs"(SF 271) funding.Your project officer will give Although the information in this document
financial report. has been funded wholly or in part by the
you specifications for sign design,
(3)Recipients of fellowship assistance content,and placement.The cost of United States Environmental Protection
agreements do not have to submit FSR's. Agency under assistance agreement(number)
(c)Invention reports.You must report making and erecting the sign b an to(recipient).it may not necessarily reflect
all inventions(see Yo K for allowable cwt. the views of the Agency and no official
details).llon (set Subpartsubmita nal (b)Surveys and questipnnaires. If endorsement should be inferred.
invention statement to the award official informationyour survey is aquestionnaire
ngtio i states thethat (d)EPA also encouragesindependent
within 90 days after completion of a wisest Go is being collected for publication of reportsferred
• project If you have a continuation �scleenl G p ovi l from you must request journals at any tie.You must submit a
written approval )�A to use
awardyou must submit an annual Agency funds to cover the costs of data Copy of the,article to your project officer
invention statement with yourcollection To assure compliance with when you send it for publication.
continuation application.Also.if you the Paperwork Reduction Act of1980. Following publication,three copies of
change your project manager on a pub.L 96-511 (44 U.S.0 3501 et seq.). the article should be submitted to the
research project,you must submit an the project officer can grant approval project officer.The article must include
invention report at that time to the only with the agreement of the EPA the following statement
award official. Headquarters reports management Although the research de.aibed in this
(d)Report on Federally-Owned officer.You must also receive the article has been funded wholly or in part by
Property.You must submit an annual project officer's approval to list EPA as the United States Environmental Protection
inventory of all Federally-owned a recipient of the survey information. Agency under assistance agreement(number)
property used on your project At the to(recipient).it has not been subjected to the
end of the project period or when you Il 30.51$ What are the procedures for Agency's peer and administrative review and
no longer need the property,you must publishing scientific, ,end therefore may not necessarily reflect the
submit a final inventory which states educational documents? ms's of the Agency and O0 official
the present condition of each item and (a)EPA encourages publication of the andoresetaeat should be tnfar..d
requests disposition instructions. results of its assistance agreements. (e)Documents that are not to be
tat 30.510 (b)You must comply with EPA's peer released to the public as EPA
I What type of financial 50m.rtt system must I c amtahr? and administrative review process if publications but are part of a recipient's
• you intend to release to the public regular pollution control activities are
You must maintain a financial informational materials,reports. and not subject to the EPA peer and
management system that consistently other products produced under an EPA administrative review process,e.g»
applies accepted accounting principles assistance agreement. State pollution control agency-published
and practices and at least includes: (1)Except for articles published under newsletters and operation and
(a)An accurate,current,and complete paragraph(d)of this section,you must maintenance manuals under the'
accounting of all financial transactions submit three copies of the documents to wasterwater treatment construction
for your project your project officer for EPA review.EPA grants program.However,EPA
(b)Records.together with supporting will evaluate the documents and will encourages you to establish a similar
documen:e sh-'win. [h.e source and _ y:._ with '.;tten. st:.grer e:i re"•e w prcxeer '-^r r . •-.I-tp anti
application o:a'..p' -.a tuner .. .1, - .1^1, .. .. .. _
includingassistance awards and (2)You anoula make everyedort to may_m�__ans, .~1
publish such oocuments owy it y:,..1
authorizations,obligations,unobligated accommodate suggestions arising from include the following statement
balances,assets,liabilities,outlays,and the EPA review process while preparing This project has been funded wholly or in
income; a revised draft.You should alert EPA part by the United States Environmental
(c)Control over,and accountability reviewers to suggestions you cannot Protection Agency under assistance
for,all project funds,property,and other accommodate and to changes initiated agreement(number)to(recipient).The
assets,and an assurance that you used by you iq the revised draft. contents of this document do not necessarily
Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45069
reflect the views and policies of the basic or applied research if authorized must comply with the following property
Environmental Protection Agency,nor does to do so in your assistance agreement. management standards. Recipients may
mention of trade names or commercial Before you purchase property or use their own property management
products constitute endorsement or equipment with a unit acquisition cost of system if the system meets the following
recommendation for use 510,000 or more,you must receive the minimum standards.
#30.520 When may I use my own award official's approval.Title will be (a)Maintain accurate records
employees("fora account")? vested in you but may be limited as reflecting:
If costs will exceed$25,000. you must provided in paragraph (a)(1)of this (1)A description of the property:
get prior written authorization from your section. (2)Manufacturer's serial number,
project officer to use your own (1)If EPA determines that it is in the model number, or other identification
employees or equipment for best interest of the Agency,EPA may number,
construction,construction-related reserve the right to transfer the title for (3)Source of the property, including
activities,or for repairs or personal property having a unit assistance identification number.
improvements to a facility("force acquisition cost of$1,000 or more to the (4)Whether title is vested in the
account").You must demonstrate that Federal Government or a third party, recipient or She Federal Government;
(a)your employees can competently and within 120 days after project completion. (5)Unit acquisition date and cost:
more economically complete the work EPA must identify such property in the (8)The percentage of the Federal
than contractors or(b)an emergency assistance agreement,or otherwise share of the cost;
circumstance makes the use of"force notify you in writing that EPA reserves (7)Location, use, and condition of
account"necessary. the right to transfer the title. property and the date the information
(2) If EPA does not reserve the right to was recorded; and
#30.525 How should I treat program transfer the title,you have no other (8)Ultimate disposition data,
Income? obligations or accountability to EPA.
(a) You may use program income to (b)Other recipients. You may including sales priceprior the method dueed
fund additional eligible project purchase personal property with EPA used determine the currentr, r the method
activities,or if approved by the award assistance funds if authorized to do so to determine mfap market
value where a recipient compensates
official,to meet your non-Federal share in your assistance agreement. Before EPA for its share under #30.532 of this
of project costs. you purchase personal property with a Part
I (b) If you do not use the program unit cost of$10,000 or more,you must (b)Conduct a physical inventory of
income to fund additional eligible receive the award official's approval. property, and reconcile the results with
activities or you are not permittedbe vestedin you,subjectthe
to use Title will to the property records, at least once every
program income to meet your non- following conditions:
Federal share of project costs.EPA will (1)You must use the property in the two years. Your inventory must verify
subtract the income from the total EPA assisted project for which it was the current use and continued need for
allowable project cost to determine the acquired as long as needed, whether or the property.
net cost on which the Federal share will not the project continues to be (c)Maintain a control system to
be based. supported with EPA funds; Prevent loss, damage,or theft. (You
I (c)Unless the assistance agreement (2)You must assure that EPA's must thoroughly investigate and
provides otherwise,you do not owe EPA interest (the percentage of EPA's document any loss, damage,ortheft of
i any of the royalties you earn on participation in the total award) is nonexpendable personal property.)
copyrights or patents produced under adequately reflected and protected in (d)Maintain adequate maintenance
the assistance agreement. (See Subpart compliance with all recordation or ndi that ensure the property is in
K of this part for EPA's rights regarding registration requirements of the Uniform gooPtrocedures d condition and that instruments
copyrights and patents.) Commercial Code or other applicable used for precision measurements are
i periodically calibrated.
(d)You must keep complete records local laws on all nonexpendable (e)Maintain proper sales procedures
showing all receipts and expenditures personal property with a unit acquisition which provide for competition resulting
- related to program income. cost of 110,000 or more;
(3)You must follow the property in the highest possible return.
` #30.528 How do I treat interest earned on (f)management standards in 30.531; Maintain identification of
EPA funds? Federally-owned property.
(4)You must follow the disposition
If you earn interest on an EPA requirements in !}30.532; and
advance,you must return it to EPA (5)EPA reserves the right to transfer propse2 How do I dispose of personal
unless you are: the title for nonexpendable personal � �
(a)A State,or State agency as defined property having a unit acquisition cost When personal property is no longer
under section 203 of the of$1.000 or more to the Federal needed for the original project,you may
Intergovernmental Cooperation Act of Government or a third party,within 120 use it on other EPA projects. If you do
1988. (42 U.S.C.4213),or days after project completion.EPA must not have other EPA projects,you may
(bl A tribal organization as defined ir?entify such property in the assistance use it on other Federal projects.If you
under sections 10::.10a or 104 of thewish to use the property on other than
agreement. Federally sponsored activities y•. east
1- - Self Li.ter r_nat.on U.S.C. P
4 i. silo• .. - .,. ,,F.:`.. b5r C,-.77"-:•*. r.ti, t ,, 'o' ..v.': :-.. ' :a;
43nc:arc+n ~n..r. I Cc..•avr •s no--eipe.-at4e (a. (.er,eraily. i: you p.s_'aaec
00.530 May I purchase personal property personal property purchased with an EPA nonexpendable personal property for
using EPA assistance funds? • award? less than$1,000 per unit,you may either
(a)Nonprofit institutions of higher Nonprofit institutions of higher keep it or sell it and keep the proceeds.
education and nonprofit organizations education and nonprofit organizations However,if you are a profitmaking
whose primary purpose is the conduct of whose primary purpose is to conduct organization,you may keep
scientific research. You may purchase scientific research are exempt from the nonexpendable personal property only if
personal property for the conduct of following standards. All other recipients you reimburse EPA for its proportionate
45070 Federal' Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations '
share of the current fair market value of 4 30.536 How do I manage Federaky- organization's cognizant Federal audit
tht property. owned Property? agency. Where OMB has not established
(b)If EPA does not reserve the right to You must negotiate the use of a cognizant Federal audit agency. EPA
transfer fitle under; 30.530(a)(1),EPA is Federally-owned property with the staff may perform or arrange for the
still entitled to compensation on award official and comply with your audit to be performed.
nonexpendable personal property you lease agreement and ; 30.505(d). You
purchased for more than$1,000(see must inform the project officer of the Subpart F—What Other Fedora'
; 30.530(b)(5)). You may keep it. availability of the property when the Requirements Must I Comply With?
provided you compensate EPA for its property is no longer needed for the ; 600 What Federal laws and policies
proportionate share of the current fair assistance project or when you have affect my award?
market value. If you do not want to keep completed the project.EPA will give you
the property, your project officer will instructions on where to return the You must comply with all applicable
give you instructions for disposition. property. Federal laws.
(c) lf,at the end of you project,your (a)National Environmental Policy
have expendable personal property with 430.537 An contractors required to Act. You must comply with the National
a total aggregate fair market value comply with EPA property policies? Environmental Policy Act of 1969(42
exceeding$1,000,you may use the Generally, contractors are not U.S.0 4321 et seq.)as amended and
property on other Federally sponsored required to comply with EPA property other related environmental laws and
projects. If you do not use the property Policies. However, if your contractors executive orders that require you to
on other Federally sponsored projects acquired personal property with EPA assess the environmental impact of your
you must keep it or sell it, but in either funds, and the aubagreement states that project.See 40 CFR Part 6 for specific
case you ist compensate EPA for its ownership vests in you or EPA, the
mrequirements.
proportionate share of the current fair contractor must comply with EPA (b)Flood Disaster Protection Act. If
market value. property policies. your project involves construction or
awlI Pose reef DroDefty wnh 4 30338 May I use General Services property acquisition in a special flood
EPA awardad fui 3/11535 n c Administration(GSA)suppliesand hazard area,you must comply with the
services? Flood Disaster Protection Act of 1973
You may purchase real property You may not use GSA sources of (Pub. L.93-234,December 13,1973).If
subject to the following conditions: supplies and services,or excess your project is located in a community
(a)The award official must approve Government property.Excess participating in the National Flood
the purchase. Government property consists of Insurance Program(42 U.S.C.4001-4124
(b)Except as provided in para 'raph
property under the control of any the Act requires you to purchase flood
(e)of this section,you must use the real Federal agency that is not required for insurance as a condition of receiving
property only for the purpose for which its needs. EPA assistance. If the community is not
it was purchased under the assistance
award. i 30.540 Who wit audit my protect? participating in the National Flood
(c)You comply with the requirements (a)General. EPA ma rformInsurance Program and the special flood
in 40 CFR Part 4. Y� pre- hazard area has been designated by the
award or interim audits, as well as a Federal Insurance Administration of the
(d)You must also comply with 40 CFR final audit of your project.If EPA audit Federal Emergency Management
Part 35.Subpart 1.if your award is a your project.EPA will rely to the extent Agency for at least one year,EPA will
wastewater treatment construction practicable on your audits conducted not award assistance for your project
grant. under ; 30.510(g)(if done in accordanceuntil the community enters the program
(e)You must assure that EPA's with applicable audit standards)instead and flood insurance is purchased.See 44
interest is adequately reflected and of reauditing the same records.
protected in compliance with all (b)State and local governments. State CFR Parts requirementis59 for specific
.
recordation or registration requirements and local government must comply (c)Clean Air Act. Section 306 of the
of applicable local laws on real with the audit requirements in OMB Clean Air Act (42 U.S.0 7608), as
property. Circular A-102,Attachment P and other
(f)When it is no longer needed for the appropriate documents.Under amended,and Executive Order 11738
original project: Attachment P. you must conduct an prohibit EPA from awarding assistance
(1)You must get approval from EPA to audit at least once every two years to you(with certain exceptions)if you
use the property for other Federally evaluate the fiscal integrity of your intend to use any facility on EPA's List
supported projects or progams: or financial transactions and reports and to of Violating Facilities to complete work
1)You must contact EPA for determine compliance with the terms of on your agreement.You must include a
inaoactions on how to dispose of the your assiaiarce agreement.You should clause in all subagreements that
property.EPA may: conduct the, udit on an organization- requires the recipients of those
(i)Permit you to retain title to the wide basis.You must submit a copy of subagreements tht requires the
property provided you compensate EPA the audit to your cognizant Federal recipients of those subagreements to
for its share or agency.EPA will keep audit cognizance comply with the requirement of 40 CFR
(iil Direct you to sell the property and over subagreements under the Part 15(see 40 CH.33.1020).
tc col'. *.' -.ste EIDA r,;r ,.r sere. less was' -iter ireatrnenm construction (d;Fede."al WaterPallutior Control
Y-u° " F .. c-am. 4_' z.F-.t:.-- '_ _Inei=ec 0-_ wets-
(illi auect you to transfer the ilue of (c)uuier reciplen:s. The award i_:,Lit...1. r,_ui Act, (3?L.--C is'xS,
the property to the Federal Government official may request a final audit after as amended and Executive Order 11738
and then compensate you based on your the submission of,or the due date of.the prohibit EPA from awarding assistance
percentage of participation in the final Financial Status Report(sea to you(with certain exceptions)if you
original cost of the project,which will be ;30.505(b)).Where your organization intend to use any facility on EPA's List
applied to the current fair market value has a cognizant Federal audit agency, of Violating Facilities to complete work
of the property. EPA will refer these audits to your on your agreement.You must include•
•
Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45071
clause in all subagreements to comply imposed by the Act if their principal and mechanics to work in hazardous,
with the requirements of 40 CFR Part 15 employment activities are funded unsanitary, or dangerous conditions (see
(see 40 CFR 33.1020).Section 13 of the wholly or in part by Federal assistance. 29 CFR Part 1926).
1072 Amendments to the Act prohibits See 5 CFR Part 151 for specific (d)Convict labor. You may not use
sex discrimination under any program or prohibitions and exemptions. convict labor unless the convicts are on
activity receiving assistance under the (1)Safe Drinking Water Act. Section work release, parole, or probation (see
Act.See 40 CFR Part 12 for specific 1424(e)of the Safe Drinking Water Act 18 U.S.C.436).
requirements. (42 U.S.C. 300h-3(e)),prohibits EPA from
(e) Civil Rights Act. You must comply awarding assistance to you if EPA f 30.110 What are my responsibilities for
with Sec.802,Title VI of the Civil Rights determines that your project may preventing and detecting fraud and other
Act of 1964.(42 U.S.C.2000d),and contaminate a sole source aquifer which eom.t practices?
related nondiscrimination laws and will result in a significant hazard to (a)You bear the primary
Executive Order 11248.These public health. See CFR Part 149. responsibility for preventing,detecting,
authorities prohibit you from excluding and prosecuting corrupt practices under
any person from participating in. I WWI Ars there restrictions on the.use your assistance agreement.
denying them the benefits of, or of assistance funds for advocacy (b)If you become aware of
discriminating against them on the basis Pw9oeest allegations,evidence. or the appearance
of race,color,or national origin under You may not use assistance funds for of corrupt practices,you must:
any program or activity involving (a)Lobbying or influencing legislation
Federal financial assistance.See 40 CFR before Congress; (1)Immediately inform the EPA
Project officer and the EPA Office of
Parts 7,6.'and 12 for specific (b)Partisan or political advocacy
requirements. purposes; or Inspector General:and
(f)Rehabilitation Act. You must (c)An activity whose objective could (2)Promptly pursue available State
comply with Sec.504 of the affect or influence the outcome of an and local legal and administrative
Rehabilitation Act of 1973, (29 U.S.C. EPA regulatory or adjudicatory remedies.
794),as amended.which prohibits proceeding. f 30.111 Can I hire a
person
or to
discrimination on the basis of handicap soden EPA assistance for mme agency
Federally assisted programa.
I 30.103 What additional Federal laws
injFeAge Discrimination Act.You must apply to EPA assisted construction Yes,but you may not reimburse with
comply with the provisions of the Age ProJeetat EPA assistance funds any person.
Discrimination Act of 1975, (42 U.S.C. lI you receive EPA assistance for a corporation,partnership, agency,or
6101 et seq.).which prohibit project involving construction,you must other entity which solicits or secures
discrimination on the basis of age in ensure compliance with the following EPA assistance for you in exchange for
Federally assisted programs. additional requirements: a commission,a percentage fee, a
(h) Tide DC of the Education (a) The Davis-Bacon Act. The Davis- brokerage fee,or a contingent fee.
Amendments of 1872. You must comply Bacon Act(40 U.S.C.276a et seq.)as
with Title DC of the Education amended,and implementing regulations r prase ttiv an EPA employee act as my
Amendments of 1972, (20 U.S.C. 1881 et of the Department of Labor under 29 repreeerttative4
seq.)which prohibits sex discrimination CFR Part 5 require you to ensure that on (a)An EPA employee may not
in Federally assisted education construction subagreements in excess of represent you as an agent or attorney in
ams. $2.000,your contractors and any proceeding before EPA or any other
pr(I)Uniform Relocation Assistance and subcontractors pay wages to laborers Federal agency in which the United
Real Property Acquisition Policies Act. and mechanics at least equal to the States is a party or has a direct or
You must comply with the Uniform minimum wages specified by the substantial interest unless:
Relocation Assistance and Real Secretary of Labor if required in the (1)You are a State or local
Property Acquisition Policies Act of program statute. government agency;
1970,(42 U.S.C.4601 et seq.), if your (b) The Copeland Act.The Copeland (2)The EPA employee is on detail to
project involves acquiring an interest in (Anti-Kickback)Act,and the regulations the agency under the Intergovernmental
real property and/or any displacement of the Department of Labor under 29 Personnel Act(5 U.S.C. 3371-3376);and
of persons,businesses,or farm CFR Part 3 prohibit your contractors and (3)The representation takes place in
operations.See 40 CFR Part 4 for subcontractors from inducing any the context of carrying out programs for
specific requirements. person involved in your project to give which EPA and your agency have a joint
(j) The Indian Self-Determination and up any part of the compensation to responsibility under the environmental
Education Assistance Act. You must which that person is entitled under an statutes.
comply with the Indian Self- employment contract.
(b)Except as provided for in
Determination and Education (c) The Contract Work Hours and paragraph(a)of this section,an EPA
Assistance Act of 1975(P.L 93-638).If Safety Standards Act. The Contract employee must not act as an agent or
yoar proiect will benefit Indian.€ the Act Work Hours and Safety Standards Act attorney for a recipient or for a
r..- :ires you to give Indians oreierence (40 U.S.C.327 et sec.)and thr
contractor or subcontractor of a
i :g a_r:: .-n;w1Jy:- res is :ons 1., the t Dr.-'.. r^' ....c-Cor r. - -int in . £. _nE' _ ''.
o; .:ties kn.: a.. the ti:.4 c.ci ._ ...e, .. ,:moi. -=-1: f.2..—re ) .
subagreements. contractors and subcontractors to pay
(k) The Hatch Act If you are a State wages to laborers and mechanics on the I 30.113 What M EPA's poitcy on conflict
or local government recipient,you must basis of an eight hour work day and 40 of interest?
ensure compliance with the Hatch Act, hour work week and to pay at least EPA's policy Is to prevent personal or
(5 U.S.C.1501 et seq.),as amended.The time-and-a-half for work performed in organizational conflict of interest,or the
Act requires State and local government excess of these time limitations.Also, appearance of such conflict of interest in
employees to comply with the the Act prohibits your contractors and the award and administration of EPA
restrictions on political activities subcontractors from requiring laborers assistance, including subagreements.
JO 'nuawannba3 Suluodar is all; •ainilis 1agioue Aq paltgtgold :Jatpo aq;o;
gllm Aldwo3 o►He;noA uagM sluatuAed Apptjdxa lou;t;uawaa.2a aouelstsst Aitnil39 auo wog paua;eutn p santnipe
plogq;u►Awn(ammo prom, atu,(v) A3na8v jerapa.I Jatpo ro yd3 uv Japun uoI;orumuoo-uou ao uppru suoo
oqueuuted Ouppaqtara noA of algaAed spun;Jagio;sutage 1aglla 1o;paia8pnq s;unowy(i)
+o rrourrbrsuoo eta WO 3r4M Lor0€i ;gap aq;;asp) caw ydd•Jatrutw :8u!Molj0;aq;Jo 8utiaSpngai y(a)
Alma r al apew ion in luawasmqunar Jo 40a(oid aq;Jo ado3s
Tapia rapro 7j10M n LanaSy aqi aM0 noA;mow" aqi utgl!M sa8umg3 jatlualegnS(p)
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. Federal Register I Vol. .48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45073
conditions of your assistance agreement. opportunity for consultation before (a) Your name, the assistance
The award official will provide you issuing a notice of annulment. If your identification number, date of award.
reasonable notice in writing before assistance agreement is annulled, you and the dollar value of the application
withholding payment. must return all funds received for the or award;
(b)The award official may withhold project including those already (b)The section of the regulation from
only the amount necessary to assure expended. EPA may pursue other which you need a deviation.;
compliance with your assistance available remedies under Federal, State, (c)A complete description of what the
agreement. and local laws. deviation will do and a justification of
(c)The award official may withhold why the deviation is necessary; and
30.905 M
payment to the extent you are indebted 4nay I appeal a ternMnstlOr>,or (d)A statement of whether the same
annulme
to the United States. unless the or a similar deviation has been
collection of the indebtedness will You may appeal EPA's decision to previously requested. If such a request
impair the accomplishment of the terminate or annul an assistance has been made previously, explain why
project and the continuation of the agreement. Within thirty days after the it was made and the outcome.
project is in the best interest of the notice of termination or annulment is
United States. issued,you must file a written request 4 30.1004 Who approves or disapproves a
for appeal to the appropriate Assistant deviation request'?
130.103 What are the consequences of or Regional Administrator. Your appeal (a)The Director,Grants
termination for cause? must follow the procedures under Administration Division (GAD).
(a)The award official may Subpart L of this part. approves or disapproves your deviation
unilaterally terminate your agreement in request. Assistant Administrators in the
whole or in part at any time before the 4 30.106 What are the consequences of affected program areas must review and
date of completion, whenever he suspension of debarment? concur on deviations affecting a class of
determines that you have failed to EPA may suspend or debar you in applicants or recipients.
comply with the conditions of your accordance with 40 CFR Part 32. You (b) If EPA approves the deviation
agreement.The award official will may not receive assistance or a before an award, the revised
provide you an opportunity for subagreement if your name or requirement will be included in your
consultation before issuing a notice of organization appears on EPA's Master assistance agreement. Approval of a
termination. List of Debarred and Suspended Firms deviation before an award does not
(b) If EPA terminates your agreement. and Individuals. guarantee an award.
the award official will notify you in
writing of his determination.the reasons Subpart J--Can I Get An Exception 4 30.1005 May I appeal a deviation
for the termination,and the effective ("Deviation")From These decision?
date.Upon receiving the termination Regulations? You may not appeal a deviation
notice, you must stop work immediately. 4 1001 WW1 EPA grant any exceptions decision under the procedures in
EPA will not reimburse you for any new to these regulations? Subpart L of this part. However,you
commitments you make after you (a)On a case-by-case basis,EPA will may request the Director of the Grants
receive the termination notice. Administration Division to reconsider
(c)EPA will pay you the Federal share consider requests for exceptions to these his decision.
of allowable costs incurred up to the regulations.
date of termination and allowable costs (b) EPA may issue a "deviation" from Subpart K—What Policies Apply to
related to commitments you made prior any of its assistance related regulations. Patents,Data,and Copyrights?
to termination that you cannot cancel. except for those that implement
statutory and executive order 430.1100 What assistance agreements
f 30.904 What are the consequences of requirements. are subject to EPA patent rules?
annulment? (c)The award official may "waive" Except for wastewater treatment
(a)The award official may certain requirements of this subchapter construction grants awarded under Title
unilaterally annul in whole or in part for foreign grants.All provisions waived II of the Clean Water Act,as amended,
your assistance agreement in any of the will be stated in the assistance all EPA assistance agreements involving
following cases: agreement. experimentation.development,special
(1)You have made no substantial investigations, surveys,studies,or
progress on the project without good 4 30.1002 Who may request a deviation? research are subject to the EPA patent
cause: You,your project officer,or an EPA rules.
(2)You obtained an assistance program office may request a deviation
agreement by fraud or - from EPA regulations. If you are the 4 30.1101 What Federal patent laws or
misrepresentation; - - initiator,you must send your written polkles govern my assistance agreement?
(3)You are found to practice corrupt request to your project officer if the The nature of your organization will
administrative procedures: request is for a Headquarters program or determine which laws and policies
t4)You have '^ordinately delayed to the Regional Administrator for a govern your assistance agreement:
pr, i"-4 comply' ,n without goo:, e; Regionally administered program. who la) Smell business firms an,: nonprrf t
0' w.'.` 1' .. ,.-cKzrd the r.. .. to rho nr•2an:zt. on' :' d;-.,;Pcucat.
,. ..L a.,c,. n,'et ,ec: D.r, -. t_,;,:f. s G -sr :' S. on
purpose to the extent that the Division.with a re-ommenaation for o: and must comply w pub.I..9t.-5
fundamental purpose stated in the approval or disapproval. (35 U.S.C.Chapter 38).
assistance agreement is frustrated. (b)A profitmaking firm that is not
(b)If EPA intends to issue an I 30.1003 What Information must I Include defined as a small business firm,and
annulment, the award official will In a deviation request? whose assistance agreement is funded
inform you of the annulment in writing. Your request must include the under section 8914 of the Resource
The award official will provide you an following information: Conservation and Recovery Act
45074 Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations
(RCRA), must comply with section Policy of February 13, 1983,except that a Headquarters. you must file your
6981(c)of RCRA. Sec Federal party to a subagreement awarded under request with the Assistant
Procurement Regulations. 41 CFR Part 1- section 8914 of RCRA which is a Administrator responsible for the
9, specifically 1-9.107-5(a) for the profitmaking firm not defined as a small assistance program.
required patent rights clause. business firm, is subject to § 30.1101(b). (b) For final decisions issued by a
(c) If you are neither a small business (b) Subagreements must be in Regional disputes decision official, you
firm nor a profitmaking firm with an compliance with the"Patent and data must file your request for review with
award under section 8914 of RCRA, you and copyright clause" in 40 CFR Part 33, the Regional Administrator. If the
are subject to the guidelines in the and generally must contain the same Regional Administrator issued the final
President's Memorandum on patent rights clause as contained in your decision, you must request the Regional
Government Patent Policy issued on assistance agreement. Administrator to reconsider that
February 18, 1983 (Weekly Compilation
of Presidential Documents,vol. 19. no. 7, }30'1106 Does EPA require any type of decision.
licensing of background patents that I
page 252), and, therefore. must comply own? }30.1210 What must I include In my
with Pub. L 96-517, 35 U.S.C. Chapter Generally.EPA does not require such request for review or raconshferatton7
38. licensing. However, in awards subject to Your request must include:
§30.1102 What are my invention rights Pub. L 96-517 the Administrator may (a)A copy of the EPA disputes
and my reporting requirements If my award approve such a requirement under decision official's final decision;
Is other than an award under section 6914 exceptional circumstances.
of RCRA? (b)A statement of the amount in
report all inventions to EPA }30.1112 Are there any other patent dispute;
and You mustus whether you wish u retain ciawes or conditions that apply to my (c)A description of the issues
award? involved;and
domestic and/or foreign rights to your Your award is subject to both the
invention. You must notify EPA of your (d)A concise statement of your
Notice and Assistance Clause and the objections to the final decision.
decision within the time period specified
in the patent rights clause included in Authorization t andiConsent Clause in
your assistance agreement. Ifyou do not Appendix B to this part. }30.1215 What are my rights after I fee a
grequest for review or reconslderarion?
decide to retain rights to your invention }30.1130 What rights In data and
within the time specified. EPA may copyrights does EPA acquire? (a)You may be represented by
acquire title from you. If you retain title. All assistance agreements and counsel and may submit documentary
EPA acquires a royalty-free, irrevocable subagreements'are subject to Appendix evidence and briefs for inclusion in a
license to use the invention throughout C. As set forth in Appendix C, the written record;
the world by, and on behalf of, the Federal Government has an unrestricted (b)You are entitled to an informal
Federal Government. right to use any data or information conference with EPA officials; and
generated using assistance funds or (c) You are entitled to a written
}30.1103 What are my invention rights specified to be delivered to EPA in the decision from the appropriate Regional
and obligations if I am a profitmaking firth
with an award under section 6914 of assistance agreement.The Federal or Assistant Administrator.
RCRA? Government has a royalty-free,
irrevocable license to use any
130.1220 tf the Assistant Administrator
If you are not a small business and copyrighted data in any manner for
cont the final decision of the
your assistance agreement does not Headquarters disputes decision official,
indicate otherwise, you must comply Federal Government purposes. may I seek further administrative review?
with the patent rights clause. entitled Subpart L—How Are Disputes A decision by the Assistant
"Patent Rights Acquisition by the Between EPA Officials and Me Administrator to confirm the final
Government" (41 CFR 1-9.107-5(a)), Resolved? decision of a Headquarters disputes
which implements section 8981(c)of decision official will constitute the final
RCRA. Under this section,EPA normally I 30.1200 What happens if an EPA official Agency action.
obtains title to your invention. and I disagree about an assistance
agreement requirement? }30.1225 h the Regional Administrator
130.1104 Can I get a waiver from section (a)Disagreements'should be resolved confirms the final decision of the Regional
11981(c)01 RCRAT at the lowest level possible. disputes decision official,may I seek
On a case by case basis,you may ask (b)If you can not reach an agreement. further administrative review at EPA
EPA for a deviation from section 6981(c) the EPA disputes decision official will Headquarters?
of RCRA.You must follow the provide you with a written final (a)A determination by the Regional
procedures in Subpart J. _ . decision.The EPA disputes decision Administrator to confirm the Regional
§30.1106 Do the patent rows apply to official is the individual designated by disputes decision official's decision will
subagreementsT the award official to resolve disputes constitute the final Agency action.
(a) Yes, if the subagreements involve concerning your assistance agreement. However, you may file a petition for
exp rimentatior.. development, special (c)The disputes decison offigial y discretionary review by the Assistant
decision will ce:s'�.ute final a enc
it . '.ons. f..�• .e.. studies: Ac or resaona!b.e her the
✓;C-. ur.iesc L,;, ;;lE a request t.
re' _ you _!' '.:..,.:e t: .-..: a. ..•i ' ..a .L'
re'`rw by reg.cterr Tr: rt.t_:, : ce pt
appropriate patent rights clause in the ' •:.: g Ac ‘ _a
requested. within 30 calendar days of
fi
subagreement. All business rths and the date of the decision. de decision.Your petition must be sent to
nonprofit organizations awarded the Assistant Administrator by
subagreements are entitled to the }30.1205 if I file a request for review,with registered mail,return receipt requested.
benefits and must comply with Public whom must I Me? and must include:
Law 96-517 and the President's (a)For final decisions issued by an (1)A copy of the Regional
Memorandum on Government Patent EPA disputes decision official at Administrator's decision:and
•
Federal Register / Vol. 48, No. 191 / Friday, September 30, 1983 / Rules and Regulations 45075
(2)A concise statement of the reasons Carats substantially sir.Aar to the foregoing
why you believe the decision is Feder* Funding provisions.
erroneous. omes- s. mecry Authgrization and Consent Clause
(b) If the Assistant Administrator tete"
�,,. EPA gives its authorization and consent for
decides not to review the Regional No all use and manufacture of any invention
Administrator's decision, the Assistant described in and covered by a patent held by
Administrator will advise you in writing 66.001 As Poe'aon Coned ProQrm tit the United States in the performance of an
6s.003 w Poe.on Cored Manpowern
Train-
that
that the Regional Administrator's rice...__ _.___.._..___._.,..._ t'I assistance agreement and any subagreement.
decision remains the final Agency 61-006 As Pollution Control—Team* Train-
action. ing...................___.....__._ _ (') Appendixis in Data Copyrights
As Pollution CaFelowellee..__ (•) (a)The term"subject data"'as used in this
(c)If the Assistant Administrator woe corwucson cranis for wsu..aw
1') clause includes writing,technical reports,
decides to review the Regional 66.416 Water Pollution Control-0W and u. sound recordings,magnetic recordings.
Administrator's decision, the review will ' ' ProOrm.....- ---- -. ('t computer programs,computerized data bases.
erases!! be limited to the written 06.420 wafer Poawon coi*o -seate 'rad
generally tote rr.rpo.■ ProRare Develop data bases in hard copy,pictorial
record on which the Regional mint _._ ___ _._..._.._. (•) reproductions,plans,drawings,including
Administrator's decision was based. Water Po6"tion Cored Fa6owrhp..-- et engineering or manufacturing drawings,
66.426 weber Pollution caws—Proeses w.r
The Assistant Administrator may allow Tra..p._..__....__._....____..__ p) specifications,or other graphical
you to submit briefs in support of your 116.432 state Public wail'Stearn Stperwnon representations,and works of any similar
petition for review and may provide you N.433 wsta;go,,;; PI nature(whether or not copyrighted)which an
an opportunity for an informal Indian Program_.._ _.._... (i) applicant submits or which EPA specifies to
slats war Pollution Control—Lea"setae be delivered under this assistance agreement
conference In order to clarify factual or bel or which a recipient develops or produces
legal issues,After reviewing the 66.436 Constriction w.n.s.mer.Assistance... (')
Regional Administrator's decision,the e6.451 Hazardous waste uanesem"y Final- and EPA pays for under this assistance
cal Assistance b stave t.) agreement.The term does not include
Assistant Administrator will issue a 66.464 WON wnm.r
ap. a 'I financial reports,cost analyses,and other
written decision which will then become elate
Treeing _ _PrOilly bel rla information incidental to assistance
the final Agency action. Imes Dr,,b,s wow Occupational agreement administration.
Trrr,p
n ..._..___ _._ _.___ PI (b)Except as may otherwise be provided in
1 I 30.1230 WIll I be charged Interest If I
sea a+rt+w w yrbFs .a�p. - -- (•) this assistance agreement when publications
Owe money to EPA? Environmental films,or similar materiels are developed
dated Rese.ref+_._....__......_..__.. r) Pe
(a)Interest will accrue on any 61.501 At Po6Coned,won Coned Research —•. rl directly or indirectly from a project supported
amounts of money payable to w 502 P.asad..Coned Research_..._. (;) by EPA,the author is free to arrange for
due andP Y 66.504 sold write Deccan Reserch.._........... ( )
EPA from the date of the final Agency 66.506 war PoR+son c«*ot`.fl..eru+, copyright without approval.However such
action.if you are not a State or local Di/10Q1.ni sodDerronannon r) materials shall be subject to the provisions of
66.606 lata Drilling water Kessel, and 40 CFR 30.518.The recipient agrees to end
government,you will also be charged a D.im..moon - does hereby grant to the Government and to
t )
penalty of a percent of the amount due, 6e 507 Toxic Substances R...arct, tit
66.600 e„rror.rentr Protector Consolidated its officers,agents,and employees acting
and you will be charged the cost to onnu-aroQam a,oeort.._.........._ i t within the scope of their official duties,a
handle and process the debt. (See 66.603 Lan Guarantees to Construction d royalty-free,nonexclusive,and irrevocable
30.802). Onlyfull payment of the debt Treatment Works (•I license throughout the world for Government
P Ym ee.7oo Pesticides Enfacarr,rx Program
within 30 days from the date of the final Omits ('I purposes to publish,translate,reproduce,
'sato WW.mones d Uncontrolled Mar-
. deliver,perform,dispose of and to authorize
Agency action will prevent EPA from meow write leve _ bel P
charging the interest, realty.and 66.602 t4 dos Substance Response Tram others so to do,all subject data,or
handing charges on the amount Find(sup.rM,d) -- pI copyrightable material based on such data.
outstanding. C000ra+M x covered by copyright now or in the future.
(b)State and local government .�►,.rGrant Agreement. subjectjda)The tay nt copyrightednotinclude
matter without
any
recipients are not subject to the penalty •Lew a Fsorshp the written approval of the project officer,
and handling charges in this section,but unless he provides the Government with the
are subject to the interest charges. APPsndix B—Patents and Copywghts Clauses written permission of the copyright owner for
I 30.1235 Are there EPA decisions Notice and Assistance Clause the Government to use the copyrighted
+ matter in the manner provided in paragraph
which may not be reviewed under this (a)The recipient must report to the project (b)above.
subpart? officer,promptly and in reasonable written (d)Nothing contained in this Appendix
You may not appeal: detail,each known notice or claim of patent shall imply a license to the Government
Disapprovals of deviations under or copyright infringement on this agreement. under any patent or be construed as affecting
(a) PP (b)In the event of any claim or suit against the scope of any license or other rights
Subpart J; the Government,on account of any alleged otherwise granted to the Government under
(b)Bid protest decisions under Part patent or copyright infringement arising out any patent.
33, of the performance of this agreement or out of (e)Ur..'ese otherwise limited below.the
Natio el Env runme^t2 Policy Act the use of any supplies furnished or work or Gover.--_nt ma, o,. :�-c_• a^'.- one'
C C:76 >er 5. s""•ices ccrfo-•-.'d rereu-:de• 'he recipient _.ilii• ,'ice t:- _e.e use
' r.. t__' =.`,t: ,,t"_-•'-. M t- se - ?. .. .
, Acvanced wastes% ts' tree=-•ant r'e...stcc by the project officer all evirtence p...---.__,sr whatsoever.a...na.e ot.:ere I. _.,
decisions of the Administrator, and and information in possession of the recipient all subject data.
(e)Policy decisions of the EPA Audit pertaining to such suit or claim.Such (f)Notwithstanding any provisions of this
Resolution Board. evidence and information must be furnished assistance agreement concerning inspection
at the expense of the Government except and acceptance,the Government shall have
Appendix A—EPA Programs where the recipient has agreed to indemnify the right at any time to modify,remove.
The following chart identifies EPA's the Government. ob! terete,or ignore any marking restricting
assistance programs and the types of awards (c)The recipient must include in each dis_iosure of subject data if the marking is
(grants or cooperative agreements)that EPA subagreement(including any lower tier not authorized by the terms of this assistance
will award under these programs. subagreement)in excess of$10,000 a clause agreement.
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