40 C.F.R. PART 35—STATE AND LOCAL ASSISTANCE

Title 40 - Protection of Environment


Title 40: Protection of Environment

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PART 35—STATE AND LOCAL ASSISTANCE

Section Contents
§ 35.001   Applicability.

Subpart A—Environmental Program Grants


General

§ 35.100   Purpose of the subpart.
§ 35.101   Environmental programs covered by the subpart.
§ 35.102   Definitions of terms.

Preparing an Application

§ 35.104   Components of a complete application.
§ 35.105   Time frame for submitting an application.
§ 35.107   Work plans.
§ 35.108   Funding period.
§ 35.109   Consolidated grants.

EPA Action on Application

§ 35.110   Time frame for EPA action.
§ 35.111   Criteria for approving an application.
§ 35.112   Factors considered in determining award amount.
§ 35.113   Reimbursement for pre-award costs.

Post-Award Requirements

§ 35.114   Amendments and other changes.
§ 35.115   Evaluation of performance.
§ 35.116   Direct implementation.
§ 35.117   Unused funds.
§ 35.118   Unexpended balances.

Performance Partnership Grants

§ 35.130   Purpose of Performance Partnership Grants.
§ 35.132   Requirements summary.
§ 35.133   Programs eligible for inclusion.
§ 35.134   Eligible recipients.
§ 35.135   Activities eligible for funding.
§ 35.136   Cost share requirements.
§ 35.137   Application requirements.
§ 35.138   Competitive grants.

Air Pollution Control (Section 105)

§ 35.140   Purpose.
§ 35.141   Definitions.
§ 35.143   Allotment.
§ 35.145   Maximum federal share.
§ 35.146   Maintenance of effort.
§ 35.147   Minimum cost share for a Performance Partnership Grant.
§ 35.148   Award limitations.

Water Pollution Control (Section 106)

§ 35.160   Purpose.
§ 35.161   Definition.
§ 35.162   Basis for allotment.
§ 35.165   Maintenance of effort.
§ 35.168   Award limitations.

Public Water System Supervision (Section 1443(a))

§ 35.170   Purpose.
§ 35.172   Allotment.
§ 35.175   Maximum federal share.
§ 35.178   Award limitations.

Underground Water Source Protection (Section 1443(b))

§ 35.190   Purpose.
§ 35.192   Basis for allotment.
§ 35.195   Maximum federal share.
§ 35.198   Award limitation.

Hazardous Waste Management (Section 3011(a))

§ 35.210   Purpose.
§ 35.212   Basis for allotment.
§ 35.215   Maximum federal share.
§ 35.218   Award limitation.

Pesticide Cooperative Enforcement (Section 23(a)(1))

§ 35.230   Purpose.
§ 35.232   Basis for allotment.
§ 35.235   Maximum federal share.

Pesticide Applicator Certification and Training (Section 23(a)(2))

§ 35.240   Purpose.
§ 35.242   Basis for allotment.
§ 35.245   Maximum federal share.

Pesticide Program Implementation (Section 23(a)(1))

§ 35.250   Purpose.
§ 35.251   Basis for allotment.
§ 35.252   Maximum federal share.

Nonpoint Source-Management (Section 319(h))

§ 35.260   Purpose.
§ 35.265   Maximum federal share.
§ 35.266   Maintenance of effort.
§ 35.268   Award limitations.

Lead-Based Paint Program (Section 404(g))

§ 35.270   Purpose.
§ 35.272   Funding coordination.

State Indoor Radon Grants (Section 306)

§ 35.290   Purpose.
§ 35.292   Basis for allotment.
§ 35.295   Maximum federal share.
§ 35.298   Award limitations.

Toxic Substances Compliance Monitoring (Section 28)

§ 35.310   Purpose.
§ 35.312   Basis for allotment.
§ 35.315   Maximum federal share.
§ 35.318   Award limitation.

State Underground Storage Tanks (Section 2007(f)(2))

§ 35.330   Purpose.
§ 35.332   Basis for allotment.
§ 35.335   Maximum federal share.

Pollution Prevention State Grants (Section 6605)

§ 35.340   Purpose.
§ 35.342   Competitive process.
§ 35.343   Definitions.
§ 35.345   Eligible applicants.
§ 35.348   Award limitation.
§ 35.349   Maximum federal share.

Water Quality Cooperative Agreements (Section 104(b)(3))

§ 35.360   Purpose.
§ 35.362   Competitive process.
§ 35.364   Maximum federal share.

State Wetlands Development Grants (Section 104(b)(3))

§ 35.380   Purpose.
§ 35.382   Competitive process.
§ 35.385   Maximum federal share.

State Administration (Section 205(g))

§ 35.400   Purpose.
§ 35.402   Allotment.
§ 35.405   Maintenance of effort.
§ 35.408   Award limitations.

Water Quality Management Planning Grants (Section 205(j)(2))

§ 35.410   Purpose.
§ 35.412   Allotment.
§ 35.415   Maximum federal share.
§ 35.418   Award limitations.

Subpart B—Environmental Program Grants for Tribes


General—All Grants

§ 35.500   Purpose of the subpart.
§ 35.501   Environmental programs covered by the subpart.
§ 35.502   Definitions of terms.
§ 35.503   Deviation from this subpart.
§ 35.504   Eligibility of an Intertribal Consortium.

Preparing an Application

§ 35.505   Components of a complete application.
§ 35.506   Time frame for submitting an application.
§ 35.507   Work plans.
§ 35.508   Funding period.
§ 35.509   Consolidated grants.

EPA Action on Application

§ 35.510   Time frame for EPA action.
§ 35.511   Criteria for approving an application.
§ 35.512   Factors considered in determining award amount.
§ 35.513   Reimbursement for pre-award costs.

Post-Award Requirements

§ 35.514   Amendments and other changes.
§ 35.515   Evaluation of performance.
§ 35.516   Direct implementation.
§ 35.517   Unused funds.
§ 35.518   Unexpended balances.

Performance Partnership Grants

§ 35.530   Purpose of Performance Partnership Grants.
§ 35.532   Requirements summary.
§ 35.533   Programs eligible for inclusion.
§ 35.534   Eligible recipients.
§ 35.535   Activities eligible for funding.
§ 35.536   Cost share requirements.
§ 35.537   Application requirements.
§ 35.538   Project period.

Indian Environmental General Assistance Program (GAP)

§ 35.540   Purpose.
§ 35.542   Definitions. [Reserved]
§ 35.543   Eligible recipients.
§ 35.545   Eligible activities.
§ 35.548   Award limitations.

Air Pollution Control (Section 105)

§ 35.570   Purpose.
§ 35.572   Definitions.
§ 35.573   Eligible Tribe.
§ 35.575   Maximum federal share.
§ 35.576   Maintenance of effort.
§ 35.578   Award limitation.

Water Pollution Control (Sections 106 and 518)

§ 35.580   Purpose.
§ 35.582   Definitions.
§ 35.583   Eligible recipients.
§ 35.585   Maximum federal share.
§ 35.588   Award limitations.

Water Quality Cooperative Agreements (Section 104(b)(3))

§ 35.600   Purpose.
§ 35.603   Competitive process.
§ 35.604   Maximum federal share.

Wetlands Development Grant Program (Section 104(b)(3))

§ 35.610   Purpose.
§ 35.613   Competitive process.
§ 35.615   Maximum federal share.

Nonpoint Source Management Grants (Sections 319(h) and 518(f))

§ 35.630   Purpose.
§ 35.632   Definition.
§ 35.633   Eligibility requirements.
§ 35.635   Maximum federal share.
§ 35.636   Maintenance of effort.
§ 35.638   Award limitations.

Pesticide Cooperative Enforcement (Section 23(a)(1))

§ 35.640   Purpose.
§ 35.641   Eligible recipients.
§ 35.642   Maximum federal share.
§ 35.645   Basis for allotment.

Pesticide Applicator Certification and Training (Section 23(a)(2))

§ 35.646   Purpose.
§ 35.649   Maximum federal share.

Pesticide Program Implementation (Section 23(a)(1))

§ 35.650   Purpose.
§ 35.653   Eligible recipients.
§ 35.655   Basis for allotment.
§ 35.659   Maximum federal share.

Pollution Prevention Grants (Section 6605)

§ 35.660   Purpose.
§ 35.661   Competitive process.
§ 35.662   Definitions.
§ 35.663   Eligible recipients.
§ 35.668   Award limitation.
§ 35.669   Maximum federal share.

Public Water System Supervision (Section 1443(a) and Section 1451)

§ 35.670   Purpose.
§ 35.672   Definition.
§ 35.673   Annual amount reserved by EPA.
§ 35.675   Maximum federal share.
§ 35.676   Eligible recipients.
§ 35.678   Award limitations.

Underground Water Source Protection (Section 1443(b))

§ 35.680   Purpose.
§ 35.682   Definition.
§ 35.683   Annual amount reserved by EPA.
§ 35.685   Maximum federal share.
§ 35.686   Eligible recipients.
§ 35.688   Award limitations.

Lead-Based Paint Program (Section 404(g))

§ 35.690   Purpose.
§ 35.691   Funding coordination.
§ 35.693   Eligible recipients.

Indoor Radon Grants (Section 306)

§ 35.700   Purpose.
§ 35.702   Basis for allotment.
§ 35.703   Eligible recipients.
§ 35.705   Maximum federal share.
§ 35.708   Award limitations.

Toxic Substances Compliance Monitoring (Section 28)

§ 35.710   Purpose.
§ 35.712   Competitive process.
§ 35.713   Eligible recipients.
§ 35.715   Maximum federal share.
§ 35.718   Award limitation.

Hazardous Waste Management Program Grants (Pub.L. 105–276)

§ 35.720   Purpose.
§ 35.723   Competitive process.
§ 35.725   Maximum federal share.

Underground Storage Tanks Program Grants (Pub. L. 105–276)

§ 35.730   Purpose.
§ 35.731   Eligible recipients.
§ 35.732   Basis for allotment.
§ 35.735   Maximum federal share.

Subparts C–D [Reserved]


Subpart E—Grants for Construction of Treatment Works—Clean Water Act

§ 35.900   Purpose.
§ 35.901   Program policy.
§ 35.903   Summary of construction grant program.
§ 35.905   Definitions.
§ 35.907   Municipal pretreatment program.
§ 35.908   Innovative and alternative technologies.
§ 35.909   Step 2+3 grants.
§ 35.910   Allocation of funds.
§ 35.910-1   Allotments.
§ 35.910-2   Period of availability; reallotment.
§§ 35.910-3--35.910-4   [Reserved]
§ 35.910-5   Additional allotments of previously withheld sums.
§ 35.910-6   Fiscal Year 1977 public works allotments.
§ 35.910-7   Fiscal Year 1977 Supplemental Appropriations Act allotments.
§ 35.910-8   Allotments for fiscal years 1978–1981.
§ 35.910-9   Allotment of Fiscal Year 1978 appropriation.
§ 35.910-10   Allotment of Fiscal Year 1979 appropriation.
§ 35.910-11   Allotment of Fiscal Year 1980 appropriation.
§ 35.910-12   Reallotment of deobligated funds of Fiscal Year 1978.
§ 35.912   Delegation to State agencies.
§ 35.915   State priority system and project priorty list.
§ 35.915-1   Reserves related to the project priority list.
§ 35.917   Facilities planning (step 1).
§ 35.917-1   Content of facilities plan.
§ 35.917-2   State responsibilities.
§ 35.917-3   Federal assistance.
§ 35.917-4   Planning scope and detail.
§ 35.917-5   Public participation.
§ 35.917-6   Acceptance by implementing governmental units.
§ 35.917-7   State review and certification of facilities plan.
§ 35.917-8   Submission and approval of facilities plan.
§ 35.917-9   Revision or amendment of facilities plan.
§ 35.918   Individual systems.
§ 35.918-1   Additional limitations on awards for individual systems.
§ 35.918-2   Eligible and ineligible costs.
§ 35.918-3   Requirements for discharge of effluents.
§ 35.920   Grant application.
§ 35.920-1   Eligibility.
§ 35.920-2   Procedure.
§ 35.920-3   Contents of application.
§ 35.925   Limitations on award.
§ 35.925-1   Facilities planning.
§ 35.925-2   Water quality management plans and agencies.
§ 35.925-3   Priority determination.
§ 35.925-4   State allocation.
§ 35.925-5   Funding and other capabilities.
§ 35.925-6   Permits.
§ 35.925-7   Design.
§ 35.925-8   Environmental review.
§ 35.925-9   Civil rights.
§ 35.925-10   Operation and maintenance program.
§ 35.925-11   User charges and industrial cost recovery.
§ 35.925-12   Property.
§ 35.925-13   Sewage collection system.
§ 35.925-14   Compliance with environmental laws.
§ 35.925-15   Treatment of industrial wastes.
§ 35.925-16   Federal activities.
§ 35.925-17   Retained amounts for reconstruction and expansion.
§ 35.925-18   Limitation upon project costs incurred prior to award.
§ 35.925-19   [Reserved]
§ 35.925-20   Procurement.
§ 35.925-21   Storm sewers.
§ 35.926   Value engineering (VE).
§ 35.927   Sewer system evaluation and rehabilitation.
§ 35.927-1   Infiltration/inflow analysis.
§ 35.927-2   Sewer system evaluation survey.
§ 35.927-3   Rehabilitation.
§ 35.927-4   Sewer use ordinance.
§ 35.927-5   Project procedures.
§ 35.928   Requirements for an industrial cost recovery system.
§ 35.928-1   Approval of the industrial cost recovery system.
§ 35.928-2   Use of industrial cost recovery payments.
§ 35.928-3   Implementation of the industrial cost recovery system.
§ 35.928-4   Moratorium on industrial cost recovery payments.
§ 35.929   Requirements for user charge system.
§ 35.929-1   Approval of the user charge system.
§ 35.929-2   General requirements for all user charge systems.
§ 35.929-3   Implementation of the user charge system.
§ 35.930   Award of grant assistance.
§ 35.930-1   Types of projects.
§ 35.930-2   Grant amount.
§ 35.930-3   Grant term.
§ 35.930-4   Project scope.
§ 35.930-5   Federal share.
§ 35.930-6   Limitation on Federal share.
§ 35.935   Grant conditions.
§ 35.935-1   Grantee responsibilities.
§ 35.935-2   Procurement.
§ 35.935-3   Property.
§ 35.935-4   Step 2+3 projects.
§ 35.935-5   Davis-Bacon and related statutes.
§ 35.935-6   Equal employment opportunity.
§ 35.935-7   Access.
§ 35.935-8   Supervision.
§ 35.935-9   Project initiation and completion.
§ 35.935-10   Copies of contract documents.
§ 35.935-11   Project changes.
§ 35.935-12   Operation and maintenance.
§ 35.935-13   Submission and approval of user charge systems.
§ 35.935-14   Final inspection.
§ 35.935-15   Submission and approval of industrial cost recovery system.
§ 35.935-16   Sewer use ordinance and evaluation/rehabilitation program.
§ 35.935-17   Training facility.
§ 35.935-18   Value engineering.
§ 35.935-19   Municipal pretreatment program.
§ 35.935-20   Innovative processes and techniques.
§ 35.936   Procurement.
§ 35.936-1   Definitions.
§ 35.936-2   Grantee procurement systems; State or local law.
§ 35.936-3   Competition.
§ 35.936-4   Profits.
§ 35.936-5   Grantee responsibility.
§ 35.936-6   EPA responsibility.
§ 35.936-7   Small and minority business.
§ 35.936-8   Privity of contract.
§ 35.936-9   Disputes.
§ 35.936-10   Federal procurement regulations.
§ 35.936-11   General requirements for subagreements.
§ 35.936-12   Documentation.
§ 35.936-13   Specifications.
§ 35.936-14   Force account work.
§ 35.936-15   Limitations on subagree-ment award.
§ 35.936-16   Code or standards of conduct.
§ 35.936-17   Fraud and other unlawful or corrupt practices.
§ 35.936-18   Negotiation of subagree-ments.
§ 35.936-19   Small purchases.
§ 35.936-20   Allowable costs.
§ 35.936-21   Delegation to State agencies; certification of procurement systems.
§ 35.936-22   Bonding and insurance.
§ 35.937   Subagreements for architectural or engineering services.
§ 35.937-1   Type of contract (subagreement).
§ 35.937-2   Public notice.
§ 35.937-3   Evaluation of qualifications.
§ 35.937-4   Solicitation and evaluation of proposals.
§ 35.937-5   Negotiation.
§ 35.937-6   Cost and price considerations.
§ 35.937-7   Profit.
§ 35.937-8   Award of subagreement.
§ 35.937-9   Required solicitation and subagreement provisions.
§ 35.937-10   Subagreement payments—architectural or engineering services.
§ 35.937-11   Applicability to existing contracts.
§ 35.937-12   Subcontracts under subagreements for architectural or engineering services.
§ 35.938   Construction contracts (subagreements) of grantees.
§ 35.938-1   Applicability.
§ 35.938-2   Performance by contract.
§ 35.938-3   Type of contract.
§ 35.938-4   Formal advertising.
§ 35.938-5   Negotiation of contract amendments (change orders).
§ 35.938-6   Progress payments to contractors.
§ 35.938-7   Retention from progress payments.
§ 35.938-8   Required construction contract provisions.
§ 35.938-9   Subcontracts under construction contracts.
§ 35.939   Protests.
§ 35.940   Determination of allowable costs.
§ 35.940-1   Allowable project costs.
§ 35.940-2   Unallowable costs.
§ 35.940-3   Costs allowable, if approved.
§ 35.940-4   Indirect costs.
§ 35.940-5   Disputes concerning allowable costs.
§ 35.945   Grant payments.
§ 35.950   Suspension, termination or annulment of grants.
§ 35.955   Grant amendments to increase grant amounts.
§ 35.960   Disputes.
§ 35.965   Enforcement.
§ 35.970   Contract enforcement.
Appendix A to Subpart E of Part 35—Cost-Effectiveness Analysis Guidelines
Appendix B to Subpart E of Part 35—Federal Guidelines—User Charges for Operation and Maintenance of Publicly Owned Treatment Works
Appendix C–1 to Subpart E of Part 35—Required Provisions—Consulting Engineering Agreements
Appendix C–2 to Subpart E of Part 35—Required Provisions—Construction Contracts
Appendix D to Subpart E of Part 35—EPA Transition Policy—Existing Consulting Engineering Agreements
Appendix E to Subpart E of Part 35—Innovative and Alternative Technology Guidelines

Subparts F–G [Reserved]


Subpart H—Cooperative Agreements for Protecting and Restoring Publicly Owned Freshwater Lakes

§ 35.1600   Purpose.
§ 35.1603   Summary of clean lakes assistance program.
§ 35.1605   Definitions.
§ 35.1605-1   The Act.
§ 35.1605-2   Freshwater lake.
§ 35.1605-3   Publicly owned freshwater lake.
§ 35.1605-4   Nonpoint source.
§ 35.1605-5   Eutrophic lake.
§ 35.1605-6   Trophic condition.
§ 35.1605-7   Desalinization.
§ 35.1605-8   Diagnostic-feasibility study.
§ 35.1605-9   Indian Tribe set forth at 40 CFR 130.6(d).
§ 35.1610   Eligibility.
§ 35.1613   Distribution of funds.
§ 35.1615   Substate agreements.
§ 35.1620   Application requirements.
§ 35.1620-1   Types of assistance.
§ 35.1620-2   Contents of applications.
§ 35.1620-3   Environmental evaluation.
§ 35.1620-4   Public participation.
§ 35.1620-5   State work programs and lake priority lists.
§ 35.1620-6   Intergovernmental review.
§ 35.1630   State lake classification surveys.
§ 35.1640   Application review and evaluation.
§ 35.1640-1   Application review criteria.
§ 35.1650   Award.
§ 35.1650-1   Project period.
§ 35.1650-2   Limitations on awards.
§ 35.1650-3   Conditions on award.
§ 35.1650-4   Payment.
§ 35.1650-5   Allowable costs.
§ 35.1650-6   Reports.
Appendix A to Subpart H of Part 35—Requirements for Diagnostic-Feasibility Studies and Environmental Evaluations

Subpart I—Grants for Construction of Treatment Works

§ 35.2000   Purpose and policy.
§ 35.2005   Definitions.
§ 35.2010   Allotment; reallotment.
§ 35.2012   Capitalization grants.
§ 35.2015   State priority system and project priority list.
§ 35.2020   Reserves.
§ 35.2021   Reallotment of reserves.
§ 35.2023   Water quality management planning.
§ 35.2024   Combined sewer overflows.
§ 35.2025   Allowance and advance of allowance.
§ 35.2030   Facilities planning.
§ 35.2032   Innovative and alternative technologies.
§ 35.2034   Privately owned individual systems.
§ 35.2035   Rotating biological contractor (RBC) replacement grants.
§ 35.2036   Design/build project grants.
§ 35.2040   Grant application.
§ 35.2042   Review of grant applications.
§ 35.2050   Effect of approval or certification of documents.
§ 35.2100   Limitations on award.
§ 35.2101   Advanced treatment.
§ 35.2102   Water quality management planning.
§ 35.2103   Priority determination.
§ 35.2104   Funding and other considerations.
§ 35.2105   Debarment and suspension.
§ 35.2106   Plan of operation.
§ 35.2107   Intermunicipal service agreements.
§ 35.2108   Phased or segmented treatment works.
§ 35.2109   Step 2+3.
§ 35.2110   Access to individual systems.
§ 35.2111   Revised water quality standards.
§ 35.2112   Marine discharge waiver applicants.
§ 35.2113   Environmental review.
§ 35.2114   Value engineering.
§ 35.2116   Collection system.
§ 35.2118   Preaward costs.
§ 35.2120   Infiltration/Inflow.
§ 35.2122   Approval of user charge system and proposed sewer use ordinance.
§ 35.2123   Reserve capacity.
§ 35.2125   Treatment of wastewater from industrial users.
§ 35.2127   Federal facilities.
§ 35.2130   Sewer use ordinance.
§ 35.2140   User charge system.
§ 35.2152   Federal share.
§ 35.2200   Grant conditions.
§ 35.2202   Step 2+3 projects.
§ 35.2203   Step 7 projects.
§ 35.2204   Project changes.
§ 35.2205   Maximum allowable project cost.
§ 35.2206   Operation and maintenance.
§ 35.2208   Adoption of sewer use ordinance and user charge system.
§ 35.2210   Land acquisition.
§ 35.2211   Field testing for Innovative and Alternative Technology Report.
§ 35.2212   Project initiation.
§ 35.2214   Grantee responsibilities.
§ 35.2216   Notice of building completion and final inspection.
§ 35.2218   Project performance.
§ 35.2250   Determination of allowable costs.
§ 35.2260   Advance purchase of eligible land.
§ 35.2262   Funding of field testing.
§ 35.2300   Grant payments.
§ 35.2350   Subagreement enforcement.
Appendix A to Subpart I of Part 35—Determination of Allowable Costs
Appendix B to Subpart I of Part 35—Allowance for Facilities Planning and Design

Subpart J—Construction Grants Program Delegation to States

§ 35.3000   Purpose.
§ 35.3005   Policy.
§ 35.3010   Delegation agreement.
§ 35.3015   Extent of State responsibilities.
§ 35.3020   Certification procedures.
§ 35.3025   Overview of State performance under delegation.
§ 35.3030   Right of review of State decision.
§ 35.3035   Public participation.

Subpart K—State Water Pollution Control Revolving Funds

§ 35.3100   Policy and purpose.
§ 35.3105   Definitions.
§ 35.3110   Fund establishment.
§ 35.3115   Eligible activities of the SRF.
§ 35.3120   Authorized types of assistance.
§ 35.3125   Limitations on SRF assistance.
§ 35.3130   The capitalization grant agreement.
§ 35.3135   Specific capitalization grant agreement requirements.
§ 35.3140   Environmental review requirements.
§ 35.3145   Application of other Federal authorities.
§ 35.3150   Intended Use Plan (IUP).
§ 35.3155   Payments.
§ 35.3160   Cash draw rules.
§ 35.3165   Reports and audits.
§ 35.3170   Corrective action.
Appendix A to Subpart K of Part 35—Criteria for evaluating a State's proposed NEPA-Like process

Subpart L—Drinking Water State Revolving Funds

§ 35.3500   Purpose, policy, and applicability.
§ 35.3505   Definitions.
§ 35.3510   Establishment of the DWSRF program.
§ 35.3515   Allotment and withholdings of funds.
§ 35.3520   Systems, projects, and project-related costs eligible for assistance from the Fund.
§ 35.3525   Authorized types of assistance from the Fund.
§ 35.3530   Limitations on uses of the Fund.
§ 35.3535   Authorized set-aside activities.
§ 35.3540   Requirements for funding set-aside activities.
§ 35.3545   Capitalization grant agreement.
§ 35.3550   Specific capitalization grant agreement requirements.
§ 35.3555   Intended Use Plan (IUP).
§ 35.3560   General payment and cash draw rules.
§ 35.3565   Specific cash draw rules for authorized types of assistance from the Fund.
§ 35.3570   Reports and audits.
§ 35.3575   Application of Federal cross-cutting authorities (cross-cutters).
§ 35.3580   Environmental review requirements.
§ 35.3585   Compliance assurance procedures.
Appendix A to Subpart L—Criteria for Evaluating a State's Proposed NEPA-Like Process

Subpart M—Grants for Technical Assistance


General

§ 35.4000   Authority.
§ 35.4005   What is a Technical Assistance Grant?
§ 35.4010   What does this subpart do?
§ 35.4011   Do the general grant regulations for nonprofit organizations apply to TAGs?
§ 35.4012   If there appears to be a difference between the requirements in 40 CFR part 30 and this subpart, which regulations should my group follow?
§ 35.4015   Do certain words in this subpart have specific meaning?

Who Is Eligible?

§ 35.4020   Is my community group eligible for a TAG?
§ 35.4025   Is there any way my group can get a TAG if it is currently ineligible?
§ 35.4030   Can I be part of a TAG group if I belong to an ineligible group?
§ 35.4035   Does EPA use the same eligibility criteria for TAGs at “Federal facility” sites?
§ 35.4040   How many groups can receive a TAG at one Superfund site?

Your Responsibilities as a TAG Recipient

§ 35.4045   What requirements must my group meet as a TAG recipient?
§ 35.4050   Must my group contribute toward the cost of a TAG?
§ 35.4055   What if my group can't come up with the “matching funds?”

How Much Money TAGs Provide

§ 35.4060   How much money can my group receive through a TAG?
§ 35.4065   How can my group get more than $50,000?

What TAGs Can Pay For

§ 35.4070   How can my group spend TAG money?
§ 35.4075   Are there things my group can't spend TAG money for?

How You Get the Money

§ 35.4080   Does my group get a lump sum up front, or does EPA reimburse us for costs we incur?
§ 35.4085   Can my group get an “advance payment” to help us get started?
§ 35.4090   If my group is eligible for an advance payment, how do we get our funds?
§ 35.4095   What can my group pay for with an advance payment?
§ 35.4100   Can my group incur any costs prior to the award of our grant?

How To Apply for a TAG

§ 35.4105   What is the first step for getting a TAG?
§ 35.4106   What information should an LOI include?
§ 35.4110   What does EPA do once it receives the first LOI from a group?
§ 35.4115   After the public notice that EPA has received an LOI, how much time does my group have to form a coalition or submit a separate LOI?
§ 35.4120   What does my group do next?
§ 35.4125   What else does my group need to do?
§ 35.4130   What must be included in my group's budget?
§ 35.4135   What period of time should my group's budget cover?
§ 35.4140   What must be included in my group's work plan?
§ 35.4145   How much time do my group or other interested groups have to submit a TAG application to EPA?
§ 35.4150   What happens after my group submits its application to EPA?
§ 35.4155   How does EPA decide whether to award a TAG to our group?
§ 35.4160   What does EPA do if more than one group applies for a TAG at the same site?
§ 35.4161   Does the TAG application process affect the schedule for work at my site?
§ 35.4165   When does EPA award a TAG?

Managing Your TAG

§ 35.4170   What kinds of reporting does EPA require?
§ 35.4175   What other reporting and record keeping requirements are there?
§ 35.4180   Must my group keep financial records after we finish our TAG?
§ 35.4185   What does my group do with reports our technical advisor prepares for us?

Procuring a Technical Advisor or Other Contractor With TAG Funds

§ 35.4190   How does my group identify a qualified technical advisor?
§ 35.4195   Are there certain people my group cannot select to be our technical advisor, grant administrator, or other contractor under the grant?
§ 35.4200   What restrictions apply to contractors my group procures for our TAG?
§ 35.4205   How does my group procure a technical advisor or any other contractor?
§ 35.4210   Must my group solicit and document bids for our procurements?
§ 35.4215   What if my group can't find an adequate number of potential sources for a technical advisor or other contractor?
§ 35.4220   How does my group ensure a prospective contractor does not have a conflict of interest?
§ 35.4225   What if my group decides a prospective contractor has a conflict of interest?
§ 35.4230   What are my group's contractual responsibilities once we procure a contractor?
§ 35.4235   Are there specific provisions my group's contract(s) must contain?

Requirements for TAG Contractors

§ 35.4240   What provisions must my group's TAG contractor comply with if it subcontracts?

Grant Disputes, Termination, and Enforcement

§ 35.4245   How does my group resolve a disagreement with EPA regarding our TAG?
§ 35.4250   Under what circumstances would EPA terminate my group's TAG?
§ 35.4255   Can my group terminate our TAG?
§ 35.4260   What other steps might EPA take if my group fails to comply with the terms and conditions of our award?

Closing Out a TAG

§ 35.4265   How does my group close out our TAG?

Other Things You Need To Know

§ 35.4270   Definitions.
§ 35.4275   Where can my group get the documents this subpart references (for example, OMB circulars, other subparts, forms)?

Subpart N [Reserved]


Subpart O—Cooperative Agreements and Superfund State Contracts for Superfund Response Actions


General

§ 35.6000   Authority.
§ 35.6005   Purpose and scope.
§ 35.6010   Eligibility.
§ 35.6015   Definitions.
§ 35.6020   Other statutory provisions.
§ 35.6025   Deviation from this subpart.

Pre-Remedial Response Cooperative Agreements

§ 35.6050   Eligibility for pre-remedial Cooperative Agreements.
§ 35.6055   State-lead pre-remedial Cooperative Agreements.
§ 35.6060   Political subdivision-lead pre-remedial Cooperative Agreements.
§ 35.6070   Indian Tribe-lead pre-remedial Cooperative Agreements.

Remedial Response Cooperative Agreements

§ 35.6100   Eligibility for remedial Cooperative Agreements.
§ 35.6105   State-lead remedial Cooperative Agreements.
§ 35.6110   Indian Tribe-lead remedial Cooperative Agreements.
§ 35.6115   Political subdivision-lead remedial Cooperative Agreements.
§ 35.6120   Notification of the out-of-State or out-of-Indian Tribal jurisdiction transfer of CERCLA waste.

Enforcement Cooperative Agreements

§ 35.6145   Eligibility for enforcement Cooperative Agreements.
§ 35.6150   Activities eligible for funding under enforcement Cooperative Agreements.
§ 35.6155   State, political subdivision or Indian Tribe-lead enforcement Cooperative Agreements.

Removal Response Cooperative Agreements

§ 35.6200   Eligibility for removal Cooperative Agreements.
§ 35.6205   Removal Cooperative Agreements.

Core Program Cooperative Agreements

§ 35.6215   Eligibility for Core Program Cooperative Agreements.
§ 35.6220   General.
§ 35.6225   Activities eligible for funding under Core Program Cooperative Agreements.
§ 35.6230   Application requirements.
§ 35.6235   Cost sharing.

Support Agency Cooperative Agreements

§ 35.6240   Eligibility for support agency Cooperative Agreements.
§ 35.6245   Allowable activities.
§ 35.6250   Support agency Cooperative Agreement requirements.
§ 35.6255   Cost sharing.

Financial Administration Requirements Under a Cooperative Agreement

§ 35.6270   Standards for financial management systems.
§ 35.6275   Period of availability of funds.
§ 35.6280   Payments.
§ 35.6285   Recipient payment of response costs.
§ 35.6290   Program income.

Personal Property Requirements Under a Cooperative Agreement

§ 35.6300   General personal property acquisition and use requirements.
§ 35.6305   Obtaining supplies.
§ 35.6310   Obtaining equipment.
§ 35.6315   Alternative methods for obtaining property.
§ 35.6320   Usage rate.
§ 35.6325   Title and EPA interest in CERCLA-funded property.
§ 35.6330   Title to federally owned property.
§ 35.6335   Property management standards.
§ 35.6340   Disposal of CERCLA-funded property.
§ 35.6345   Equipment disposal options.
§ 35.6350   Disposal of federally owned property.

Real Property Requirements Under a Cooperative Agreement

§ 35.6400   Acquisition and transfer of interest.
§ 35.6405   Use.

Copyright Requirements Under a Cooperative Agreement

§ 35.6450   General requirements.

Use of Recipient Employees (“Force Account”) Under a Cooperative Agreement

§ 35.6500   General requirements.

Procurement Requirements under a Cooperative Agreement

§ 35.6550   Procurement system standards.
§ 35.6555   Competition.
§ 35.6560   Master list of debarred, suspended, and voluntarily excluded persons.
§ 35.6565   Procurement methods.
§ 35.6570   Use of the same engineer during subsequent phases of response.
§ 35.6575   Restrictions on types of contracts.
§ 35.6580   Contracting with minority and women's business enterprises (MBE/WBE), small businesses, and labor surplus area firms.
§ 35.6585   Cost and price analysis.
§ 35.6590   Bonding and insurance.
§ 35.6595   Contract provisions.
§ 35.6600   Contractor claims.
§ 35.6605   Privity of contract.
§ 35.6610   Contracts awarded by a contractor.

Reports Required Under a Cooperative Agreement

§ 35.6650   Quarterly progress reports.
§ 35.6655   Notification of significant developments.
§ 35.6660   Property inventory reports.
§ 35.6665   Procurement reports.
§ 35.6670   Financial reports.

Records Requirements Under a Cooperative Agreement

§ 35.6700   Project records.
§ 35.6705   Records retention.
§ 35.6710   Records access.

Other Administrative Requirements for Cooperative Agreements

§ 35.6750   Modifications.
§ 35.6755   Monitoring program performance.
§ 35.6760   Enforcement and termination for convenience.
§ 35.6765   Non-Federal audit.
§ 35.6770   Disputes.
§ 35.6775   Exclusion of third-party benefits.
§ 35.6780   Closeout.
§ 35.6785   Collection of amounts due.
§ 35.6790   High risk recipients.

Requirements for Administering a Superfund State Contract (SSC)

§ 35.6800   General.
§ 35.6805   Contents of an SSC.
§ 35.6815   Administrative requirements.
§ 35.6820   Conclusion of the SSC.

Subpart P—Financial Assistance for the National Estuary Program

§ 35.9000   Applicability.
§ 35.9005   Purpose.
§ 35.9010   Definitions.
§ 35.9015   Summary of annual process.
§ 35.9020   Planning targets.
§ 35.9030   Work program.
§ 35.9035   Budget period.
§ 35.9040   Application for assistance.
§ 35.9045   EPA action on application.
§ 35.9050   Assistance amount.
§ 35.9055   Evaluation of recipient performance.
§ 35.9060   Maximum Federal share.
§ 35.9065   Limitations.
§ 35.9070   National program assistance agreements.


Authority:  42 U.S.C. 4368b, unless otherwise noted.

§ 35.001   Applicability.
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This part codifies policies and procedures for financial assistance awarded by the Environmental Protection Agency (EPA) to State, interstate, and local agencies, Indian Tribes and Intertribal Consortia for pollution abatement and control programs. These provisions supplement the EPA general assistance regulations in 40 CFR part 31.

[66 FR 1734, Jan. 9, 2001]

Subpart A—Environmental Program Grants
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Authority:  42 U.S.C. 7401 et seq.; 33 U.S.C. 1251 et seq.; 42 U.S.C. 300f et seq.; 42 U.S.C. 6901 et seq.; 7 U.S.C. 136 et seq.; 15 U.S.C. 2601 et seq.; 42 U.S.C. 13101 et seq.; Pub. L. 104–134, 110 Stat. 1321, 1321–299 (1996); Pub. L. 105–65, 111 Stat. 1344, 1373 (1997).

Source:  66 FR 1734, Jan. 9, 2001, unless otherwise noted.

General
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§ 35.100   Purpose of the subpart.
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This subpart establishes administrative requirements for all grants awarded to State, interstate, and local agencies and other entities for the environmental programs listed in §35.101. This subpart supplements requirements in EPA's general grant regulations found at 40 CFR parts 30 and 31. Sections 35.100–35.118 contain administrative requirements that apply to all environmental program grants included in this subpart. Sections 35.130–35.418 contain requirements that apply to specified environmental program grants. Many of these environmental programs also have programmatic and technical requirements that are published elsewhere in the Code of Federal Regulations.

§ 35.101   Environmental programs covered by the subpart.
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(a) The requirements in this subpart apply to all grants awarded for the following programs:

(1) Performance partnership grants (Omnibus Consolidated Rescissions and Appropriations Act of 1996, Pub. Law 104–134, 110 Stat. 1321, 1321–299 (1996) and Departments of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, 1998, Pub. Law 105–65, 111 Stat. 1344, 1373 (1997)).

(2) Air pollution control (section 105 of the Clean Air Act).

(3) Water pollution control (section 106 of the Clean Water Act).

(4) Public water system supervision (section 1443(a) of the Safe Drinking Water Act).

(5) Underground water source protection (section 1443(b) of the Safe Drinking Water Act).

(6) Hazardous waste management (section 3011(a) of the Solid Waste Disposal Act).

(7) Pesticide cooperative enforcement (section 23(a)(1) of the Federal Insecticide, Fungicide, and Rodenticide Act).

(8) Pesticide applicator certification and training (section 23(a)(2) of the Federal Insecticide, Fungicide, and Rodenticide Act).

(9) Pesticide program implementation (section 23(a)(1) of the Federal Insecticide, Fungicide, and Rodenticide Act).

(10) Nonpoint source management (sections 205(j)(5) and 319(h) of the Clean Water Act).

(11) Lead-based paint program (section 404(g) of the Toxic Substances Control Act).

(12) State indoor radon grants (section 306 of the Toxic Substances Control Act).

(13) Toxic substances compliance monitoring (section 28 of the Toxic Substances Control Act).

(14) State underground storage tanks (section 2007(f)(2) of the Solid Waste Disposal Act).

(15) Pollution prevention state grants (section 6605 of the Pollution Prevention Act of 1990).

(16) Water quality cooperative agreements (section 104(b)(3) of the Clean Water Act).

(17) Wetlands development grants program (section 104(b)(3) of the Clean Water Act).

(18) State administration of construction grant, permit, and planning programs (section 205(g) of the Clean Water Act).

(19) Water quality management planning (section 205(j)(2) of the Clean Water Act).

(b) Unless otherwise prohibited by statute or regulation, the requirements in §35.100 through §35.118 of this subpart also apply to grants under environmental programs established after this subpart becomes effective if specified in Agency guidance for such programs.

(c) In the event a grant is awarded from EPA headquarters for one of the programs listed in paragraph (a) of this section, this subpart shall apply and the term “Regional Administrator” shall mean “Assistant Administrator'.

§ 35.102   Definitions of terms.
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Terms are defined as follows when they are used in this subpart.

Allotment. EPA's calculation of the funds that may be available to an eligible recipient for an environmental program grant. An allotment is not an entitlement.

Consolidated grant. A single grant made to a recipient consolidating funds from more than one environmental grant program. After the award is made, recipients must account for grant funds in accordance with the funds' original environmental program sources. Consolidated grants are not Performance Partnership Grants.

Environmental program. A program for which EPA awards grants under the authorities listed in §35.101. The grants are subject to the requirements of this subpart.

Funding period. The period of time specified in the grant agreement during which the recipient may expend or obligate funds for the purposes set forth in the agreement.

National program guidance. Guidance issued by EPA's National Program Managers for establishing and maintaining effective environmental programs. This guidance establishes national goals, objectives, and priorities as well as the core performance measures and other information to be used in monitoring progress. The guidance may also set out specific environmental strategies, criteria for evaluating programs, and other elements of program implementation.

Outcome. The environmental result, effect, or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective. Outcomes must be quantitative, and they may not necessarily be achievable during a grant funding period. See “output.”

Output. An environmental activity or effort and associated work products related to an environmental goal or objective that will be produced or provided over a period of time or by a specified date. Outputs may be quantitative or qualitative but must be measurable during a grant funding period. See “outcome.”

Performance Partnership Agreement. A negotiated agreement signed by the EPA Regional Administrator and an appropriate official of a State agency and designated as a Performance Partnership Agreement. Such agreements typically set out jointly developed goals, objectives, and priorities; the strategies to be used in meeting them; the roles and responsibilities of the State and EPA; and the measures to be used in assessing progress. A Performance Partnership Agreement may be used as all or part of a work plan for a grant if it meets the requirements for a work plan set out in §35.107.

Performance Partnership Grant. A single grant combining funds from more than one environmental program. A Performance Partnership Grant may provide for administrative savings or programmatic flexibility to direct grant resources where they are most needed to address public health and environmental priorities (see also §35.130). Each Performance Partnership Grant has a single, integrated budget and recipients do not need to account for grant funds in accordance with the funds' original environmental program sources.

Planning target. The amount of funds that the Regional Administrator suggests a grant applicant consider in developing its application, including the work plan, for an environmental program.

Regional supplemental guidance. Guidance to environmental program applicants prepared by the Regional Administrator, based on the national program guidance and specific regional and applicant circumstances, for use in preparing a grant application.

Work plan commitments. The outputs and outcomes associated with each work plan component, as established in the grant agreement.

Work plan component. A negotiated set or group of work plan commitments established in the grant agreement. A work plan may have one or more work plan components.

Preparing an Application
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§ 35.104   Components of a complete application.
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A complete application for an environmental program must:

(a) Meet the requirements in 40 CFR part 31, subpart B;

(b) Include a proposed work plan (§35.107); and

(c) Specify the environmental program and the amount of funds requested.

§ 35.105   Time frame for submitting an application.
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An applicant should submit a complete application to EPA at least 60 days before the beginning of the proposed funding period.

§ 35.107   Work plans.
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(a) Bases for negotiating work plans. The work plan is negotiated between the applicant and the Regional Administrator and reflects consideration of national, regional, and State environmental and programmatic needs and priorities.

(1) Negotiation considerations. In negotiating the work plan, the Regional Administrator and applicant will consider such factors as national program guidance; any regional supplemental guidance; goals, objectives, and priorities proposed by the applicant; other jointly identified needs or priorities; and the planning target.

(2) National program guidance. If an applicant proposes a work plan that differs significantly from the goals and objectives, priorities, or core performance measures in the national program guidance associated with the proposed activities, the Regional Administrator must consult with the appropriate National Program Manager before agreeing to the work plan.

(3) Use of existing guidance. An applicant should base the grant application on the national program guidance in place at the time the application is being prepared.

(b) Work plan requirements. (1) The work plan is the basis for the management and evaluation of performance under the grant agreement.

(2) An approvable work plan must specify:

(i) The work plan components to be funded under the grant;

(ii) The estimated work years and the estimated funding amounts for each work plan component;

(iii) The work plan commitments for each work plan component and a time frame for their accomplishment;

(iv) A performance evaluation process and reporting schedule in accordance with §35.115 of this subpart; and

(v) The roles and responsibilities of the recipient and EPA in carrying out the work plan commitments.

(3) The work plan must be consistent with applicable federal statutes; regulations; circulars; executive orders; and EPA delegations, approvals, or authorizations.

(c) Performance Partnership Agreement as work plan. An applicant may use a Performance Partnership Agreement or a portion of a Performance Partnership Agreement as the work plan for an environmental program grant if the portions of the Performance Partnership Agreement that serve as all or part of the grant work plan:

(1) Are clearly identified and distinguished from other portions of the Performance Partnership Agreement; and

(2) Meet the requirements in §35.107(b).

§ 35.108   Funding period.
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The Regional Administrator and applicant may negotiate the length of the funding period for environmental program grants, subject to limitations in appropriations acts.

§ 35.109   Consolidated grants.
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(a) Any applicant eligible to receive funds from more than one environmental program may submit an application for a consolidated grant. For consolidated grants, an applicant prepares a single budget and work plan covering all of the environmental programs included in the application. The consolidated budget must identify each environmental program to be included, the amount of each program's funds, and the extent to which each program's funds support each work plan component. Recipients of consolidated grants must account for grant funds in accordance with the funds' environmental program sources; funds included in a consolidated grant from a particular environmental program may be used only for that program.

(b) Insular areas that choose to consolidate environmental program grants may be exempted by the Regional Administrator from requirements of this subpart in accordance with 48 U.S.C. 1469a.

EPA Action on Application
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§ 35.110   Time frame for EPA action.
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The Regional Administrator will review a complete application and either approve, conditionally approve, or disapprove it within 60 days of receipt. This period may be extended by mutual agreement between EPA and the applicant. The Regional Administrator will award the funds for approved or conditionally approved applications when the funds are available.

§ 35.111   Criteria for approving an application.
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(a) The Regional Administrator may approve an application upon determining that:

(1) The application meets the requirements of this subpart and 40 CFR part 31;

(2) The application meets the requirements of all applicable federal statutes; regulations; circulars; executive orders; and delegations, approvals, or authorizations;

(3) The proposed work plan complies with the requirements of §35.107; and

(4) The achievement of the proposed work plan is feasible, considering such factors as the applicant's existing circumstances, past performance, program authority, organization, resources, and procedures.

(b) If the Regional Administrator finds the application does not satisfy the criteria in paragraph (a) of this section, the Regional Administrator may either:

(1) Conditionally approve the application if only minor changes are required, with grant conditions necessary to ensure compliance with the criteria, or

(2) Disapprove the application in writing.

§ 35.112   Factors considered in determining award amount.
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(a) After approving an application under §35.111, the Regional Administrator will consider such factors as the applicant's allotment, the extent to which the proposed work plan is consistent with EPA guidance and mutually agreed upon priorities, and the anticipated cost of the work plan relative to the proposed work plan components, to determine the amount of funds to be awarded.

(b) If the Regional Administrator finds the requested level of funding is not justified or the work plan does not comply with the requirements of §35.107, the Regional Administrator will attempt to negotiate a resolution of the issues with the applicant before determining the award amount. The Regional Administrator may determine that the award amount will be less than the amount allotted or requested.

§ 35.113   Reimbursement for pre-award costs.
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(a) Notwithstanding the requirements of 40 CFR 31.23(a) and OMB cost principles, EPA may reimburse recipients for pre-award costs incurred from the beginning of the funding period established in the grant agreement if such costs would have been allowable if incurred after the award and the recipients submitted complete grant applications before the beginning of the budget period. Such costs must be identified in the grant application EPA approves.

(b) The applicant incurs pre-award costs at its own risk. EPA is under no obligation to reimburse such costs unless they are included in an approved grant award.

Post-Award Requirements
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§ 35.114   Amendments and other changes.
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The provisions of 40 CFR 31.30 do not apply to environmental program grants awarded under this subpart. The following provisions govern amendments and other changes to grant work plans and budgets after the work plan is negotiated and a grant awarded.

(a) Changes requiring prior approval. Recipients may make significant changes in work plan commitments only after obtaining the Regional Administrator's prior written approval. EPA, in consultation with the recipient, will document these revisions including budgeted amounts associated with the revisions.

(b) Changes requiring approval. Recipients must request, in writing, grant amendments for changes requiring increases in environmental program grant amounts and extensions of the funding period. Recipients may begin implementing a change before the amendment has been approved by EPA, but do so at their own risk. If EPA approves the change, EPA will issue a grant amendment. EPA will notify the recipient in writing if the change is disapproved.

(c) Changes not requiring approval. Other than those situations described in paragraphs (a) and (b) of this section, recipients do not need to obtain approval for changes, including changes in grant work plans, budgets, or other components of grant agreements, unless the Regional Administrator determines approval requirements should be imposed on a specific recipient for a specified period of time.

(d) OMB cost principles. The Regional Administrator may waive in writing approval requirements for specific recipients and costs contained in OMB cost principles.

(e) Changes in consolidated grants. Recipients of consolidated grants under §35.109 may not transfer funds among environmental programs.

(f) Subgrants. Subgrantees must request required approvals in writing from the recipient and the recipient shall approve or disapprove the request in writing. A recipient will not approve any work plan or budget revision which is inconsistent with the purpose or terms and conditions of the federal grant to the recipient. If the revision requested by the subgrantee would result in a significant change to the recipient's approved grant which requires EPA approval, the recipient will obtain EPA's approval before approving the subgrantee's request.

§ 35.115   Evaluation of performance.
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(a) Joint evaluation process. The applicant and the Regional Administrator will develop a process for jointly evaluating and reporting progress and accomplishments under the work plan. A description of the evaluation process and a reporting schedule must be included in the work plan (see §35.107(b)(2)(iv)). The schedule must require the recipient to report at least annually and must satisfy the requirements for progress reporting under 40 CFR 31.40(b).

(b) Elements of the evaluation process. The evaluation process must provide for:

(1) A discussion of accomplishments as measured against work plan commitments;

(2) A discussion of the cumulative effectiveness of the work performed under all work plan components;

(3) A discussion of existing and potential problem areas; and

(4) Suggestions for improvement, including, where feasible, schedules for making improvements.

(c) Resolution of issues. If the joint evaluation reveals that the recipient has not made sufficient progress under the work plan, the Regional Administrator and the recipient will negotiate a resolution that addresses the issues. If the issues cannot be resolved through negotiation, the Regional Administrator may take appropriate measures under 40 CFR 31.43. The recipient may request review of the Regional Administrator's decision under the dispute processes in 40 CFR 31.70.

(d) Evaluation reports. The Regional Administrator will ensure that the required evaluations are performed according to the negotiated schedule and that copies of evaluation reports are placed in the official files and provided to the recipient.

§ 35.116   Direct implementation.
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If funds remain in a State's allotment for an environmental program grant either after grants for that environmental program have been made or because no grant was made, the Regional Administrator may, subject to any limitations contained in appropriation acts, use all or part of the funds to support a federal program required by law in the State in the absence of an acceptable State program.

§ 35.117   Unused funds.
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If funds for an environmental program grant remain in a State's allotment either after an initial environmental program grant has been made or because no grant was made, and the Regional Administrator does not use the funds under §35.116 of this subpart, the Regional Administrator may award the funds to any eligible recipient in the region, including the same State or an Indian Tribe or Tribal consortium, for the same environmental program or for a Performance Partnership Grant, subject to any limitations in appropriation acts.

§ 35.118   Unexpended balances.
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Subject to any relevant provisions of law, if a recipient's Financial Status Report shows unexpended balances, the Regional Administrator will deobligate the unexpended balances and make them available, to either the same recipient in the same region or other eligible recipients, including Indian Tribes and Tribal Consortia, for environmental program grants.

Performance Partnership Grants
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§ 35.130   Purpose of Performance Partnership Grants.
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(a) Purpose of section. Sections 35.130 through 35.138 govern Performance Partnership Grants to States and interstate agencies authorized in the Omnibus Consolidated Rescissions and Appropriations Act of 1996, (Pub. L. 104–134; 110 Stat. 1321, 1321–299 (1996)) and the Departments of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, 1998, (Pub. L. 105–65; 111 Stat. 1344, 1373 (1997)).

(b) Purpose of program. Performance Partnership Grants enable States and interstate agencies to combine fun