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# Applicable EPA Regulations and Description

**ENVIRONMENTAL PROTECTION AGENCY REGULATIONS		      AND DESCRIPTION**

(If you should need a copy of the following regulations,		  you may access a copy through the World Wide Web at http://www.epa.gov/ogd/grant_regulations_and_policies.htm or		  call (202) 564-5315.)
    - 40 CFR Parts 7 and 12 - NONDISCRIMINATION IN PROGRAMS RECEIVING              FEDERAL ASSISTANCE FROM THE ENVIRONMENTAL PROTECTION AGENCY  This rule implements statutes which prohibit discrimination                on the grounds of race, color, national origin, sex and handicap.      No person shall be excluded from participation in, be denied the benefits      of, or be subjected to discrimination under any program or activity receiving      EPA assistance on the basis of race, color, national origin, or on the      basis of sex in any program or activity receiving EPA assistance under      the Federal Water Pollution Control Act, as amended, including the Environmental      Financing Act of 1972. 
    - 40 CFR Part 29 - INTERGOVERNMENTAL REVIEW OF THE ENVIRONMENTAL              PROTECTION AGENCY PROGRAMS AND ACTIVITIES  
 (a) The regulations in this part implement Executive Order                  12372, ``Intergovernmental Review of Federal Programs,'' issued                  July 14, 1982, and amended, on April 8, 1983. These regulations                  also implement applicable provisions of section 401 of the                  Intergovernmental Cooperation Act of 1968, as amended and section                  204 of the Demonstration Cities and Metropolitan Development                  Act of 1966, as amended.         (b) These regulations are intended to foster an intergovernmental partnership        and a strengthened federalism by relying on State processes and on State,        areawide, regional and local coordination for review of proposed Federal        financial assistance and direct Federal development.         (c) These regulations are intended to aid the internal management of        the Environmental Protection Agency (EPA) and are not intended to create        any right or benefit enforceable at law by a party against EPA or its        officers. 
  You must contact your State's Single Point of Contact to find                out if the program was selected for coverage by the State process                and, if the program was selected, to receive information about                your State's review process requirements and procedures. If you                do not know whom your Single point of Contact is, please call                (202) 564-5305. 
    - 40 CFR Part 30 - GENERAL REGULATION FOR ASSISTANCE PROGRAMS              FOR ALL APPLICANTS CONSIDERED: INSTITUTIONS OF HIGHER LEARNING,              HOSPITALS AND OTHER NONPROFIT ORGANIZATIONS.   This subpart establishes uniform administrative requirements                for Federal grants and agreements awarded to institutions of                higher education, hospitals, and other non-profit organizations.                The Environmental Protection Agency (EPA) may not impose additional                or inconsistent requirements, except as provided in Sections                30.4, and 30.14 or unless specifically required by Federal statute                or Executive Order. Non-profit organizations that implement Federal                programs for the States are also subject to State requirements.  
    - 40 CFR Part 31 - UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS              AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS        This part establishes uniform administrative rules for Federal grants and    cooperative agreements and subawards to State, local and Indian tribal governments.    
    - 2 CFR Part 180 and Part 1532 - GOVERNMENT WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT);              CLEAN AIR ACT AND CLEAN WATER ACT INELIGIBILITY OF FACILITIES IN          PERFORMANCE OF FEDERAL CONTRACTS, GRANTS AND LOANS    
    - 40 CFR Part 34 - NEW RESTRICTIONS ON LOBBYING          This rule is in response to section 319 of Public Law 101-121. Section      319 prohibits recipients of Federal contracts, grants and loans from using      appropriated funds for lobbying the Executive or Legislative Branches of      the Federal Government in connection with a specific contract, grant or      loan.  
    - 40 CFR Part 40 - RESEARCH AND DEMONSTRATION GRANTS   
This part establishes mandatory policies and procedures for                  all EPA research and demonstration grants. These provisions                  establish and codify policies and procedures governing the                  award of research and demonstration grants by the Environmental                  Protection Agency.
 
    - 40 CFR Part 45 - TRAINING ASSISTANCE         This part establishes the policies and procedures for the award of training    assistance by the Environmental Protection Agency (EPA). The provisions of    this part supplement EPA's ``General Regulation for Assistance Programs,''.     
    - 40 CFR Part 47 - NATIONAL ENVIRONMENTAL EDUCATION ACT GRANTS              AND COOPERATIVE AGREEMENTS.   This regulation codifies policy and procedures for the award                of grants or cooperative agreements under section 6 of the National                Environmental Education Act (NEEA). Specifically, this regulation                defines eligible applicants, eligible activities, EPA priorities                for selecting recipients, funding limits, and matching requirements.                Projects funded under this regulation are also subject to the                Code of Federal Regulations (40 CFR) part 31 for State and local                recipients, and part 30 for other than State and local recipients.                Those regulations contain Federal audit and other general administrative                requirements. This regulation does not apply to the programs                implemented under sections 5 and 7 of the NEEA.  

### **Work Plan Guidance and Description**

  ( Attention Applicants: If you are responding to a specific request for an    application, please follow the guidance as instructed provided at the website    or program office ) When completing your application kit, be sure that the    Work Plan is addressed thoroughly. The Work Plan is a detailed description    of how the sponsored project is going to be completed. There are several    key areas that must be addressed:
> 
1. Environmental Results    2. Description of the Project

A. Objective      B. Results or benefits expected      C. Approach      D. General Project Information

3. Quality Assurance     4. Itemized Budget Detail     (See narrative descriptions below for more detail)     ______________________________________________________________________________

**1. ENVIRONMENTAL RESULTS.**

This section is the introductory portion of the Work Plan. Give a summation		  of how the proposed project will benefit the environment. Provide a description		  of how your specific project will create a benefit for the environment and		  create a positive effect. Try to shape this around EPA's mission statement: "To		  Protect Human Health and the Environment". 

I**2. DESCRIPTION OF PROJECT.**
> 
A. Objective:

(1) Describe the primary and secondary project objectives      (2) Identify relevant physical, economic, social, financial, institutional        or other problems.       (3) Include supporting documentation from concerned interests other than      the applicant.      (4) Include and footnote relevant data based on planning studies.

B. Results or benefits expected:– Begin by identifying results and benefits that will accrue to the project.Include the benefits that will be accrued to: 

1) the environment,       2) the recipient,       3) the population served,       5) the general public.

C. Approach:

(1) Provide a Work Plan that details how the project work will              be accomplished and detailing the proposed project. Cite factors              that could potentially accelerate or decelerate the project work.              Indicate why this approach has been chosen rather than the alternative              approaches. Describe any unusual project features such as design              or technological innovations, cost or time reductions, or extraordinary              social and community involvement.      (2) Describe all available facilities for carrying out the project.      (3) List all non-Federal funds sources and facilities to be used to perform      the proposed project.      (4) Provide a chronological schedule of accomplishments, progress, and      milestones that are anticipated over the projects duration.      (5) Indicate who will carry out each of the work plans elements. Be sure      to include supporting agencies, consultants and contractors.      (6) Describe sampling and data collection procedures, analytical methods      as well as other identified methods for evaluating the project results.

D. General Project Description:

(1) Identify the kinds of data to be collected and maintained,              and discuss the evaluation criteria for the project's results.              Indicate whether research or demonstration will involve human subjects              or research animals.       (2) Discuss this projects effect, or its relationship to work planned,      anticipated, or in process, by the grantee, or Government agencies. Discuss      the Federal, state and local programs with which the work will be coordinated,      and describe the extent and nature of the coordination.

**3. PROJECT TITLE**

In block 11 of the SF424 provide a brief description of the proposed program/project.		  The  Project Description field must include a concise, clear description of the  purpose of the project. More specifically, the Project Description may not  exceed three (3) lines of narrative and must address the scope of the project  and/or the primary activity to be supported by the grant. The Project Description  should contain media-specific or environmental KEY TERMS that may be used as  search terms by the public (e.g., air quality, toxins, solid waste, mercury,  etc.). 

**4. QUALITY ASSURANCE.**

If your proposed project involves environmentally related measurements or		  data generation, you must develop and implement quality assurance practices.		  These practices must sufficiently produce quality data to adequately meet		  project objectives, and to minimize data loss due to uncontrolled conditions		  or malfunctions. State, local or Indian tribal government applicants should		  refer to regulation 40 CFR 31.45. All other applicants should refer to EPA		  regulation 40 CFR 30.54. (Refer to http://www.epa.gov/ogd/grants/regulations.htm or http://www.epa.gov/ogd/grants/assurance.htm)

**5. BUDGET DETAIL.**

In addition to completing the Standard Form(SF) 424A, "Budget Information		  - Non-Construction Programs", all proposed grantees are required to		  submit a separate detailed itemized budget. (If indirect costs are being		  charged, you must INCLUDE a copy of your indirect cost rate agreement, if		  established.)

Please address and follow the guidelines listed below (Also refer to sample		  within this package):
> 
A. Personnel: List all project participants titles. Indicate            the time percentage that each individual will devote to this project            during the entire project period. The budget cost should be derived            as follows: Each person's time percentage His/her annual salary =            Personnel costs     Indicate this calculation for each personnel member. The sum of each persons    costs should be reflected as total personnel costs. (Record the total on    Standard Form 424A, Section B, Line A.)    B. Travel: Indicate the budgeted travels purpose and the destination    of each trip and indicate the number of travelers. (Record total on Standard    Form 424A Section B, Line C.) 

C. Equipment: Provide a list of equipment to be purchased.            Equipment is $5,000 or more per unit, pursuant to 40 CFR 31.3 and            30.2.(Record total on Standard Form 424A, Section B, Line D).    D. Supplies: Itemize budgeted supplies unless their total represents    less than two percent of total costs. "Supplies" means all tangible    personal property other than "equipment". The budget detail should    identify categories of supplies to be procured (e.g., laboratory supplies    or office supplies).    Supplies are typically $5,000 or less per unit.(Record total on Standard    Form 424A, Section B, Line E.)    E. Contractual: Specify the nature and cost of contractual services.    EPA may review the contracts for personal services before the contracts are    executed, to assure that all costs are reasonable and necessary to the project.    (Record total on Standard Form 424A, Section B, Line F).

Applicants should review EPA's regulations concerning procurement              and the need to provide justification for sole source agreements              and documentation concerning cost or price analysis for contracts              and other agreements.

F. Construction: If your budget includes construction costs,            contact the Grants Administration Division for additional instructions            while completing your application. (Record total on Standard Form            424A, Section B, Line G)

G. Other: Itemize all costs included here. Include items            here that cannot be placed in the more specific categories. Examples            could be sub-grants, postage or printing. If you are applying for            a training project, the itemization should include a cost breakdown            of trainee tuition and fees, book allowances, stipends, and travel.            (Record total on Standard Form 424A, Section B, Line H)

A recipient of EPA assistance may only subgrant to an entity that              would have been eligible to receive assistance from EPA directly              (i.e., eligible subgrantee or eligible subrecipient). This also              means that the entity would have to be an eligible subgrantee or              eligible subrecipient who is not debarred or suspended or is otherwise              excluded from or ineligible for participation in Federal assistance              programs under Executive Order 12549, "Debarment and Suspension." Moreover,              recipients cannot receive EPA assistance for the sole purpose of              subawarding, transferring, or contracting out work under an award              to another entity. Recipients are responsible for ensuring that              their subgrantees/subrecipients use EPA funds for authorized purposes              and comply with all applicable Federal regulations, OMB Cost Principles,              and the terms and conditions of the assistance agreement.

H. Indirect Costs: Please indicate how indirect charges were            calculated for this project, and remember to attach a copy of your            current indirect cost rate agreement. ( Record total on Standard            Form 424A, Section B, Line J). If an organization has not established            an indirect cost rate with another Federal Entity, please specify            on Standard Form 424A, Section B, Line J.    If indirect costs are being used, please INCLUDE a copy of your indirect    cost rate agreement, if established.

I. Program Income: If any income is expected to be generated            from this project, insert the estimated income amount here. Do not            add or subtract this amount from the total project amount. Your detailed            direct cost itemization should show this income's nature and source.            Examples of Program Income include: registration fees collected,            income form the sale of products produced under a grant and rental            fees generated from equipment purchased with assistance funds. (Record            total on Standard Form 424A, Section B, Line 7)

 For reference and more information on allowable costs under federal regulations,		  please visit the Office of Management and Budgets website and review		  the circular appropriate to your organization at (http://www.whitehouse.gov/omb/) ************************

**PRE-AWARD COMPLIANCE FOR NON-PROFIT ORGANIZATIONS**

EPA assistance awards (grants and cooperative agreements) to non-profit		  organizations are an important mechanism for delivering environmental protection		  to the public. EPA's Office of the Inspector General, however, has issued		  numerous audit reports documenting instances of non-profit recipients that		  have inadequate administrative systems to manage EPA funds or lack the capability		  to successfully perform the project scope of work. The Office of Grants and		  Debarment has identified similar issues in conducting post award monitoring		  activities. 

Recognizing that it is preferable to address such issues before, rather		  than after, an assistance agreement is awarded, EPA has begun evaluating		  the administrative and programmatic capability of non-profit applicants. 

These procedures are based on existing regulatory requirements. Specifically,		  40 CFR � 30.14 authorizes EPA to impose pre-award conditions on a non-profit		  applicant that has a history of poor performance, is not financially stable,		  has a management system that does not meet the standards prescribed in 40		  CFR Part 30, has not conformed to the terms and conditions of a previous		  award, or is not otherwise responsible. Further, 40 CFR � 30.62 provides		  EPA with remedies to deal with non-profit recipients that mismanage assistance		  agreements either administratively or programmatically. Finally, under 2		  CFR Part 180 and Part 1532, EPA may suspend or debar non-profit applicants or recipients		  that pose a serious business risk to the Government.

 After receiving notification from the Program Office that an application		  has be recommended for funding the Grants Management Office (GMO) must: require		  the applicant to fill out the Administrative Capability Form contained in		  Appendix A to the EPA Order and provide supporting documents; and then conduct		  a review of this information. If the GMO, based upon a review of the completed		  Administrative Capability Form and after checking the Grantee Compliance		  Database, determines that the applicant lacks the necessary administrative		  capability, the award official must impose pre-award conditions under section		  10(b), or special award conditions under Section 10(d), of the EPA Order.		  If the GMO finds that the applicant has the necessary administrative capability,		  pre-award or special award conditions are not required. 

| Application      Kit for Federal Assistance | Letter      to Applicant | Applicable      EPA Regulations and Description | Grant    Application Forms | EEO Contacts | Checklist for Applications | Official Mailing    Addresses | On-Line Grant Application Kit |     | Appendix D: Fact sheet for Applicants Intergovernmental Review Process |     |     Returnto the Grants and Debarment Home Page |

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    - Application Kit for Federal Assistance
    - Letter to Applicant
    - Applicable EPA Regulations and Description
    - Appendix D: Fact sheet for Applicants Intergovernmental Review Process
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Last updated on Tuesday, January 19, 2010
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