-------
I. SUMMARY
A. Program Summary, 1978-81
The Undergraduate Training Program in Water Pollution Control and
Design Engineering began at the Atlanta University Center (AUC) in 1975
with a grant from the Environmental Protection Agency (EPA). In 1979,
the proram was expanded to include Howard University, Southern Univer-
sity, and Tennessee State University. The overall intent of the pro-
gram is to address the critical shortage of engineers trained in the
area of water pollution control. More specifially, the effort is
directed toward the training of minorities, including women, in the
complex problems associated with water pollution control. The training
is designed to prepare these young people for positions with local,
state and federal agencies as well as private industry.
The EPA program is administered through the AUC Dual Degree Engi-
neering program office. The Dual Degree Engineering Program is a joint
effort between the AUC schools (i.e., Clark College, Morehouse College,
Morris Brown College and Spelman College), Boston University and
Georgia Institute of Technology. Through this office, the EPA program
has enjoyed steady growth. Last year forty four (44) students were
supported by the program, several new courses were developed, special
programs and seminars were made available to the students, new
equipment was purchased and the exposure of students to water pollution
control related careers was possible. This exposure was not limited to
the students supported by the programs. In most of the special courses
developed under this grant, there were many students enrolled in
addition to those being supported. The impact of the program is
therefore, widespread in the engineering schools of the institutions
that participate in this program.
During the three years of the program seventy nine students parti-
cipated in the program (see Training Roster). Of those who have
graduated, many have accepted employment in the environmental industry.
This is a strong indicator that the funds provided by the granting
agency are concentrated in an area that is desirable to the students,
and where career opportunities exist. It also reflects the sincerity
of the student trainees.
To facilitate the operation of the program, Advisor/Coordinators
were selected at each University. They were as follow:
Dr. James H. Johnson
Assistant Professor
Howard University School of Engineering
Washington, D.C. 20059
-------
Dr. Erat S. Joseph, Chairman
Civil Engineering
Southern University
Baton Rouge, Louisiana 70813
Dr. A. K. Upadhyaya
Associated Professor
School of Engineering & Technology
Tennessee State University
Nashville, Tennessee 37203
Replaced by
Dr. Edward I. Isibor
Dean
School of Engineering & Technology
Tennessee State University
Nashville, Tennessee 37203
Each Advisor/Coordinator was charged with carrying out the goal of
the program on his campus.
The Environmental Protection Agency also provided funds for
curriculum development activity. The funds were used to:
0 develop guidebooks for a successful Water Quality Control
training program
0 sponsor two, four—part, seminar series on areas relating to
water quality control
0 develop a slide presentation on water pollution control
0 facilitate the development of dual degree programs between
minority engineering and liberal arts schools
0 develop new courses in water pollution, sanitary engineering
and other related areas
0 purchase laboratory equipment and supplies
Through these activities, hundreds of students have been exposed
to grant sponsored activities.
-------
EPA WATER RESOURCES ENGINEERING
TRAINING ROSTER
GRANT #900908
1978-79
Ronald Days
Holly Elmendorf
Janet Hopkins
Charles Hosley
Julia Lewis
Ruby Mitchell
Vanessa Smith
Yolanda Smith
Memphis Vaughn
1979-80
Nathan Anderson
Anthony Brown
Nathan Bryant
Andrew Cocking
Barron Cosby
Kenneth Donahue
Jill Elliott
Frandrea Gibson
Marion Green
Darlyn Grigsby
Keafur Grimes
Elliott Hanlesty
Sharon Harper
Michelle Harvey
Janice Hill
Janet Hopkins
Deborah Johnson
Michael Lastie
Huey Lawson
Steven Lewis
Joyce Lemmon
Renee Lockett
Wayne Lyons
Bobby Matthews
Robin McGill
Donald Myers
Billy Osborne
Beverly Patterson
Ralph Phillips
Paul Richards
School
AUC
AUC
AUC
AUC
AUC
AUC
AUC
AUC
AUC
HU
TSU
AUC
HU
HU
SU
TSU
TSU
SU
SU
TSU
HU
TSU
TSU
HU
AUC
TSU
SU
SU
SU
HU
HU
SU
SU
HU
HU
TSU
HU
TSU
SU
-------
1978-79 School
Sharon Robinson HU
Roberto Smith HU
Gena Townsend TSU
Barbara Washington SU
David Wevster SU
Randy Wheeler AUC
Cedric White SU
Mae Bell Wilson SU
Memphis Vaughan AUC
1980-81
Bonita Barrett AUC
Deborah Batiste SU
Angela Birch AUC
Brenda Booker AUC
lona Borders TSU
Nathan Bryant AUC
Violette Brown HU
Andrew Cocking HU
Arnold Collier HU
Freddie Collins SU
Barren Cosby HU
Katherine Dogan SU
Jill Elliot TSU
Jeffrey .Fields TSU
Deborah Frazier HU
Anna Gabriel HU
Frondea Gibson TSU
Marcia Grant HU
Teresa Green TSU
Darlyn Grigsby SU
Wallace Hathorne SU
Ricky Hawkins SU
Angela Hurt TSU
Jeffrey Lacour SU
Renee Lockett HU
Bobbye Matthew SU
Robin McGill HU
Marlene Mercadel HU
Wanda Millard HU
Rita Pilete HU
-------
1980-81 School
Arnold Ransom HU
Carla Reid HU
Yakima Samuel AUC
Wilma Shaw SU
Ronnie Smith SU
Alphonse Stewart AUC
Glenda Sumbler SU
Memphis Vaughn AUC
Randy Wheeler AUC
Zelda Wade TSU
Wilbur Wells TSU
Thomas Williams SU
Vanessa Williams SU
Mary Bell Wilson SU
-------
G. Financial Summary
See Attached Charts
-------
SUMMARY GRANT EXPENDITURES BY SCHOOL
1978 - 1981*
Budget Item
Personnel & Fringe
Supplies
Student Support
Coordinator/Advisor
Consultant
Curriculum Development
Other
AUC
$43,118
421
28,012
-0-
2,255
-0-
18,485
HU
$ -0-
-0-
38,166
5,000
-0-
7,438
3,120
SU
$ -0-
-0-
15,550
5,000
-0-
4,267
4,914
TSU
$ -0-
-0-
15,030
5,000
-0-
10,000
2,500
Total
$ 43,118
421
96,758
15,000
2,255
21,705
29,019
$208,276
EPA Share @ 84.41% $175,815
*Additional Expenditures in 1981 billed to Grant #901208
7
-------
SUMMARY GRANT EXPENDITURES BY YEAR
ALL SCHOOLS
Budget Items
Personnel & Fringe
Supplies
Student Support
Coordinator/Advisor
Consultant
Curriculum Development
Other
1978-79
$14,355
-0-
13,257
-0-
-0-
-0-
-0-
**
1979-80
$21,234
-0-
47,814
15,000
-0-
14,205
13,053
EPA Share
1980-81*
$ 7,529
421
35,687
-0-
2,255
7,500
15,966
@ 84.41%
Total
$ 43,118
421
96,758.
15,000
2,255
21,705
29,019
$208,276
$175,815
*Additional Expenditures in 1981 billed to Grant #901208
-------
II. DETAIL REPORT ON PROGRAM ACTIVITIES
The major focus of the grant was the training of engineering students
in the area of water pollution control. However funding was also provided
for curriculum development activities and for enrichment programs. With
these funds, several new courses relating to water resource engineering
were developed. These courses were made available to all engineering
students enrolled at the various schools. The benefits of the program
therefore, extends far beyond the students who were supported.
Of those students who have graduated, many have accepted employment in
an area relating to the goal of the program. This indicates the strength
of the program and the sincerity of the students involved. Below is a
partial list of graduates and their employment status.
-------
EPA WATER RESOURCES ENGINEERING TRAINEE GRADUATES
1978-79
Ronald Days
Holly Elmendorf
Vanessa Smith
Yolanda Smith
School
AUC
AUC
AUC
AUC
Employment
Southern Bell
Southern Bell
Stanley Consultants
1979-80
Nathan Anderson
Kenneth Donahue
Frandrea Gibson
Marion Green
Keafur Grimes
Sharon Harper
Michelle Harvey
i
Deborah Johnson
Michael Lastie
Huey Lawson
Steven Lewis
Joyce Lemmon
Wayne Lyons
Donald Myers
Ralph Phillips
Paul Richards
Roberto Smith
Gena Townsend
Barbara Washington
David Webster
Cedric White
HU
SU
TSU
SU
TSU
TSU
TSU
TSU
SU
SU
SU
HU
SU
HU
TSU
SU
HU
TSU
SU
SU
SU
Caterpillar Company
Tennessee DOT
Texaco
Army Corps of Engineers
Tennessee Valley Authority
Federal Highway
Admini s t ra t i on
Proctor and Gamble
Shell Oil Company
Graduate School (Ohio
State University)
Schlumberger Company
Environmental Protection
Agency
Proctor and Gamble
Tennessee Valley Authority
Mobil Oil Company
U.S. Air Force
Tennessee DOT
Stone and Webster
Burns and McDonald
Conoco
1980-81
Violette Brown
Andrew Cocking
Jill Elliot
Deborah Frazier
Teresa Green
Marlene Mercadel
Memphis Vaughan
HU
HU
TSU
HU
TSU
HU
AUC
Graduate School
Graduate School
Department of Energy
10
-------
STUDENT TRAINEE ROSTER
ATLANTA UNIVERSITY CENTER
Name
Barrett, Bonita
Year
Supported
1980
Birch, Angela
Bryant, Nathan
Days, Ronald
1980
Booker, Brenda 1980
1979
1980
1978
Elmendorf, Holly 1978
Hopkins, Janet 1978
1979
Hosley, Charles 1978
Lewis, Julia 1978
Mitchell-, Ruby 1978
Samuel, Yakima 1980
Environmental
Courses Taken
Organic Chemistry
Sanitary Engineering I
Chemical Process
Principles I
Chemical Process
Principles II
Sanitary Engineering I
Physical Chemistry II
Physical Chemistry III
Sanitary Engineering I
General Geology
Fluid Mechanics
Sanitary Engineering II
Hydrology
General Geology
General Geology Lab
Hydrology
Advance Surveying I
Annual
Support
Received
$ 603
842
1,703
-0-
782
Chemical Process
Principles I
Chemical Process
Principles II
695
1,922
681
1,241
522
-0-
Total
Support
$ 603
842
1,703
782
695
2,603
1,241
522
-0-
603
603
11
-------
ATLANTA UNIVERSITY CENTER
Name
Smith, Vanessa
Annual
Year Environmental Support Total
Supported Courses Taken Received Support
1978 Sanitary Engineering I
Sanitary Engineering II
Hydrology $ 945 $ 945
Smith, Yolanda 1978
Stewart, Alphonse 1980
Vaughan, Memphis 1979
Wheeler, Randy
Sanitary Engineering II 232 232
General Geology 862 862
Fluid Mechanics
Sanitary Engineering I 1,241
1980 Sanitary Engineering II
Hydrology 1,361 2,602
1980 General Geology
General Geology Lab 687 687
12
-------
STUDENT TRAINEE ROSTER
HOWARD UNIVERSITY
Name
Anderson, Nathan
Year Environmental
Supported Courses Taken
1979 Hydrology
Sanitary Processes
Water Resource
Planning
Brown, Violette
Cocking, Andrew
Collier, Arnold
Cosby, Barren
1980
1979
1980
1980
1979
Frazier, Deborah
Annual
Support
Received
Gabriel, Anna
Senior Project
Air Pollution Control
Engineer
Fluid Mechanics
Water Supply
Hydraulic Engineering
Sanitary Engineering
Hydrology
Sanitary Processes
Fluid Mechanics
Hydraulic Engineering
Water Resource
Planning
1980 Sanitary Engineering
Introduction to Envir.
Science
Water Resource
Engineering I
1980 Introduction to
Envir. Science
Sanitary Engineering
Hydrology
Sanitary Processes
Water Resource Planning
1980 Fluid Mechanics
2,164
2,065
2,164
2,164
2,065
2,164
852
2,164
Total
Support
$2,065 $2,065
2,164
4,229
2,164
4,229
852
2,164
13
-------
HOWARD UNIVERSITY
Grant, Marcia
Hardesty, Elliot
Hill, Janice
Lemmon, Joyce
Lockett, Renee
McGill, Robin
Mercadel, Marlene
Millard, Wanda
Year
Supported
1980
1979
1979
1979
1979
1980
1979
1980
1980
1980
Environmental
Courses Taken
Water Resource
Engineering I
Sanitary Engineering
Hydrology
Water Supply
Hydraulic Engineering
Water Resource
Planning
Fluid Mechanics
Water Supply
Hydraulic Engineering
Sanitary Engineering
Sanitary Processes
Hydrology
Fluid Mechanics
Sanitary Engineering
Water Resource
Engineering I
Sanitary Processes
Water Resource
Planning
Fluid Mechanics
Water Resource
Engineering I
Sanitary Processes
Fluid Mechanics
Sanitary Engineering
Water Resource
Engineering I
Annual
Support
Received
$2,164
2,065
2,065
1,032.50
Total
Support
$2,164
2,164
2,164
2,065
2,065
2,164 3,196.50
1,032.50
3,196.50
2,164
1,107.50 1,107.50
i A
-------
Name
Myers, Donald
Year Environmental
Supported Courses Taken
Annual
Support. Total
Received Support
Patterson, Beverly 1979
Pilete, Rita
Ranson, Arnold
Reid, Carla
Robinson, Sharon
Smith, Roberto
1979 Sanitary Engineering
Hydrology
Water Quality Mgt.
Hydraulic Engineering
Water Resource
Planning
Sanitary Engineering
Hydrology
Water Resource Planning $2,065
1980 - 1,082
1980 - 2,164
1980 Organic Chemistry 2,164
1979 Sanitary Engineering
Hydrology
Hydraulic Engineering
Sanitary Processes 2,065
1979 Sanitary Engineering
Water Resource
Planning 2,065
$2,065
1,082
2,164
2,164
2,065
2,065
15
-------
STUDENT TRAINEE ROSTER
SOUTHERN UNIVERSITY
Name
Batiste, Deborah
Collier, Freddie
Dogan, Katherine
Donahue, Kenneth
Green, Marion
Grigsby, Daryln
Hawkins, Ricky
Lacour, Jeffrey
Lastie, Michael
Lawson, Huey
Lewis, Steven
Year
Supported
1980
1980
1980
1979
1979
1979
1980
Hathorne, Wallace 1980
1980
1980
1979
1979
1979
Annual
Environmental Support Total
Courses Taken Received Support
Advanced Sanitary
Engineering $ 450 $ 450
Advanced Sanitary
Engineering 450 450
Advanced Sanitary
Engineering 450 450
Applied Microbiology 450 450
Applied Ecology
Applied Ecology 450 450
Applied Microbiology
Applied Ecology 450
Design of Water and
Sewage Plants 450 900
Design of Water and
Sewage Plants 450 450
Design of Water and
Sewage Plants 450 450
Advanced Sanitary
Engineering 450 450
Applied Ecology
Design of Water and
Sewage Plants 450 450
Applied Microbiology
Applied Ecology 450 450
Applied Ecology
Design of Water and
Sewage Plants 450 450
1£
-------
SOUTHERN UNIVERSITY
Name
Lyons, Wayne
Mathews, Bobby
Richards, Paul
Shaw, Wilma
Smith, Ronnie
Sumbler, Glenda
Year Environmental
Supported Courses Taken
1979 Applied Microbiology
Applied Ecology
1979 Applied Microbiology
Applied Ecology
Design of Water and
Sewage Plants
1980 Advance Sanitary
Engineering
1979 Applied Ecology
Design Water and
Sewage Plants
1980 Advance Sanitary
Engineering
1980 Advance Sanitary
Engineering
1980 Advance Sanitary
Engineering
Washington, Barbara 1979
Webster, David
White, Cedric
Applied Microbiology
Applied Ecology
1979 Applied Ecology
1979 Applied Ecology
Design of Water and
Sewage Plants
Annual
Support
Received
$450
Total
Support
$450
450
450
450
450
450
450
450
450
450
900
450
450
450
450
450
450
450
17
-------
SOUTHERN UNIVERSITY
Name
Williams, Thomas
Williams, Vanessa
Wilson, Mary Bell
Year Environmental
Supported Courses Taken
1980 Advanced Sanitary
Engineering
1980 Advanced Sanitary
Engineering
Design of Water and
Sewage Plants
1979 Applied Microbiology
Applied Ecology
1980 Advanced Sanitary
Engineering
Annual
Support
Received
450
Total
Support
450
900
450
450
900
900
-------
STUDENT TRAINEE ROSTER
TENNESSEE STATE
Name
Borders, lona
Brown, Anthony
Elliot, Jill
Fields, Jeffrey
Gibson, Frandrea
Green, Teresa
Grimes, Keafur
Harper, Sharon
Harvey, Michelle
Hurt, Angela
Johnson, Deborah
Osborne, Billie
Phillips, Ralph
Year
Supported
1980
1979
1979
1980
1980
1979
1980
1980
1979
1979
1980
1979
1979
1979
Environmental
Courses Taken
Fluid Mechanics
Fluid Mechanics
Fluid Mechanics
Man and His Environment
Fluid Mechanics
Man and His Environment
Fluid Mechanics
Hydraulics
Senior Project
Elementary Hydrology
Waste Water Treatment
Water Resources
Waste Water Treatment
Fluid Mechanics
-
-
_
Annual
Support
Received
$1,181
465
475
695
1,626
2,000
403
1,536
Total
Support
$1,181
940
695
3,626
403
1,536
19
-------
TENNESSEE STATE
Annual
Year Environmental Support Total
Name Supported Courses Taken Received Support
Townsend, Gena 1979 Man and His 1,626 1,626
Environment
Wade, Zelda 1980 Fluid Mechanics
Water Supply
Hydraulics 582 582
Wells, Wilber 1980 Fluid Mechanics 1,433 1,433
20
-------
Atlanta University Center
The EPA program was administered through the Atlanta University
Center (AUC) Dual Degree Engineering Program office. The Dual Degree
Engineering Program is a joint effort between the AUC schools (i.e.,
Clark College, Morehouse College, Morris Brown College and Spelman
College), Boston University and Georgia Institute of Technology.
Mr. Calvin Espy served as EPA project manager until 1981 when his
duties and responsibilities for both the Dual Degree Engineering
Program and the EPA Dual Degree Engineering Program and the EPA Program
were assumed by Mr. William Shackelford.
The EPA project manager's duties includes the monitoring and
coordinating of activities at the various institutions associated with
the program. In addition, the review of budgets, allocation of funds
to the schools, interaction with the granting agency and the generation
of periodic progress reports, are also the responsibility of the
project manager.
Other administrative duties associated with the grant were
performed by Mrs. Gwen Brown-High, Administrative Assistant to the
Director. Her responsibilities included the collection of data on
students supported under the program, review of transcripts and liaison
person between the AUC business office and the business offices of the
other schools. In addition, she assisted in the coordination of other
project activities and occasionally serves as secretary for reports
generated under this program.
The major curriculum development activity at the AUC was the
development of a three part series of documents designed to provide an
understanding of the components of a successful water quality control
training program (see Appendix). The documents were generated through
experience gained in the management of this grant. The three documents
were as follow:
0 "Guide book for Administrators of Water Quality Control and
Design Engineering Programs"
0 "Guidebook for Instructors Participating in Water Quality
Control and Design Engineering Programs"
0 "Guidebook for Students Participating in Water Quality Control
and D'esign Engineering Programs"
During the first year of the grant five (5) Atlanta University
Center seniors and four (4) juniors were supported. During the second
year three (3) of the four juniors returned to the program. These
students were joined that year, for the first time, by students from
Howard University, Southern University and Tennessee State. Through
the three years of the program sixteen (16) Atlanta University Center
engineering students have received support.
21
-------
•TOTAL GRANT EXPENDITURES BY SCHOOL
ATLANTA UNIVERSITY CENTER
Budget Items 1978-79 1979-80 1980-81* Total
Personnel & Fringe
Supplies
Student Support
Coordinator/Advisor
Consultant
Curriculum Development
Other _
$92,291
*Additional Expenditures billed,to Grant #901208
$14,355
-0-
13,257
-0-
-0-
-0-
-0-
$21,234
-0-
5,689
-0-
-0-
-0-
9,039
$ 7,529
421
9,066
-0-
2,255
-0-
9,446
$ 43,118
421
28,012
-0-
2,255
-0-
18,485
22
-------
CURRICULUM OUTLINE FOR TRAINEES AT
ATLANTA UNIVERSITY CENTER
AND GEORGIA INSTITUTE OF TECHNOLOGY
-------
GENERAL STUDIES PROGRAM AT A.U.C. COLLEGES
Engineering courses:
English
English
English
English
History
History
Foreign Language
Course
Number
151
152
251
252
111
112
101-102
Semester
Hours
3
3
3
3
3
3
3 ea. (1
Physical Education
Physical Education
Religion
Philosophy
Political Science
History
151
152
349
200
251
211
1
1
3
3
3
Title
Composition
Composition
Humanities (Literary
Types)
Humanities (Literature &
Composition)
The History of
Civilization
The History of
Civilization
Student must show
proficiency second year
level in one foreign
language such as French,
German, Swahili, Spanish,
Russian or Ebo.
Physical Education
Physical Education
Introduction to Religion
Introduction to Philosophy
National Government of the
U.S.
National Government of the
U.S.
REQUIRED PRE-ENGINEERING COURSES AT A.U.C. COLLEGES
Mathematics
Mathematics
Mathematics
Mathematics
Mathematics
Chemistry
Chemistry
Physics
Physics
Physics
251
252
351
353 or 367
365
111
112
154
253
254
4
4
4
3
3
4
4
4
4
4
Analysis I
Analysis II
Analysis III
Advanced Calculus I or
Applied Math
Ordinary Differential
Equations
Elementary Inorganic
Chemistry
Elementary Inorganic
Chemistry
Physics II (Mechanics &
Heat)
Physics III (Electricity
& Magnetism)
Physics IV (Optics & Modern
Physics)
23
-------
REQUIRED PRE-ENGINEERING COURSES AT A.U.C. COLLEGES
Physics
Physics
Physics
Physics
Computer Sciences
Course
Number
201
203
205
308
150
Semester
Hours
2
2
3
3
3
Title
Engineering Graphics
Introduction to
Engineering
Statics
Dynamics
Introduction to Computing
Total Hours at AUC Colleges: 93 or more
Excess hours taken at AUC may be used as credit at Georgia Tech
In addition to the required pre-engineering courses taken at the
Atlanta University Center, the dual degree student in the Water Quality
Control and Design Engineering Program must complete an additional two
years of study in civil engineering at Georgia Tech. The civil engineering
courses requirements are given below.
THE TWO YEAR PROGRAM OF STUDY AT GEORGIA TECH
Courses required of all Civil Engineering Students:
Econ
ESM
ME
CE
CE
CE
CE
CE
CE
CE
EE
EE
Mgt.
Course
Number
2000
3301
3720
2254 & 3254
3309
3216
4204
4214
4304
4154
3740
3700
3260
Quarter
Hrs. Credit
3
5
4
7
4
6
4
4
4
4
1
3
Title
Principles of Economics
Mechanics of Deformable
Bodies
Thermodynamics
Surveying
Materials and
Construction
Structural Analysis I
Metal Structural
Components
Concrete Structural
Components
Transportation
Engineering I
Behavior of Soil and
Rock
Electric Instrumentation
Lab.
Elements of Electrical
Circuits and
Instruments
Law I
Subtotal
52 Qtr. Hours
24
-------
Water Quality Related Courses Required of all Civil
Engineering Students:
CE
CE
CE
Geol
ISYE
CE
CE
CE
Course
Number
3053
3054
3061
2500
4726
4103
4103
4353
Subtotal
Quarter
Hrs. Credit
3
4
1
4
3
3
3
_4
25
Title
Fluid Mechanics I
Fluid Mechanics II
Fluid Mechanics
Laboratory
Physical Geology
Engineering Economics
Analysis in the Public
Sector
Sanitary Engineering I
Sanitary Engineering II
Hydrology
Quarter Hours
In addition to the required Civil Engineering courses, each
participant of the Water Quality Control Design Engineering Program must
choose from the following courses in satisfying their elective
requirements.
WATER QUALITY RELATED COURSES REQUIRED OF STUDENTS
SUPPORTED UNDER THIS GRANT. MUST TAKE
A TOTAL OF 20 HOURS FROM AMONG THE FOLLOWING.
Required courses:
CE
CE
CE
CE
CE
or
or
Course
Number
4373
4123
6114
4774
6148
Quarter
Hours Credit
3
4
Title
Water Resources
Development
Sanitary Engineering III
Sanitary Engineering
Design II
Applications of Micro-
biology in Sanitary
Engineering
Advanced Microbiology
of Water and Waste
25
-------
The remaining hours of the 20 required in water quality related area
may be elected from the following:
CE
CE
CE
CE
CE
Mgt,
CE
CE
CE
CE
CE
Course
Number
4053
4133
4143
4363
4383
4290
6144
6149
6353
6538
6363
Subtotal
Free Electives
Quarter
Hours Credit
3
3
3
3
3
3
4
4
3
Title
Applied Hydraulics
Engineering Aspects of
Environmental Health
Man and His Environment
Applied Hydrology
Groundwater Hydrology
Public Administration
Sanitary Engineering
Process I
Sanitary Engineering
Process II
Economic and Financial
Aspects of Public Works
Planning
Issues in Water
Resources Planning and
Management
Economics of Water
Resources Development
20 Quarter Hours
6 Quarter Hours
Total study program at Georgia Tech will be for 103 quarter hours to
be taken in 2 academic years (6 quarters).
26
-------
Howard University
Howard University was incorporated into the EPA program in 1979.
Dr. James H. Johnson, Assistant Professor in the School of Engineering,
served as coordinator of the EPA program for Howard University. He ws
responsible for all curriculum development, student trainee support and
other activities.
During its two years in the program Howard University had twenty
three (23) students receive partial support through the grant. In
addition, the special courses and seminars developed and/or sponsored
by the grant were available to all students in the various engineering
departments.
One such special program developed was a four part seminar series
entitled "Land: The Receptor of Liquid Wastes and Residues", presented
in 1979-1980. The attached outline of the seminars describes the
various subject areas covered.
Another activity was the development of a slide presentation
covering the following aspects of water pollution control:
0 The Definition of the Water Pollution Problem
0 Historical Development of Water Pollution Abatement
0 Water Pollution Processes Presently in Use
0 Summary of Impact of Waste on Streams, Rivers, and Estuaries.
The presentation included a recorded tape, associated texts, and
and the slides.
27
-------
LAND:
THE RECEPTOR OF LIQUID WASTES & RESIDUES
A FOUR PART SEMINAR SERIES
4 MARCH 1980 SLUDGE MANAGEMENT ALTERNATIVES AS RELATED TO LAND
APPLICATION"
Dr. Richard I. Dick, J. P. Ripley Professor of
Engineering - Cornell University
18 MARCH 1980 LAND APPLICATION OF WASTEWATER EFFLUENTS
Dr. Eugene J. Kazmierczak, Vice President,
StottTer, Stagg & Associates, Lanham, Maryland
1 APRIL 1980 LAND APPLICATION - AND INDUSTRIAL WASTE CASE HISTORY
15 APRIL 1980
Dr. James Patterson, Professor Environmental
Engineering, Illinois Institute of Technology
SLUDGE GENERATION AND THE DISPOSAL & COMPOSTING
PROGRAM OF THE DISTRICT OF COLUMBIA"
Mr. Francis Riddle, Senior Staff Engineer, Depart-
ment of Environmental Services, Washington, D.C.
All Seminars will be held in Room 1010, Downing Hall beginning
at 12:30 P.M. Funds for the Seminar Series have been provided.
by the U.S. Environmental Protection Agency. For additional
information, call 636-6570.
PRESENTED BY
THE DEPARTMENT OF CIVIL ENGINEERING
HOWARD UNIVERSITY
WASHINGTON, D.C. 20059
-------
In addition a second seminar series, entitled "Hazardous Waste",
was presented in 1980-81. This series included the following:
Dr. Roy Ball, Senior Engineer, Roy F. Weston, West Chester,
Pennsylvania; November 21, 1980.
"Current Regulations Governing Hazardous Waste Handling
and Disposal"
0 Mr. Michael Cook, Associate Deputy Assistant Administrator for
Environmental Emergency Response and Prevention, EPA,
Washington, D.C.; January 27, 1981.
"Cleaning Up the Killing Ground: EPA's Response to
America's Love Canal"
0 Mr. Gerard A. Gallagher, Vice President, Ecology and
Environment, Inc. Buffalo, New York; April 7, 1981.
"Environmental Concerns of the 80's"
t
0 Mr. Alan P. Egler, Technical Services Division, E.I. duPont de
Nemours & Co., Wilimington, Delaware; May 24, 1981.
"duPont's Company Response to RCRA"
Each seminar was video taped and is being edited for distribution
to the other participating schools. Abstracts of the seminars are
included in the Appendix.
Another project involved the establishment of contacts with Bowie
State College, Hampton Institute and Morgan State University for the
purpose of pursuing dual degree relationships with these institutions.
It is a goal of the EPA program to enhance and increase the number of
qualified minorities in water resource related fields. Establishing
dual degree relationships with other traditionally Black universities
is one method identified to effect this change.
In addition, funds were used to purchase a Cold-vapor Mercury
Analyzer for the engineering laboratory. The equipment is capable of
analyzing all thirteen metels identified by EPA as priority. It is
being used by the EPA program trainees for analytical work related to
their environmental courses.
29
-------
TOTAL GRANT EXPENDITURES BY SCHOOL
HOWARD UNIVERSITY
Budget Item
Personal & Fringe
Supplies
Student Support
Coordinator/Advisor
Consultant
Curriculum Development -0-
Other
$53,724
*Additional expenditures" billed to Grant #901208
1978-79
$ -0-
-0-
-0-
-0-
-0-
. _0-
-0-
1979-80
$ -0-
-0-
18,295
5,000
-0-
4,938
-0-
1980-81*
$ -0-
-0-
19,871
-0-
-0-
2,500
3,120
Total
$ -0-
-0-
38,166
5,000
-0-
7,438
3,120'
30
-------
REQUEST FOR EQUIPMENT PURCHASE
It is requested that funds be made available for purchase of a Cold-
vapor Mercury Analyzer, its accessories and reagents. The following prices
have been quoted to us by VWR Scientific Company. These prices are effective
until July 13, 1980.
No.
Item
Qty. Unit Price
36994-131
36994-244
36994-266
36994-288
36994-346
36994-186
36994-153
36994-200
36994-222
26625-004
36994-302
36994-324
36994-380
36994-164
C-050-0807
C-050-0839
Mercury Analyzer, Model MAS-50
Potassium permanganate, 57,
Sulfuric Acid, 18N
Nitric Acid, 5.6N
Dispension Kit
Absorption cell
Mercury lamp
Window and gasket set
Aerator
Drying tube
Hydroxylamine HCl, 1.5%
Stannous Chloride, 10%
Mercury Standard
Reagent tray
Mercury scubber kit
Desicant kit
Total
1
1
1
1
1
1
1
1
1
1
1
I
1
1
1
1
ea.
bot.
bot.
bot.
ea.
ea.
ea.
ea.
ea.
pk.
bot.
bot.
bot.
ea.
ea.
ea.
1632.00
8.92
17.00
9.77
30.60
40.80
14.87
7.86
25.80
23.95
9.77
12.32
17.42
28.90
20.00
16.00
$1,915.66
-------
CURRICULUM OUTLINE FOR TRAINEES AT
HOWARD UNIVERSITY
-------
WATER RESOURCES PROGRAM OUTLINE FOR CIVIL ENGINEERING STUDENTS
AT HOWARD UNIVERSITY
Each EPA trainee at Howard University is required to take specific
courses in the water resources area approved by the University faculty and
the U.S. EPA. The four year curriculum requires 137 semester hours.
Twelve semester hours in water related courses are included. The
curriculum outline is given below.
CURRICULUM
GENERAL STUDIES AND REQUIRED PRE-ENGINEERING COURSES AT HOWARD
ENGLISH
Eng. 008-002 Freshman English (3)
Eng. 008-003 Freshman English (3)
HUMANITIES & SOCIAL SCIENCES
Humanities (Divisional Studies A), or
Social Science (Divisional Studies B or CO
Electives(9)
Humanities (Divisional Studies B or C)
Elective (3)
PHYSICAL EDUCATION OR ROTC
ROTC or P.E. (4)
BASIC SCIENCES
004-003 General Chemistry Lecture (3)
004-005 General Chemistry Lab. (2)
004-004 General Chemistry Lecture (3)
004-006 General Chemistry Lab. (2)
021-013 Physics (5)
021-014 Physics (5)
MATHEMATICS
015-156 Calculus I (4)
015-157 Calculus II (4)
015-158 Calculus III (4)
015-159 Differential Equations (4)
32
-------
COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
302-103 Civil Engineering
Drawing (2)
306-164 Introduction to Computing (2)
302-202 Statics (3)
302-206 Fundamentals of
Surveying I (2)
302-302 Dynamics (3)
302-207 Fundamentals of
Surveying II (2)
302-349 Analysis Methods for
Civil Engineers (3)
302-301 Mechanics of Materials (4)
302-316 Materials Engineering (3)
302-409 Engineering Geology (3)
302-350 Introduction to Systems
Engineering (3)
302-314 Structures I (3)
302-416 Transportation Engineering (3)
302-434 Soil Mechanics (3)
006-001 Principles of Economics (3)
302-436 Reinforced Concrete (3)
304-305 Thermodynamics (3)
303-310 Principles of Electronics (2)
303-312 Electrical Laboratory (1)
302-462 Seminar II (1)
WATER QUALITY RELATED COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
302-311 Fluid Mechanics (4)
302-352 Water Resources
Engineering I (3)
302-353 Water Resources
Engineering II (3)
302-328 Sanitary Engineering (3)
COURSES REQUIRED OF EPA TRAINEES
302-436 Public Health Engineering (3)
302-452 Hydrology (3)
302-439 Sanitary Processes (3)
234-553 Special Problems in
Environmental Engineering (3)
or
234-502 Wastewater Treatment (3)
or
302-453 Water Resources
Planning (3)
33
-------
Southern University
Southern University was incorporated into the EPA program in 1979.
Dr. Erat S. Joseph, Chairman of the Civil Engineering department,
served as the schools coordinator of the program. He was responsible
for all curriculum development, student trainee support and other
activities.
During its two years in the program, twenty four (24) students
received partial support through the grant, several new courses were
developed and various equipment purchased.
In 1979-80 Southern University, through the EPA grant, developed
two new water pollution related courses, namely:
0 Applied Ecology
0 Applied Microbiology
A syllabus of both courses are included as Appendices. Basically,
the courses were designed to provide students with an understanding of
the different types of water and environmental pollution, their causes
and major techniques utilized in abatement programs. In addition, they
discuss the microbiological aspects of water pollution and techniques
of sewage treatment. Both courses were required of all EPA trainees at
Southern University. The courses were also open to other interested
students.
In 1980-81, two additional courses were developed under this
grant:
0 "Design of Water and Sewage Plants" - physical and chemical
principles involved in the design of sewage treatment plants
for domestic, industrial and storm waste, and of water
purification plants.
0 "Advanced Sanitary Engineering" - impact of man's activities
on his environment. Identification of current and future areas
of environmental pollution. Waste management, collection,
disposal and recycling.
Details of these courses are also included in the Appendix.
In addition, an Activated Sludge Pilot Plant was purchased. It is
a portable unit suitable for multiple use applications. For students
in sanitary or environmental engineering, it can be used either as a
demonstration unit or in conjunction with laboratory instruction.
34
-------
I*1
&
?^ '^
rW;X*
STE
'ALUATION-
IEATABILITY
PLANT STUDIES
ivated sludge pilot plant is a portable unit suitable for
> use applications. Students in sanitary or environ-
engineering will find it particularly appropriate either
nonstration unit or for process-waste evaluation tests.
ng engineers will find the unit convenient to use for
lity studies. Municipal officials and wastewater treat-
ant operators may use the apparatus for demonstrations
c relations work or for in-plant studies.
mpact construction enables easy transportation in a
wagon. The fully insulated enclosure allows use of the
a laboratory or at an interior or exterior location at a
nt plant site. A heater is provided to allow operating
itures above ambient, and cooling facilities are available
ate at temperatures below ambient. The insulated en-
serves to exclude light during the operation and min-
ie influence of photo-synthesis, which is not a char-
c feature of proto-type operation.
perating the units with a six-hour detention time in the
i tank and a two-hour detention time in the final
tank, the total daily volume of waste treated is 15
Consequently, for laboratory use the waste volume to
lied is not excessive. For in-plant use the positive dis-
;nt raw waste pump allows direct pumping to the unit
i inlet channel or primary settling tank.
tling and aeration units are physically separated to
i the unit arrangement most commonly found with
pe processes. Clear plastic tanks allow visual assessment
process and are assembled at a convenient height for
9 and cleaning. A steep cone bottom is provided in
ling tank to minimize solids build-up.
tic type pumps are conveniently located below the re-
:anks and handle suspended solids without clogging. A
speed drive permits pumping at any rate from 0 to
im flow. Time varied pumping rates to simulate
low cycles can be obtained by additional control units.
-------
TOTAL GRANT EXPENDITURES BY SCHOOL
SOUTHERN UNIVERSITY
Budget Item
Personnel & Fringe
Supplies
Student Support
Coordinator /Advisor
Consultant
Curriculum Development
Other
1978-79
$ -0-
-0-
-0-
-0-
-0-
-0-
-0-
1979-80
$ -0-
-0-
8,800
5,000
-0-
4,267
1,514
1980-81*
$ -0-
-0-
6,750
-0-
-0-
-0-
• 3,400
Total
$ -0-
-0-
15,550
5,000
-0-
4,267
4,914
$29,731
*Additional expenditures billed to Grant #901208
36
-------
CURRICULUM OUTLINE FOR TRAINEES AT
SOUTHERN UNIVERSITY
-------
GENERAL STUDIES AND REQUIRED PRE-ENGINEERING COURSES
AT SOUTHERN UNIVERSITY
ENGLISH
Engl.
Engl.
100
111
Freshman English
Freshman English
3
3
HUMANITIES
Humanities-Social Sciences Electives 15
Econ. 210 Principles of Economics 3
PHYSICAL EDUCATION
Health & Physical Education
BASIC SCIENCES
Chem.
Chem.
Physics
Physics
MATHEMATICS
Math.
Math.
Math.
Math.
132
112
221
222
264
265
364
370
Lecture
Lab
Analytic Geometry &
Calculus
Analytic Geometry &
Calculus
Analytic Geometry &
Calculus
Differential Equations
3
1
5
5
4
4
COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
ME
ME
ME
ME
ME
ME
110
111
120
224
232
225
Sem. Hrs.
Engineering Orientation 1
Engr. Use of Computer 1
Engr. Graphics 3
Engr. Mech. I 3
Technical Communication 2
Engr. Mech. II 3
37
-------
COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
Sem. Hrs.
ME 227 Strength of Materials 3
ME 312 Fluid Mechanics 3
ME 330 Material Science 3
ME 300 Thermodynamics 3
ME 208 Electric Network
Theory I 3
EE 222 Engr. Stat. Method 3
CE 354 Engr. Geology 3
CE 322 Structural Analysis I 3
CE 342 Structural Design 3
CE 361 Structural Analysis II 3
CE 371 Reinf. Concrete Design 3
CE 381 Transportation Engr. 3
CE 424 Soil and Soils Engr. 4
CE 454 Compute Methods in
CE I 3
WATER QUALITY RELATED COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
ME 321 Fluid Mechanics 3
CE 455 Hydraulics & Hydraulic
Structures 3
CE 471 Hydrology 3
CE 461 Water Supply & Sewage 3
COURSES REQUIRED OF EPA TRAINEES AT SOUTHERN UNIVERSITY
CE 488 Applied Ecology 3
CE 431 Applied Microbiology 3
38
-------
Tennessee State University
Tennessee State University was incorporated into the EPA program
in 1979. During the first year, Dr. A. K. Upadhyaya, Associate
Professor in the School of Engineering and Technology, served as
coordinator of the program. He was later replaced by Dr. Edward F.
Isibor, Dean of the School of Engineering and Technology. The program
coordinator was responsible for all curriculum development, student
trainee support and other activities.
During its two years in the program sixteen (16) students received
support under this grant and various equipment and supplies were pur-
chased.
The equipment and supplies will be used in the expanded Environ-
mental Laboratory. This is the primary laboratory utilized by the EPA
trainees. The new laboratory will be located in the engineering build-
ing presently under construction. This building will also house the
entire Water Resource Program. It is expected that the availability of
this new facility and the upgrading and expansion of the Environmental
Laboratory will greatly promote student involvement in the EPA program
at Tennessee State.
39
-------
TOTAL GRANT EXPENDITURES BY SCHOOL
TENNESSEE STATE UNIVERSITY
Budget Item
Personnel & Fringe
Supplies
Student Support
Coordinator/Advisor
Consultant
Curriculum Development
Other
$32,530
*Additional expenditures billed to Grant #901208
1978-79
$ -0-
-0-
-0-
-0-
-0-
-0-
-0-
1979-80
$ -0-
-0-
15,030
5,000
-0-
5,000
2,500
1980-81*
$ -0-
-0-
-0-
-0-
-0-
5,000
-0-
Total
$ -0-
-0-
15,030
5,000
-0-
10,000
2,500
40
-------
CURRICULUM OUTLINES FOR TRAINEES AT
TENNESSEE UNIVERSITY
-------
WATER RESOURCES PROGRAM OUTLINE FOR CIVIL ENGINEERING STUDENTS AT
TENNESSEE STATE
Description
In order to encourage more minority engineers to explore and subse-
quently enter the Water Pollution Control field, students enrolled at the
Tennessee State University Engineering Program will be selected as train-
ees. This year (1979-80) 9 students have shown interest in this area and
their names are included herewith.
Each trainee will be required to take a specified set of courses in
the water resources area approved by the university faculty and the U.S.
EPA. For trainees classified as 4th year dual deg-ree students or junior
single degree students, a total two-year program of at least 14 semester
hours with at least 6 semester hours required in any one year. For the
students who are already in the final year of B. S. in Civil Engineering
program with course work in environmental engineering, some may be selected
to participate in this Water Resources program in their final year. Here a
minimum of 8 semester hours of specified course work is expected.
CURRICULUM
GENERAL STUDIES AS REQUIRED PRE-ENGINEERING COURSES AT TSU
COURSE # TITLE SEMESTER CREDIT HOURS
ENGLISH
ENG. 101 Fresh. English (3)
ENG. 102 Fresh. English (3)
ENG. 211 World Lit. (3)
ENG. 212 World Lit. (3)
ENG. 310E Tech. Writing (3)
SOCIAL STUDIES
ECON. 211 Prin. of Econ. I (3)
HIST. 201 Amer. History (3)
HIST. 202 Amer. History (3)
SPCH. 220 Publ. Speak. (3)
HUMANITIES ELECTIVES
PHYSICAL EDUCATION or ROTC
P.E.
P.E.
11
12b
Team Games
Elem. Swimming
(2)
(2)
(1)
(1)
(1)
(1)
41
-------
COURSE #
TITLE
SEMESTER CREDIT HOURS
BASIC SCIENCES
CHEM.
CHEM.
PHYS.
PHYS.
PHYS.
PHYS.
121
121L
221
221L
222
222L
Intr.
Intr.
Coll.
Coll.
Coll.
Coll.
Chem. Prin
Chem. Lab.
Physics
Phy. Lab.
Physics
Phy. Lab.
MATHEMATICS
MATH. 261
MATH. 262
MATH. 341
Calculus I
Calculus II
Calculus III
(3)
(1)
(3)
(1)
(3)
(1)
(4)
(4)
(3)
COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
ENGR.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
C.E.
100
111
200
211
212
220
220L
230
301
303
400
440
211
302
302L
312
313
313L
332
340
341
342
343
442
444
Eng. Develop.
Eng. Graphics
Circuits I
Eng. Mech. I
Eng. Mech. II
Comp. Science
Comp. Sc. Lab.
Matl Science
Thermo. I
App. Math I
Senior Seminar
Prob. & Stat.
Str. of Matl
Surveying
Surveying Lab.
Adv. Str. of Matl
Soil Mechanics
Soil Mech. Lab.
Transportation
Struct. Texting
Structures I
Reinf. Cone.
Steel Design
Structures II
Found. Engr.
(1)
(3)
(3)
(3)
(3)
(2)
(1)
(3)
(3)
(3)
(1)
(2)
(3)
(2)
(1)
(3)
(2)
(1)
(3)
(1)
(3)
(3)
(3)
(2)
(2)
WATER QUALITY RELATED COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
COURSE # TITLE SEMESTER CREDIT HOURS
C.E. 310 Fluid Mechanics
C.E. 311 Hydraulics
ENGR. 430 Engineering Economics
C.E. 322 Water Supply
C.E. 421 Wastewater Treatment
(3)
(2)
(3)
(3)
(3)
-------
OTHER WATER QUALITY RELATED COURSES OFFERED AT TSU
COURSE » TITLE SEMESTER CREDIT HOURS
C.E. 333 Elementary Eudrology (3)
C.E. 400 Unit Operations of
Environmental Pollu-
tion Control (2)
C.E. 403 Man and His Environment (3)
C.E. 423 Environmental Engr. Lab. (3)
C.E. 460 Solid Waste Management (3)
C.E. 541 Advanced Environmental
Engineering (3)
C.E. 450 Senior Project in Envi-
ronmental Engineering (2)
Senior students enrolled in the Civil Engineering (with environmental
options) must take 8 semester hours from these courses as technical elec-
tive.
43
-------
APPENDIX A
Guidebook for Administrators
of Water Quality Control and
Design Engineering Programs
-------
GUIDEBOOK FOR ADMINISTRATORS OF
WATER QUALITY CONTROL AND DESIGN ENGINEERING PROGRAMS
Developed for
U. S. Environmental Protection Agency
Washington, DC
Developed by
Dual Degree Program in Engineering
Atlanta University Center
360 Westview Dr., SW
Atlanta, GA 30314
1981
-------
Guidebook For Administrators
Water Quality Control and Design Engineering Program
Dual Degree Program in Engineering
Atlanta University Center
360 Westview Drive, S.W.
Atlanta, Georgia 30310
-------
I. The Dual Degree Program Defined
The Dual Degree Program (sometimes called 3-2 program) is a collegiate
educational program which combines the teachings of the Liberal Arts Colleges
with those of the Engineering Colleges. This concept was first formally applied
to Engineering Education in the 1940's at the Massachusetts Institute of Techno-
logy. MIT's purpose in originating the concept was to provide breadth as well
as depth of education for its engineering students in an effort to produce more
well-rounded graduates.
Figure 1 illustrates the typical enrollment sequence of the Dual Degree
student. As seen in Figure 1, the Dual Degree Program requires that the student
complete the initial three years of study at the Liberal Arts College. After
phase I is completed, the student then matriculates at an Engineering College
for an additional- two years. Upon successfully completing both phases, the
student is then awarded the Bachelor of Arts or Bachelor of Science Degrees
by the Liberal Arts College as well as the Bachelor of Engineering Degree by
the Engineering College.
Usually, the Liberal Arts College and the Engineering College are separate
and autonomous institutions. They agree through a contractual arrangement to
form a Dual Degree Program (See Appendix I for a sample Agreement). The enrol-
lment sequence as shown in Figure 1 may be altered by the program administrators.
For instance, a student may be allowed to register for a part-time course load
at the Engineering College before completing all of the requirements of the
Liberal Arts College. Of course, this variation require that both the Liberal
Arts and Engineering Colleges be in close proximity.
II. Effective Administration of Dual Degree Programs for Minorities
The key ingredient in the successful administration of Dual Degree Programs
for Minorities is committment. Without a high level of committment on the part of
of both participating institutions, the Dual Degree Program for minorities is bound
to fail.
Typically in a Dual Degree Program for Minorities, the Liberal Arts College
will be a minority college. On the otherhand, the Engineering College will quite
often be traditionally majority. In either event, a high degree of comittment on
the part of both institutions will be required.
Each institution will designate someone to provide overall administrative
support on its campus and to serve as the liason to the other campus.
(See Figure 2.) In order for the overall program administration to be effective,
this must be so. Each administrator has job responsibilities which must be
carried out effectively.
The Dual Degree Program administration of a traditionally minority liberal
arts college campus will have the important responsibilities of recruitment of
the Dual Degree Program freshman class, academic counseling of the students
through the first three years, fund raising for the purpose of providing student
scholarships and financial aid, and general public and industrial relations.
-------
-2-
These responsibilities are abundant and diverse enough to warrant a full time
staff rather than a single individual. It is not unusual to find, however, a
Dual Degree Program for minorities being administered at the Liberal Arts
College by a single faculty member who continues to have teaching responsibilites.
A program organized in this way is assured of remaining small and relatively
ineffective.
The Dual Degree Program Administration at the engineering college has the
overlapping responsibilities of academic advising, public and industrial relations,
as well as possible fund-raising duties. The administration at a traditionally
majority institution charged with administering a minority program has additional
requirements. The job should be held by an influential administrator as opposed
to a part-time faculty member who has little influence and administrative savvy.
Ideally, the administrator at the Engineering College will be an Associate Dean
of Engineering or of equivalent rank. Appointing someone of this position at
the Engineering College to the job of administering a Dual Degree Program for
minorities is a positive sign of the high level committment needed to make the
program successful.
III. Dual Degree Water Quality Training Program For Minorities Defined
The Dual Degree Water Quality Training Program for Minorities is a U.S.
Environmental Protection Agency grant sponsored program designed to expose, train,
and encourage minority engineers to enter areas of water pollution control and
design engineering. The pilot program began within the Atlanta University Center-
Georgia Tech Dual Degree Program in 1975.
The Water Quality Control and Design Engineering Program is designed to
provide comprehensive learning opportunities for students who are interested in
the study of water resources, the improvement of water availability, water supply
systems design and construction, and systems for the reclamation and disposal of
wastes. The chief aim of the program is to increase the number of engineers who
are trained in aforementioned technology by taping a pool of students who may
otherwise not consider the field.
-------
-3-
IV. SELECTION OF TRAINEES
The trainees are selected from among the third, fourth and fifth year
civil and chemical engineering students. These students must be in good
academic standing and show genuine interest in examining the water resources
fields. The student's interest may be determined in many ways. It is helpful
to have each student to review current EPA literature, attend environmental
sessions and to be interviewed individually by the program administration or
advisor/coordinator. It is only necessary that the student expess genuine
interest and is not required that each student make a pledge to enter the
water resource profession.
V. CURRICULUM
Each student participating in a Dual Degree Program is required to follow
a curriculum which is by designd both highly technical on one hand, and yet
balanced in the humanities and social sciences on the other. The additional
requirements placed on EPA trainees adds additional courses to the curriculum
related to water resourcs without increasing the overall course requirement.
This is done through the use of elective hours. The various engineering
curriculums tend to offer a minimum of 20 quarter hours of electives. The
Water Quality Training Program requirements are therefore established at
approximately 20 quarter hours. The exact requirement will vary from one
university to another. The courses required of the trainees participating in
the Atlanta University Center - Georgia Tech Dual Degree Water Quality Training
Program for Minorities are used here for example. Each participant in this
program is required to complete 107 semester hours at the Atlanta University
Center in order to complete Phase I. The participant's course requirements at
Georgia Tech will of course vary depending on major. Chemical Engineering majors
are ordinarily required to complete 102 quarter hours at Georgia Tech, with 24
hours being electives. For the chemical engineering student who also majors in
Chemistry at the Atlanta University Center, the organic and physical chemistry
taken in the AUC will replace the required courses in the same subjects at
Georgia Tech, thereby reducing the course requirements at Georgia Tech. The
Civil Engineering student is required to complete 109 quarter hours at Georgia
Tech, including 24 electives. The courses outlined in the following section
represents a "typical" outline and will vary from student to student. It may,
however, be used as a reference in desigining the required sequence of courses
within new Water Quality Training Programs.
-------
-4-
TYPICAL GENERAL STUDIES PROGRAM AT AUC COLLEGES
English
English
English
English
Course
Number
151
152
251
252
Semester
Hours
3
3
3
2
History
Foreign Language
112
101-102
201-202
Physical Education 151
Physical Education 152
Religion/Philosophy 349
Humanities
3 each,
total 12
1
1
3
19
Title
Composition
Composition
Humanities (Literary Tapes)
Humanities (Literature and.
Culture)
The History of Civilization
Student must show proficiency
through second year level in
one foreign language such as
French, German, Swahili,
Spanish, Russian or Ebo.
Physical Education
Physical Education
Introduction to Religion/
Introduction to Philosophy
Total General Study Hours
53
-------
-5-
TYPICAL REQUIRED PRE-ENGINEERING COURSES AT AUC COLLEGES
Mathematics
Mathematics
Mathematics
Mathematics
Mathematics
Chemistry
Chemistry
Physics
Physics
Physics
Physics
Physics
Physics
Physics
CPS
Course
Number
251
252
351
353/367
365
111
112
154
253
254
201
203
205
308
150
Semester
Hours
4
4
4
3
3
4
4
4
4
4
3
2
4
4
3
Title
Analysis I
Analysis II
Analysis III
Advanced Calculus I/Applied
Math
Ordinary Differencial Equations
Elementary Inorganic Chemistry
Elementajry Inorganic Chemistry
Physics II (Mechanics & Heat)
Physics III (Electricity and
Magnetism)
Physics IV (Optics and Modern
Physics)
Engineering Graphics
Introduction to Engineering
Statics
Dynamics
Introduction to Computing
Total Pre-Engineering Hours = 54
Total hours at AUC Colleges —107 or more.
Excess hours taken at AUC may be used as credit at Georgia Tech.
-------
-6-
COURSES REQUIRED OF ALL DUAL DEGREE CIVIIL ENGINEERING STUDENTS
AT GEORGIA TECH
General
Engineering
Econ
ESM
CE
CE
CE
ME
CE
CE
CE
CE
EE
EE
Met
Course
Number
2000
3301
2254 or 3254
3309
3216
3720
4204
4214
4304
4154
3740
3700
3260
Quarter
Hours Credit
3
5
7
4
6
4
4
4
4
4
1
3
3
Title
Principles of Economics
Mechanics of Deformable Bodies
Surveying
Materials of Construction
Structure Analysis I
The r omo dynami c s
Metal Structural Components
Concrete Structural Components
Transportation Engineering I
Behavior of Soil and Rock
Electrical Instrumentation
Laboratory
Elements of Electrical Circuits
and Instruments
Law I
Sub-Total
52 Quarter Hours
-------
-7-
Water Quality Related Courses Required of All
Civil Engineering Students
CE
CE
CE
Geol
IS YE
CE
CE
CE
Course
Number
3053
3054
3061
2500
4726
4103
4103
4353
Quarter
Hours Credit
3
4
1
4
3
3
3
4
Title
Fluid Mechanics I
Fluid Mechanics II
Fluid Mechanics Laboratory
Physical Geography
Engineering Economics Analysis
in the Public Sector
Sanitary Engineering I
Sanitary Engineering II
Hydrology
Total General Engineering
Requirements
77 Quarter Hours
-------
-8-
WATER QUALITY RELATED ELECTIVE
Required
Electives
CE
CE
or
CE
CE
or
CE
Course Quarter
Number Hours Credit
4373 3
4123 3
or
6114 4
4774 4
or
6148 3
Title
Water Resources Development
Sanitary Engineering III
Sanitary Engineering Design II
Application of Microbiology
in Sanitary Engineering
Advance Microbiology of Water
and Waste
Other Electives
CE
CE
CE
CE
CE
Mgt
Course Quarter
Number Hours Credit
4053 3
4133 3
4143 3
4363 3
4383 3
4290 3
Title
Applied Hydraulics
Engineering Aspects of
Environmental Health
Man and His Environment
Applied Hydrology
Groundwater Hydrology
Public Administration
-------
-9-
CE 6144 4 Sanitary Engineering Processes I
CE 6149 4 Sanitary Engineering Processes II
CE 6353 3 Economic and Financial Aspects of
Public Works Planning
CE 6358 3 Issues in Water Resources
Planning and Management
CE 6363 3 Economics of Water Resources
Development
A minimum of 20 water quality related electives will be required from the list
of courses above.
-------
-10-
Administrative Support
The Dual Degree Water Quality Training Program for minorities could
have primary administrative responsibility at either the Liberal Arts College
or the engineering college. In either case, secondary administrative support
will be required of the other college.
The administrative network should place primary responsibility for over-
all program administration on the shoulders of the Dual Degree Program Coordi-
nators . Also included in this network should be the heads of the Civil and
Chemical Engineering Departments. The program's budget should be designed
to support the required administrative network.
Academic Counseling
Trainees involved in the Dual Degree Water Quality Training Program may
require extensive academic counseling as they learn more about the professional
opportunities available in the water resource areas. Usually a Civil Engineering
faculty member specializing in water resources will serve effectively as academic
advisor. The program's budget should be designed to compensate the academic
advisor or the institution (whichever is appropriate) for time and service.
Financial Aid To Students
A large percentage of the students enrolled in -Dual Degree Programs for
Minorities fall into a category of great financial need. These students as well
as other needy college students are eligible for various sources of financial
aid. The Basic Educational Opportunity Grant (BEOG), the Supplemental Educational
Opportunity Grant (SEOG), National Defense Student Loan (NDSL), and Federal Work
Study Programs are examples of the federal assistnace made available to students
with need. There are also state grants available in varying amounts and with
varying criteria.
EPA sponsored Dual Degree Water Quality Training Programs makes available
funds to support the tuition and fee costs of each trainee. Book stipends may
also be available. Ttye EPA scholarships may be in supplemented by any of the
funds mentioned above. It may also represent the only federal financial aid
support to a student.
Instruction
In order for the Dual Degree Water Quality Training Program to be effective,
it must offer the trainee a full curriculum of water resources related courses.
It is possible for EPA to sponsor such courses at participating colleges and
universities that are not currently offering them.
Such needed support should be written into the grant proposal.
-------
-11-
Laboratories
In addition to grant support of courses, EPA may also provide grant support
of Laboratory equipment needed to support the instruction of its trainees.
Fiscal Management
The fiscal management of an EPA sponsored Dual Degree Water Quality
Training Program must meet the general rules and regulations of such federally
supported programs. Generally they require the program director to submit a
quarterly progress report to the Federal Official charged with overseeing the
program. Also, financial status reports must be submitted prior to involving
EPA and upon closing out the grant. For further information see Environmental
Protection Agency publication 40 CFR 30, "General Grant Regulations and Proce-
dures Applicable to Training Fellowships".
-------
-12-
COURSES REQUIRED OF ALL DUAL DEGREE CHEMICAL ENGINEERING
STUDENTS AT GEORGIA TECH
General
Engineering
Chem.
Ch.E.
Ch.E.
Ch.E.
Ch.E.
Chem.
Chem.
Ch.E.
Ch.E.
I.C.S.
Ch.E.
Ch.E.
Ch.E.
Water Quality
Related
Chem.
Chem.
Ch.E.
Ch.E.
Ch.E.
Course
Number
2113
2207-8
2209
3300-1
3302-2
3411-2-3
3481
4438
4415
2250
4431
4432
4416
3311-2-3
3381
3306-7-8
3309-10
4434
Quarter
Hours Credit
4
6
3
6
2
9
2
4
3
1
3
3
4
9
2
9
3
3
Title
Chemical Principles
Chemical Process Principles
Computers in Ch.E.
Transport Phenomena
Transport Phenomena Lab
Physical Chemistry
Physical Chemistry Lab
Ch.E. Thermodynamics
Researh Design
Technical Information Resources
Ch.E. Economics
Process and Equipment Design
Process Control
Organic Chemistry
Organic Chemistry Lab
Unit Operations
Unit Operations Lab
Plant Design
Total General
Engineering Requirement =76 Quarter Hours
-------
APPENDIX i
COURSE DESCRIPTIONS
Georgia Tech Catalog descriptions of courses listed as re-
quired under training grant arranged in the order of listing in
body of proposal.
Econ. 2COO. Principles of Economics
I
3-0-3. Prerequisite: sophomore standv
ing.
The behavior of economic unite-to--
pricing and output decisions.
E.S.M. 3301. Mechanics of Deform-
able Bodies
.5-0-5. Prerequisite: E.S.M. 2201; gtetfr--
2308 or concurrently.
Definition and analysis of strain- a«<*-
stress; applications to axially loaded
elements, torsion of circular shafts and
bending of beams; introduction to simple
plasticity and to column stability.
Text: Popov, Introduction to the
Mechanics of Solids.
M.E. 3720. Thermodynamics
4-0-4. Prerequisite: Physics 2123 or
concurrently, Math. 2303 or concurrent-
tBod^Bawbes; theffftodyBemfe
•imaitec^iaa. caocapCQf
ffc* second-, law
aA_
antf sUucturs at apUsx. "Che
effect of water and its control."
.E_ 3-740;. Electrical
Se-3-1. Corequlsite: ELE- 3.700. For non-
electricat engineering students.
An introduction to the operation and
•application of basic electrical in-
struments. Coordinated descriptive lec-
tures and laboratory exercises.
E.E. 3700. Elements of Electiic
Circuits and Instruments.
3-0-3. Prerequisite: Physics 2122 and
Math 2307. For non-electr'cal engineer-
ing students.
Elements of e'ectric and electro- cir-
cuits principally from a to i-.al
characteristics viewpoint. Applic- * to
instrumentation are stressed.
-------
Mgt. 3260. Law1
3-0-3.
Development and function of the law,
court organization and procedure, and
substantive law in the following areas:
contracts, business organizations, and
agency.
C.E. 4353. Hydrology
3-0-3. Prerequisite: C.E. 3054.
Occurrence and movement of water
on the earth; hydrologic measurements,
elementary meteorology; precipitation-,
evapotranspiration and runoff; ground
water; frequency analysis.
C.E. 3053. Fluid Mechanics I
3-0-3. Prerequisite: E.S.M.3201.
Elementary mechanics of fluids with
emphasis on analysis; fluid kinematics-;,
equations- of- motion;—momentum-jand
-eniigy =pFincfpfes;-: surface-^nd .-forrrr
eeaistarrc^r
rnecrranies-'crf-fluids with
.
-Enclosed conduit flow; op'en-chanrral
flow; hydraulic -machinery;, .fluid
.measurements; dynamic-.simihtude-
C.E. 3061. Fluid Mechanics Lab-
oratory
0-3-1. Prerequisite: C.E. 3054.
Experiment, demonstration and
analysis of basic fluid phenomena and
exercises in laboratory techniques.
Geol. 2500. Physical Geology
3-3-4. Corequisites: Chem. 1102 and
Phys. 2121.
Introduction to nature of minerals and
rocks, processes forming them, and their
pattern in space and time. Laboratory
exercises on minerals, rocks, and
geologic maps.
I.Sy.E. 4726. Engineering Economic
Analysis in the Public Sector
3-0"-3. Prerequisite: sophomore
standing. Not available to I.Sy.E.
students or students with credit for
I.Sy.E. 4725.
Fundamental principles and basic.
techniques of engineering economic
ianalysis with'ernphasis on public works
projects. Includes evaluation of
economic impact, and methods for finan-
cing public works.
"C-E. 4103. San-itary_Engjneering I ______ --..
^:S:^^Frrere-uisile:-ufyiri.-;":— '-
.-—introduction to water ;-treatment.=
Evaluation .of .water quality. :re -public-:
"water'supplias: Engineering theory and.
application of disinfection, chemical
precipitation, "coagu!atiohrTadsorption,
sedimentation and filtration.
C.E. 4113. Sanitary Engineering I!».
3-0-3. Prerequisite: C.E. 4103, 4353.
Introduction, to waste treatment.
Analysis of waste assimilative capacity of
•a -stream. Engineering theory and
application- of sedimentation, .chemical-
processes, bio-kinetics,», fermentation
techniques.
C.E. 4373. Water Resources De-
velopment
2-2-3. Prerequisite: C.E. 4353. Spring
quarter.
Comprehensive planning for water
jesourcss management; identificatiqn-o.f
nseds, "problems" an^
~
C . Ej "4 1 23 /S a nltar^Enfiinaeciog W—
^^.'Prerequisite: G.E. '4113.--- - -.--;-/
-- The fayout, hydraulic process^ aod.-
operational desfg_n of water and wast^
•water-s7srerrrsr-su;p";a~rvised' "design-
problems and inspection trips.
C.E. 6114. Sanitary Engineering
Design II - ...;•.
3-3-4. Prerequisite: C.E. 4113. Spring
quarter.
The theory and design of structures for
the collection, treatment and disposal of
municipal sewage and industrial wastes;
the industrial processes which produce
liquid wastes.
C.E. 4774. Application of
Microbioloby in Sanitary Engineer-
ing
3-3-4. Prerequisite: senior standing. Fall
quarter.
Microbiology in environmental
engineering. Relationship of protozoa,
algae, bacteria and viruses to water-
borne disease, treatment of wastes, and
deterioration of aquatic habitats.
C.E. 6148. Advanced Microbiology
of Water ans Wastes
2-3-3. Prerequisite: C.E. 4774.- Winter
quarter.
Microbial growth in water and waste
trsatment systems, enrichment cultures
;-aad- tr4air-app!iD3t4orFfnl"pri3cel3 s "cfssigrn"
:Res piratory.-: roechanisms^aacL f&cnieQV^
tatforrs~ifT~waste treatment and stream
-pollution:
VI,
5 Applied HydrauUcs-
3-0-3. Prerequisite: C.E. 3054 and 4353.
Analysis and design or~HVdraulic
works and structures. Typical exercises:
stability of dams, spillway design, stilling
basins, culverts, pipe systems, sediment
transport, erosion and erosion centre!.
C.E. 4133. Engineering Aspects of"
Environmental Health
3-0-3. Prerequisite: C.E. -' 3.
Sanitary Engineering : :>ub!ic health
administration and c :rol of en-
vironmental health problems.
-------
C.E. 4143. Man in His Environment
3-0-3.
Open to students frcrn all f;oiri3. On
population, resourses, w.-.stss arc' 'isaith
as related to development of scie'ici and
technology.
C.E. 4353. Applied Hydrology
3-0-3. Prerequisite: C.E. 3054 and4353;
Win'er quarter.
Applications of hydrology !fF-tfc5-
design of hydraulic structures for v«ter
supply; irrigation, power, drainage cndl
flood control facilities.
C'.E. 4383. Groundwater
3-0-3. Prerequisite: C.E. 4353 and GeotT
2500. Spring quarter.
Occurrence, distribution and move-
ment of water below the surface of the
earth; groundwater resources and
dependable supply rates from wellls; ar-
tificial recharge and waste disposal.
Mgt. 4290. Public Administration
3-0-3.
An examination of the managerial
function of federal, state, and local
governments with emphasis on the role
of their interaction with the private sec-
tor.
C.E. 6144. Sanitary Engineering
Processes I
3-3-4. Prerequisite C.E. 3054 and 4113.
Winter quarter.
Study of physical processes common
to many watsr and waste treatment
systems. Continuous'flow models, floc-
culaiion, mixing, segmentation, cake
^:,;;?f m'aiui~i f'VjiiCr!. gas =,nd r.sat
C.E. 6353. Economic and Financial
Aspects of Public Works Planning
3-0-3. Fall quarter.
Discounting techniques for public
works planning. Microeconomics in pro-
ject lormuiation. Applications from
welfare economics, capital formaiion
theory., input-output analysis.
6353,, Issues rn
- Pianfttfl3;-aEt^r M
sieftfc:
Ma|ar public policy issues n>
^- ctanaing.. aact-
srs1 on American, issuas^hut
ts-. refererrce. .Ta: Issaesittr;
C.E: -6383" Economics.. o
Resources- DevefogmenL.
2^2-3. Prerequis'r'.er C.E. 635-3: Winter
quarter.
Principles of resource allocation,
benefit-cost analysis re: water-resources
project formulation, justification; alloca-
tion of joint costs in multipurpose
developments.
C.E. 6149. Sanitary Engineering
Processes II
3-3-4. Prerequisite: C.E. 6144. Spring
quarter.
Study of biological and cheraica*
processes employed in water and waste
treatment system. Biological growth-
Kinetics, activated sludge, trickling fitters*
lagoons and oxidation ponds.
-------
APPENDIX B
Guidebook for Students of
Water Quality Control and
Design Engineering Programs
-------
GUIDEBOOKS FOR STUDENTS OF
WATER QUALITY CONTROL AND DESIGN ENGINEERING PROGRAMS
Developed for
U. S. Environmental Protection Agency
Washington, DC
Developed by
Dual Degree Program in Engineering
Atlanta University Center
360 Westview Dr., SW
Atlanta, GA 30314
1981
-------
GUIDEBOOK FOR STUDENTS
Dual Degree Water Resources Training Program
Developed for
U.S. Environment Protection Agency
Washington, D.C.
Developed by
Dual Degree Program in Engineering
Atlanta University Center
360 Westview Dr., SW
Atlanta, GA. 30314
-------
I. Career Opportunities in Water Pollution Control Design Engineering
Cleaning up our nation's streams, rivers, and lakes has become an increasing
concern in the United States. Americans have come to realize that clean water is
essential to our physical health and general well being. Clean water is needed
for the purposes of drinking, agricultural and industrial use, commercial and
residential developement, recreational use, and for a healthier environment.
To achieve these benefits and to preserve them for future generations, careful
management of our water resources must be accomplished. Trained professionals
such as water resource engineers are necessarily playing central roles in not
only managing our water resources but also designing new and more efficient
treatment facilities.
Not only are the challenges in water resource engineering of utmost
importance, but the opportunities are numerous for professionals trained in the
water resource engineering areas. Water resource engineers are needed in both
the public and private sectors. Career opportunities are available within
the federal, state, and local governments as well as in private industry.
II. The Dual Degree Water Quality Training Program
Dual Degree Programs (sometimes called 3-2 programs) are designed to
join together the educational resources of liberal arts colleges with those
of engineering colleges. Dual Degree students typically spend their first
three years of college study at an accredited liberal arts college, and
their final two years enrolled at an engineering college. Subject to the
contract that establishes the Dual Degree Program, the student will
receive two bachelor degrees upon completing the requirements.
The Chemical Engineering major who participates in the Water Resources
Training program is required to complete approximately 20 quarter hours
in water resource related courses. The required courses are given below.
-------
-2
The Dual Degree Water Quality Training Program is a U.S. Environmental
Protection Agency sponsored program designed to expose, train and encourage
minorities to enter the areas of water pollution control and design engineering.
Comprehensive learning opportunities are provided to students who are interested
in the study of water resources, the improvement of water availability, water
supply systems design and construction, and systems for the reclamation and
disposal of wastes.
To take part in the program, the student must be registered as a full-time
student at a college or university having a Dual Degree Water Quality Training
Program. The requirements of the program along with criteria for selecting
trainees will be discussed on the remaining pages of this guidebook.
III. Curriculum
Each student participating in a Dual Degree Program is required to follow a
curriculum which by design is highly technical on the one hand, and balanced in
the humanities and social sciences on the other. The additional requirements
placed on EPA trainees brings courses to the curriculum related to water
resources without increasing the overall university course requirement.
This is accomplished through the use of elective hours.
The various engineering curriculums tend to offer approximately 20 quarter
hours of technical electives. Through the use of these technical electives,
•
the Water Quality Training Program requirements are met. The exact require-
ments will vary from one university to another. The courses required of the
trainees participating in the Atlanta University Center - Georgia Tech Dual
Degree Water Quality Training Program are presented here for example. Each
trainee is required to complete 93 semester hours at the Atlanta University
Center in order to complete Phase I. Within these 93 hours are the college's
general studies requirements, the student's major field (if any) requirements,
and the necessary prerequisites for engineering study.
-------
-3
As illustrated, the trainee's course requirements at Georgia Tech do vary
depending on major field. Chemical Engineering majors, for instance, are
required to complete 102 quarter hours at Georgia Tech, with 24 of the hours
being designated for technical electives. For the chemical engineering student
who also majors in chemistry and at one of the Atlanta University Center
Colleges, physical chemistry taken in the AUC will replace the required
courses in the same subjects at Georgia Tech, thereby reducing the course
requirements at Georgia Tech. The Civil Engineering student is required
to complete 109 quarter hours at Georgia Tech, including 24 hours of
technical electives. The curriculum outlined in the following section
represents a "typical" outline and will vary from student to student.
For more detailed curriculum information, the prospective trainee should
contract the Water Quality Training Program campus administrator.
-------
-4-
TYPICAL GENERAL STUDIES PROGRAM AT AUC COLLEGES
English
English
English
English
Histpry
History
Foreign Language
Foreign Language
Course
Number
151
152
251
252
111
112
101-102
201-202
Semester
Hours
3
3
3
3
3
3
3 each,
Physical Education 151
Physical Education 152
Religion/Philosophy 349
Humanities
1
1
3
19
Title
Composition
Composition
Humanities (Literary Tapes)
Humanities (Literature and
Culture)
The History of Civilization
The History of Civilization
Student must show proficiency
through second year level in
one foreign language such as
French, German, Swahili,
Spanish, Russian or Ebo.
Physical Education
Physical Education
Introduction to Religion/
Introduction to Philosophy
Total General Study Hours = 53
Courses Ommited
-------
-5-
TYPICAL PRE-ENGINEERING COURSES REQUIRED AT AUC COLLEGES
Mathematics
Mathematics
Mathematics
Mathematics
Mathematics
Chemistry
Chemistry
Physics
Physics
Physics
Physics
Physics
Physics
Physics
Physics
GPS
Course
Number
251
252
351
353/367
365
111
112
154
349
253
254
201
203
205
308
150
Semester
Hours
4
4
4
3
3
4
4
4
4
4
4
3
2
4
4
3
Title
Analysis I
Analysis II
Analysis III
Advanced Calculus I/Applied
Math
Ordinary Differencial Equations
Elementary Inorganic Chemistry
Elementary Inorganic Chemistry
Physics II (Mechanics & Heat)
Introduction to Religion/
Introduction to Philosophy
Physics III (Electricity and
Magnetism)
Physics IV (Optics and Modern
Physics)
Enginering Graphics
Introduction to Engineering
Statics
Dynamics
Introduction to Computing
Total Pre-Engineering Hours = 54
Total hours at AUC 'Colleges — 107 or more.
Excess hours taken at AUC may be used as credit at Georgia Tech.
-------
-6-
COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
AT GEORGIA TECH
General
Engineering
Econ
ESM
CE
CE
CE
ME
CE
CE
CE
CE
EE
EE
Mgt
Course Quarter
Number Hours Credit Title
2000
3301
2254 or 3254
3309
3216
3720
4204
4214
4304
4154
3740
3700
3260
3
5
7
4
6
4
4
4
4
4
1
3
3
Principles of Economics
Mechanics of Deformable Bodies
Surveying
Materials of Construction
Structure Analysis I
Theromodynamics
Metal Structural Components
Concrete Structural Components
Transportation Engineering I
Behavior of Soil and Rock
Electrical Instrumentation
Laboratory
Elements of Electrical Circuits
and Instruments
Law I
Sub-Total
52 Quarter Hours
-------
-7-
Water Quality Related Courses Required of All Civil
Students
General
Engineering
CE
CE
CE
Geol
IS YE
CE
CE
CE
Course
Number
3053
3054
3061
2500
4726
4103
4103
4353
Quarter
Hours Credit
3
4
1
4
3
3
3
4
Title
Fluid Mechanics I
Fluid Mechanics II
Fluid Mechanics Laboratory
Physical Geography
Engineering Economics Analysis
in the Public Sector
Sanitary Engineering I
Sanitary Engineering II
Hydrology
Total General Engineering
Requirements = 77 Quarter Hours
-------
-8-
IV. Required Courses
The following list of courses serves as an outline of courses required
of Civil Engineering students participating in the Atlanta University Center-
Georgia Tech Dual Degree Water Quality Training Program. Each trainee must
complete minimum of 20 quarter hours selected from among the courses listed.
WATER QUALITY RELATED ELECTIVE
General
Engineering
CE
CE
CE
CE
or
or
Course
Number
4373
4123
6114
4747
Quarter
Hours Credit
3
3
or
4
4
or
CE
6148
Title
Water Resources Development
Sanitary engineering III
Sanitary Engineering Design III
Application of Microbiology
in Sanitary Engineering
Advance Microbiology of Water
and Waste
Other Electives
CE
CE
CE
CE
CE
Course
Number
4053
4133
4143
4363
4383
Quarter
Hours Credit
3
3
3
3
3
Title
Applied Hydraulics
Engineering Aspects of
Environmental Health
Man and His Environment
Applied Hydrology
Groundwater Hydrology
-------
-9-
WATER QUALITY RELATED ELECTIVE (Cont'd)
General
Engineering
Course Quarter
Number Hours Credit
Title
Mgt
CE
CE
CE
CE
4290 3
6144 4
6353 3
6358 3
6363 3
Public Administration
Sanitary Engineering Processes I
Economic and Financial Aspects of
Public Works Planning
Issues in Water Resources
Planning and Management
Economics of Water Resources
Development
A minimum of 20 water quality related electives will be required from the list
of courses above.
-------
-10-
REQUIRED COURSES
CE 4103
CE 4103
CE 4353
3
3
4
Sanitary Engineering I
Sanitary Engineering II
Hydrology
CHOOSE THREE COURSES FROM THE FOLLOWING
CE
CE
or
CE
CE
Course
Number
4375
4123
6114
4774
Quarter
Hours Credit Title
3
3
4
4
Water Resources Development
Sanitary Engineering III
Sanitary Engineering Design
Application of Microbiology
CE
or
6148
Sanitary Engineering
Advanced Microbiology of Water
and Waste
CE
CE
CE
CE
Course
Number
4053
4133
4143
4363
Quarter
Hours Credit
3
3
3
3
Title
Applied Hydraulics
Engineering Aspects of Environ-
mental Health
Man and His Environment
Applied Hydrology
-------
-11-
V. Selection of Trainees
Each trainees is selected from among the third, fourth and fifth year
civil and chemical engineering students. Candidates must be in good academic
standing and must exhibit a genuine interest in studying the water resources
engineering fields.
VI. Academic Counseling
Trainees involved in the Dual Degree Water Quality Training Program are
offered extensive academic and professional counseling as they learn more
about the professional opportunities available in the water resources area.
Counseling may from time to time be augmented with "real world" experience
through summer internships established with governmental agencies, and
private firms and companies.
VII. Financial Aid
In addition to traditional sources of financial aid such as the Basic
Educational Opportunity Grant (BEOG), Work study, and Student Loan, the Dual
Degree Water Quality Trainee is also eligible for tuition support from the
Water Quality Training Program. This financial aid may also include the cost
of fees and books required by the university. For more information on financial
aid see your campus program administrator.
-------
APPENDIX C
Guidebook for Faculty
Advisors of Water Quality
Control and Design Engineer-
ing Programs
-------
GUIDEBOOK FOR FACULTY ADVISORS AND INSTRUCTORS OF
WATER QUALITY CONTROL AND DESIGN ENGINEERING PROGRAMS
Developed for
U. S. Environmental Protection Agency
Washington, DC
Developed by
Dual Degree Program in Engineering
Atlanta University Center
360 Westview Dr., SW
Atlanta, GA 30314
1981
-------
I. History of Dual Degree Program
The first Dual Degree Program is believed to have started at the
Massachusetts Institute of Technology (MIT) in the late 1940's. It is said
to have grown out of a recognized need within MIT to produce a more well-
rounded graduate. During the succeeding decades, the concept of the Dual
Degree Program (sometimes referred to as 3-2 Program) spread throughout the
U. S. centers of higher education. Today, the Georgia Institute of Tech-
nology alone has dual degree program relationships with more than 100
different colleges and universities.
The modern dual degree program exists primarily between liberal arts
colleges and schools of engineering. Typically, in such a program the
student will be enrolled first at the liberal arts college where he will
spend roughly three academic years. He will then transfer to a university
with an engineering college for the remaining two years. The student will
in essence have two junior years.
The advantage recognized by MIT still holds true today. The breadth
and depth of a liberal arts education combined with the technological
reliance of an engineering education creates an exciting learning opportun-
ity for the dual degree student. In addition, students completing college
as dual degree program graduates have enjoyed a high degree of acceptance
within the work force.
-------
II. The Atlanta University Center - Georgia Institute of Technology Dual
Degree Program in Engineering
In 1969 an agreement was signed between Morehouse College, a member
institute of the consortium called the Atlanta University Center, and the
Georgia Institute of Technology (Georgia Tech). In 1970 the other member
institutions (Clark College, Morris Brown College, and Spelman College)
joined Morehouse in its agreement with Georgia Tech. The Atlanta Univer-
sity Center - Georgia Institute of Technology Dual Degree Program began
with an enrollment of 31 students in 1969. It now has an enrollment of
more than 800 students.
In 1975 through the support of the U. S. Environmental Protection
Agency, the Dual Degree Program between the Atlanta University Center and
Georgia Tech started the first Dual Degree Water Quality Training Program.
The Dual Degree Water Quality Training Program is designed to expose, train
an encourage minority engineering students to enter the areas of water pol-
lution control and design engineering. The purpose of this guide is to use
the Atlanta University Center Georgia Tech program as a model for other
universities wishing to develop similar programs.
On the last pages of this guidebook, descriptions are given of the
3-year dual degree course requirements at the Atlanta University Center and
the courses required of the dual degree student within the last two years
at Georgia Tech.
-------
III. The Dual Degree Water Quality Training Program
The Dual Degree Water Quality Training Program is a U. S. Environ-
mental Protection Agency sponsored program designed to expose, train and
encourage minorities to enter the areas of water pollution control and
design engineering. Comprehensive learning opportunities are provided to
students who are interested in the study of water resources, the improve-
ment of water availability, water supply systems design and construction,
and systems for the reclamation and disposal of wastes.
To take part in the program, the student must be registered as a full-
time student at a college or university having a Dual Degree Water Quality
Training Program. The requirements of the program along with criteria for
selecting trainees will be discussed on the remaining pages of this guide-
book.
-------
IV. Curriculum
Each student participating in a Dual Degree Program is required to
follow a curriculum which by design is highly technical on the one hand,
and balanced in the humanities and social sciences on the other. The addi-
tional requirements placed on EPA trainees brings courses to the curriculum
related to water resources without increasing the overall university course
requirement. This is accomplished through the use of elective hours.
The various engineering curriculums tend to offer approximately 20
quarter hours of technical electives. Through the use of these technical
electives, the Water Quality Training Program requirements are met. The
exact requirements will vary from one university to another. The courses
required of the trainees participating in the Atlanta University Center -
Georgia Tech Dual Degree Water Quality Training Program are presented here
for example. Each trainee is required to complete 93 semester hours at the
Atlanta University Center in order to complete Phase I. Within these
93 hours are the college's general studies requirements, the student's
major field (if any) requirements, and the necessary prerequisites for
engineering study.
As illustrated, the trainee's course requirements at Gerogia Tech do
vary depending on major field. Chemical Engineering majors, for instance,
are required to complete 102 quarter hours at Georgia Tech, with 24 of the
hours being designated for technical electives. For the chemical engineer-
ing student who also majors in chemistry and at one of the Atlanta Univer-
sity Center Colleges, physical chemistry taken in the AUC will replace the
required courses in the same subjects at Georgia Tech, thereby reducing the
course requirements at Georgia Tech. The Civil Engineering student is
required to complete 109 quarter hours at Georgia Tech, including 24 hours
of technical electives. The curriculum outlined in the following section
represents a "typical" outline and will vary from student to student. For
more detailed curriculum information, the prospective trainee should con-
tact the Water Quality Training Program campus administrator.
-------
TYPICAL GENERAL STUDIES PROGRAM AT AUC COLLEGES
English
English
English
English
History
History
Foreign Language
Foreign Lanugage
Course
Number
151
152
251
252
111
112
101-102
201-202
Physical Education 151
Physical Education 152
Religion/Philosophy 349
Semester
Hours
3
3
3
3 each,
1
1
3
Title
Composition
Composition
Humanities
(Literary Tapes)
Humanities
(Literature and
Culture)
The History of
Civilization
The History of
Civilization
Student must show
proficiency
through second
year level in one
foreign language
such as French,
German, Swahili,
Spanish, Russian
or Ebo.
Physical Education
Physical Education
Introduction to
Religion/
Introduction to
Philosophy
Humanities
19
Total General Study Hours = 53
Courses Ommited
-------
TYPICAL PRE-ENGINEERING COURSES REQUIRED
Mathematics
Mathematics
Mathematics
Mathematics
Mathematics
Chemistry
Chemistry
Physics
Physics
Physics
Physics
Physics
Course
Number
251
252
351
353/367
365
111
112
154
349
253
254
201
Semester
Hours
4
4
4
3
Title
Analysis I
Analysis II
Analysis III
Advanced
Calculus I/
Applied Math
Ordinary
Differencial
Equations
Elementary
Inorganic
Chemistry
Elementary
Inorganic
Chemistry
Physics II
(Mechanics &
Heat)
Introduction to
Religion/
Introduction to
Philosophy
Physics III
(Electricity
and Magnetism)
Physics IV
(Optics and
Modern Physics)
Engineering
Graphics
-------
TYPICAL PRE-ENGINEERING COURSES REQUIRED
Physics
Physics
Physics
GPS
Course
Number
203
205
308
150
Semester
Hours
2
4
4
3
Title
Introduction to
Engineering
Statics
Dynamics
Introduction to
Computing
Total Pre-Engineering Hours = 54
Total hours at AUC Colleges — 107 or more.
Excess hours taken at AUC may be used as credit at Georgia Tech.
-------
COURSES REQUIRED OF ALL CIVIL ENGINEERING STUDENTS
AT GEORGIA TECH
General
Engineering
Econ
ESM
EE
Mgt
Sub-Total
Course
Number
2000
3301
Quarter
Hours Credit
CE
CE
CE
ME
CE
CE
CE
CE
EE
2254 or 3254
3309
3216
3720
4204
4214
4304
4154
3740
7
4
6
4
4
4
4
4
1
3700
3260
Title
Principles of
Economics
Mechanics of
Defonnable Bodies
Surveying
Materials of
Construction
Structure Analysis I
Th e romodynami c s
Metal Structural
Components
Concrete Structural
Components
Transportation
Engineering I
Behavior of Soil and
Rock
Electrical
Instrumentation
Laboratory
Elements of
Electrical Circuits
and Instruments
Law I
52 Quarter Hours
-------
WATER QUALITY RELATED COURSES REQUIRED OF ALL CIVIL
STUDENTS
General
Engineering
CE
CE
CE
Geol
ISYE
CE
CE
CE
Course
Number
3053
3054
3061
2500
4726
4103
4103
4353
Quarter
Hours Credit
3
4
1
4
3
3
3
4
Title
Fluid Mechanics I
Fluid Mechanics II
Fluid Mechanics
Laboratory
Physical Geography
Engineering Economics
Analysis in the
Public Sector
Sanitary Engineering I
Sanitary
Engineering II
Hyrology
Total General Engineering
Requirements
= 77 Quarter Hours
-------
V. Required Courses
The following list of courses serves as an outline of courses required
of Civil Engineering students participating in the Atlanta University
Center-Georgia Tech Dual Degree Water Quality Training Program. Each
trainee must complete minimum of 20 quarter hours selected from among the
courses listed.
WATER QUALITY RELATED ELECTIVE
General
Engineering
CE
CE
Course
Number
4373
4123
Quarter
Hours Credit
Title
Water Resources
Development
Sanitary
Engineering III
or
CE
CE
CE
6114
4747
or
6148
or
4
or
3
Sanitary Engineering
Design III
Application of
Microbiology in
Sanitary Engineering
Advance Microbiology
of Water and Waste
Other Electives
CE
CE
CE
Course
Number
4053
4133
4143
Quarter
Hours Credit
3
3
Title
Applied Hydraulics
Engineering Aspects
of Environmental
Health
Man and His
Environment
-------
WATER QUALITY RELATED ELECTIVE (Continued)
Other Electives
CE
CE
General
Engineering
Mgt.
CE
Course
Number
4363
4383
Course
Number
4290
6144
Quarter
Hours Credit
3
3
Quarter
Hours Credit
3
4
CE
CE
CE
6353
6358
6363
Title
Applied Hydrology
Groundwater Hydrology
Title
Public Administration
Sanitary Engineering
Processes I
Economic and Financial
Aspects of Public
Works Planning
Issues in Water
Resources Planning
and Management
Economics of Water
Resources Development
A minimum of 20 water quality related electives will be required from the
list of courses above.
-------
REQUIRED COURSES
CE
CE
CE
4103
4103
4353
3
3
Sanitary Engineering I
Sanitary
Engineering II
Hydrology
CHOOSE THREE COURSES FROM THE FOLLOWING
CE
CE
Course
Number
4375
4123
Quarter
Hours Credit
Title
Water Resources
Development
Sanitary
Engineering III
or
CE
CE
6114
4774
Sanitary Engineering
Design II
Application of
Microbiology in
Sanitary Engineering
CE
or
6148
Advanced Microbiology
of Water and Waste
CE
CE
Course
Number
4053
4133
Quarter
Hours Credit
3
3
Title
Applied Hydraulics
Engineering Aspects
of Environmental
Health
-------
CHOOSE THREE COURSES FROM THE FOLLOWING (Continued)
Course Quarter
Number Hours Credit Title
CE 4143 3 Man and His
Environment
CE 4363 3 Applied Hydrology
-------
VI. Selection of Trainees
Each trainee is selected from among the third, fourth and fifth year
civil and chemical engineering students. Candidates must be in good
academic standing and must exhibit a genuine interest in studying the water
resources engineering fields.
VII. Academic Counseling
Trainees involved in the Dual Degree Water Quality Training Program
are offered extensive academic and professional counseling as they learn
more about the professional opportunities available in the water resources
area. Counseling may from time to time be augmented with "real world"
experience through summer internships established with governmental
agencies, and private firms and companies.
VIII. Financial Aid
In addition to traditional sources of financial aid such as the Basic
Educational Opportunity Grant (BEOG), Work study, and Student Loan, the
Dual Degree Water Quality Trainee is also eligible for tuition support from
the Water Quality Training Program. This financial aid may also include
the cost of fees and books required by the university. For more
information on financial aid see your campus program administrator.
-------
APPENDIX D
Abstracts: 1980-81 Seminar
Series at Howard University
- Hazardous Waste
-------
'CURRENT REGULATIONS GOVERNING HAZARDOUS
WASTE HANDLING AND DISPOSAL"
by
Dr. Roy Ball
Senior Engineer
Roy F. Wiston
Westchester, PA
November 21, 1980
The purpose of the Resource Conservation and Recovery Act (RCRA) is
to protect health and the environment, to conserve material and energy
vresources, to provide technical and financial assistance for the develop-
ment of management plans removal and for the safe disposal of solid and
hazardous waste. The purpose of my seminar is to show how RCRA and other
environmental regulations are interrelated.
RCRA's main responsibility is to look at the pollution of toxic and
hazardous waste from the source to its final safe disposal. Included in
these are air, processed waste from wastewater streams, wastewater treat-
ment sludges, ground water contaminations and surface runoff contamination,
RCRA is divided basically into eight divisions. The first division, Sec-
tion A, specifies the general provision of the act; Section B organizes
the Federal Office of Solid Waste; Section C provides organization for
hazardous waste management; Section D organizes the State solid waste
plans; Section E formulates guidelines for the market and recovery of
secondary materials; Section F outlines the fellow responsibility in
handling of hazardous waste; Section G outlines citizens suits, public
participation, imminent hazard and employee protection; and Section H
outlines the research and demonstration provision provided in RCRA.
What is a hazardous waste? A hazardous waste is any material that
is a solid waste or combination of solid waste which because of its
-------
quantity and/or concentration or physical, chemical or infectious charac-
ter may cause an increase in innortality or an increase in serious illness
or pose a substantial present potential or hazard to human health or the
environment when improperly treated, stored, transported, disposed of or
otherwise managed. A generator of hazardous waste is any person by site
whose act or process produces hazardous waste as defined by RCRA, whereas
a transporter of hazardous waste is -any person who is engaged in offsite
transportation of hazardous waste by air, rail, highway or water. Per-
sons who are generators or transporters of hazardous waste are required
by RCRA to maintain accurate documents as to the quantity of materials
produced on the site and the tracing of its transportation form the site
to some point of final disposal. A treatment facility, as defined per
RCRA, is one which utilizes any method, technique or process designed to
change the physical, chemical or biological character or composition of
any hazardous waste; or to neutralize such waste or to recover any energy
or resource from such waste; or to render the waste non-hazardous or less
hazardous or safer to transport or store; or amenable for recovery, stor-
age or volume reduction. RCRA also outlines the options for offsite
hazardous waste disposal. These include treatment or processing for recov-
ery of valuable components for recycling, utilization as fuel source or
energy production, treatment for discharge to surface waters, treatment
and/or incineration for discharge into the atmosphere and treatment and/or
disposal onto or into the land.
RCRA, for the first time of any government regulation, provides a means
•for John Doe, the public citizen, to become involved in enforcing the regu-
lations. The legal aspects of RCRA which permits this participation by
citizens includes individual citizen suits or citizens can join regulatory
-------
agencies in suits. The local government and state government can also sue
the federal government.
In summary, RCRA will have major impacts on industry with its "cradle
to grave" approach to regulating hazardous wastes, by making it more diffi-
cult to dispose of solid waste and by creating new markets for resource
recovery technology and equipment. RCRA also encourages state and regional
planning for effective management of solid waste which will have a positive
impact on air and water quality, land use, resource recovery and energy
development.
-------
"CLEANING UP THE KILLING GROUND:
EPA'S RESPONSE TO AMERICA S LOVE CANAL"
by
Mr. Michael Cook
Associate Deputy Assistant Administrator for
Environmental Emergency Response and Prevention
Environmental Protection Agency
Washington, D.C.
January 27, 1981
The Love Canal in Niagara, New York cinematized the hazardous waste
problem with which America is faced. The abandoned canal was used as a
disposal site for toxic chemicals by Hooker Chemical Company from 1942
to 1952, and for municipal refuse by the City of Niagara Falls. Leachate
from the canal has migrated to adjacent neighborhoods and the State de-
clared two health emergencies on August 2, 1978 and February 8, 1979.
President Carter declared two National Emergencies on August 7, 1978 and
t
April 21, 1980. In the first declaration, 239 families were relocated.
Through, an EPA cooperative agreement with the State of New York, remedial
trenching and a leachate treatment system were installed. As a result of
the second declaration, a total of 560 families have applied for reloca-
tion, and 300 have been moved using FEMA funds. The State of New York is
doing sampling and chemical analyses, and some health studies. EPA-ORD
is conducting an extensive environmental study of the area. The study is
designed to monitor the air, soils, surface water, and ground water in the
entire Love Canal area. Monitoring is continuing in the storm sewer sys-
tem for dioxin. The Federal government has reached an agreement with the
State to make a 7.5 million dollar grant and 7.5 million dollar loan avail-
able to allow the remaining residents of the Love Canal area to buy perma-
nent housing away from the site.
-------
The Environmental Protection Agency realized that hazardous waste had
already presented major problems to human health and welfare and funds were
appropriated to start providing some solutions to the problem.
The number of oil spills incidences is projected to be 12,000 for 1983
and for hazardous waste spills 8,800 (currently 2,700). It was also dis-
covered that 90% of past disposal practices for hazardous wastes have been
environmentally unsound and that there are about 30,000 to 50,000 hazardous
sites with 1,200 to 2,000 being a substantial threat to the environment.
Most of these sites are found to be in the eastern half of the United States.
Current legislation is limited to pollution of navigable waters and oil or
designated hazardous substances, yet there is a definite need for legisla-
tion for land, air and other waters and a more broa'd definition of hazard-
ous substances. Hence the Superfund legislation was proposed and passed
by Congress in October, 1980.
Other functions of Superfund includes authorization of
1) $1.6 Billion "Hazardous Substances Response Fund."
2). Federal Removal of Hazardous Discharges and Emergency Response.
3) Federal and State Program to Remedy and/or Contain Sites.
4) A Major Revision to the National Contingency Plan.
5) Government Claims for Restoration of Natural Resources.
The Federal Removal and Emergency Response includes assesment, plan-
ning and disposal, and removal. It also provides emergency relief and
relocation and assistance under the Disaster Relief Act of 1974. Perma-
nent remedies" will provide containment, monitoring, operation and mainte-
nance, neutralization or recycling or destruction and/or permanent reloca-
tion.
Amendments to the National Contingency Plan will include methods for
-------
site discovery, investigation, analysis and solution.
Superfund will be financed primarily by the industries which will pro-
vide 90% of the funds. The remaining 10% will come from appropriations of
tax revenue and recoveries and penalties.
Superfund has two primary programs. In the spills program, EPA will
direct removals on the scene with the help of the U.S. Coast Guard for
major spills. In cases where the responsible party directs removal, EPA
will monitor the removal on the scene and in minor cases EPA will play an
off the scene role and collect the recovery and penalties. In the site
program, EPA will have on-site inspection of all sites and legal actions
for recovery, penalties and force remedy. If it is an emergency response,
EFA will superhead a full investigation -and provide planning alternatives
and containment design.
In other cases the responsible party will provide applicable contain-
ment.
The factors under consideration by the Superfund for site clean-up are
as follows:
1) Public Health and Safety
2) Size of Population Affected
3) Environmental Pollution With Regards to Air and Water
4) Groundwater Contamination
5) Natural Resource Damage
The Superfund needs to decide which of these factors should have priorties.
For the Program start-up the critical implementation tasks are as
follows:
1) The National Contingency Plan Revision
2) The Site Notification Process
-------
3) The Enforcement Guidelines
4) The Emergency Procurement Regulations
5) Headquarters and Regional Reorganization
6) Systems Development
7) Appropriations Actions
8) Laboratory Improvements
9) Personnel Processing
10) Special Studies
-------
"DUPONT'S COMPANY RESPONSE TO RCRA"
by
Mr. Alan P. Egler
Technical Services Division
E.I. du Pont de Nemours and Co.
Wilmington, DE
May 24, 1981
The Resource Conservation and Recovery Act (RCRA) resulted from a
national concern about hazardous waste management practices. Regulations
promulgated under the Act have necessitated a response from affected
industries and corporations, including E.I. du Pont de Nemours & Co.
Du Pont agreed with the Congress and Environmental Protection Agency (EPA)
that regulation of hazardous waste disposal was needed and worked with
the EPA in attempting to develop sound, workable regulations. In spite
of Du Pont's efforts and others from the regulated community, the proposed
December, 1978 regulations required significant changes. Du Pont and the
Chemical Manufacturers Association (CMA) commented extensively on the
proposed regulations in hope of enacting the needed changes. EPA's May 19,
1980 regulations addressed many of the commenters1 concerns but also
introduced many other issues of concern. Even though there were still
j
several points of contention to be resolved with the EPA, DuPont complied
with the August 18, 1980 notification requirement and obtained interim
status for affected Company facilities by timely filing of Part A
Permit applications. Du Pont's RCRA compliance efforts were aided by
3 decentralized organization concept that permitted each manufacturing
Apartment, supported by the appropriate staff departments, to take full
responsibility for coordinated plant compliance. The Engineering Department
-------
solid waste engineers and Legal Department environmental lawyers provided
regulatory interpretations, where needed, to assure consistent Company-
v;ide compliance. The Company's response to the RCRA regulations consisted
of, among other things, (1) Working with the EPA on the needed legislation
and regulations, (2) Relying on existing environmental control organizations
to bring individual plants into compliance, (3) Implementing Company
environmental policy at the plant level, (4) Using the Environmental
Forum to disseminate information on RCRA, (5) Sponsoring department
RCRA seminars and v/orkshops, and (6) Making manpower available at
all levels.
-------
APPENDIX E
Course Outlines: Courses
Developed at Southern
University
-------
SOUTHERN UNIVERSITY
Course Outline
Course Title and Number: Applied Ecology - 408
Textbook: Environmental Pollution; W.A. Andrews, Editor
Prentice-Hall, Inc.
Time: 5:30-8:30 Tuesday
Course Credit: 3 Hours
Course Description:
This course is designed to acquaint the Civil Engineering majors with
the types of water-pollution specifically, and the environment pollution in
general. Various causes of water pollution and major techniques utilized
in abatement programs will also be emphasized. The knowledge acquired from
this course will assist the student as an engineer in coping with water
pollution problems which are confronted by man on a global basis. The
student will learn through laboratory experiences to determine water
quality parameters and indices of water pollution.
Objectives: The student will be expected to learn the following:
1. Measurement of water quality parameters.
2. Ecological principles as they as they apply to aquatic
environments.
3. Types.of aquatic ecosystems.
4. Energy-flow in aquatic ecosystems.
5. Sources of chemical and radio-active pollution.
6. Effects of water pollution on man and other organisms.
7. Present day techniques utilized in pollution abatement programs of
the U. S. and other foreign countries.
8. Conduct bioassays using pollution indicator species.
Lecture: The following topics will be covered in lectures:
1. Ecological principles
(a) Ecosystem concept
(b) Energy flow
(c) Laws of thermodynamics
-------
(d) Trophic Levels
(e) Pyramids of numbers
(f) Biomass
(g) Biological magnification
(h) Biogeochemical cycles
(i) Eutrophication
2. Physical and chemical properties of water
(a) Molecular Structure
(b) Density
(c) Dissolved substances
(i) Gases
(ii) Salts
(iii) Nutrients
3. Types of aquatic habitats
(a) Fresh-water (Lentic and Lotic)
(b) Marine
(c) Estuarine
4. Biological importance of water
5. Toxic wastes
(a) Radioactive isotopes
(b) Insecticides
(c) Herbicides
(d) Fungicides
(e) Algacides
(f) Heavy metals
(i) Lead
(ii) Cadmium
(iii) Mercury
(iv) Zinc
(g) Chlorinated hydrocarbon compounds
(i) Polychlorobiphenyls
(ii) Pesticides
(h) Polybrominated compounds
6. Thermal pollution
7. Oceanic and coastal-water pollution
8. Organic processing wastes
(a) Paper mills
(b) Origin and control of radioactive wastes
9. Pollution from nuclear power plants
(a) Types of reactors
(b) Origin and control of radioactive wastes
-------
10. Nitrates and nitrites in drinking water
11. Oil spills and cleanup technology
12. Effects of toxic substances in water
(a) Abnormalities in humans
(b) Abnormalities in other organisms
13. Survey of water pollution indicator species
14. Drinking water standards
15. EPA standards, laws and monitoring programs
16. Role of an engineer in water pollution control
Laboratory: The following exercises will be performed during the assigned
periods:
1. Determination of water quality parameters
(a) Dissolved oxygen
(i) Titration method
(ii) Oxygen-meter
(b) PH
(c) Nitrate, nitrite
(d) Ammonia
2. Determination of BOD (Basic Oxygen Demand) and COD (Chemical
Oxygen Demand)
3. Bioassay techniques
(a) Static bioassays to be performed in laboratory conditions
(b) Demonstration of flow-through system
4. Identification and collection of water pollution indicator
species
5. Theoretical knowledge of the following chemical analyses
techniques utilized in water pollution studies:
(a) Gas-chromatography
(b) Infra-red spectrophotometry
(c) Atomic Absorption spectrometry
(d) Mass-spectrometry
-------
SOUTHERN UNIVERSITY
Course Outline
Course Title and Number: Applied Microbiology - 431
Textbooks: Microbiology for Sanitary Engineers, latest
edition McKinney, R. E., McGraw Hill, New
York
Review: Forges, N. Newer Aspects of Waste Treatment
in W. W. Umbreit ed, "Advances in Applied
Microbiology" Vol. 2, Academic Press, New
York, 1960
Time: 5:30-8:30 Thursday
Course Credit: 3 hours
Course Description:
This course is primarily designed to provide engineering and public
health students with basic microbiological aspects of water pollution.
Specifically, the course includes a study of pertinent microbiological con-
cepts, a survey of those microbes that are ecologically and economically
important, and a survey of basic techniques involved in sewage treatment
and in the detection of water pollution.
Objectives:
(i) To introduce the student to microorganisms by examination, cul-
tivation, and biochemical activities or representative pro-
caryotic and eucaryotic types.
(ii) To introduce the student to the nature of microbial world and
its relevance to the environment.
(iii) To provide a background for professions as sanitary engi-
neering, public health and medicine in which the knowledge of
microorganisms is important.
Course Outline
1. Basic Structure and Function of Living Organisms
Characteristics of living organisms
Cell Structure
Function of cell organelle
Cell Division (Asexual)
-------
2. Classification of Microorganisms
Bacteria
Viruses
Protozoa
Fungi
Algae
3. Aquatic Microbiology
Microbial flora of bodies of water, such as ponds, lakes, rivers and
oceans
Role of Microorganisms - Chemical transformations
Fertility of the Oceans, Marine Sediments
Sanitation of water for domestic use
4. Microbiology of Domestic Water
Unpolluted Water, Polluted Waters, Determination of Sanitary Quality:
Sanitary Surveys, Bactreriological Evidence of Pollution, the
coliform group of Bacteria, Bacteriological Techniques for pollution
determination, Microorganisms other than Colifrom Bacteria
5. Sewage
Domestic and Industrial, Chemical and Microbiological Characteristics,
Biochemical Oxygen Demands (BOD)
6. Sewage Treatment and Disposal
Environmental impact of untreated sewage, Sewage Treatment Processes,
Primary (Physical), Secondary (Biological), Final (Chemical)
Sludge treatment and Disposal - aerobic and anaerobic digestion,
Final Disposal
7. Microorganisms and Sewage Operations
Microbial Growth and Metabolism
Microbial Degradation Efficacy of Sewage Treatment Processes
8. Water Borne Diseases
Pathogenic Microorganisms found in sewage
Transmissin of Diseases by water and sewage
9. Microbiology of Soil
Nitrifying and Denitrifying Bacteria
Degradation of Organic matter by soil Bacteria
-------
SOUTHERN UNIVERSITY
Course Outline
for
CIEN 642 Design of Water and Sewage Treatment Plants
Catalog Description:
Professor:
Textbook:
Prereqquisite by topic:
References:
Goals:
462. DESIGN OF WATER AND SEWAGE TREATMENT
PLANTS. (Credit, 3 Hours.) Physical and
chemical principles involved in the design of
sewage treatment plants for domestic, indus-
trial and storm wastes, and of water purifi-
cation plants. Concurrent: CiEn 461, Water
Supply and Sewerage.
Dr. Mohamed Alawady, Professor of Civil Engi-
neering
Steel,'E. W., and McGhee, Terence J. Water
and Sewage, Fifth Edition, New York:
McGraw-Hill Book Company, 1979.
Fundamentals of Fluid Mechanics, Hydraulics
and Hydrology
American Water Works Association. Water
Treatment Plant Design. Third Edition, New
York, AWWA, 1971.
ASCE and the Water Pollution Control Federa-
tion. (Joint Committee). Wastewater
Treatment Plant Design. New York: ASCE,
1977.
Clark, John W., and others. Water Supply and
Pollution Control. New York: Harper and
Row, 1971.
The course is designed to give seniors of
Civil Engineering the principles involved in
the design of a water treatment plant includ-
ing physical and chemical requirements.
It will expose the student to the basic prin-
ciples and practice used in the design of
stormwater and sanitary sewerage, and munici-
pal wastewater treatment operations and pro-
cesses.
-------
SOUTHERN UNIVERSITY
Course Outline
for
CE 465 Advanced Sanitary Engineering
Catalog Description: CE. 465. ADVANCED SANITARY ENGINEERING.
(3.0 Credit hours.) Impact of man's activi-
ties on environment. Identification of cur-
rent and future areas of environmental
pollution. Waste managment; collection, dis-
posal, and recycling. Prerequisite: CE. 461
Water Supply and Sewerage.
Professor: Dr. Mohamed Alawady, Professor of Civil Engi-
neering
Textbook and References: ASCE, AWWA, APHA, and WPCF Journals.
This course will survey the sources and
characteristics of pollution. It will
familiarize the students with the existing
pollution problems and the ways to deal with
them. Emphasis will be on practical aspects.
Topics:
1. Sewer Projects
2. Survey and Investigations
3. Quantity of Sanitary Sewage
4. Quantity of Stormwater
5. Appurtenances and Special Structures
6. Material for Sewer Construction
7. Structural Requirements
8. Wastewater and Stormwater Pumping Stations
9. Rural Water Supply
-------
APPENDIX F
Special Project Report:
Violet Brown, EPA Grant
Trainee
-------
THE
PRODUCTION
0 F
SYNTHETIC NATURAL
GAS
FROM
SEWAGE SLUDGE
-------
A Report Submitted In Partial Fulfillment ?or The Civil
Engineering Course (Senior Project), 302-441-01.
Submitted to: Prof. James Johnson
by: Violettee Brown
ID rf 942-050
Date: December 17, 1980
Place: Howard University
Washington, DC
-------
A. 3 S T R A C T
Finding a substitute for oil, particularly that being
imported from foreign countries, is a major concern of most
Americans today. In particular, much interest and develop-
ment has gone into the production of Synthetic Fuels or Syn-
Fuels. The focus of this paper dicusses activated sewage
sludge as a possible solution for the production of a Syn-
Fuel. One of the processes by which coal is converted to
a Synthetic Natural Gas (SNG) has been studied and it is
predicted that under similar conditions sewage sludge will
yield the same by product, methane gas.
Activated sewage sludge has a high carbon content and
is thought to behave as coal would under gasification. On
a dry basis, the molecular formula of activated sewage sludge
1
is Cc-rUriOp. It is important to note that the chemical com-
position of sewage sludge can vary and may contain sulphur,
magnesium, potasium, phosphorus, and other components. This
report is an estimation of the yield of methane gas produced
from activated sewage sludge. To obtain more accurate results,
laboratory testing is required.
-------
BACKGROUND
Kany national efforts are underway to produce Synthetic Natural
Gas (SNG) from coal. The availability of coal (an estimated ^30 bil-
lion recoverable tons) has made this fossil fuel the next possible
energy resource. However, it is bulky, difficult to transport and
laden with sulphur. Coal must also be brought to the earths' surface
(mined) before it can be put into more useful forms. On the other
hand, sludge is "readily" available from waste-water treatment plants
and transportation of sewage sludge presents no problem to the shipper
or supplier. Another consideration for using activated sewage sludge
as an energy source is the "payment for disposal." At todays' current
rate, waste facilities will pay anywhere from S^O - $50 per ton to dis-
pose of sewage sludge.
In many cases, the technology for coal is available. It is pro-
posed that sludge be treated under similar conditions as coal under-
i
going gasification. The sludge must first be dried before entering
the gasifier. From the gasifier, the gases formed will undergo shift
conversion, and nethanation. First, the techniques of coal gasifica-
tion will be presented and then a similar process with activated sew-
age sludge will follow.
I. COAX .GASIFICATION
A) Products of Gasification
: orocess behind coal gasification is to firs- crush ~'r.e
l and dry it. it is next fed to a large unit (gasifier) where it
-------
3
reacts with steam and either air or oxygen. This reaction usually
occurs at high temperatures from 1500-3600 °? (800-2000 °G), and
p
pressures up to 1600 pounds per square inch (100 atmospheres)."
Under these high pressures and temperatures, the coal will be-
gin to decompose and form a mixture of gases. This mixture is usu-
ally made up of carbon dioxide (CO-), carbon monoxide (GO), hydrogen
(Hp). and varying amounts of methane (CHh). Because complete combus-
tion does not occur, some steam (H^O g) and hydrogen sulfide (H-S)
v/ill be in the gaseous products.
If air is used in the gasifier, the products will contain a high
percentage of nitrogen (N2) and therefore a heating value of about
100 BTU's per cubic foot. This low heating value accounts for the
name "low-Etu" gas. Adding oxygen instead of air to the system raises
the heating value of the gas to "medium-Btu" range — about 300 - ^00
3
BTU's per cubic foot.
Because of their heating values, low-BTU nor medium-BTU gas can
be piped economically over long distances. These gases are suitable
for industrial purposes, for boilers or turbines, or as chemical feed-
stock near the point of production.
In order to produce high-BTU gas (SNG), the percentage of methane
in the product gases must be raised in order to raise the heating valu-:
of the product gas to 950 - 1000 BTU's per cubic foot. If coal is usec
two additional steps are required. First, some of the carbon monoxide
(GO) made in the gasifier must be reacted with steam to form additional
hydrogen (KP). This step is called shift conversion. The next step
is known as methanation. In methanation, the carbon monoxide (CO) and
hydrogen (>U) flow over a catalyst which causes the gases ~o recomcire
to form methane. After purification, ~he methane can be fed directly
-------
-o a natural gas "oipeline. '
rligh-BTU gas is the primary concern here and the sough" after
product of gasification. The reactions that can and may occur in a
^c-if-io^ ^T
the
i)
ii)
iii)
iv)
v)
vi)
following :^
C t
C t
co£ t
CO t
CO t
•"» •_" -1-
H o — ^
C.
H2 — ^
f-\ •".•-.
to2 _>
H20 _>
CO . "5.
U J. J.C— U V-
CO
C02
2CO
C02
co2
CK,
H
K20
As stated earlier, the product gas v/ill consist of a mixture of CO,
rLjf CHi^, and C02 plus impurities (mainly N?, H?S, and CCs) .
5) Gasifiers
There are three proven large scale coal gasification processes
—Lurgi - essentially fixed bed
—Koppers - entrained bed
—'Jinkler - fluidised bed
£ach has its ^articular advantages and disadvantages under specific
5
conditions. Under the proposed operating conditions for activated
sewage sludge, the Lurgi Gasifier was choosen for study here.
The Lurgi Gasifier has a high therr;ial efficiency with a gas
yield of approximately 90>S of the potential heat in the coal. In
spite of this, it has a number of disadvantages;
--size of unit limited therefore output lev/
. <.
--oxygen consumption high
-------
5
There is considerable scor>e for modification. Nevertheless, the Lurgi
. .,. 7
G-asiner is considered to be the best method of 'oroducins: SNG-.
This gasifier, illustrated in figure 1, consists of a pressure
vessel containing a fuel bed fitted with a top coal feed-lock hopper
and a bottom ash discharge lock hopper. The unit operates at a pres-
8
sure of jl atmospheres. The counter flow principle is used, i.e.
steam and oxygen fed to the base and coal fed to the top. A distributor
is provided for even distribution of the feed, and the grate rotates as
well. The fuel bed is surrounded by a water j.acket within the main pre;
sure shell where the steam is raised and then added to the gasification
feed. The product gases emerge from the unit at 800 - 1200 °? (^50 -
600 °C) .
C) Shift Conversion
After the coal has undergone gasification, it is cooled and under-
goes purification where COp, HpS, and N~ are removed from the stream.
The gases emerge from the gasifier at a temperature of 800 F (^50 C)
and enters a scrubber, reducing the temperature to ^00 F (200 C) be-
fore purification.
To make SMC- it is necessary "shift the gas" to give a 3 •'1 ratio
of Hp to CO mixture. If it is accepted that the product of gasifica-
• • Q
"ion is 50:50 CO to Kp, then the gas would fulfill these conditions:
.SCF BTU above 300 °F/SCE Useful Keat BTU
Hp 50 261 13,050
CO 50 30? 15,350
100 28,^4-00
The necessary equation for shift conversion with the above assur.r-
~-on is as follows;
-------
6
RertMCLc T^
QueNcu
CeccertJ-
-------
7
*e reaction temperature for the shift conversion step is 600 ?
r\
]15 "C). A cobalt r.oly'Ddenuir: catalyst is used to promote the reac-
ion.
Next, the CCu should be removed using steam. The gas will yield
seful heat to this degree:"
SCF BTU above 300 °F/SCF Useful Heat 3TU
H2 75 261 19,575
co 25 307 7,675
100 27,250
D) I.'ethanation to SNG
In the i;iethanation step, the H9 and CO produced from the shift
jnverter are reacted with a very sensitive catalyst. Any remaining
ilphur must be removed because the catalyst, a nickel based alloy, is
;ry sensitive catalyst. The reaction for methanation is v/ritten be-
)',v.
3H2 + CO > CH^ t H20 '
ds reaction is highly exothermic reauiring removal of the lov/ grade
'£t. ",vater must be removed before the gas can enter the natural gas
>?eline. A useful heat yield of 21,525 BTU's is realized as the final
lue.11
SC? BTU above 300 °F/SCF Useful Heat BTU
CH,. 25 861 21,525
-) Summary of Coal Gasification
It is difficult to describe the kinetics cf coal gasification
-------
; cause of a lack of fundamental information. An important factor
£f feet ing this information is the various Qualities of coal found in
-'r.e United States. A possible flow chart for the gasification of coal
operation may resemble that of figure 2, page 9.
The progression of coal to methane shows a heat loss from the
original 28,4-00 ETU's. A heat yield of 75% shov/s poor thermal effi-
ciency in the synthetic process and is the subject of rectification
~oday.
Table 1 describes the heats of reaction of the synthetic fuel
1 2
process below:
Table 1. Keats of Reaction of the Coal Gasification-
Methanation Process
Reaction Step
Heats of Reaction-
i '*-'
@ 77 F kcal/mole
Reaction
Temerature
^ '
Gasification
JO t H
inut Conversion
CO f K20
C02 t H2
i^ethanation
t 62.76
- 9-83
1800
600
7;
2H-0
-^i.i i • ~j\j>
^
-/•
-------
9
pee
T-
Co
Ca,
V-.Q
:-' F
1 ^ *-,.!
VM \ M
T= 0, b o"'
1 u, ^ c o
"v>iP£LMJt
C. C f- i ^ IM ^T
-------
10
II- GASIFICATION OF ACTIVATED SEV/AGE SLUDGE
A) Average Composition of Sewage Sludge
Activated sewage sludge cosists of approximately QOfo water and
20^ solids on an average after typical dewatering processes. It varies
in composition and elemental form as does coal. The molecular formula
of sludge discussed in this section is C7H7NO^.~^ According to the
E?A,~' Table 2 represents an elemental composition of sewage sludge.
Table 2: Elemental Composition of Sewage Sludge
(EPA, 1973 - average value)
Elemental Average
Composition Value
Carbon (%}
Hydrogen (%} 7.95
Oxygen (%} 28.33
Nitrogen (%
Sulphur (%} 1.^6
Volatile (%} 63.^5
VSS (ETU/lb) 11,320
SS (BTU/lb) 7,06
In relationship to coal, the heat value of sludge is calculated
the Fair eouation:
v = A(100CV) - 3(100 - D)
100 - D 100
-------
11
.•here: Qv Heat Value in B2U/lb solids
Cy Volatile solids, percent
D Dosage of inorganic chemicals used in the dewatering
process as ^ of weight of Sludge (D is 0) for organic
polymers)
A Empirical Constant, 10? for activated sludge, 103
for raw primary sludge
B Empirical Constant, 5 for activated sludge, 10 for
raw primary
jhsrefore , cased on our average formula,
Qv = 10?(100 x 63-^5) - 5(100-0)
100 - 0 100
TU/lb solids
As a rule of thumb, for estimating the fuel value of sludges,
ixpect 10,000 BTU/lb of dry volatile solids as compared to a heat
'alue of approximately 1^,000 BTU/lb of coal. Converting the units
!- QT- to ETU/lb of dry volatile solids:
n ' J
Q_. = 678^- BPU 1 lc solid
*" X
Ib solids 0.63^5 lb volatile solids (dry)
= 10,692 ETU/lb of dry volatile solids
'hich is relevant to our expected value of 10,000 BTU/lb of dry volatile
Since the gasification of sludge is modeled_ after that of coal,
~ is not necessary to repeat many of the steps presented in Part I
- "his r;aper. Instead a step by step process for activated sewage
~~ige will be shovm on the following pages as a possible method of
r^ucir.^ Svnthe~ic Natural Gas.
-------
12
As a basis for operation, 2250 Its of sludg
e was chosen.
^5~e constants of the following reactions are unknown, therefore a
restriction will not be placed upon the time for reaction. The use-
in
ful heat HTU will be calculated under the assumptions made by Simeon,^
i.e. accepting the products of gasification as a 50:50 ratio of CO to
H? although it is known that there are other products produced in the
gasifier. The products of gasification, shift conversion, and methana-
:lon that are of concern here are CO, K~ > and C^LL'
Note: See the appendix for the change in enthalpy for the three
reactions above and evaporation.
A) Gasification
Activated sewage sludge, held in a storage tank (figure 3) will
ce fed to an evaporator (figure ^-) by screw conveyor where the sludge
will be dried at 212 F. The heat produced from evaporation v/ill be
used as ureheat to the feed.
V- £lc.fA
T-
^ .
Sludge Hcl
ins: Tank
-------
13
-*x?.
igu
evaporator
Data for Figure *+:
Sludge composition --
Molecular Weight:
0$ H20 - 1800 Its or 100 lb moles
£ SDlis - ^50 Its or ^ Ic -noles
2250 Its 10^ It moles
O (Dry Basis) 113
(figure
The dried sludge iron the evaporator v/ill ente
, ^age 1^-) and reac~ with s^ean and oxygen.
emering from the gasifier are as follows:
n p -; rs ~
-------
Figure 5* Gasification
Since it is not known what the percentage of products formed.
wili be without laboratory testing, complete combustion will be as-
sumed, and the major products of gasification will be CO and H^. The
reaction for gasification can be written below as:
-he Useful Heat 22U for the reaction occuring in -he gasifis:
-------
SO?
BPu acove
Iseful Meat
3TU
20
20
261
30?
5220
61^0
1U60
The products of gasification will enter a scrubter to get rid
of any impurities such as N2, H^S, CO^, etc. See figure 6 for the
purification system.
2.0 CO
C
C/0>
0
t to
J~trt OiC.
Figure 6:
Purification of Gasification
Products
onversion
u-.c. j — :
-------
version.
he nrcduct sas of gasification is shiftec. to give
a 3'1 ratio of H-, TO CO mixture. The following reaction describes
;his s
20CO t 20H2 t 10H20 g Ca"> 10CO t 10CO,
3 OH,
The Useful Heat ETU yielded to this degree for the atove reaction is
10,900 STU.
SCF BTU above 300°?/SC?
261
Useful Heat ETU
30
10
4-0
307
7,830
3>070
10,900
A CO shift plant and a catalyst (cocalt molybdenum-) are neces-
sary to produce the required ratio of CO to PL,. The product gas of
shift conversion processes ^6fo of its original heat.
Figure 7 shov/s the shift conversion stage and sends the product
gases to a scrubber where the gas is again purified in figure 8, page
17.
Cc
Cft 1 * L M ST
to Co t |ocu -i 3c
-------
C L
17
10
Figure 8: Scrubber
t "5.
C) r.-ethanation
From the mechanics of shift conversion, a 3:1 ratio, of H? to CO
has been established and the gas can now undergo rr.ethanation. The
chemical reaction for this stage can be written below:
10CO t 30K,
10GH
t 10H20
This process involves a very sensitive catalyst posesssing a limited
life. Nickel based c<
diagram for methanati
v
^
2.ta"ivst have been used with good "^esu^ts. The f"1
c- C— - ~~~ —
on is shown in Fig'ure 9-
5, Ki Cr
^
/
-'0 CU^-r \o WT_ C
-------
15
The Useful Heat 5TU observed after methanation is only 75vp of
-he original heat formed, in the gasifier;
SCF BTU above 3000F/SG? Useful Heat 5TU
CK^ 10 861 8610
Experimentation in the laboratory is definitely needed here to "oredict
the actual heat loss of the product gas.
In most cases, it is necessary to again purify the product of
impurities. The water produced from rnethanation must be removed from
the methane before the gas can enter a pipeline for pumping.
III. SUTIMARY
The preceeding process flow sheet for sludge gasification is hy-
pothetical at this stage. As emphasized throughout the paper, the true
kinetics and thermal efficiency of the sludge process can only be found
through testing experiments in the lab. One basic problem in using
sludge (and coal) as a reactant in the gasifier is that sludge varies
from one location to another, therefore the products of gasification
will differ but hopefully v.'ithin a sensible range.
The asset of using sludge as an energy source is the cost. Cur-
rent prices of mining coal and transporting it are a basic liability
to the operation before it reaches the gasification plant. Modifica-
tions in coal gasification are being made daily to combat the high
cost of producing syn-fuels and/or increase the _output capacity. The
same conditions apply to activated sewage sludge. However, noticing
the difference in cost of the chief constituents (coal and sludge), a
clos
;r look at gaslfying""sludge to a syn-fuel should be made.
-------
A
N
D
-------
£> fiLAri C£ S PC C THg gp ftf t i^rrT i t iA 3H^T Cc ^> 0
I FV c
'
Ib >
i-. Ib
ciT \ (-7. 3.6
) J
,TO
-------
ilc/»)
t 0,
( £. it"3 - 1
c
r 1. a?)
ia3. as
/ ib
no
T2,£
Uo
Po£,
H
AJ ^ r i ; t, /
-------
ILL
"5-3 iC
- 31
X lot o -
"
ciT -t
-T
Cio'^J T2"
r
/o
(_ "7-
)1
- ^6) -t a.
-3
J
-t
(, -23Gt. 157 J t /o /. 3
-------
j o (• e -' •'
|o
- S3
0.
- o
^ 5 ,
] T IO/UK-^-S Co (_ 'S^fS. 3J-f
-^ J
- I
, a 59
-------
p 5~3""? *(Z^
j-,<,,,o Cp
H^ L (•.
- 7
c - -/ fl
- to ( -
-f
- ~ f S
)u
-t J,
^) C
lo uoisi. c^ £(3c. u il
30=5, <: 7? . U^
-------
FOOTNOTES
J. Gowdy, Microbiology for Environmental Scientist and Sngin$
(New York: Dial Press, 19?o ) , p. 59. ""
2
"Gas From Coal" A Department of Energy Pamphlet, Oak Ridge, Tennes
see, June 1980, p. 2.
^Ibid, p. 2-3.
it
Ibid, p. 3
r*
•^Charles Simeon, Goal: ITS Role in Tomorrows Technology, (London:
Pergamon Press, 1978), p.
Ibid, p. 3>3.
^Ibid, p.
n
°Ibid, p.
°Ibid, p. l
10IMd
12
h.artin L. Gorbaty, et al . , "Coal Science: Basic Research Oppor-
tunities," Combustion Magazine, April, 1980, p. 12.
i i
"-'Op. Cit . , Govdy
i^Ibid, p. 220.
^Ibid
l6Ibid, p. 221.
1 7
~rOp, Cit., Simeon, p.
-------
BIBLIOGRAPHY
"Gas From Coal," Department of Energy Pamphlet, Carriage,
Tennessee, June 1980.
Gorbaty, Martin et al. 'Coal Science:Basic Research Opportuni-
ties," Combustion Llagazine, April 1980, pp, 12 - 18.
Gov/dy, J. /Microbiology for Environmental Scientist and
Engineers. New York: Dial Press, 19?6, p. 59-
Samuels, r.'iichael R. Thermodynamics, Englewood Cliff: Prentice
Hall, 1972, pp. 6?2 - 6?3.
Simeon, Charles, Coal; Its Role in Tomorrow's Technology.
London: Pergamon Press, 1978, pp. 1^2 - 148.
-------
APPENDIX G
Grant Amendment:
T900908-01-1
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY
GRANT AMENDMENT
(Optional)
(Please read instructions on reverse before completing)
GRANT NO.
T900908-01-1
AMENDMENT NO.
1
NOTE: The original Amendment with one copy must be executed and returned to the Grants Administration Division for Head-
quarters grant awards and to the Grants Administration Branches for State and local assistance awards within 3 weeks after
receipt or within any extension of time as may be granted in writing by EPA. Except as may be otherwise provided, no costs as
a result of the Amendment may be incurred prior to the execution of the Grant Amendment by the parties thereto.
Receipt of a written refusal, or failure to receive the properly executed document within the prescribed time will result in the
termination of consideration of the Grant Amendment by EPA.
GENERAL INFORMATION
APPROPRIATION AND ACCOUNTING DATA
APPROPRIATION NUMBER
689/00108
ACCOUNT NUMBER
965529B111
OBJECT CLASS CODE
41.21 DC Number: C03093
DESCRIPTION OF AMENDMENT: PURSUANT TO EPA GRANT REGULATION 40 CFR 30.900 "PROJECT CHANGES AND GRANT MODIFICA-
TIONS" AND 40 CFR 30.900-1 "FORMAL GRANT AMENDMENTS," THE ABOVE NUMBERED GRANT AGREEMENT IS AMENDED AS FOLLOWS:
This Amendment reflects a modification, an increase of $125,815, and an extension of
duration dates to 10/16/78 - 10/15/80.
Personnel
Fringe Benefits
Travel
Equipment
Supplies
Contractual
Construction
Other
Total Direct Charges
Indirect Costs
Total
Total Approved Grant Amount
Share: Grantee 16% Federal 84%
Method of Payment: Advance
FROM
$19,181
2,201
1,280
-0-
1,333
-0-
-0-
44.454
$68,449
-0-
$68,449
$50,000
TO
$ 36,681
4,601
3,780
-0-
1,583
99,145
-0-
62.486
$208,276
-0-
$208,276
$175,815
AWARD APPROVAL OFFICE
ISSUING OFFICE
I ORGANIZATION
Office of Water Program Operations
ORGANIZATION
Grants Administration Division
ADDRESS
ADDRESS
Environmental Protection Agency
Washington, D.C. 20460
Environmental Protection Agency
Washington, D.C. 20460
GRANTEE ORGANIZATION
NAME
Atlanta University Center
ADDRESS
Dual Degree Program
360 Westview Drive, SW
Atlanta, Georgia 30310
Except aa provided herein all terms and conditions ol the basic grant agreement, including prior amendments, remain unchanged and in full lorce
and effect and subject (o aU"at>p//cable provisions ol 40 CFR Chapter 1, Subpart B.
7^4/LHSM^D STAJES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
OF
CIAL
TYPED NAME AND TiTLEprederick L. Meadows
, Grants Operations Branch PM-2H
DAT,
"SEP 1 9
1579
BY AND ON BEHALF OF THE DESIGNATED GRANTEE ORGANIZATION
SIGNATURE
TYPED NAME AND TITLE
DATE
EPA Form 5700-20B (Rev. 3-77)
PREVIOUS EDITION MAY BE USED UNTIL SUPPLY IS EXHAUSTED
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T900908-01-1
Special Conditions
1. This award is subject to the requirements of 40 CFR Part 33, dated
February 8, 1977.
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APPENDIX H
General Grant Regulations
and Procedures
-------
United Stdtss
Environmental Protection
Agency
'. i>
\
•'•'*> ) ""/ /?,
•- ' J / 'f'"
-^ %;>*
'70,
•->
/
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Purpose.
Authority.
Applicability and scope.
Publication.
t~113 Copies.
(5,120 Citation.
Public comment.
C130 Grant Information.
£l35 Definitions.
Administrator.
1(135-2 Agency.
1 135-3 Allowable costs.
F.133-4
K.135-5
B.135-6
6.135-7
1.135-3
6,135-9
S.135-10
6.135-11
1.135-12
6.i3s-13
|].13;.-l-5
B.135-15
1,135-16
6.135-17
fc.B5-i3
1,135-19
i.ns-20
1.135-21
1.135-22
Budget.
Budget period.
Educational institution.
Eligible costs.
Federal assistance.
Grant.
Grant agreement.
Grant approving official.
Grant award official.
C-ran'c-e.
In-kind contribution.
Nonprofit organization.
Project.
Project costs
Projwt officer.
Project period.
Regional Administrator.
Subagreement.
A — Basic Pelicia*
200 Grant simplification goals and
policy.
205 Role of EPA.
210 Role of the grantee.
215 Records of grant actions.
220 Consolidated grants.
,225 Foreign grants.
.225-1 Clearance requirements.
.225-2 Criteria for award.
,225-3 Allowability of costs.
1,225-5 Payments.
,230 Grants administration review.
1.23,1 Disclosure of information. '
Mi> Fraud and other unlawful or
rupt practices.
cor-
S—Application and
'C Preapplication procedures.
6 A-95 procedures.
15-1 Specific areas of clearinghouse
valuation.
J5-2 Noti'icalion of Intent (A-95. Part
),
05-3 Time limitations.
15-4 EPA processing.
15-5 Programs requiring State plans
and Jointly funded projects (A-95, Part
HI),
15-8 Coordination of planning in rnul-
ttjurisdictional wreas (A-95, Part IV).
15-7 Confidential information.
15-8 Specific requirements for the
Construction Grant Program'.
10 Unsolicited proposal.
15 Application requirements.
15-1 Signature.
15-2 Forms.
15-3 Time of submission.
1 PJjc? wf submission.
Use suid disclosure of information.
Evaluation of application.
?0 Supplemental Information.
;^ Cr'teri-\ fo^ n^ard of Brant.
'u i^;- noi.-.i'u!.:. --.;.• >.'.aee.
jd-1 G.ei',- -,\l policy.
'"-3 Oet?rmin.ition of responsibility.
" Av.-nrd of grant.
"5-1 Amount .in.1 t^rm of grant.
G_ . ..
i ...H .v.x't' -rof ni-
Costs incurred prior to execution.
'5-5 Effect of yrant award.
LLraitarion on aw-ird.
Continuation f;Ttxiit5.
25
Svbport C—QtHe*
30.400 General grant conditions.
30.405 Statutory conditions.
30.405-1 National Environmental Policy
Act.
30.405-2 Uniform Relocation Assistance
and Real Property Acquisition Policies
Act.
30.405-3 Civil Rights Act of 1964.
30.405-4 Federal Water Pollution Control
Act Amendments of 1972, Section 13,
30.405-5 Title IX of the Education Amend-
ments Of 1972.
30.405-« Hatch Act.
30.405-1 National Historic Preservation
Act.
30.405-8 Public Law 93-291.
30.405-9 Demonstration Cities and Metro-
politan Development Act and Intergov-
ernmental Cooperation Act.
30.405-10 Flood Dismter Protection Act.
30.405-11 Clean -Mr Act, Section 306.
30.405-12 Fad;-;-.! >\u«- Pollution Control
Act, Section 50!!.
30.410 Executive Orders.
30.410-1 Executive Order 11246.
30.410-2 Executive Order 11983.
30.410-3 Executive OrcUr 11514.
30.410-4 Executive Order 11738.
30.410-5 Executive Order 11690.
30.415 Additional rwjulremants—Federally
assisted construction.
30.415-1 Davis Bacon Act.
30.41^-2 The Copel&nd Act.
30.415-3 The Contract Work Hours and
Safety Standards Act.
30.415-4 Convict labor.
30.420 Additional requirements—all EPA
grants.
30.420-1 Prohibition against contingent
fees.
30.420-2
30.420-3
ities.
30.420-4
30.420-5
30.420-6
Officials not to benefit.
Prohibition against violating facil-
Conflict of interest.
Employment practices.
Conservation and efficient use of
energy.
30.425 Special conditions.
30.430 Noncompliance.
Subp-art D—Patents, Data, and Copyright*
30.500 General.
30.502 Definitions.
30.505 Required provision regarding patent
and copyright infringement.
30.510 Patents arid inventions.
30.515 Required patent provision.
30.520 Optional patent provision.
3C.525 Data and copyrights.
30.530 Required data and copyright provi-
sion.
30.540 Deviations.
&
Subport E—Administration ond Serformanca of
Grants
30.600 General.
30.505 Access.
30.610 Rebudgetin? of funds.
30.615 Payment..
30.615-1 Method of payment.
30.615-2 Caors depositor!?:
30 61 o-3 Withholding of funds.
30.615-4 Assignment.
30.620 Grant related income.
30.G20-1 Proceeds from sale of real or -^r-
scr>Aj pro;:-?,'tv.
30620-2 n.oyam..5 receu ?d iron cspy-
!i;,rht.s \nd parents.
30 620-3 Interest earned on fcrant fun:'_.
30.625 Grantee publicat'ons and publicity.
30.S25-1 Publicity.
soeas-?. Public-tions.
20 G2S-3 Gijtis.
3o 030 Surveys and qi'-:.;iionnaire5.
30.635 Reports.
30635-1 Interim progress reports.
3Q 633-2 Final report.
3063S-3 I^n-wncinl n>:: .-t--,.
30636-4 Invention report.
Sec.
30 635 5 Property rvporU?.
30.63S-6 [Reserved)
30 635-7 Compliance.
30 640 Utilization of Government procure-
ment sources.
30.645 Force account work.
Sec.
30.700
30.705
30.705
30.710
30.715
30.715
30.715
30.720
30.725
SO. 725
30.725
30.72S
Use of fundj.
Allowable costs.
1 Payment to consultants.
Pedenx! cost principles.
Direct and Indirect cosU.
1 Direct costs.
2 Indirect costs.
Cost sharing.
Cost and pries -\nalysls.
1 Policy.
2 Pric? Bnaly-'r-.
3 Cost ?.rv
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ENVIRONMENTAL PROTECTION AGENCY
(40 CFR 30, Revised as of June 30, 1978)
•PART 30—GENERAL GRANT
REGULATIONS AND PROCEDURES
(Editor's not«: 40 CFR 30 was replaced in
its entirety by a new 40 CFR 30 on May 8,
1975, in 40 FR 20231.)
AUTHORITY: Sec. 20 and 23 of the Federal
Insecticide, Fungicide, and Bodenticide Act,
as amended (7 U.S.C. 135); (33 U.S.C. 1261;
42 U.S.C. 241, 242b', 243, 248, SOOJ-1, 300J-2.
SOOj-3; 1357, 1881, and 3251) et seq.
§ 30.100 Purpose.
This Subchapter establishes and codi-
fies uniform policies and procedures for
all grants awarded by the U.S. Environ-.
mental Protection Agency (EPA).
§ 30.101 Authority.
This Subchapter Is promulgated by the
Administrator of the Erwlronmental Pro-
tec tie-i ..Arency pursuant to the authority
coru'iT'id by Rrortj-oiusiition. Plan'Wo. 3
of T(J7;! i'-rid puu'.wo-v to th-a foUwsltiE/
sto.'n rt*;-s which autnorize the award of ns-
sistar.ce.' by the Environmental Protec-
tion Avsricy:
(a) C^-rtn "Water Act, as amended (33
U.S.C. 5s :-S5i*tseq.).
[43 FR 28484, June 30, 1P?8'
(b) The Clean Air Act, as amended (42
U.S C 3257 eist-:;.''. ;
(O The Solid Waste Disposal Act, as
amended by the Resource Conservation
and Recovery Act of 1976 (42 U.S.C. 6901
et SOQ.) ;
[42 FR 56050, October 20, 1977J
(d) The Sale Drinking Water Act (42
U.S.C. SOOj-1, 300J-2, 300J-3);
(e) Section 301 et seq. of the Public
Health Service Act, as amended (42
U.S.C. 241, 242b, 243, and 246);
(f) Sections 20 and 23 of -the Fed-
eral Insecticide, Fungicide, and Rodenti-
cide Act, as amended (7 U.S.C. 135); and.
(g) Federal Grant and Cooperative
Agreement Act of .19.77 (41 U.S.C. 501):
and
ChJ Toxic Substances Control Act (15
U-S.C-2601).
[43 FR 28484, June 30, 1978]
§ 30,105 AppIicnbi!Uya»id Jir-ma
(a) Parts 30 through 34 of this Subchapter
contain policies and procedures wnicb
apply to ail grants made by the Environ
mental Protection Agency and are de-
signed to achieve maximum uniiormicy
throughout the various grant programs
M the Env^iroeiitai Protection Arrency
p.nd, where possible, consistency with
other Federal agencies. These policies
and procedures are mandatory with
respect to all Environmental Protectio
Agency grants and apply to grants
awarded or administered within and
outside the United States, unless other-
wise specified. Supplementary policies
and procedures applicable to only certain
grant programs are issued in regulations
specifically pertaining to those programs
under Part 35 (State and Local Assist-
ance), Part 40 (Research and Demon-
stration) , Part 45 (Training) and Part
46 (Fellowships). Grants or agreements
entered Into with funds under the Scien-
tific Activities Overseas Program which
utilize U.S.-owned excess foreign cur-
rencies shall not be subject to this
Subchapter.
Cb) Assistance agreements designat-
ed as grants or cooperative agreements
tmder the Federal Grant and Coopera-
tive Agreement Act shall be subject to
-part 30 and other provisions of this
subchapter- which are applicable to
grants.
[43 FR 28484, June 30, 1978]
§30.110 Publication.
This Subchapter is published (In Title
40) in the daily issue of the FEDERAL REG-
ISTER and in cumulated form in the Code
ot Federal Regulations.
§ 30.H 15 Cojiies.
Copies of this Subchapter in FEDERAL
REGISTER and Code of Federal Regula-
-------
FEDERAL REGULATIONS
tions forrn may be purchased from the
Superintendent of Documents, Govern-
ment Printing Office, Washington, D.C.
20402.
§ 30.120 Cilation
This Subchapter will be cited in ac-
cordance with FEDERAL REGISTER stand-
ards. For example, this section, when re-
ferred to in divisions of this Subchapter,
should be cited as "40 CFR 30.120."
§30.125 Public comment.
This Subchapter --ill be amended from
time to time to es*>j.b.:sh new or improved
grant policies and procedures, to simplify
and abbreviate grans application proce-
dures, to simplify and standardize grant
conditions and related requirements, to
Include or provide for statutory changes.
and to improve Agency and grantee ad-
ministration of grants. Therefore, public
comment is solicited on a continuous
basis and may be addressed to the Direc-
tor, Grants Administration Division, En-
vironmental Protection Agency, Wash-
ington, D.C. 20460.
§ 30.130 Grant information.
Application forms and information
concerning Ag-ency grants may be ob-
tained through the Grants Administra-
tion Division, Enviror.mer.UU Prof.ection
Agency, Washington, D.C. 2'.'-iSO. or any
EPA regional grants admini strati on ol-
flce. Addresses of EPA Regional Offices
are as follows:
Eegion
Address
States
I John F. Kennedy Federal Bldg., Boston, Mass. 02203.
II 26 F?'l»riV.i Island.
Alaska, Idaho, Oregon, Washington.
§ 30.135 Definitions.
All terms used in this Subchapter
which are defined in the statutes cited
.in § 30.101 and which are not denned in
this Section, shall have the meaning
given to them in the relevant statutes.
As used throughout this Subchapter, the
words and terms defined in this Section
shall have the meanings set forth below,
unless (a) the context in which they are
used clearly requires a different mean-
ing, or (b) a different definition is pre-
scribed for a particular part or portion
thereof. The words and terms defined
in this Section shall have the mean-
ings set forth herein whenever used in
any correspondence, directives, orders,
or other documents of the Environmental
Protection Agency relating to grants, un-
less the context clearly requires a differ-
ent meaning.
§ 30.135-1 Administrator.
The Administrator of the Environ-
mental Protection Agency, or any per-
son authorized to act for him.
§ 30.13S-2 Agency.
The United States Environmental Pro-
tection Agency i EPA).
§ 30.135-3 Allowable costs.
Those eligible, reasonable, necessary,
and allowable costs which are permitted
under the appropriate Federal cost prin-
ciples, in accordance with EPA policy,
within the. scope of the project, and au-
thorized for EPA participation.
[41 FR 20656, May 20, 1976]
§ 30,135-4 Applicant.
Any individual, agency, or entity
which has filed a preapplication or an
application for a grant pursuant to this
Subchapter.
§ 30.135-5 Budget.
The financial plan for expenditure of
all Federal and non-Federal funds for a
project, including ether Federal assist-
ance, developed by cost components in
the grant application.
§ 30 135-6 Budget period.
The period specified in the grant
agreement during which grant-ed Fed-
eral funds are authorized to be expanded.
obligated, or firmly committed by the
grantee for the purposes specif.-"d in the
grant agreement.
§ 30.135-7 Educational institution.
Any institution which (a) has a fac-
ulty, (b) offers courses of instruction, and
(c) is authorized to award a degree or
certificate upon completion of a specific
course of study.
§ 30.135-8 Eligible costs,
Those costs in. which Federal partici-
pation is authorized pursuant to applica-
ble statute.
[41 FR 20656, May 20, 1976)
§ 30.13.>— 9 "Federal assistance.
The entire Federal co^'Tibuti^n for 3
project including, but not limited to, the
EPA grant amount.
§30.135-10 Grant.
An award of funds or other assistance
by a v/ritten grant agreement purusant
to this Subchapter, except fellowships.
§30.135-11 Grant agreement.
The written agreement and amend-
ments thereto between EPA and a grant-
ee- in which the terms and conditions
governing the ci-ant are stated and
agreed to by both parties pursuant to
§30.345. -
§ 30.135—12 Grant approving'offieial.
The EPA official designated to approve
grants and take other grant related ac-
tions authorized by Environmental Pro-
tection Agency Orders or this Subchapter
(sometimes referred to as the Decision
Official) .
§30.135-13 Grant award official.
The EPA official authorized to execute
a grant agreement on behalf of the Gov-
ernment.
8 30.135-14 Granlee.
Any individual, agency, or entity which
has been awarded a grant pursuant to
§ 30.345.
§30.135—15 In-kind contribution,
The value of a non-cash contribution
provided by (a) the grantee, (b) other
public, agencies and institutions, (c) pri-
vate organizations and individuals, or (d)
EPA. An in-kind contribution may con-
sist of charges for real property and
equipment and value of goods and ser?«-
ices directly benefiting and specifically
identifiable to the grout vrofff-'"
§ 30.135—16 Nonprofit organization.
Any corporation, trust, foundation, or
in.-.uiuUen
\vhich is en t
-------
emption under section 501('c)(3) of the
Internal Revenue Code, or (b) which is
not organized for profit and no part of
the net earnings of which inure to the
benefit of any private shareholder or
individual.
§ 30.13S-17 Project.
The undertaking identified in the
grant agreement which will receive EPA
assistance. The term project may refer
to a program (e.g., State water pollution
control program, air pollution control
program) for the budget period, for
which EPA assistance is provided.
2 30.1aS~18 Project costs.
All costs incurred by a grantee in ac-
complishing the objective of a grant
project, not limited to those costs which
are allowable in computing the 'final EPA
grant amount or total 'Federal assistance.
§30.135-39 Project Officer.
The EPA official designated in the
grant agreement as the Agency's prin-
cipal contact with the grantee on a par-
ticular grant. This person is the indi-
vidual responsible for the performance
and/or coordination of project monitor-
ing.
§30.135-20 Project period.
The period, of time specified in the
grant agreement as estimated to be re-
quired for completion of the project for
which Federal grant support has been
requested. It is composed of one or more
budget periods.
§ 30.135-21 Regional Administrator-
The Regional Administrator of one of
the 10 EPA Regional Offices, or any per-
son authorized to act for him.
§ 30.133-22
A written ~ agreement /between an
EPA grantee and another party (other
than another public- agency) and any
tier of agreement thereunder for the
furnishing of services, supplies, or
equipment necessary ' to complete the
project for which:" a; grant was awarded.
These -agreements' 'include contracts
and subcontracts-'for personal and pro-
fessional strviof-;-;, a^'jotments with
[« I«'H 28484,., >wi2 30, 1978J
Subpart A — Basic Policies
§ 30.200 Cranl MnijiHfitotion gr>a!s and
It is EPA policy that, consistent with
protection of the public interest, proce-
cli.i;"'s used in administering and imple-
menting grant programs shall encourage
the minimization of paperwork and
intraagency decision procedures, and the
best use of available manpower and
funds, to prevent needless duplication
and unnecessary delays.
§30.205 RoleofEPA-
The Environmental Protection Agency
has a mandate to protect and enhance
the environment. Grants and fellowships
are among EPA's principal means of
achieving its objectives. EPA financial
assistance may be awarded to support
State and local governments,, research.
demonstration, or training projects, fel-
lowships and such othar programs that
advance the Agency's mission.
§ 30.210 Role of She grantee.
An award of a grant shall be deemed
to constitute a public trust. It is the re-
sponsibility of the grantee to comply wi Ih
this Subchapter and all terms and con-
ditions of the grant agreement, efficiently
and effectively manage grant funds
within the approved budget, complete
the undertaking in a diligent and pro-
fessional manner, and monitor and report
performance. This responsibility may be
neither delegated nor transferred by the
grantee.
§ 30.215 Records of grajU actions.
(a) An official EPA file shall be estao-
lished for each EPA grant. To the extent
that retained copies of documents do not
represent all significant actions taken,
suitable memoranda or summary state-
ments of such undocumented actions
must be prepared promptly and retained
in the grant file.
(b) The grantee shall establish an
official file for- each grant received from
EPA. The file should contain documenta-
tion of all actions taken with respect to
toe grant (see § 30.805).
§ 30.220 Consolidated grants.
A consolidated grant is a grant funded
under more than oug grant authority by
EPA or a grant awarded in cooj unction
with one or more Federal agencies (e.g.,
Joint Funded Assistance). Application for and
award and administration of a consolidated
grant must conform to this Subchapter, ex-
cept as the Director, Grants Adrti'nistr.ilion
Divis'ori, may otherwise direct wit.ii resppcl
to-s'.i'r.tantutory requirements. Those condi-
tions and procedures \vill conform to fim
Subchnp'cer to the greatest extent practicable.
[43 FR 28484, June SO, 1978]
§ 30.225. Foreign grants.
(a) A foreign grant, as used in this
Part, means an EPA award for such proj-
ect, ell or p.riy pR'~t of which v, ill bi ;..2r-
formed in a foreign country by (1) a
U.S. grantee, (2) a foreign grantee, or
(3> an international organization.
(b) Grant applications for work per-
formed in the United States shall gen-
erally be given preference over applicaJ
tions for similar work to be performed iri
a foreign country.
(c) foreign grants shall -comply with
this Subchapter and shall be awarded
and administered pursuant to such ed-1
ditional conditions and procedures as
may be established by SPA. Grants or
agreements entered into with funds un-
der the Scientific Activities Oversew Pro-
gram which utilize U.S. •r.i*r..;cl axc?; and
(d) An adequate level of funding can-
not be obtained for the foreign work by
the applicant 'without financial support
from EPA.
§ 30.22S-S AllowabUily of costs.
(a) Travel costs are allo-.vu^le for. for-
eign Brants if. iirsniiaeiHu the application
a«d approved by SPA as part of tins grant.
agrefi'nent or if approved In writing by
EPA in advance of each trip.
(b) Indirect coats are not allowable
for foreign grants unless an estab-
lished or provisional Indirect cost rate
is in effect at the time of grant award.
In the case of 8, U.S'. grantee perform-
ing only a part of a project in a for-
eign country, indirect costs are al-
-------
FEDERAL REGULATIONS
lowed for that part of the work per-
formed in the United States.
[43 FR 28484, June 30, 1978]
HOI [Revoked, 41 FR 20656, May 20, 1976]
§ 30.225-4 Payments.
(a) All payments will be made In U.S.
currency unless otherwise specified in the
grant agreement. If payment Is made in
foreign currency, payments will be in an
amount equal'at the time of payment'to
the Units-d States dollars awarded,
Cb) Refunds and rebates should be
m-.rf.t In th; currency of the original pay-
r - ••.'• sod shall be in an amount equal,
»f, f.aa time of payment, to United States
dui.U£3 awarded.
§ 30.230 Grants sdmimslrsiion review.
The Director, Grants Administration
Division, shall conduct such review, as he
daezns appropriate, of the administration
of each EPA grant program or of grants
awarded by a particular EPA office to de-
termine compliance with the poll:-les and
procedures of this Subchapter ana to de-
termine farther steps necessary to imple-
ment § 30.200.
§ 30.235 Disclosure of information.
(a> EPA policy concerning release of
Information under the Freedom of In-
formation Act, 5 U.S.C: 552, is stated in
Part 2 of this Chapter. Applicants for
grants, grantees, and their contractors
should be aware that information pro-
vided to- EPA is subject to disclosure to
others pursuant t<5 the Freedom of Infor-
mation Act. In addition EPA acquires the
right, unless otherwise provided in a
grant agreement, to use and disclose
project data, pursuant to Appendix C to
this Part.
(h) Any person, who submits to EPA
any information under this Part, and
Who desires that EPA not disclose any
or all of the information,..may place on
(or attach to) the information, at the
time It is submitted to EPA, a cover
sheet, stamped or typed legend, or other
suitable form of notice employing lan-
guage such as "trade secret," "proprie-
. tary." or "business confidential." Alleg-
edly confidential portions of otherwise
non-confidential documents' should be
clearly Identified by the business, and
maybe submitted separately to facilitate
Identification and handling by EPA, Ap-
plicants should also comply with further
instructions in application forms con-
cerning the. assertion of confidentiality
claims! fc>ee'.§§ 2.i!03 and 2.204 of this
chapter.
[41 FR 36918, September 1, 1976]
(c) Unless a specific provision (special
condition) in the grant otherwise pro-
vides, Information submitted in an ap-
plication or other submission with a re-
strictive marking will nevertheless be
subject to the Government's duty to dis-
close information pursuant to the -Free-
dom of Information Act and the Govern-
ment's rights to utilize data pursuant to
Appendix C of this Part.
§ 30.245 Fraud and other unlawful or
corrupt practices.
(a) The award and administration of
EPA grants, and of subagreements
awarded by srs.nt-eoo under those grants,
ihust be accomplished free fro.cu bilbsry,
graft, kickbacks, and other corrupt prac-
tices, Tha grantee bears the primary .re-
sponsibility for tha prevention, detection
and cooperation in the prosecution of any
such conduct; Federal administrative or
other legally available remedies "will be
pursued, however, to the extent appro-
priate. ..
(b) The grantee must effectively pur-
sue available State or local legal and ad-
ministrative remedies, and take appro-
priate remedial action with respect to
any allegations or evidence of such ille-
gality or corrupt practices which are
brought to its attention. The grantee
must advise the Project Officer immedi-
ately -when such allegation or evidence
comes to its attention, aijd must periodi-
cally advise the Project Officer of the
status and ultimate disposition,of any
matter, including those referred pursu-
ant to Paragraph (c) of this section,
(c) If any allegations, evidence or even
appearance-of such illegality or corrupt
practices comes to the attention of the
EPA Project Officer,-he must promptly
report briefly in writing the substance of
the allegations or evidence to the Direc-
tor, EPA Security and Inspection Divi-
sion. When so advised by the Director,
EPA Security and Inspection Division, he
must bring the matter to the attention
of the grantee Car action.
(d) If any allegations, evidence or even
appearance of such illegality or corrupt
practices qomes to the attention of any
other EPA employee, he must promptly
report briefly in writing the substance of
the allegation or evidence.to the Director,
EPA Security and inspection Division.
(e) A person, firm, or organization
which is demonstrated upon adequate
evidence to have been involved in bribery
or other unlawful or corrupt practices on
a Federally-assisted project may be de-
termined nonrespon-iible and ineligible by
the Director, Or-i^.f .-• dministration Divi-
sion, or an EPA grant award or for the
award of a contract under an EPA grant,
pursuant to ? 30.340-2(c). The Director.
Grants Administration. Division, uiiail
make such determination whenevei; he
determines there is adequate evidence of
such involvement, after opportunity for
conference (with right oi- counsel) has
been afforded to the affected person, firm,
or organization. Such determination shall
be binding upon EPA grant personnel.
The Director, Grants. Administration Di-
vision, shall notify EPA cra-nt personnel
and other appropriate persons of such
determination or of any termination,
modification, or suspen-jlovi of tha deter-
mination. The grantee may appeal a de-
termination of the D'rector, Grants Ad-
• ministration "Division, made pursuant to
this section (see Sub a?':':, -I of'this yarr,>
Ei-'b^iirt B—v>jjy!u-'. -. „.< acid ;\*:<..\\
§ 30.300 PreapplicHtum procerivi <•*•«.
Ca) Informal inquiries by potential
grant applicants prior to applin-.tio:-. .ub-
mission are encouraged to .expedite prep-
aration and evaluation of the grant ap-
plicatiorudocuments. Such inquiries may
relate to procedural or substantive mat-
ters and may range from informal tele-
phone advice to pre-arranged briefings
of individuals or classes of potential ap-
plicants. Questions should be ducted to
the appropriate Environmental Protec-
tion Agency program office from which
funding is being sought or to the grants
administration office in Headquarters or
in the region in which the applicant is
located. Inquiries may be directed to
State officials for ipplications which in-
clude State participation in the review
process (e.g., grants for construction of
treatment works.)
(b) Submission of -preapplications to
EPA 53 encouraged for all research, dem-
onstration;- and training grant pro-
grams, to (1) establish communication
between EPA and the applicant; (2) de-
termine applicant's eligibility; (3) deter-
mine how well the project can compete
with similar applications; and (4) elimi-
nate- any proposal which has no chance
for funding.
•(c) An -.applicant submitting a preap-
plication to the grants administration of-
fice shall be promptly notified that (1)
the preapplication has been received; (2)
it has been forwarded to the appropriate
program for an expression of interest,
and (3) the program office will contact
the applicant directly regarding possible
followup action.
(d.) Generally, preapplication process-
ing requires 45 days and is not part of
the 90~day review period for foruial grant
applications.
§30.333 A-95 procedure;..
[41 FR 50656, M-jy 20, 1^76]
(a) Office of Management and Budget.
Circular A-95 (revised) (4.1. PR 2052,
Januiu-v 13, 1076) MI.'-!C!OS Tor SUte and
-------
areawide clearinghouse evaluation, re-
view, and coordination of Federally-
assisted programs and projects. There-
fore, applicants applying for a planning,
program, survey, demonstration, or con-
struction grant must comply with ap-
propriate coordination procedures out-
lined in the A-95 Circular. Generally,
coordination is required prior to "sub-
mitting an application. However, in cer-
tain cases clearinghouses will be afforded
the opportunity to comment during the
initial phases of project work in con-
junction with the development of plans
and application materials.
(b) A-S5 procedures ?.r.- •• ae but av-i
jidh J.i mi ted to the provis;.ius eet fortii
below in § 30.305-1 through J 30.305-9.
§ 30.305-*-! Specific area? o£ clearing-
house evaluution.
[41 FR 20656, May 20, 1976)
The-following specific areas are nor-
mally considered during clearinghouse
evaluation. It should be recognized, how-
ever, that clearinghouses are responsible
for the comprehensive planning nee'r'U of
their jurjsdic,-;;lonal area axidjmay, .there-
fore, consider areas other than those
listed.
(a) The extent to which the project Is
consistent with or contributes to the ful- -
"aliment of the State, ares.wide, and local
comprehensive plans.
Might be re vis''J. to increase its
effectiveness or efncier Properly planned community facil-
ities, including utilities for the supply of
power, water, and communications, for
the safe disposal of wastes, and for other
purposes; and
(7) Concern for high standards of de-
sign.
.(d) The extent to which the project
significantly affects the environment in-
cluding :
(1) The environmental impact of the
proposed project;
(2)^ Any adverse environmental effects
which cannot be avoided should tna pro-
posed project be implemented;
(3) Alternatives to the proposed proj-
ect; ~~
(4) Th-; relationship between local
short t&i-oi uses of man's environment
and the maintenance and enhancement
of long terra productivity; and
(5) Any irreversible or irretrievable
commitments of resources which would
be involved in the proposed project or
action, should it bo implemented.
(e) The extent to which the project
contributes to more balanced patterns
of settlement and delivery of services
to all sectors of the area population, in-
. eluding minority groups.
(f) In the case of a -project for which
assistance is being sought by a special
purpose unit of government, whether the
unit of general local government having
jurisdiction over the area in which "the
project is to be locatsd has applied for
or plans to apply for assistance for the
same or a similar type project.
§ 30.305-2 Notification'of inierit (A-95,
Port I).
[41 FR 20656, May 20, 1976]
(a) General (for specific requirements
for the construction grants program see
§30.305-8). Applicants or potential ap-
plicants for assistance under an KPA
grant are required to notify both State
and areawide planning and development
clearinghouses, in. the jurisdiction in
which the project is to be located, ot their
intent to apply for EPA assistance. In the
case of an application in any State for
an activity that is Statewide or broader
in nature (such as for various types of
research) and does not affect nor have
specific applicability to areawide or local
planning and programs, the notification
need be sent only to the State clearing-
house. Involvement of areawide clear-
inghouses in the1 review in such cases will
be at the initiative of the State clearing-
house. If notification of intent to apply
for" EPA assistance was not furnished
the clearinghouse^), the completed ap-
plication must be submitted to the clear-
inghouse^) prior to submission to K?A..
However, prior notification of intent to
apply is preferable to submitting thf final
cwrrolf-ted application. In add'^'n,
grantees must notify State and areawide
clearinghouse^) of any major modifica-
tions in a project. The current list of EPA
grant programs which must comply with.
the A-95 procedures are listed below. Any
additions to this listing will be indicated
In the Catalog of Federal Domestic As-
sistance (see §30.305-2.c.<5»..
(I) 66.001-Air 'Pollution Control Pro-
gram Grants;
<2) 66.005-Air Pollution Control Bur-.
vey and Demonstration Grants;
. <3) 60.451 Solid and Hazardous
Waste Management Program Support
Grants;
(4) 66.452 Solid Waste Management
Dem castration Grants;
|42 FR 56050, October 20, 1977]
(5) 66.41&-Construction Grants for
Wastewater Treatment Works;
(6) 66.419-Water .Pollution Control-
State and Interstate Program Grants;
(7) 66.420-Water Pollution Control-
State and Local Manpower Program De-
velopment;,
(8) 66.426-Water Poll'.ition Control
Stats and Areawide Wast;; Treatment
Management Planning Grants;
(9) 66.432-State Public Water System
Supervision Program Grants;
(10) 66.433-State Underground Water
Source Protection Program Grants;
(11) 66.505-Water Pollution Control-
Research, Developmental, and Demon-
stration Grants (Demonstration only);
(12) 66.506-Safe Drinking Water Re-
search and Demonstration Grants (Dem-
onstration Only);
(13) 66.600-Environmental Protection
Consolidated Grants-Program Support;
(14) 65.602 FnvironmentalProtef.vlM.
Consolidated Grants—Special Purpose;
(15) 66.453 Solid Waste Management
Training Grants;
(16) 66.504 Solid Waste Disposal Re-
search Grants.
(17) 66.700 Pesticides enforcement
and applicator training and certifica-
tion grant program.
(18) 66.438 Water: pollution control
Slate management assistance grants.
[43 FR 28484, June 30, 1978]
Applications from Federally recognized
Indian Tribes are excluded from this re-
quirement. However, they may voluntar-
il5' participate in the procedures of this
section am: arc encouraged to do so. EPA-
will notify the appropriate State and
areawide clearinghouse (s) of any appli-
cations from Federally recognized Indian
tribes upon their receipt.
(b) Notification will normally precede
the preparation of the application. It will
be mailed to the clearinghouse at tJie
earliest feasible time to assure maximum.
time for effective coordination and to
avoid delay In the timely submission of
-------
FEDERAL RECURATIONS
the completed application to EPA. Ear-
llest feasible time means at such time
as the applicant determines it will de-
velop an application.
{c) The notification to eacn clearing-
house will be accompanied by a summary
description which should include the fol-
lowing:
(1) Identity of the applicant agency
organization, or individup,!.
.(2) The geographic location of the
project to be assisted. A map should
be provided, if appropriate.
(3) A brief description of the proposed
project by type, purocse, general size
or scale, estimated cost, LwieSciari.es, or
other characteristics which will enable
the clearinghouses to Identify agencies
of State or local government having
plans, programs, or projects that might
be affected by the proposed projects.
(4) A statement as to whether or not
the applicant has been advised by EPA
that he will be required to submit en-
vironmental impact Information in con-
nection with the proposed project.
(5) The EPA program title and num-
ber under which assistance will be sought
as indicated in the latest Catalog of Fed-
eral Domestic Assistance (The Catalog
is Issued annually in the spring and is
updated during the year). In the case of
programs not listed therein, programs
will be identified by Public Law number
or U.S. Code citation. Applicants uncer-
tain as to appropriate program identifi-
cation should contact the EPA program
or grants administration office.
(6) The estimated date the applicant
expects to formally file an 'application.
(7) When available any more detailed
documentation describing the proposed
project '(e.g., plans and preapplication
material).
§ 30.305—3 Ti's*f l-r.iiu-.iiun.-.
[41 FR 20656, May 20, 1976]
I.A) Time limitations. (1) State and
areawide clearinghoiise(s) may have a
period of 30 calendar days after receipt
of a project notification of intent to ap-
ply for assistance in which to inform
State and multistate agencies.and local
or regional governments or agencies that
may be affected by the project, to ar-
range, as may be necessary, to consult
with tha applicant thereon and to com-
plete review and submit comments to the
applicant. If the review cannot be com-
pleted during this period, however, the
clearinghouse(s) rnay work with the ap-
plicant in the resolution of any problems
raised by the proposed project during the
peric-c in which the application is being
cotr>fiie!-?d. Clearinghouses are strongly
uv-ic- ' ..•! !>>iil'i' ftiH-'Uc-v.'j'.-; '? t--..ey caimof.
uoif.pici.ii their review within the 30 day
comment period.
(2) When no notification of intent to
apply for assistance, has been submitted
and the clearinghouse has received in-
stead a completed application, it may
have 60 calendar days from date of re-
ceipt to review the completed applica-
tion. However, if clearinghouses cannot
complete their • reviews within a 30 cal-
endar day period they are strongly urged
to give the applicant formal notice to
that effect at the beginning of the com-
ment period. Where reviews have been
completed prior to completion of an ap-
plication, a copy of the completed ap-
plication, will be supplied to the-clearing-
house, apon requeafc, when the applica-
tion is submitted to EPA.
(b) Submission of Comments. Q)
Areawide clearinghouses will include, as
attachments to their comments: (i) all
written comments submitted to the area-
wide clearinghouse by other jurisdictions,
agencies, or parties, when they are at
variance with the- clearinghouse com-
ments; "and (ii) a list of parties from
whom comments were solicited.
(2) Applicants will include with the
completed application all comments and
recommendations made by or through
clearinghouse (s), with a statement that
such comments have been considered
prior to submission of the application.
Where no comments have been received
from a ' clearinghouse(s) a statement
• liiust be included with the application
that the procedures outlined in this sec-
tion have been followed and that no com-
ments or recommendations have been
received
§ 30.305-4 EPA processing.
[41 FR 20656, May 20, 1976)
(a) Applications that do not evidence
that both areawide and State clearing-
houses have been given an opportunity to
review the application' will be returned
to the applicant with Instruction to ful-
fill the requirements of Part.I of OMB
Circular A-95.
(b) Any comments accompanying ap-
plications must be utilized in evaluating
the applications.
(c) EPA will notify clearinghouse (s)
within seven (7) working days of any
major action taken on applications re-
viewed by the clearinghouse (s). Major
actions will include awards (including
subsequent Step 3 and Step 3 awards for
waslewfiter treatment projects), rejec-
tions, returns lor amendments, deferrals,
or withdrawals. The standard multipur-
pose form, Standard Form 424, as pre-
scribed by .Federal Management Circular
74-7, will be used for tnis purpose.
(d) Where a clearinghouse has rec-
o'-'.niended ;i;"'.:~\";t approval o° an np-
;:Vacation or an::-, val only wth speei^c
and major substantive chances, and EPA
approves the project without incorporat-
ing the recommendations 01 the clearing-
house, EPA will provide the cleariiig-
house, in writing, with an explanation
therefor along with the notice of action
under subsection 30.30.5-4c.
(e) Where a clearinghouse has recom-
mended against approval of a project be-
cause it conflicts with or duplicates
another Federal or Federally-assisted
project, the EPA program oftiee review-
ing tha application will consult with the
agency or agencies assisting the refer-
enced projects prior to approving the ap-
plication.
(f) Ii comments accompanying: an ap-
plication from a special purpose unit of
government indicate thai; a similar ap-
plication is forthcoming from the gen-
eral purpose unit of government In the
areas in which the applicant and/or the
proposed project is located, preference
will be given to the general purpose unit
as specified In Section 402 of the Inter-
governmental Cooperation Act of 1968.
Where such preference cannot be so $r '.
corded, EPA will notify in writing, t....-
unit of general local government and the
Offlce of Management and Budget of the
reasons therefor.
§ 30.305—5 Programs requiring stale
plans and jointly funded projects (A—
95 Part Hi). " • "
[41 FR 20656, May 20, 1976]
(a) Applicability. This section ap-
plies to air pollution control program
grants, water pollution control State
and interstate program grants, solid
and hazardous waste management pro-
gram support grants, State publiq
water system, super-vision program
grants, State underground water
source protection program grants, safe
drinking water State and local pro-
gram development- grants, and envi-
ronmental protection consolidated
grants-program support to the extent
they involve State-plans.
[43 FR 28484, June 30, 1978]
(b) Definitions. (1) State Plan. A State
plan is a plan prepared by a State agency
that includes any required supporting
planning reports or documentation that
indicates the programs, projects, and
activities for whlcix SPA. funds will- be-
used.
(2) Jointly Funded Projects. A jointly
funded project 'is a. project for which
assistance Is i,oughi, on. a combined or
coorrHa-.-i-r^d basis, involving two or more
Federal programs or funding authorities.
(c) Etvkw. (1) Prior to funding any
grant requiring, by ctatute or SPA ud-
r-'jT'.stravt''^ regulator's, a State plaa
E> a CQiidU'Cii of f J..!j-..>nv:
-------
ernor, of bis designated agency, has been
given the opportunity to comment on the
relationship ol the program to be funded
to the Stats plan; EPA encourages the
Governor to include the appropriate
urea wide clearinghouse in State plan re-
view.
(2) Prior to funding a jointly funded
•project, the EPA program office'must
insure that the State and areawlde clear-
inghouse (s) have been given the oppor-
tunity to comment on the relationship of
the proposed jointly funded project to
State or areawide comprehensive plans
and programs.
(d) Tims Limitations and Subiiiission-
cf Comments. (1) The Governor or his
designated agency may have a period of
45 calendar days for review and com-
ment.
(2) Applicants must secure and submit
with the application comments received
pursuant to i 30 3-J5-5C. If the applicant
fails to receive eorrunents within the pre-
scribed 45 calendar day period, a state-
jaent must be include': with the appli-
cation that the p.-ocetu^ss oxitlined in
this section have been .oHowed and no
comments or recommendations have
been received.
§ 30.305**6 Coordination of planning in
imillij'uriMiielional areas (A—95, Fart
IV). ~~
[41 FR 20656, May 20, 1976J
(a) Applicability. This section applies
only to Water Pollution Control State
and Areawide Waste Treatment Man-
agement Planning Grants.
(b) Requirements of Applicants. (1)
Applicants for State and Areawide
Waste Treatment Management Planning
grants must demonstrate in the application
that 'the proposed activity is consistent and
takes into account the relationship with af-
fected State, local and Federal programs,
and with othei applicabk- resomce and de-
velopmental planning pro.-'rarns in the multi-
jurisdictional. areas.
..l KPA
of application for Step 1 assistance. The
submission of the POcS and related ma-
terials shall constitute a notification ol
intent to apply for assistance as provided
in § 30.305-2 and § 30.305-3 above. The
clearinghouse shall have 30 calendar days
to review the POS and related rnateriois.
The comments of ttie clearinghouse "-
Jardity ?"!-;in, cx% if n..> jjiib1,;,. i.^.-r ..g h
liyld, & re;-sonfjyie time I;*:ure s-i. .rnic-
tal of s. ia.c;lic.y plan to the St,iJ: is in-
-------
FEDERAL REGULATIONS
tended to result in award of an EPA
grant or contract.
(b) Unsolicited proposals received by
any organizational element of EPA shall
be forwarded immediately to the Grants
Administration Division for official "re-
ceipt and processing. The Grants Admin-
istration Division will acknowledge re-
ceipt to the person or organization
submitting the proposal and transmit the
proposal to the appropriate program of-
fice for evaluation. If the program office
decides' to consider the proposal for a
grant award, a grant application pur-
suant to § 30.315 will be required, If the
proposal is to be recommended for fund-
ing under the contract mechanism, ap-
propriate notification will be forwarded
from the program office to the Grants
Administration Division for cjoseout of
the file.
§ 30.315 Application requirements.
Submittals which substantially com-
ply with this Subchapter shall be deemed
to be applications. An application shall
include the completed application .Corrn,
technical documents and supplementary
materials furnished by the applicant.
Submittals which do not substantially
comply with this Subchapter shall be re-
turned to the applicant.
§30.315-1 Signature.
(a). Applications must be signed by the
applica-.t, er a person authorized to obli-
gate the applicant to the terms and con-
ditions of the.grant, if approved. At least one
copy of the application must have an original
signature.
(b) Each gr'-tnt application shall con-
stitute an.offer to accept the require-
ments of this Subchapter and the terms
and conditions of the grant agreement.
(c) An applicant may be prosecuted
under Federal, State, or local statutes for
any false statement, misrepresentation,
or concealment made as part of an ap-
plication for EPA grant funds.
[43 FR 28484, June 30, 1978]
§ 30.315-2 Forms.
The following forms shall be used in
applying for an EPA grant.
Typ^ of applicant
Type of —
application Other Mian SUU State ond l
Not applicable EPA Form
57W-33.
and local
Pn-jpp!:c.ltion EPA Firm 5700- EPA Fom
(I.•'''.; l.i.-il). 12 .-r •; irinV. 57l>0~30
Ue^'.tri'h. Time of submission.
Applications should be submitted well
in advance of the desired grant award
date. Generally, processing of a complete
grant application requires 90 days after
receipt of the application by EPA.
§30.315—4 Piace of sabmission.
Place of submission varies with type
of grant for which application is being
made. Therefore, instructions regarding
place of submission are included in each
grant application kit.
§ 30.320 Use and disclosure of informs
tion.
(a) All grant applications, preappli-
cations, and unsolicited proposals, when
received by EPA, constitute agency rec-
ords. As such, their release may be re-
quested by any member of 'the public
under the Freedom of Information Act,
5 U.S.C. 552, and must be disclosed to the
requester unless exempt from disclosure
under 5 U.S.C. 552(b). EPA regulations
implementing 5 U.S.C. 552 are published
in Part 2 of this Chapter.
(b) An assertion of entitlement to con-
fidential treatment of part or all of the
information in an application may be
made using the procedure described in
§30.235ib). See also §52.203 and 2.204
of this chapter.
[41 FR 36913, September 1, 1976)
(c) Any person who submits a grant.
application, preapplicaUon or unsolicited
proposal to EPA shall be deemed by EPA
to have thereby consented to review of
that application, preapplication or pro-
posa.l by extrr>.:r.uxal review-?rs. as .'••!->-
propriste under ; ••"KlhO'L1,) of this Ch <.;>-
ter, unless a specific and conspicuous
statement to the contrary appears on the
face of the document. Extramural re-
Viewers' recommendations' shall not be
disclosed.
(d) 11 a grant or sub-agreement Is
awarded to a submitter in response f'~ Uis
application, preapplication or unso!i';-'.'>?d
proposal, EPA shall treat the information
in the application, preapp!k-.'.Uon, un-
solicited proposal or resulting grant or
contract as available to tb> public and
free from any limitation •vi use or dis-
closure, -notwithstandi-n.: •.'.ly pro-
vided by special condi...:i ^ -lie suint.
§ 30.325 Evaluation of application.
Each applicant shall be notified that
the application has been received and is
in the process of evaluation pursuant to
this Subchapter. Each application shall
be subjected to a (a) prelirhiii:-'r.' admin-
istrative review to determine ae com-
pleteness of the application, (b) program,
technical, and scientific evaluation to
determine the merit and relevance 01 the
project to EPA program objectives, (c)
budget evaluation to determine whether
proposed project costs are eligible, rea-
sonable, applicable, and allowable, and
(d) final administrative evaluation. Rec-
ommendations and comments received
as a result of extramural review pursuant
to § 40.150(a) of this Subchapter shall be
considered in the evaluation process.
§ 30.330 Supplemental information.
The applicant, may, at any stage dur-
ing the evalu?'. ion process, be requested
to furnish documents or information re-
quired by this Subchapter and necessary
to complete the applkv.tion. The evalua-
tion may be suspends,; until such addi-
tional information or documents have
been received.
§ 30.335 Criteria for award of grant.
Each application shall be evaluated in
accordance with the requirements and
criteria established purr.uartt to this Sub-
chapter end prornulgtiJvd herein. Pro-
grara award criteria, may be found in
Parts 35/40, 45,'and 46 of this Gubchap-
ter. Grants may be a^'ard^d without
regard to substatutory critsnv in excep-
tional cases if a deviation ivimiant to
t-vbpart I of this Subcniphpr l\n.- new.
approved.
-------
mine, prior to .award of any grant,
whether an applicant will, qualify as a
responsible grantee. A responsible
grantee is one which meets, and will
maintain for the life of the grant, the
minimum standards set forth in § 30..-
340-2 and such additional standards as
may be prescribed and promulgated for a
specUic purpose.
§ 30.340-1 Genera! policy.
The award of grants to applicants who
are not responsible is a disservice to the
public, which is entitled to receive full
benefit from the award of grants for the
protection and enhancement of the en-
vironment. It frequently is inequitable
to the applicants themselves, who may
.suffer hardship, sometimes even finan-
cial failure, as a result of inability to
meet grant or project requirements.
Moreover, such awards are unfair to
other competing applicants capable of
performance, and may discourage them
from applying for future grants. It is
essential, therefore, that precautions be
taken to award grants only to reliable
and capable applicants who can reason-
ably be expected to comply with grant
and project requirements,
§ 30.340-2 Standards.
To qualify as responsible, an applicant
must meet and maintain for the life of
the proposed grant the following stand-
ards as they relate to a particular
project:
(a) Have adequate financial resources
for performance, the necessary experi-
ence, organization, technical qualifica-
tions, and facilities, or a firm commit-
ment, arrangement, or ability to obtain
such (including proposed subagfee-
ments) ;
(b) Be able to comply with the pro-
posed or required completion schedule
for the project;
(c) Have a satisfactory record of in-
tegrity, judgment, and performance, in-
cluding in particular, any prior perform-
ance upon grants and contracts from the
Federal Government;
(d) Have an adequate financial man-
agement. Dystcm. and audit procedure
which provides efficient- arid effective
accountability and control of all prop-
erty, funds, and assets. Applicable stand-
ards are further defined in § 30.800;
-------
FEDERAL REGULATIONS
§ 30.355 Continuation grants-
(a) When an original grant award In-
cludes a provision for more than one
budget period within the project period,
EPA presumes that continuation grants
for the subsequent budget periods will
be awarded, subject to availability of
funds and Agency priorities, as deter-
mined by the Administrator, if the
grantee:
(1) Has demonstrated satisfactory
performance during all previous budgat
periods, and
(2) Submits no later thsun 90 days i^ilor
to the end of the budget period a con-
tinuation application which includes a
detailed progress report; a financial
statement for the current budget pe-
riod, including an estimate of the amount
of unspent, uncommitted funds which
will be carried over beyond the term of
•the prior grant; a budget for the new
budget period; an updated work plan re-
vised to account for actual progress ac-
complished during the current budget
period; and any other reports as may be
required by the grant agreement.
(b) Review of continuation applica-
tions will be conducted expeditiously.
Generally, no extramural review will be
required. ~
- (c) Costs incurred after the end of the
previous budget period may be allowed
under the continuation, grant provided
that no longer than 30 days has elapsed
' between the end of the budget period and
the execution of the continuation grant
agreement.
Subpart C—Othar Federal Requirements
§38,400 General grant conditions.
It shall be a condition of every EPA
grant award that the" grantee comply
with the applicable provisions of this
subchapter and special conditions in
the grant agreement (see § 30.425).
[43 FR 28484, June 30, 1978J
§ 30.405 Statutory conditions.
Compliance with the following statu-
tory requirements, in addition to such
other statutory provisions as may be
applicable to particular grants or grant-
ees or classes of grants or grantees, is a
condition to each EPA grant.
§ 30.405—1 National Environmental Pol-
icy Act.
Tne National Environmental Policy
Act of 1969, 42 U.S.C. 4321 et seq.. as
amended, and regulations issued there-
under, 40 CFR Part 6, particularly as it
relates to the assessment of the environ-
mental impact of federally assisted proj-
ects. Where r.n environmental assess-
ment Is required by 40 CFR Part 6, an
adequate environmental assessment must
be prepared for each project by the
applicant or grantee,
§ 30.405-2 Uniform Relocation Assist-
ance and Real Property Acquisition
Policies Acl.
The Uniform Relocation Assists, ac*
and Real Property Acquisition Policies
Act of 1970, 42 U.S.C. 4621 et seq., 4651
et seq., and the regulations Issued there-
under, 40 CFR Part 4. Grantees must assure
that any acquisition of interest in real prop-
erty or any displacement of persons, busi-
nesses, or farm operations is conducted iu
corapliaiice -.vita the rcquirerneiib of th ; act
and the regulations.
[43 FR 28434, June 30, 1978]
§ 30.405-3 Civil Rights Act of 1964.
The Civil Rights Act of 1964, 42 U.S.C.
2000a et seq., as amended, and particu-
larly Title VI thereof, which provides
that no person in the United States shall
on the grounds of race, color, or national
origin be excluded from participation in,
be denied the benefits of, or be subjected
to discrimination under any program or
activity receiving Federal financial as-
sistance, as implemented by regulations
issued thereunder, 40 CPR Part 7. The
grantee must assure compliance with the
provisions of the Act and regulations.
§ 30.405-4 Federal Water Pollution
Control Acl Amendment.* of 1972,
Section 13.
Section 13 of the Federal Water Pollu-
tion Control Act Amendments of 1972 (86
Stat. 816) provides that no person in the
United States shall on the grounds of sex
be excluded from participation in, be de-
nied the benefits of, or be subjected to
discrimination under any program or ac-
tivity receiving assistance under the Fed-
•eral "Water Pollution Control Act, as
amended (86 Stat. 816) or the Environ-
mental Financing Act (86 Stat. 899). The
applicant or grantee must assure compli-
ance with the provisions of section 13
and the regulations issued thereunder in-
cluding 40 CFR Part 12.
§ 30.405-5 Tide SX of the Education
Amendments of 1972.
Title IX of the Education Amendments
of 1972, 20 U.S.C. 1681, et seq., provides
that no person in the Unit-ad States
shall, on the basis of sex, be excluded
from participation in, be denied the
benefits of, or be subjected to discrimina-
tion under any educational pr.rv;':u as-
sistance.
§ 30.403-6 Hatch Act.
The Hatch Act, 5 U.S.C. 1501 et seq.,
as amendsd, i elating to ceitaln political
activities of certain State and local em-
ployees. State and local government
grantees must ensure compliance on the
part of their employee- who are covered
by the Hatch Act. A Sf ute or local officer
or employee is coveted by the Hatch Act,
on political activity if his principal em-
ployment is i.i connection, with an ac-
tivity which is financed in whole or in
part by loans ov grants made by the
United. States or a F?rVral iger.?y. He
ic subject to the /-ct, i' -, ~- norr,>. 'I and
foreseeable incident to his principal job
or position, he performs duties < •. con-
nection with an activity fina•:•. i^c1 in
whole or in part by Federal J.j_. riuL,L b<"-
3.ccornp:ciit.-d by llie cc-ni'menus of An
area wide comprehensive planning agency
covering the /e!:-uo..j;,hj;; o" tho vircposr-d
;:-r:'>Lct to the planned c, ,v'.-»;.r.iont of
the area. The laterw-rrrvtierstal Cccp-
10
-------
EPA GRANTS
eration Act of 1968, 42 U.S.C. 4201 et seq.,
as amended., requires coordination, by
and among local, regional, State, and
Federal agencies with reference to plans,
programs, s_nd development projects and
activities. Compliance with these two
Acts is ensured by adherence to proce-
dures in OM'B, Circular No. A-95 • (re-
vised) (38 FR 32874, Nov. 28, 1973). Ap-
plicants must follow the coordination
procedures established by that Circular
prior to submitting an application (see
§30.305).
30,40^-10
Act.
Flood Diss
Protection
(p.) General. (1) The flood Disaster
Protection Act of 1973 (Pub. L. 93-234,
December 31, 1973), requires grantees to
purchase flood insurance on and after
March 2, 1974, as a condition, of receiving,
any form_of Federal assistance for con-
structiorfpurposes or for the acquisition
of any real or nonexpendable personal
property in an identified special flood
hazard area that is located within any
community currently participating in the
National Flood Insurance Program. The
National Flood Insurance Program is a
Federal program, authorized by the Na-
tional Flood Insurance Act of 1968, 42
U.S.C. 4001-4127, as amended.
(2) For any community that is not
participating in the flood insurance pro-
gram on the date of execution of the
grant agreement by both parties, the
statutory requirement for the purchase
of flood insurance does not apply. How-
ever, after July 1, 1975, or one year after
notification of identification as a flood-
prone community, whichever is later, the
requirement will apply to all identified
special flood hazard 0,reas. within the
United States, which have been deline-
ated on Flood Hazard Boundary Maps~or
Flood Insurance Rate Maps issut-d by the
Department of Housing and Urban De-
velopment (HUD). Thereafter, no finan-
cial assistance can legally be provided
for real or nonexpendable personal prop-
erty or for construction'purposes in these
areas unless the community has entered
the program and flood insurance is pur-
chased.
(3) Regulations pertaining to the Na-
tional Flood Insurance; Pregx*arn..are pub-
lished in 'TIMc-T:--; of-the Code of Jf-^J; ~;.l
Regulatior:, commencing at Part !•'r.
HUD guidelines regarding the rnaii'..j.-
tory purchase of insurance have been
published in the FEDERAL REGISTER at 39
FR 2618-1-53, July 17, 1974. Additional in-
formation may be obtained from the re-
gional offices of the Department of Hous-
ing and Urban Development, or from the
j'-jdr-Tn) Irsirranr.'e Administration, HUD,
Washington, D.C. 20410.
(b) "Wastewater treatment construc-
tion grants. (I1 The grantee (or the con-
struction contractor, as appropriate)
must acquire any flood insurance made
available bo it under the National Flood
Insurance Act of 1968 as amended begin-
ning with the period of construction and
maintain such insurance for the entire
useful life of the project, if the total
value of insurable improvements is
£10,000 or more.
(2) The amount of insurance required
is the total project cost, excluding facili-
ties which are uninsurable under the Na-
tional Flood Insurance Program such '•'.-">
bridges, dams, water and sewer lines, and
underground structures, and excluding
the cost of the land, or the maximum
limit of coverage made available to the
grantee under the National Hood Insur-
ance Act, whichever is less.
(3) The required insurance premium
for the period of construction is an allow-
able project cost.
(c) Other grant programs. (1) A
grantee must acquire and maintain 'any
flood insurance made available to it un-
der the National Flood Insurance Act
of 1968, as amended, if the approved
project includes (i) any construction-
type activity, or (ii) any acquisition vof
real or nonexpendable personal property,
and the total cost of such activities and
acquisition is §10,000 or more.
(2) The amount of insurance required
is the total cost of any insurable non-
expendable personal or real property ac-
quired, improved, or constructed, exclud-
ing the cost of land, with any portion of
this grant, or the maximum limit of cov-
erage made available to the grantee un-
der the National Flood Insurance Act,
as amended, whichever is less, for the
entire useful life of the property.
(3) The required insurance premium
for the period of project support is an
allowable project cost.
14> I£ EPA provides financial assist-
ance for personal property to a grantee
that the Agency has previously assisted
with respect to real estate at the same
facility in the same location, EPA must
require flood insurance on the previously-
assisted building as well as on the per-
sonal property. The amount of flood in-
surance required on the building will be
based upon its cnvrent value, ho^vver,
and not on the • amount of assistance
previously provided.
§ 30.405-11 Clean Air Act, S.-s-th.n 306.
Section 305 of the Clean Air Act, 4,2
U.S.C. 1857h-i, as- amended, prohibiting
award of assistance by way of griwit,
loan, or contract to noncornnlyinK faci'i-
it.ws (see 5 30.410-4, Executive Order
11738)
§ 30.405-12 Federal Water PoJhuion
Control Act, Section 508.
Section 508 of tta- '.-"edeiaJ Water Pol-
lution Control Act, 33 U.S.C. 1251, as
amended, prohibiting award of assistance
by way of grant, loan, or contract to
noncom.plying facilities (see § 30.410-4,
Executive Order 11738).
§30.410 Executive Orders.
Compliance with the following Execu-
tive Orders is a condition of each EPA
grant.
§ 30,410-1 Exeoi live Onrl.-r 11 246.
Executive Order 11246 ctatcc! Septem-
ber 24, 1965, as amended, with regard to
equal employment, opportunitvss, and all
rules, regulations and procedures pre-
scribed pursuant thereto (40 CFR Part
8).
§ 30.410-2 Executive Order 11988.
Executive Order 11988 dated May
24, 1977, provides that each Fe leral
agency shall evaluate the potential ef-
fects of any actions it may take in a
floodplain. Any action taken on a
floociplain shall seek to reduce the risk
of flood loss to minimize potential
harm to people and property and lo
restore and preserve the natural and
beneficial values served by the flood-
plain.
[43 FR 28484, June SO, 1978]
§ 30.410-3 Executive Order 11514.
Executive Order 11514 dated March 5,
1970, providing for the protection and
enhancement of environmental quality
in furtherance of the purpose and policy
of the National Environmental Policy
Act of 1969 (40 CFR Part 6).
§ 30.410—4- Executive Order 11738.
Executive Order 11738 dated Septem-
ber 12, 1973, which prohibits any Federal
agency, grantee, contractor, or subcon-
tractor from entering into, renewing, or
extending any nonexernpt grant or sub-
agreement (contract or subcontract)
which in the performance of the grant
or subagreement utilizes any facility in-
cluded on the SPA List of Violating Fa-
cilities (^O.CvTi Part 15). By so doing,
the Executive Order requires compliance
with the Clean Air Act and the Federal
Water Pollution Control Ar.': (see § 30.-
420-3).
§ 30.-UO-5 Executive Ordt-r 1131)1).
Executive Order 11990 dated May
24, 1977, provides that each Federal
EiRency. to the extent permitted by
law, shall avoid under!, akin^ or provk1-
;rr: '<-r,si--tp.n"e for rc-v construction lo-
cated in wetlands unless the head of
11
-------
FEDERAL HEGDLATtOiMS
the agency finds that there is no prac-
ticable alternative to such construc-
tion, and that the proposed action in-
cludes all practicable measures to
minimize harm to wetlands
[43 FR 28484, June 30, 1978]
§ 30.415 Additional requirements—fed-
erally assisted construction.
Grants for projects that involve con-
struction are subject to the following ad-
ditional requirements.
§ 30.415-1 Davis-Bacon Act.
The Davis-Bacon Act, p.s amended, 40
U.S.C. 276a et seq., ajid the regulations
issued thereunder, 29 CFR 5.1 et seq., re-
specting wage rates for federally assisted
construction contracts in excess of $2,000.
§ 30.415-2 The Copeland Act.
The Copeland (Anti-Kickback) Act, 18
U.S.C. 874, 40 U.S.C. 276c, and the regu-
lations issued thereunder, 29 CFR 3.1 et
seq.
§30.415-3- The Contract Work Hours
and^Safety Standards Act.
The Contract Work Hours and Safety
Standards Act, 40 U.S.C. 327 et seq., and
the- regulations issued thereunder, 29
CFR Parts 5 and 1518.
§30.415-4 Convict labor.
.Convict labor shall not be used in EPA
assisted construction unless it Is labor
performed by convicts who are on work
releas'erparole or probation.
§ 30.420 Additional requirements all
EPA grants.
Compliance with the following require-
ments is a condition of each EPA grant.
§ 30.420—1 Prohibition against contin-
gent feea.
No person or agency may be employed
or recained to solicit or secure a grant
upon an agreement or understanding for
a commission, percentage, brokerage, or
contingent fee. For violation of this pro-
hibition, EPA shall have the right to an-
nul the grant without liability or in its
discretion to deduct 'from the grant
award, or otherwise recover, the full
amount of any commission, percentage,
brokerage -or contingent fee.
S 30.420-2 Officials not to benefit.
No member of, or delegate to Congress
or Resident Commissioner, shall be per-
muted to ariy share or part of a grant, or
to any benefit that may arise therefrom;
but r:n> i->-ovis:on shall not be construed
'-i <...:-•'-.a ::• a. fn^r.: U' mide v.'U'i .". cor-
P<:v; iion for its general benefU.
§ 30.42O— 3 Prohibition sgainsl violating
facilities.
(a) List of violating facilities. Pur-
suant to 40 CFR Part 15, the Director,
Office of Federal Activities, EPA, shall
maintain a list that includes those fa-
cilities which have been designated to be
in noncompUance with either the Clean
Air Act or the Federal Water Pollution
Control Act and with which no Federal
agency, grantee, contractor, or subcon-
tractor .shall enter into, renew, or extend
any nonexempt grant, contract, or sub-
contract. For the purpose of this sub-" ac-
tion, the tern, "facility" rucar.-, - ;i >y r-i.v id-
ing, plant, installation, structure, mine,
vessel or other floating craft, location, or
site of operations owned, leaded, or su-
pervised by an applicant, contractor,
subcontractor, or grantee to be utilized
in the performance of 'a grant, contract
or subcontract. Where a location or site
of construction or other operations con-
tains or includes more than one building,
plant, installation, or structure, the en-
tire location or site shall be deemed to
be u facility, except where the Director,
Office of Federal Activities, EPA, deter-
mines that independent facilities are co-
located in one geographic area.
(b) Exempt transactions. The follow-
ing are exempt: - --
(1) Grants, contracts, and subcon-
tracts not exceeding $100,000.
(2) Contracts and subcontracts for in •
definite quantities that are not antici-
pated to exceed $100,000 for any 12
month pprinr!.
(3) Grants, contracts, or subcontracts,
where the principal purpose is to assist
a facility or facilities to comply with any
Federal, State, or local law, regulation,
limitation, guideline, standard, or other
requirement relating to the abatement,
control, or. prevention of environmental
pollution-. This ssenivMcsp. doe's hct&aply
to (i) subcontracts' for--materia!s, sup-
plies, or equipment where an existing fa-
cility is modified or altered or (ii) grants,
contracts, or subcontracts for new" con-
struction.
(4) . Facilities located outside tha
United States.
(5). The foregoing exemptions shall
not apply to the use of a facility that lias
been convicted of a violation under sec-
tion 113(c)(l) of the Clean Air Act, or
under section SOLKo) of thr- Federal
Water Pollution Control Act. The List of
Violating Facilities will specify which fa-
cilities li'.vv'e bicn convicted.
(c) Crant condition. Ko non?xsmpt
project work may be performed at a. fa-
cility listed hv the Director O^-c <.'
(d) Contract stipulations. PJach
grantee, contractor, and subcontractor
must include or cause to be Included in
every nonexempt subagrceiru-iit (includ-
ing contract or subcontract) the criteria
and requirements in p:-.*•?.graphs (d)
through Cf) of this sectio'.i.
(e) Notification.. Earlv applicant,
grantee, bidder, contractor, ;:nd subcon-
tractor must give prompt notification if
at any time prior to or after the award of
a nonexempt grant or contn-ic':,, notifica-
tion is received from the Direo''.or, Office
of Federal Act!''.'" ".-s, infJlc?.tlr.fj .^rirerncnt
has been listed or is under consideration
to bg listed on the EPA List of Violating
Facilities.
(1) An applicant or grantee must no-
tify the project officer.
(2) A bidder, contractor or subcontrac-
tor must notify the grantee which will
notify the Project Officer,
(f) Deferral of award,. The Director,
Office of Federal Activities, EPA may re-
quest that the award of the grant, con-
tract or subcontract be withheld for a
period not to exceed 15 workins days.
(g) Compliance. Each applicant,
grantee, bidder, contractor, and subcon-
tractor must comply with all the require-
ments of Section 114 o.f the Clean Air
Act and section 308 of the Federal \Vai-er
Pollution Control Act relating to inspec-
tion, monitoring, entry, reports, and in-
formation as well as h}\ other require-
ments specified in seetu-n 114 and sec-
tion 308 of the Clean Air Act and Federal
Water Pollution Control Act, respectively,
and all regulations and guidelines issued
thereunder.
(h) Failure to comply. In the event any
grantee, contractor or subcontractor fails
to comply with clean air or water, stand-
ards at any facility used in tho- perform-
ance of a nonexempt grant or subagree-
ment, tho grantee, contractor, or sub-
contractor shall undertake the neces-
sa ry corrective action to bring the facility
into compliance. If the grantee, con-
tractor, or subcontractor is unable or un-
able of unwilling to do so, the grant will
be suspended, annulled, or terminated, in
whole or in part, urjlesr, the best interests
of the Government wo old not thereby be
served.
reqiuremenr;
40 CFR Part 15.
-------
former HTpA employees j>erforming duties
as an elected or appointed official or full
time employes of a State or local govern-
ment (excluding State or local institu-
tions of higher education and hospitals).
(b) It is EPA policy that personal or
organizational conflict of interest, or the
appeeoraries of such conflict of interest, be
prevented, in the award and administra-
tion of EPA grants, including subtree-
merits.
(c) Conflict of interest provisions for
EPA employees are published in 40 CFK
Part 3. In ca-jf-s where an employee's ac-
tion in the i.'svip-v, avra.vcl, ci- ?^tr!±nisf'-ta-
tion of a gr.. at r^-oV.t cc 'aft ;-i.a apparent
cnnfl'ct of tj;:';.-'.:•*•;. the employee shall
disqualify him:.-.-'^ and refer any neces-
sary action to h<.-. superior.
(d) 18 tr v-'-. 207 establishes penalties
for certain .-..-.'iioAs on ths part of formsr
Federal employees.
(e) It shali be improper for a grant to be
awarded, or for a subagreement to be
awarded or approved, when the grant ap-
plicant or proposed contractor employs a
person who served in EPA as a regular
employee or a 5. i special employee if either
one of the following conditions exist:
(1) If the grant relates to a project in
which the former SPA employee partici-
pated personally and substantially -as an
EPA employee, through decision, ap-
proval, disapproval, recommendation,
and if 'the former EPA employee (i) was
involved in developing or negotiating the
application for the prospective grantee;
(ii'i will be involved in the management
or administration of the project, or (iii)
has a substantial financial interest (gen-
erally, a 20% or greater stock, partner-
ship, or equivalent interest);
(2) If the former EPA employee's offi-
cial duties involved, within one year prior
to the termination of his employment
with SPA, decision, approval, disap-
proval, or recommendation responsibili-
ties concerning the subject matter of the
grant or application, and the former EPA
employee, within one year following the
termination of his employment with
EPA, (i) was involved in develoning or
negotiating the application for the pro-
spective grantee/, (ii) will be involved in
manae'-nierit or administration of the
project; or OH) has a substantial finan-
cial intei-V^t (generally a 20% or
greater stock, partnership or equivalent
interest) ;
[43 FH 23484, June 30, 1978]
(?) Costs incurred on grants in viola-
tion of subparagraph (e) above shall be
unallowable costs.
(g) Definitions pertaining to this sec-
tion may be found in 40 CPR 3.102.
th) The provisions of this section may
be waived only by the Administrator or
Deputy Administrator (1) upon a written
determination of the General Counsel
that the award or the administration of
the .project would not be likely >:o involve
a violation of 18 U.S.C. 207 or other EPA
regulations respecting- conflicts of inter-
est, 40 CFR Part 3, and (2) n the Ad-
ministrator or Deputy Administrator de-
termines -that the best interests of the
Government would be ser «red by an award
of the grant or subagreerajnt or existing
administration of the gnu-it in v'-^w of
the Iirai'ced extent of the con?A::i of inter-
est and the outstanding expertise of the
former employes.
§ 30.420-5 Employment prariices.
A grantee or a party to a subagreement
shall not discriminate, directly or in-
directly, on the grounds of race, color,
religion, sex, age, or national origin in
its employment practices under a-.;y proj-
ect, program, or activity receiving as-
sistance from EPA. Each grantee or party
to a subagreement shall take aHrrms.tive
steps to ensure that applicants are em-
ployed and employees are treated during.
employment without regard to race,
color,. religion, sex, age, or national
origin.
.§ 30.420—6 Conservation and efficient
use of energy.
Grantees must participate in the Na-
tional Energy Conservation Program by
fostering, promoting, and -achieving
energy conservation in their grant pro-
grams. Grantees 'must utilize to the
maximum practical extent the most
energy-efficient equipment, materials,
and construction and operating proce-
dures available.
§ 30.425 Special conditions.
The grant agreement or any amend-
ment thereto may include special con-
'ditions necessary to assure accomplish-
ment of the project or of EPA objectives.
However, special conditions inconsistent
with the provision and intent of this
Subchapter may not be utilized.
§ 30.430 Noncompliance.
Noncompliance with the provisions
of this subchapter or of the grant
agreement shall be cause for any one
or more of the following sanctions, as
determined appropriate by the grant
award official, upon the recommenda-
tion of the Project Officer, subject to
consultation with the Office of Gener-
al Counsel:
(a) The grant may be terminated or
annulled under § 30.920 of this sub-
chapter;
(b) Project costs directly related (
the noncompliance may be disallowei
(c) Payment otherwise due to th
grantee may be withheld (see §30,61!
3 of this subchapter);
(d) Project work may be suspends
under §30.915 of this subchapter"
(e) A noncomplying grantee may fc
found nonresponsible or ; '.eligible fc
future Federal assistance or a noncon
plying contractor may be found nonn
sponsible or ineligible for approval fc
future contract award, under EP.
grants;
(f) An injunction may be entered c
other equitable relief afforded by
court of appropriate jurisdiction;
(g) Such other administrative or ji
dicial action may be instituted as ma
be legally available and appropriate.
[43 PR 28484, June 30, 1378]
Siibpart D—Patents,-Data, and Copyrigh;
§ 30.500 Genera!.
This subpart sets forth, policy and prc
cedure regarding patents, data, and copj
rights under EPA grants or fellowship,
ana the grant clauses and regulatior
which define and implement that polic:
§ 30.502 Definitions.
Definitions applicable to this Subpai
D, in addition to those in § 30.135, s
• set forth in Appendixes B and C tr,
Part.
§30.505 Required provision re;,:;;
patent uind copyright infringervtnl.
(a) The grantee shall report ..to th
Project Officer, promptly and in reason
able written detail, each notice or clain
of patent, -or copyright infringemen
based on the performance.of this .gran
of which the grantee has knowledge.
(b) In the event of any claim or sui
against the G-overnment, on account o
any alleged patent or copyright infrmse-
ment arising out of the performance o
this grant or out of the use of any i-.'.zp
plies~ furnished or work or services ptf
formed hereunder, the grantee shall fur
nish to the Government, when requestei
by the Project Officer, all evidence an<
information in possession of the grantei
pertaining to such suit or claim. Sucl
evidence and information shall be fur
iiished at the expense of the Govern
ment except where the grantee ha,
agreed to indemnify the Government.
(c) The grantee shall include in eacl
subagreement (including any tier sub'
agreement) in excess of $10,000 a clausi
substantially similar to the foregoini
provisions.
§30.510 Patents and inventions.
It is the policy of EPA to allocati
rights to inventions that result from fed-
13
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FEDERAL
erally supported grants or fellowships in
accordance with the guidance and cri-
teria set forth in the Statement of Gov-
ernment Patent Policy by the President
of the United States on August 23, 1971
(38 PR 16887), hereinafter referred to
as "Statement." Ssction 1 of the State-
ment sets forth three major categories
(Ha), Kb), and He)) of contract or
grant objectives, and prescribes the man-
ner for allocation of rights to inventions
that result from a grant or contract
which falls-within the particular cate-
gory.
(a) Under Section Ha) of the State-
ment, the United States, at the time of
grant award, normally wcjuires or re-
serves the right to ace airs '.rjs principal
or exclusive rights to any invention made
under the grant or contract. Generally,
this is implemented by the United States
taking all domestic rights to such inven-
tion. However, section Ha) permits the
grantee in exceptional circumstances, to
acquire greater rights than a nonexclu-
sive license at the time of grant award
where the Administrator certifies that
such action will best serve the public
interest. Section Ha) also prescribe cir-
cumstances .under which the grantee or
contractor may acquire such greater
rights after an invention is identified.
(b) Under section Kb) of the State-
ment, the grantee normally acquires
principal rights at the tir"' wf grant
award.
(c) Section He) applies to grants that
are not covered by Section Ha) or Kb),
and provides that allocation of rights is
deferred until after inventions hav^ •;
identified.
§ 30.515 Required patent provision.
(a) Every EPA grant involving research,
developmental, experimental, or demon-
stration work shall be deemed subject to
Section Ha) of the Statement and shall
be subject to the patent-provisions set
forth in Appendix B to this'Part.' The re-
quirement is not applicable to fellow-
ships.
(b) Inventions made under the Re-
source Conservation araS R*rovery Act of
1076 are subject to section 9 of the Fed-
eral Non-nuclear Energy Research and
Development Art. of 1974. This is imple-
mented by Appendix B.
[42 FR 56050, October 20, 1977]
§ 30.520 Optional patent provision.
The following clause may be inserted
as a. sptcial condition in the grant agree-
ment when requested by an applicant or
grantee:
Authorization sind consent. The Goirern-
meno h.:n-!/,' jjlvja it.; .'Uthoj*/:stiua and con-
sent for all use anci manufacture of any in-
vention described In and covered by a patent
of the United States, in the performance of
this grant project or any part hereof or any
amendment hereto or any subagreBment
hereunder (including &ny lower tier sub-
contract) .
§ 30.525 Dala and copyrights.
EPA's data policy 'is to expedite gen-
eral utilization or further development of.
new or improved pollution prevention
and abatement technology and proce-
dures developed under EPA'grants and
fellowships. Therefore, it is most impor-
tant that the results of EPA sponsored
research include data that is sufficient, to
enable those ski)lad. in the particular area-
to promptly utilize or further develop
such technology and procedures. Avail-
ability of adequate data permits ac-
curate assessment of the progress
achieved under a grant or fellowship so
that EPA priorities can be established.
Access to data accumulated by the
grantee shall be made available to the
Project Officer on Teeniest.
§ 30.530 Required data and copyright
provision.
Every EPA grant or fellowship shall be
subject to the rights in data and copy-
rights provisions set forth in Appendix C
to this Part.
§ 30.540 Deviations.
Any request for deviation from the
patent provisions in Appendix B and
from the rights in data and copyrights
provisions in Appendix C to this Part
must be submitted in writing pursuant
to Subpart I of this Regulation. No de-
viation or waiver of patent or data rights
shall be granted without the concur-
rence of the EPA Patent Counsel.
Subpart E—Administration and
Performance of Grants
§ 30.600 General.
The grantee bears primary respon-
sibility for the administration and suc-
cess of the grant project, including any
subagreements made by the grantee for
accomplishing grant objectives. Although
•grantees are encouraged to seek the ad-
vice and opinions of EPA on problems
that m^y fvriSe, the giving" of such advice
shall not shift the responsibility for frrial
decisions to EPA. The primary concern
of E?A Is th&.t ,?rant funds awarded be
Uofed in conformance with appl;.c^b"e
Federal requirements to achieve ^ra;i;;.
and program objectives and to make op-
timum contributions to ths betterment
of the envi:\inrr. :-:i;,.
§ 30.605 Access.
The grantee and its contractor and
subcontractors must ensure that the
Project Officer and ar.y ruiiharized rep-
resentative of EPA, the Comptroller
General of the United Status or the De-
partment of Labor, shall at till reason-
able times during the period of EP-V
•grant support and until thr-'te years fol-
lowing" final settlement 'nave access ta the
facilities, premises and records (as de-
fined in § 30.805) related to f'ns project.
In addition, any person desKnated by the
Project Officer shall have access, upon
reasonable notice to the gr'rilee by the
Project Of"c'.r, to vis': the :' voK:'i''j and
premises related to the project. A?] sub-
agrcements (including any tiarsubAsrei:-
ment) in excess of $10,000 are sujj-ct to
the requirements of this section and
grantees must include in all such sub-
agreements e. clause which will ensure
the access required by this section.
§-30.610 ttehiidgesing of funds.
(a) Notice. Prompt notification of all
rebudgeting in excess of $1,000 is re-
quired under § 30.900(b). Such notifica-
tion may be accomplished by submission
of a revised copy of the budget forms
contained in the grant application or in
a latter.
[43 FR 28484, June 30, 1978]
(b) Prior approval required. Approval
of minor adjustments to an approved
budget is not required. Prior written EPA
approvnl is required for any of th1: fol-
lowing changes under any grant except
wastewater treatment construction
grants (sea Part 35, Subparts C and E of
this subchapter) :
'(1) Where the total Federal''share
exceeds $100,000 and the cumulative
amount of transfers among cost cate-
gories or program elements-exceeds or
is expected to exceed $10,000 or 5 per-
cent of the budget period costs, which-
ever is greater.
(2) Where the total Federal share is
$100,000 or less, and the cumulative
amount of transfers among cost cate-
gories or program elements exceeds or
is expected to exceed 10 percent of
such budget period costs.
[43 FR 23484, June 30, If'Va]
(3) Rebudgeting which involves tha
transfer 01 amounts budgeted for indirect
costs to absorb increase; in direct, rr^w:
(41 T^abi-.d^ting which r'-'tain- t-'vh :
B-u'.atifH'. GI iturns i -.-u'ju ici~ H^V/OV il ;;_ir-
siiiuit to Federal fviJi-uigeirierJ; Circular:;
73-3 and 74-4;
(5) Any transfer) wlv.peu ro;isLri.:c-
t'on P. ad j.oi.cOi-'SUUi;1. lot! • "-1-'•'-',
14
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(6) Any transfer of funds allotted for
training allowances (direct payments
to trainees);
[43 FR 28484, June 30, 1978]
(7) RebudgetJng which indicates the
Ee^-l 'or additional EPA funds. -
W) Approval. Where approval of re-
budgeting is fAquired, approval or disap-
proval shali be promptly communicated
In •writing to the grantee •within three (3)
is'eeks from date of receipt of notification.
§"30.615 Payment.
All payments are made subject to such
corvi.it.ioi>?. as are imposed fty or pursuant
to this Subchapter for allowable project.
costs. The payment basis and method of
payment -will be set forth in the grant
agreement. Any adjustment to the
amount of payment requested by a
grantee -will be explained in writing.
§ 30.61S-1 Method of payment,
[41 FR 56196, December 27, 1976]
(a) Payment for waste treatment con-
struction grants will be on a reimbursa-
ble basis (see §§35.845, 35.937-10; 35.93a-6,
and 35.945).
[43 FR 28484, June 30, 1978]
, (b) Payment for other grant programs
will be on an advance basis. Grantees
must request the initial advance payment
on SF270, Request for Advance or Re-
imbursement. The initial advance •/;••! be
based on the grantee's projected cash
requirements, not to exceed the first
three months. The cash advance will be
issued either in one check or one check
each month at. the agency's option. As
the grantee incurs expenditures under
the grant, the grantee will submit & re-
quest- for payment at least quarterly,
but generally no more frequently than
monthls'. Th?r request will report cumu-
lative expenditures incurred under the
grant and the grantee's projected cash
requirements for the next advance pe-
riod. The agency will make payment'for
any expenditure exceeding the previous
advance and will provide for the grant-
ee's projected cash requirements for the
next advance period.
fc) Payrneat for certain grants au-
thorized 'advance; financing will be made
bv ietter-C'I'-oreUiu. Detailed procedures
will be provifjecl to iho grarttf: wn:;n a
grantee meets the Treasury JJepart-
msnt's criteria, for this method of pay-
ment.
(d) For grants paid on an advance ba-
sis, payment, will be made in a manner
that will minimize the time elapsing be-
tween the transfer of funds from the
T-j-it?cl Gtatf-s Treasury and the dis-
b;;jrserrsent oc those funds by the rjranlefc.
Ft>r grants which are paid on a reim-
bursable basis, payment will .be made
promptly upon submission by the grantee
of the properly completed payment re-
quest. Grantees not complying with the
timing requirements under advance pay-
ment methods may be transferred to the
reimbursable payment method.
§ 30.615—2 Cash depositories.
(a) Physical aggregation of cash de-
positories for EPA funds is neither re-
quired nor encouraged. However, a
separate r-k xcount shall be used
when pay-iii.-m-.-j under -. .^ifcar of credit
are made on a "check:,-paid" basis in
accordance with ligre-Turfftts entered into
by "the grantee, SPA, and the ~bank
involved.
[41 FR 56196, December 27, 1976]
i, (b) Grantees are encouraged to use
minority-owned banks (a bank which
is owned by at least 50 percent minor-
ity group members). A list of minority
owned banks can be obtained from the
Office of Minority Business Enter-
prise, Department of Commerce,
Washington, B.C. 20230.
J43 FR 28434, June S'o, 1978]
§ 30.615^3- WithhoHiag of funds.
(a) It is EPA policy'that'lull and
prompt payment be made to the
grantee for eligible project costs.
Except as otherwise provided by this
subchapter, the EPA grant approving
official may only authorize the with-
olding of a grant payment where he
determines in v/rK'ng tha.:, a grantee
has failed -to comply with project ob-
jectives, grant award conditions, or
EPA. reporting requirements. Under
such conditions, the EPA grant award
official will inform the grantee by
written notice that payments will not
be made for "obligations- incurred after
a specified date until the conditions
are corrected. Such withholding shall
be limited to that amount necessary to
assure compliance.
(b) The grant.approving official may
authorize withholding of payment to
the extent of any indebtedness to the
United States, unless he determines
that collection nf the indebtodnssiwill
impare accon-.nlinhment of the project
objectives and that continuation of
the project is in the best interest of
the United States.
[43 FR 28484, June 30, 1978]
§.30.615-4 Assignment.
The rriht. to receive payment trtirhr a
grtuii inky not be assigned, nor may pay-
ments due under a. grant be similarly
encumbered.
§ 30.620 Grant related income.
(a) "Grant related income" means-in-
come generated from charr.es which are
directly related to r. principal project
objective (such tj-3 tas ,;,aJs of e. 6o!!d
waste by-product or of cr-p'es of reports
or studies) except as 0'sV.rme provied by
statute or the grant agreement.
[43 FR 23-184, June 30, 1978]
(b) S7.c-2p.t- as other,*- ,'33 {"""<''»• 'ctel
herein t, jfiotes is uccc :.!-:. •.,;>.'.-,_,,- i,o ;-.;v\
for all grrant related iuco.-v--. Grenr -rf
are required to record the rece'i',. :,:.„,•.;
expenditure of all grant related 1 :-./.-_a5.
The net amount of such income shall be
retained by the grantee and, except ai may
be otherwise provided in the grant agree-
ment, shall be used to further support the
project; or for giants with institutions of
higher education, hospitals, and other non-
profit organizations may be used to finance
the non-Federal share of the project, if ap-
proved by EPA. To the extent such funds .ire
not used for the project, such amounts s*'i:Jl
be deducted from the total project costs for
the purpose of determining the net costs on
•which the EPA share will be based. In no-
event will EPA be entitled to a credit in
excess of the grant amount.
[41 FR 56196, December 27, 1976]
(c> Revenue generated \ _;der the gov-
erning powers of a Sta'-s or loc?l govern-
ment which may hava bssn generated
without grant support i- not considered
grant related income. Such revenues
shall include fines or penalties levied
under judicial or penal power and used
as means to enforce laws;- license or per-
mit fees for the purpose of regufetlon,
special assessment to abate nuisances
and public irritations, inspection fees,
and tases,
g 30.620-1 Proceed from sale of reel
or personal property.
Income derived from the sale of real
or personal property shall be treated to'
-accordance with § 30.810.
§ 30.620-2 Rovahies received hw
ant! pastnls.
[41 FR 56196, December 27, 1976]
Unless the grant -agreement provides
otherwise, grantees (other than .profit
making) sh-.ll have no obligations to
EPA with respect to royalties they re-
ceive as a result of copyrights or patents
produced under the grant. However,
nothing in this section shall be cor.-
strued to clLoinish ui eliminate fuij
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FEDERAL REGULATIONS
ftghts or privileges Sowing: to the Fed-
eral Government as a result of the pro-
visions of 40 CFR Part 30, Appendix B—
Patents and Inventions or Appendix C—
Rights in E>ata and Copyrights.
30.620—3 Interest earned on grant
funds.
(a) AH -grantees except those listed
below must return to EPA all interest
earned on Federal funds pending their
disbursement for project purposes (see
42 Comp. Gen. 239),
(b) The only grantees exempt from
this requirement are:
(1) A State and any asency or instru-
mentality of a State. r>.---:dH-.r their dis-
bursement for project purposes (Sec-
i;ion a03 of the Intergovernmental Co-
operation Act of 1968, 42 U.S.C. 4201
et seq.); and
(2) A tribal organization (sections
102, 103. or 104 of the Indian Self De-
termination Act. Pub. L. 93-638).
[43 FR 28484, June 30, 1978]
§ 30.625 Grantee publications and pub-
licity.
Pursuant to the Government Printing
and Binding Regulations, no grant may
ba awarded primarily or substantially for
the purpose of having material printed
for the use of any Federal Department
or Agency.
§ 30.625-1 Publicity.
Press releases and other public dis-
semination of information by the grantee
concerning the project work shall ac-
knowledge EPA grant support.
§ 30.625-2 Publications.
(a) Policy. EPA encourages and, when
specified in the grant agreement, may
require publication and distribution of
reports of grant activity. The prepara-
tion, content, and editing of publications
are the responsibilities of the grantee.
Except for the final report, review of
publication.^ prior to distribution will
not normally be made by EPA, Grantees
must give notice in writing to the Project
Officer at least 30 days prior to publica-
tion or other dissemination of project
information (other than publicity) un-
less a shorter period has been approved
by-the Project Officer. This notice policy
is intended to provide the EPA Project
Officer with a minimal opportunity to
discuss publication format, content, or to
coordinate appropriate Agency activi-
ties; censorship is not intended nor
permitted. This procedure does not apply
to seminars, participation on panels, re-
porting to olh^r research sponsors, or
other similar ronpublishincr activities.
(b) Acknt-'Wl'-'iiyement of support. Avt
acknowledgement of EPA support must
be made in connection with the publish-
in i: :.f ;::.v r-.itt-nri: based on, or devel-
oped under, a project supported by EPA.
The acknowledgement shall be in the
form of a statement substantially as
follows:
This project his been financed (In part/
entirely) with Federal funds from the En-
vironmental Protection' 'Agency~under "grant
number The contents do not neces-
sarily reflect- the view's and policies of tr.e
Environmental Protection Agency, r.or does
mention of trade names or commercial prod-
ucts constitute endorsement or recommenda-
tion tor use.
(c) Copies of publications. Upon pub-
lication, a minimum, of six copies of the
publication shall b.? furnished to the
Project Officer. Ths Project .OLIcer shall
promptly file one copy of all publications
resulting from EPA grant support in the
official EPA grant file, EPA Headquarters
Library, and with the National Technical
Information Service, U.S. Department of
Commerce.
§ 30.625-3 Signs.
A project identification sign shall be
displayed in a prominent location at each
publicly visible project site and facility
(e.g., mobile laboratories, construction
and demolition sites, buildings in which
a substantial portion of the work is EPA-
funded, etc.). The sign must identify the
project and EPA grant support. Grantees
may obtain information pertaining to the
design and specifications for the signs
from their Project Officer. Costs of prep-
aration and erection of the project iden-
tification sign are allowable project
costs.
§ 30.630 Survc.vs and questionnaires.
(a) Costs associated with the collec-
tion of data or information through sur-
veys or questionnaires by a 'grantee (or
party to subagreement) shall be allow-
able project costs only if prior written
approval of the Project Officer has been
obtained for such survey or question-
naire. The Project Officer shall not give
such approval without the concurrence
of the EPA Headquarters Roports Man-
agement Officer to assure compliance
with the Federal Eeports Act of 1942
(44 U.S.C. 3501-3511).
(b) A grantee tor party to subagree-
ment) collecting information from the
public on his own initiative may not rep-
resent that the information is being col-
lected by or fo.- EPA '.vithjut prior agency
approval. Tf teiere^ee '; to be nv.de !"->
EPA, or tlr- purpose of the grant is far
collection of information from the pub-
lic, prior clearance of plans and report
forms "ni'ct ijg recujste'"} by i.h,e r-:".'-:it-?"r
§ 30.635 Reports.
§ 30.635—1 Interim progrei^ reports.
(2.) It is EPA policy that where prog-
ress reports are required such reports
shall b; submitted to the r-oject Oulcer
no more frequently than- q^'iterly. Spe-
cific reporting requirements -re set forth
in Parts 35. 40, and 45 of this S .'.bchapter.
(b) Between the required performance
reporting dates, the gi-ant<:« shall
promptly notify the Project Officer, in
accordance with § 30.000-1, of events
which have significant impact upon the
project.
§ 30.635-2 Final report.
(a) For all EPA research, demonstra-
tion, and training k-'~ u;ts, the grantee
shaU prepare and sub:nit to the Proj-
ect Officer an acceptable final report
prior to the end of the project period. An
acceptable report shall document project
activities over the entire period of grant
support and shall describe the grantee's
achievements with respect to stated proj-
ect purposes and objectives. Where ap-
propriate, the report shall set forth in
complete detail all technical aspects of
the project, both negative and positive,
grantee's findings, conclusions, and re-
sults, including, as applicable, an eval-
uation of the technical effectiveness and
economic feasibility of the methods or
techniques investigated or demonstrated.
Grantees are required to submit a draft
final report to the Project O racer p.t- least
90 days prior to the end of the a;../.roved
project period. The final report shiul ade-
quately reflect (e.g., as a footnote or an
appendix) EPA comments '."hen required
by the Project Officer. Prior to the end
of the project period, one reproducible
copy suitable for printing and such other
copies as may be stipulated in the grant
agreement shall b° transmitted to the
Project Officer.
(b) State or local program grants and
grants for construction of waste treat-
ment works do not require a final report.
(c) For all planning grants, the plan
itself constitutes the final report.
(d> One copy of all final reports must
be filed in the EPA Headquarters Library
arid the appropriate EPA official grant
file.
§ 30.635—3 Financial rtrport.s.
(a) For nil EPA grauls, except f._>r fel-
lowships and \vaste\vater tiva.tr,ient ot>r>-
sLructioa tav-nts, the gra-'iu'- must, sub-
mit :- financial :-iat-js j-;jo;- to tiu-
grants administration o::-.«: (1) within
90 clays a'tcr the eno ul L-acl; budget
period, and i2> no Inter t:i:;ii 00 cl ivs
rjiiov'r: the •-•':<: ci *'.•_ ;•-. ••• ' , /n..;
or the ria!>? of complex- t--":ui::.tior. o!
16
-------
grant support, whichever occurs first, or
within such additional time as EPA may
allow for good cause.
(b) For wastewater treatment con-
struction grants, the grantee is required
to submit an Outlay Report and Re-
quest for Reimbursement for Construc-
tion Programs which will also serve as
the financial report.
§ 30.635—4 Invention reports.
As provided in Appendix B of this
Part, prompt, reporting- to the Project
Officer of all inventions is required for
EPA grants involving experimental, de-
ve'iopmental, research or demonstration
work. In addition:
(a) An annual invention statement is
required with a continuation application.
(b) A final invention report is re-
o.uired to be submitted to the grants ad-
ministration office within 90 days after
completion of the project period.
(c> When a project director or prin-
cipal investigator changes institutions or
ceases to direct a project, an invention
statement must be promptly submitted
to- the grants administration office with
a listing of all inventions during his ad-
- ministration of the. grant. ._ _._ _ . .. __
§ 30.635—5 Properly reports.
For all EPA grants a physical in-
ventory 01 property shall be taken by the
grantee and the results reconciled with
the grantee's property records at least
once every 2 years. The grantee shall, in
connection with the inventory, verify the
existence, current utilization, and con-
tinued need for the property.
•(b) For all EPA grants except grants
for construction, of waste treatment
works the -grantee must submit at the
end of each project period a complete- in-
ventory of all property for which the
grantee Ls accountable pursuant to § 30.-
810. The submission must indicate the
condition of each property item and rec-
ommendation for disposition. For the
purposes of this subsection property for
which the grantee is accountable means
(1) property ior which -disposition in-
struction.? must be requested from EPA,
or (2) cr'vo^rty for wJiich EPA nnu-;t be
compensated for its- share.
fc) lvor ail EPA grants, grantees shall
submit en av.iiual inventory of federally-
owned p-orverty in their possession.
[41 FR 56196, December 27, 1976]
. -lune 50, 1978]
§ SO.635—7 Compliance.
Failure to comply with these reporting
requirements in a timely manner "will re-
sult in appropriate action pursuant to
§30.430.
§ 30.610 Utilization of Government pro-
curement sources.
(a) Use of General Services Adminis-
tration sources of supply and services by
grantees is not allowed (see 37 FR 2-1113,
November 14, 1972).
(b) Utilization of Government excess
property by EPA grantees is not allowed,
§30.645 Force account work.
(a) Except as is otherwise provided in 40
CFR 35.936-14, the grantee -must obtain
specific written prior approval from the
Project Officer for the utilization of the "force
account" method (i.e., utilization of the
grantee's own employees for construc-
tion, construction-] elated activities, or
for facility repair or improvement) in
lieu of subagreement for any construc-
tion activity in excess of $10,000 unless
the force account method is stipulated in
the grant agreement.
(b) The Project Officer, with the
concurrence of the EPA grant approv-
ing official'.'-may authorize in writing
the use of the force account method in
lieu of contracting if he determines,
based on the grantee's certification,
that the grantee possesses the neces-
sary competence required to accom-
plish such work and (1) U~e work can
be accomplished more economically by
the use of the force account method,
or (2) emergency circumstances so dic-
tate.
[43 FR 28484, June SO, 1978]
(c) Authorizations to utilize the force
account method will identify applicable
Federal ; equirements and the allowa-
bility of various cost items.-
Subpart F—Project Costs
§ 30.700 Use of funds.
(a) All Federal assistance received
under an EPA grant shall be expended by
the grantee solely for the reasonable and
eligible costs of the approved project in
accordance with the terras of the grant
agreement and:this subchapter. All proj-
ect enpcnJitures by the grantee shall be
deemed to include the Federal fharc.
(b"> The grantee may not delegate .nor
transfer his responsibility for the u&s of
grant fund?.
(c) No profit or other increment above
cost in the nature of profit is allowed.
fi 30.705 Allowable costs.
Project costs shall be allowable if
payment is authorized by apphcHWf
statutory provisions and the following
conditions aae met:
(a) The costs must be reasonable and
within the scope of the project;
(b) The cost is allocable to the extent
of benefit properly attributable to the
project;
(c) Such costs must be accorded con-
sistent treatment through application of
generally accepted accounting princi-
ples;
(d) The cost must not be aliocable to
or included as a cost of any other fed-
erally assisted program in any account-
ing period (either r • vent orpr'.o-r); anc
(e) The cost must be in coinorrnitj
with any limitations, conditions, or ex-
clusions set forth In the grant agi-eemen1
or this Subchapter, including appropriate
Federal cost principles of this Subpart.
§ 30.70o-l Payment t«t consultants.
For all grants awarded by EPA, the
maximum daily rate paid to consul-
tants retained by EPA, grantees, or
contractors and subcontractors of
grantees v.ill not exceed the maximum
daily rate for GS-18. This limitation
applies only to consultation services of
designated individuals with-specialized
skills who are paid at a daily -or hourly
rnte. Contracts "negotiated with engi-
neering or other firms under §§ 33.510-
5 and 35.937-5 are not affected. This
rate does 'not include transportation
and subsistence costs for travel per-
formed, which will be paid in accord-
ance with the normal travel reim-
bursement practices. (SOURCE; The De-
partment of Housing and Urban De
velopment-lndependf-nt Agencies Ap-
propriation Act, 1078. Pub. L. 95-119.
dated October 4, 1B77.)
[43 FR 28484, June 30, 1978]
§ 30.710 Federal cosl principles.
The following cost principles are r.u
plicable to all EPA grants and subagrte
ments of grantees, except as othenvis
provided by statute or this Subchapter;
.(a) For state and local government:
Federal Management Circular 74-4 (3
CFR Part, 255) provides principle:. f«
determining allowable costs for all grant
and subagreements awarded to State an
local governments.
(b) For educational institutions. (1
Federal Mnnascrnevt Ciioi^ar 73-8 (3
CFR Part 254> provides co ;t principl*
- for re.seaveh and development, trainir,,
and other educational services umit
grants and subagreements with eclucr.
tioual institutions.
-------
F E D .r >! A' R r •?:)'. AT IO N S
(2) Federal Management Circular 73-6
(34 CFR Part 252) provides principles for
coordinating (i) the establishment of in-
direct cost rates for, and (ii) the 'auditing
of grants and subagxeements with edu-
cational institutions.
(c) For other nonprofit institutions.
Department of Health, Education, and
Welfare publication OASC-5 (Revised)
will be used for grants and subagree-
ments awarded to other nonprofit irJti-
tutions.
(d) For all other grants and. SKO-
agreements. Federal Procurement Regu-
lations (41 CFR Ch. I, Subpart 1-15.2 or
1-15.4, as appropriate) provide, to the
greatest practical extent, comparable
principles and procedures for use in cost-
reimbursement for all other grants and
subagreements.
[40 FR 20232, MC.J- 3. 1975, as amended at 41
PR 20C53, Hay 20, 197C)
§ 30.715 Direct and indirect costs.
(a) Project costs will generally be
comprised of allowable direct costs and
allowable indirect costs.
(b) Each item of cost must be treated
consistently as either a direct or an in-
direct cost.
(c) Any cost allocable to a particular
grant or cost objective under the appro-
priate Federal cost principles may not
be shifted to other Federal grant pro-
grams to overcome fund deficiencies,
avoid restrictions imposed by law or
grant agreement, or for other reasons.
§ 30.715-1 Direct costs.
Direct costs are those than can be
identified specifically with a particular
cost objective. These costs may be
charged directly to a project.
§ 30.713-2 Indirect cosls.
[41 FR 20656, May 20, 1976]
Indirect costs are those incurred ior
s, common or joint purpose but benefit-
ing more than one cost objective, and not
readily Identifiable to the cost objectives
sDeciScaUy benefited. Federal Manage-
ment Circulars 73-6 and 7-1-4 govern the
methods that may be used in determin-
ing the amount of grantee departmental
indirect cost allocable to a grant pro-
gram. These directives provide for tin1
assignment of cognizance to' single Fed-
eral Departments and agencies for con-
ducting indirect'cost negotiations anJ-
;i-Mlt.s at educational instituUoiii a no
fvat-e ancl local governments, Procedurr
eo'/'-THing the application and dispu.-.:
-lion of indirect costs for subtigieemem ^
\vii;-, civ>imtrclal organizations and
architectural :-md engineering firms ca •:
covered by 41 CFR 1-15.2.and :.-lf..4 re-
spectively. The rate(s) negotiated by the
cognizant Federal agency are normally
accepted by all Federal agencies. Orga-
nizations not covered by the abov.? dim:-.
tlves tnay have rates, established by
ucgotiaUon with EPA or another Fodertil
agency. The following guidance 2.3 fi;rv
nished:
(a) EPA uses the latest available-ne-
gotiated rate as a ba_sis for computing
indirect costs for the applicant. .In
those cases where the indirect cost
budgeted, in the grant agreement is
based on a provisional rate,.the actual
indirect costs may be adjusted only as
folio a-,:
(1) If a final rate is established and
that rate is less than the provisional
rate, the indirect, costs will be adjusted
downward.
(2) If a final rate is greater than the
provisional' rate, the grantee may
transfer funds from the direct cost
categories to indirect costs; however,
payment may not exceed the total ap-
proved grant amount.
[43 FR 2348*, June 30, 1973]
(b) A special indirect cost rate may be
applied to a project (or portion of n
project) to be carried out at an off-cam-
pus cr off-site location. A special indim.c
cost rate may be negotiated for a lurge
nonrecurring project when such proiect
costs would distort the normal direct cost
bass used in computing the overhear1
^t*
(c) The following guidelines are to
be used for determining thf» allowabi-
lity and reimbursement of indirect
costs claimed by a grantee:
(1) For indirect costs to be allowable
under a grant, they must be provided
for in the grant agreement.
(2) Provisional indirect cost rates
may be used for billing purposes under
EPA grants. Fixed or predetermined
indirect cost rales may also be used
where there is advance agreement be-
tween the grantee and the grant
award official.
(3) A separate ini. >rect cost proposal
must be prepared for each fiscal year
for which the grantee desires to claim
indirect costs. However, there are dif-
ferent requirements for State agencies
than for local agencies with respect 10
the submission of indirect cost propos-
als to the Federal Government: (i) All
Srat.8 unit, indirect co^t. proposals must
be submitted to the cogni/yanl federal
ac:i.'ucy within 6 n.untho ancv LI...- ; i <_:..;_•
of f-f>.ch fiscal year; and (iij local un;
Uiuirtxt ,:ost proposals nvi.-t b,- P--
i aimed but. net-a not be bub.-.;;, red for
i.pprovai unle.-.i requirtd for -i r-'tJi;l;iK
•-'rant n
zant Federal agency ..•:• i: J authorized
representative. Pertinent financial rec-
ords which substantial the claim for
indirect cost reimbursen'-nt must be
retained by the grRr.te--. If the re-
quired data is not letained and made
a'.ailable to the auditor upon his re-
quest at the time he inir.iat.es his audit
of grant costs, the claL.i for ind-irect
costs will be disallowed for that year.
(4) The audit of an indirect, cost, pro-
posal will provide the basis for deter-
mining acceptaK1--indirect cost rates.
[43 FR 28484, June-30, 1973]
g 30.720 Co,> ^,nr^,j.
(a) Except as may l>e oth,-5iv/'se pro-
vided by law or this Bubcha.pter, EPA
grantees must share project costs. If there is
no statutory matching requirement, a
cro.r.tes must contribute not less than 5%
of allowable project costs within ea-ch
budget period. Such contributions may
be reflected in either direct or indirect
;o^ts; in-kind contributions are permitted.
[41 FR 20656, May 20, 1976;
i and once analysis.
18
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§ 30.725-2 Price analysis.
A price-analysis Is the process of exam-
Loing and evaluating a prospective price
by comparison without eva.lii3.tior: of the
composition of separate cost elements
and proposed profit,
§ 30.725-3
A cost analysis 33 the i/rocess of exam-
ining, verifying and evaluating cost data
and the judgmental factors applied in
projecting from the basic cost data to a
rea.sonoble estimated price that will be
reprEs^v i.ativs of th^ total coot of IMT-
.tormance of the grant or negotiated sub-
agreement.
§ 30.725—4 Reequirements.
(a) A formal co?t analysis shall be
made and a summary of findings pre-
pared for all research, demonstration,
planning and training grant applications
deemed relevant and requesting "EPA
funds in eacess of $150,000 for the budget
period.
(b) A formal cost analysis shall be
made and a summary of findings pre-
pared for all grant applications from
profit making organizations deemed rele-
vant.
(c) Any other grant application or
subagreement may revive a cost analysis
where EPA's program office or grants ad-
ministration office considers it appro-
priate.
(d) Price analysis techniques may be
used instead of or to supplement cost
analysis wherever appropriate.
T.ubpart G—Grantse Accountability
§ 30.8CK) Financial management.
The grantee is responsible for main-
taining a financial management system
which shal? qrjpau?.te)y provide for:
(a) Accurate, current, and complete
disclosure of the financial results of e.i-ch
grant program in accordance with T£PA
reporting requirements. Accounting lor
project funds will be in accordance with
generally accepted accounting principles
and practices, consistently applied, re-
gardless of the source of funds.
f LO Record" which identify adequately
the source- ond application; of fund-; for
Er.H;it-.sii;'ported nctivit.ieK. These records
sh>iU c.'.vj.-ain information pertaining "to
grant award.1. -r:n! authorisation,?, • oblige-
tious, unoi't^ated balances, assets,
liabilities, O'.'.^.iys, and income.
fc'1 Kfiecti'/c- control over and ac-
ooiuitabiiity for all project funds, prop-
ert;-, and other Resets. Grantees shall
i...clrM'iatfrly :;aff?!i'j.id all such assets and
•- '•'.! :-.~.;^rt in'--' r.hey ave used solely for
(d) Comparison of actual with budg-
eted, amounts for each grant. If ap-
propriate and required by the grant
agreement, relation of financial informa-
tion with performance or productivity
data, including the production of unit
cost information.
(e) Procedures to minimi?."? the time
elapsing between the transfer of funds
from the U.S. Treasury and the disburse-
ment by the grantee, whenever fund;; are
advanced by the Federal Government.
When advances are rnac>- by a ??tter-o'-
credit method, the grantee shall make
drawdowns from the ~U 3. Treasury
through his commercial bank as close as
possible to the time of making the dis-
bursements.
(II Procedures for determining the
alienability and allocability of costs in
accordance with the provisions of
§ 30.705.
(g) Accounting records which are sup-
ported by source documentation.
(h) Audits to be made by the grantee
or at his direction to determine, at a
minimum, the fiscal integrity of finan-
cial transactions and reports, and the
compliance with the terms of the
grant agreement. Such audits shall be
made by qualified individuals who are
sufficiently independent of th-ose who
authorize the expenditure of Federal
funds.- Audits should be made in ac-
cordance with generally accepted au-
diting •• standards published hy tiie
General Accounting Office, Standards
for Audit of Governmental Organiza-
tions, Programs, Activities, and Func-
tions. It is not required that each
grant awarded a grantee be audited.
Generally, examiziation should be con-
ducted on an organization-wide ba~is.
The grantee will schedule such audiis
with reasonable .frequency, usually an-
nually, but not less frequently than
once every 2 years, considering the
nature, size and complexity of the ac-
tivity. The grantee shall provide EPA
with a copy of audits made by the
grantee or at his direction.
[43 FR 23434, June 30, 1378]
(i) A systematic method to assure
"time"1'', "me! D.ppro'pf'o.te resolution cf
aui-'v nndirgS' ar.,.1 recommendations.
§ 30.803 Rf-.-rdb.
The foHow'ii , rerord and audit policies
are applicable to all EPA F;>.'ants and to
all KUbagreesnents in cxcfs;; ,jf $10,000
under grants.
(a) The ;"T':,"fitee shall jnainu-uii hooks,
records, documents, and other 'evidence
tl;:J
and accounting procedures and practii
sufficient to reflect properly (1) •
amount, receipt, and disposition by
grantee of all assistance received for'
project, including both Federal assi
ance and any matching share or c'
sharing, and (2i the total costs of '
project, including all direct and inclir1
costs of whatever rriture inc'.-.rred for ;
performance of the project .-or which ':
EPA grant has been award,-!. In ad'
tion, contractors of granites, includ
contractors for professional serviij:
shall also maintain books, documei,
papers, and re'-ord'-. which are pertin,,1
to a specific EPA y;-'ut award. The fq".
going constitute ": •. cords" for the p"
poses of this subpa:!,. 'j
(b) The grantee'., records and the r;!
ords of his contractors, including P;;
fessional services contracts, shall be s'f
ject at all reasonable times to inspeotf1
copying-, and audit by EPA, the Coir
troller General of the United States, '.
Department of Labor, or any authorr''
representative. ~
(cO The grantee and contractors-
grantees shall preserve and n
records available to EPA, the Cori
troller General^pf the United State
Department pf..iabor^ or any autlffi
ized representative until expiration!
3 yearst except'that (1) if any lite
tion, claim, or audit is started befffi
the expiration of the 3-year peri*
the records shall be retained until?
litigations, claims, or audit findings^
volving the records have been st
solved, (2) records for nonexpeada^
property acquired with Federal fu.il
shall be retained for 3 years aft;'; ^
final"disposition, and (3) when rc-f.;'^
are transferred to or maintained 'f
EPA, the 3-year retention requirero1
is not applicable to the grantee. Th<
„.....* iCLcntion period starts (i) fri
the date of submission of the final.;:
nancial status report for proji:;
grants, or, for grants v, hieh are awss,
ed annually, from the date of the sS;
mission of the annual financial sta-S
report, (ii) from the date of appro-),
of the final payment request for ^
last project of a construction grant^
WWT works,-and -(iii) for such lony
period, if any, as is required by ap'j
cable Klatu"' „• or lawful requirement^
hy paragraph u:X2) (i) or (ii) of tf
section.
[« FR 28484, June 30, 1978]
(i' If afgrant is terminated conipls
or I'artialty, the rf .irds relating toj
work terminated sh.ill be preserved ':
made available lor a period of 3 yij
from the date o! any resulting final ',
mmatioR settlement.
-------
FEDERAL REGUL/
(ii> Records which relate to fa) ap-
peals under the Subpaxt J-Disputes, of
this Part, erty refers to
all tangible personal property 'includ-
ing consumable materials) other than
nonexpendable personal property.
§ 30.810—2 Purchase of property.
Expenditures of project funds for
property may be allowed as direct costs
only to the extent that such property is
necessary for the approved project dur-
ing the project period. Purchase orders
for purchase of personal property are
subagreements as defined in this Part.
giJO.UIO—3 Property m;maf,'oj«.-nt si.iml-
ariN.
The grantee's property management
standards for nonexpendable personal
property shall include as a minimum the
following elements:
(a) Accurately maintained property
records which include:
(1) A description of the property,
(2) Manufacturer's serial number,
model number, or other identification
number,
(3) Source of the property, including
contract or grant number,
(4) Whether title vests in the grantee
or the Federal Government,
. (5) Acquisition date (or date received,
if the property was furnished by the
Federal Government) and cost,
(6) Location, use, condition of prop-
erty, and date the information was
reported.
[41 FR 56196, December 27, 19761
(7) Ultimate disposition data, includ-
ing sales price or the method used to
determine current fair market value
where a grantee compensates EPA for
its share.
8) Unit acquisition cost.
[41 FR.^56196, December 27, 1976]
Cb> A physical inventory of property
that is taken, and the results reconciled
with the property records, at least once
every 2 years. The grantee shall, in con-
nection with the inventory, verify the
existence, current utilization, and con-
tinued need for the property.
(c) A control system which insures
adequate safeguards to prevent loss,
damage, or theft to the property. Any
loss, damage, or theft of nonexpendable
property shall be investigated and fully
documented. If the property was owned
by the Federal Government, the grantee
shall promptly notify the Project Officer.
(d) Adequate mj.inic;:;jnce proce-
dures which insure that the property is
maintained in good condition and that
instruments usfd for precision measure-
ment are perioUically calibrated.
(e) Proper sales proc- ... :.> for ur,-
needed -property which .. -;M provide
for competition to the exU-i.t practica-
ble and result in the hig'.x-st possible
return.
(f) Identification of property owned
by the Federal Government to indicate
Federal ownership.
§30.810-4 Tide to properly.
Except as may be otherwise provided
by law or in this Sub-chapter or in the
grant agreement, title to all real or per-
sonal property whoso acquisition cost is
a direct cost under a grant project shall
vest in the grantee, subject to such inter-
est in the United States as may be pro-
vided, for in trite Subchapter or i" the
grant agreement. For all property with
an acquisition cost of 510,000 or more per unit
the grantee shall assure that the interest of the
United States in the property is ade-
quately reflected and protected in com-
pliance with all recordntion or registra-
tion requirements of the Uniform Com-
mercial Code or other applicable local
laws.
§30.810-5 K«-al properly.
fa) The grantee shall use the rei-J
property for the purpose of the original
grant.
(b) The grantee .shall obtain jipprovM
from ;-.'.PA for the use of the real property
in other projects when the grantee deter-
mines that the property is no longer
'needed for the original grant purposes.
Use in other projects shall be limited to
those under other Fecler.il grant pro-
grams, or programs that have purposes
consistent with those authorized for sup-
port by EPA.
(c) When the real property is r.o
longer needed as provided in paragraphs
ia» and 'b) of-this section, the grantee
shall request -disposition instructions
from EPA.
(d) £13A shall observe the following
rules in the disposition instructions for
real property:
fl) In the case of real property fur-
nished by EPA or purchased wholly with
EPA funds, the grantee shall return all
such real property to the control of EPA.
(2) In the case of leal prope:iy pur-
chased in part with EP.A I'ur.ri? ,the qunr-
arri.ee, at the direction of the Project
Officer, may:
fi> Retain title with Federal restric-
tion removed, i" it compensate- tl>- F--.T.-
by applying- rhc Federal pe.-^cntafie of
pai ii.jipauon in the net ccst of th.; proj •
;ct U> the current fnir rr.Lvknt -..-.Ir.--1 of the
H-i:---rty. or
20
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(ii) Sell the property under guide-
lines provided by EPA, using proper
sales procedures that provide for com-
petition to the extent practicable and
result in the highest possible return,
and, except as provided in §30.810-
5(dX3), pay the Federal Government
an atnount computed by applying the
Federal percentage of participation in
the net. cost of the project to the pro-
ceeds from sale (after deducting actual
and reasonable selling and fix-up ex-
penses, if any, from the sales pro-
ceeds), or
[M FR 28484, June SO, 1973]
fr.i. > Tri'~isfer title of the property to
the Federal Government with its consent
provided that in such cases the grantee
shall be entitled to compensation com-
puted by applying the grantee's percent-
age of participation in the net cost of the
project to the current fair market value
of the property.
(3) In the case of real property pur-
chased in part with EPA funds allot-
ted for purposes set forth in §35.940-
3(a), the grantee, at the direction of
the Project Officer, may sell the real
property under procedures approved
-by EPA and may retain the amount of
the Federal interest, as determined in
§30.81CK5(dX2Xii), to be used solely
for paying the eligible costs (in accord-
ance with- §35.940) of the upgrading,
'expansion, replacement, or reconstruc-
tion of treatment works associated
.with the project.
[43 FR 28484, June 30, 1978]
§ SO.810—6 Fedr-rully-own.?ert !o meet other Agsncy re-
ciinreir.pnts; if not, EPA shall report the
araiiabilitv of the property to the Gen-
eral oervirr". Administration to deter-
mine whether a requirement for tl:
property exists in other Federal agencie
(4) EPA shall observe the foHowin
rules in the disposition instructions fc
nonexpendable personal property with a
acquisition cost of $1,000 or more.
(i'i EPA may waive title to t'-e prop
erty with all Federal restrictions an
conditions removed,"if the grantee is
nonprofit, institution of higher educatio
or nonprofit research organization, i
accordance with the provisions of th
Grants Act (Pub. L. 85-934!.
(ii) EPA may instruct the grantee t
ship the properly plsewhare. C-v, -
tion wili be-m.iJe. to the grants :_-. In
benefiting Feeler." 1 agenry Coiupe-it-vitio i
shall be computed by applying the par!
centage of the grantee's participatvjn i f
the grant program to the current fai;
market value of the property, plus aiir
shipping or interim storage costs' in;
curred. i
(iii) EPA may instruct the grantee ts
otherwise dispose of the property. Com!1
pensation will be made to the grantee b;
EPA. Compensation shall be compute'
by applying the percentage of th
grantee's participation in the grant pro;
gram to the current fair market value c
the property, plus any costs incurred i:,,
its disposition. J
(iv) EPA shall issue disposition in
structions to the grantee within 120 day;,,
If disposition instructions are not re;
ceived within 120 days after reporting
the grantee shall sell the property amj;
reimburse EPA an amount which'is com|'
puted by apply-in-:, the percentage of Fed'1
eral participatio1: in the grant prograrr
to the sales proceeds, less $100 or 10 perE
cent of the proceeds, whichever i!
greater, for selling and handling
-expenses.
§ 30.810-8 Expendable persona! propS
crl> acquired \vith prant fundU.
Title to expendable personal property
shall vest in the grantee upon aoquJsitior'
If.there is a residual inventory of S'.v;'
property exceeding $1,000 in total a?;:~^.
gate fair market value upon terrainaii.'«,
or at the conclusion of the project periv--:
and the property is not currently neen«|.
for any other federally-sponsored proj ^
ect or pro£;ram, the grantee" shall retail,:
the property for use on nonfederally;
sponsored activities, or sell it. but snus'
in either case, compensate EPA for its share. Tl|
amount of such compensation shall b
computed by auplyrup; the percentage o
Federal participation in the net cost o,
the project to the current fair markej
vslurof the property.
[41 FK 5tjl':i6, December 27. 1976]
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FEDERAL REGULATIOMS
§ 30.810—9 Property reports.
•Property reports must be furnished in
accordance with § 30.635-5.
§30.815 Final settlement.
Upon submission of the final financial
status report pursuant to § 30.635-3,
there shall be payable to the United
States as final settlement the total sum
of (a) any unexpended grant funds, (b)
any amounts payable for equipment,
materials, or supplies, pursuant to § 30.-
810, (c) other grant related income, pur-
suant to § 30.620, and (d) an amount
equivalent to that portion of project
costs which are unallowable, in propor-
tion to the EPA. share and to the extent
grant payments therefor have been
made. Any settlement made prior to the
final audit is subject to adjustment based
on the audit. Final settlement will not
be considered complete until all audit
findings, appeals, litigations, or claims
have been resolved. Any debt owed by the
grantee to the United States, and not
paid at the time of final settlement shall
be recovered from the grantee or its suc-
cessors by setoff or other action as pro-
vided by law.
§ 30.820 Audit.
(a) Preaward or interim audits may
be performed on grant applications and
awards.
(b) A final audit shall be requested
by the grant award official after the
submission of pr the due date of the
final financial status report under
§30.635-3. Any .settlement made prior
to the final audit is subject to adjust-
ment base&on the audit. Grantees and
subcontractors of grantees shall pre-
serve arM make their records available
under § 30.805.
[43 FR 28484, June 30, 1978]
Subpart H—Modification, Suspension and
Termination
§ 30.900 Project changes and grant
modifications.
(a) A grant modification means any
written alteration in the grant amount,
grant terms or conditions, budget or
project period, or other administrative,
technical, or financial agreement wheth-
er accomplished by unilateral action of
the grantee or the Government in ac-
cordance with a provision of the grant
agreement or this Subchapter, or by
mutual action of the parties to the grant.
(b) The gran tee must promptly notify
the Project Officer in writing (certified
mail, return receipt requested) of events
or proposed changes which may require A
gro.nl aiodiricatic-'., si.c'n as:
(1) Kebudgcting (sue §30.6.10);
(2) Changes in approved technical
plans or specifications for the prsject;
(3) Changes which may affect the
approved scope or objective of a project;
(4) Significant changed conditions at
the project site;
(5) Acceleration or deceleration in the
time for performance of the project, or
any major phase thereof;
(6) Changes which may increase or
substantially decrease the total cost of
a project (see § 30.900-1); or
(7) Changes in the Project Director or
other key personnel identified in the
grant agreement or a reduction in time
or effort devoted to ihs project on the
part of such personnel.
(c) Grant modifications are of lour
general types: formal grant amendments,
administrative grant changes, transfer
of grants and change of name agree-
ments, and grantee project changes (see
§ 30.900-1 through § 30.900-4).
(d) A copy of each document pertain-
ing to grant modifications or requests
therefor (any administrative change, ap-
proved or disapproved project changes
and -any letter of approval or disapproval,
grant amendment, or agreement for
transfer of a grant or change of name
agreement) shall be retained in the offi-
ciaLEPA grant file.
(e> The document which effects a
grant modification shall establish the
"effective date of the-action. If no such
date is specified, then the date 'of execu-
tion of the document shall be the effec-
tive date for the action.
§ 30.900—1 Formal grnn't amendments.
(a) Project changes which substan-
tially alter the cost ov time of perform-
ance of the project or any major phase
thereof, which substantially alter the ob-
jective or scope of the project, or which
substantially reduce the time or effort
devoted to the project or, the part of
key personnel will require a formal grant
amendment to increase or decrease the
dollar amount, the term, or other prin-
cipal provisions of a grant. This should
not be constructed as to apply to esti-
mated payment schedules under grants
for construction of treatment works.
(b) No formal grant amendment may
be entered into unless the Project Officer
has received timely notification of tha-
proposed project change. However, if the
Project Officer determines that circum-
stances justify such action, he may re-
ceu'e and act upon any request for forma;
grant amendment submitted (1) pnor to
final payment under grants for v,-h;ji
payments of the Federal share have basn
made by rsiinbursement and (2i ; tv.ir to
grant cl'ji'.oul of other t-;;ai.ts. r-'urmai
grant amendments may be executed sub-
sequently only with respect to matters
which are the subject of final audit or
dispute appeals.
(c) A formal grant amendment shall
be effected only by a written amendment
to the grant agreement. Such amend-
ments shall be " bilaterally executed by
the EPA grant award official and the
authorized re;., -.-tentative of the grantee.
However, in c.v;es where this Subchapter
or the grant agreement give the govern-
ment a unilateral right (for example, the
suspension or termination rights set
forth in SJ 30.915 and au.yzu, the with-
holding of grant ppyiji-fii. pursuant to
§30.615-3, or the -reduction of the grant
amount under §35.553 of this Subchapter. ,.-ny
such right may be ezercisfd by the appro-
priate EPA official (generally, th« grant
award official) in accordance with this Sub-
chapter.
(d) The grants administration office
shall prepare all formal grant amend-
ments after approval of the modification
by the Project Officer or Grant Approv-
ing Official, as appropriate.
§ 30.900—2 Administrative grant changes.
These changes, such as a change In
the designation of the Proj .l
and consultation with *tJao Ueg-ioruil
Counsel or the Assistant General Coun-
sel, Grants, nor may in:- approve any
change ol narao'agreement, without con-
fiuication with, tho Region ''•-, Counsel ov
the Assistedt' Oeneral Coi, L. el, Grants.
prepare tin,? nece.;.--«.ry dwi-. •-n't-, ujrni
J'-T-Ciript fi'Ori UlL' Pi'O]<-'.'-;t Oi'i '' i (.'" ;l[)[)'.'J-
22
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§ 30.900-4 Grantee project changes,
Project changes not covered by
§§30.900-1 through 30.900-3 shall be
considered grantee project changes not
rewiring formal grant amendments.
(a) Rebudgeting changes may require
prior -writ tea approval pursuant to
§ 30.610.
(b) All other grantee project changes
shall be considered approved unless the
Project Officer notifies the grantee of
disapproval, with adequate explanation
of the reason therefor, or the necessity
for the execution of a grant amendment,
in writing (certified ma:!, return receipt
requested) not later than 3 weeks after
receipt of notice pursuant to § 30.900(b).
No action taken pursuant to this section
shall coiiunit or obligate the United
States to any increase in the amount of
a grant or payments thereunder, but
shall not preclude consideration of a re-
quest for a formal grant amendment
pursuant to § 30.900-1.
§ 30.915 Suspension of grants— ^stop
work orders.
Work on a project or on a portion or
phase of a project for which a grant has
been awarded may be ordered stopped by
the grant award official, except for grants
to educational institutions or nonprofit
research organizations.
§ 30.913-1 Use of stop-v ->rk or:i. In-
asmuch as stop-work orders may result
in increased costs to the-Okm-'-nment by
reason of standby costs, such order? will
be issued only after concurrencg by the
grant apprcving official and the Regional
Counsel or the Ar-,istant General Coun-
sel, Grants. Gene- v'.Iy, use of a stop-work
order will be limi;;d to those situations
where it is advisable to suspend work on
the project or a portion or phase of the
project for important program or agency
considerations and a supplemental agree-
ment provld'n.? for such suspension is not
feasible, Although 3. stop-work order may
b£- Me •-.:'! ponding a decision to terminate-
by mutual agreement or for other "cause,
it will not be u:;ecl hi lieu of the issuance
of a termination notice after a decision
to terniii'L?le has been made.
£ 30.91?—''' Consents of stop-work or-
ri'j" to I'vsuarce, stop-vork orders
ulu be discussed with th.2 grantee and
should be appropriately modified, in the
light of such discussions. Stop-work or-
ders should include (a) a clear descrip-
tion of the work to be suspended, (b) in-
structions as to the issuance of further
orders by the grantee for materials or
services, (c) guidance as to action to be
taken on subagreements, and (d) other-
suggestions to the grantee for minimizing
costs.
§ 30.9] 5—3 Issuance of stop-work order.
After appropriate concurrence in the
proposed action has been obtained, the
EPA grant award official may, by written
order to the grantee (certified mail, re-
turn receipt requested), require the
grantee to stop all, or any part of the
project work for a period of not more
than forty-firs (45) days after the order
is delivered to the grantee, and for any
further period to which the parties may
agree. The grants administration office
shall prepare the stop-work order. Any
such order shall be specifically identified
as a stop-work order issued pursuant to
this section.
§ 30.915—4 Effect of stop-work order,
(a) Upon receipt of a stop-work order,
the grantee shall forthwith comply with
its terms and take all reasonable steps to
minimize the incurrence of costs alloca-
ble to the work covered by the order dur-
ing the period of work Stoppage. Within
the suspension period or within any ex-
tension of that period to which the'par-
ties shall have agreed. EPA shall either:
(1) Cancel the stop-work order, in full
or in part,
(2) Terminate the work covered by
such order as provided in § 30.920, or
(3) Authorize resumption of work.
(b) If a stop-work order is canceled or
the period of the order or any extension
thereof expires, the grantee shall
promptly resume the previously sus-
pended work. An equitable adjustment
shall be made in the grant period, the
project period, or grant amount, or all of
these, and the grant instrument shall be
amended accordingly, if:
(1) The stop-work order results in an
increase in tb • time required for, or an
increase in the grantee's cost properly
allocabla to the performance of any part
of the project, and
(2) The grantee asserts a written
claim for such adjustment within sixty
(60) days after the end of the period of
work stoppage. However, if the Project
Officer determines tue circiifi.3tan.ces
justify snch action, he may receive and
act uoon any .such claim a.csftrr:ci in ac-
cordance vith S 30.900-Ub).
(c) If a stop-work order is not c
celed and the grant-related project v;
covered b> such order is within the EC
of a subsequently-issued termination
der, the reasonable costs resulting fi
the stop-work order shall be alkv/ec
arriving at the termination settlern
(d) Costs incurred by the granu-
its contractors, subcontractors, or IT;
sentatives, after a stop-work order r
livered, or v/ithin any extension oi
stop-work period to which the par
shall have agreed, with respect to
project work suspended by such orde'
agreement v.'h'c-h are not authorized
this'Section Oi pecificslly authorize!'
writing by the r-;rant award official, si
not be allowable costs.
§ 30.915--5 Dispute? provision.
Failure to agree upon the amount'
an equitable adjustment due mide,
stop-work order shall constitute a (';
pute (see Subpart J of this part). •
§ 3&.920 Termination of grants.
A grant may be terminated in wj1
or in part by the grant atv; rd ofiv'
upon the recommendation of "i? '•-'; >;
Officer and after concurrer- • oi •
grant approving official in tht propr
action and consultation with the
gional Counsel or the Assistant Gen"
Counsel, Grants.
§ 30.920—1 Termination ajireemenl.
The parties may enter into an agr.
merit to terminate the grant at any ti;
pursuant to terms which are consist-1
with this Subchapter. The agreenr;
shall establish the effective date of &
ruination of the project and grant, ;|:
basis for settlement of grant terminal
costs, and the amount and date of p£l
nient of any sums due either party. 1
grants administration office will prep
the termination document.
'ft
§30.920-2 Project termination /;
pr-niUCf. ^
A grantee may not unilaterally '^
ruinate the project work for 'whiclj
grant ha.s been awarded, except for g['~
cause. The gr.-mU-e must promptly (*:
written notice lo the Project Office^1
any complete or partial termination;12
the project work by the grantee. If ,;,'
Project Officer determines, with the c-
currencc of the EPA gr^nt "pruning.;-
fichil, that there is good cause for ;
termination .of all or any portion o;'
project for which the grant has b'1'
awarded, the EPA grant award of.!,-1
may enter into a termination agreem E
or unil;itei'a'[,(y torminnte the grant, p''
sunnt to § 30.920-3 effective witb
-------
FEDERAL REGULATIONS
date of cessation of the project work by
the grantee. If the Project Officer, with
the jconcurrence of the EPA grant ap-
proving official, determines that a
grantee has ceased work cm the project
without good cause, the grant award of-
ficial may unilaterally terminate the
grant pursuant to § 30.920-3 or annul the .
grant pursuant to § 30.920^-5.
§ 30.920-3 Granl termination hy EPA.
(a) Notice of intent to terminate.
After concurrence in the issuance- of a
termination notice has been obtained
from the EPA grant approving- official
and the Regional Counsel or the Assist-
ant General Counsel, Grants, the grant
award offrjial shall give not less than ten
(10) days written notice to the pnintee
(certified mail, return receipt requested)
of intent to terminate a grant in whole
or in part.
(b) Termination action. The grantee
must be afforded an opportunity for con-
sultation prior to any termination. After
the EPA grant approving official and the
Regional Council -=r the Assistant Gen-
eral Counsel, Grants, have been informed
of any expressed views of the grantee and
concur in the proposed termination, the
grant award official may, in writing (cer-
tified mail, return receipt requested),
terminate the grant in whole or in part.
(c) Basis for termination. A grant may
be terminated by EPA for good cause
subject to negotiation and payment of
appropriate termination settlement costs.
(d) Method of Termination. The pre-
ferred method of grant termination
shall be by mutual agreement through
a bilaterally executed grant agreement
providing for payment of termination
costs. However, if such agreement is
not feasible, then the grant award of-
ficial may unilaterally terminate the
grant, in whole or in part.
[43 FR 28484, June 30, 1978]
§ 30.920-4 Effect of termination.
Upon termination, thfe grantee must
refund or credit to the United States that •
portion of grant funds paid or owed to
the grantee and allocable to the termi-
nated project work, except such portion
thereof as may be recuired to meet com-
mitments which had become firm prior
to the effective date of termination and
are otherwise allowable. The grantee
shall not make any new commitments
without EPA approval. The grantee
shall reduce the amount of outstanding
commitments insofar as possible and re-
port to the Project Officer the uncom-
rniUed balance of funds awarded under
the grant. The allowability of termina-
tion costs v/ill be determined in conform-
ance with applicable Federal cost prin-
ciples listed in § 30.710.
§ 30.920-5 Annulment of grnnt.
(a) The grant award official may uni-
laterally annul the grant if the Project Of-
ficer determines, with the concurrence of the
appropriate Assistant . Administrator or
Regional Administrator and the Rc-gional
Counsel or Assistant General Counsel,
Grants, that:
(1) There has been no substantial per-
formance of the project work without
good cause;
(2) There is convincing evidence the
grant was obtained by fraud; or
(3) There is convincing evidence of
gross abuse or corrupt practices in the
administration of the project.
(4) The grantee has inordinately de-
layed completion of the project with-
out good cause; or.
(5) The grantee has failed to achieve
the project purpose (e.g., preparation
of a i-esearch report) or to utilize the
project (e.g., construction) to the
extent that the fundamental purpose
of the grant is frustrated.
[43 FR 28484, June 30, 1978]
(b) In addition to such remedies as
may be available to the United States
under Federal, State, or local law, all
EPA grant funds previously paid to the
grantee shall be returned or credited to
the.United States, ana no further pay-
ments shall be made to the grantee.
§ 30.920—6 Disputes provision.
The grantee may appeal a termina-
tion or annulment action taken pursuant
to this section (see Subpart J of this
partX.
Subpart I—Deviations
§ 30.1000 General.
The Director, Grants Administration
Division, is authorized to approve devia-
tions from substatutory requirements ol
this Subchapter or grant related require-
ments of this Chapter when he deter-
mines that such deviations are essential
to effect necessary grant actions or EPA
objectives where special circumstances
make such deviations in the best interest
of the Government.
§ 30.1000-1 Applicability.
A deviation shall be considered to be
any of the following:
(a) when limitations are imposed by
this Subchapter or by grant related re-
quirements of this Chapter upon the use
of a procedure, form, grant clause, or
any other grant action, the imposition of
lesser or greater limitations.
(b) when a policy, procedure, method
or practice of administering or conduct
ing jr.int actions i^ pre^-onl • <.l by this
Subchapter or by grant related require-
ments of this Chapter, any policy, pro-
cedure, method, or practice inconsistent
therewith,
(c> when a prescribed grant clause is
set forth verbatim in this Subchaptf-r,
use of a clause covering the same subject
matter which varies from, or lias the
effect of alteiirig, the prescriberl clause
or changing- its application,
(d) when a limitation on award or
grant condition is set forth in this Sub-
chapter but not for use verbatim, use of
a special condition covering the same
subject matter which is inconsistent with
th? intent, principle, or substancv -•* thf-
limitation or condition, c* relE..1".-- cov-
erage of the subject matter,
(e) omission of any mandatoi;.- ,;rant
provision,
(f) when an EPA or other form ^j, pre-
scribed by this Subchapter, use of any
other form for the same purpose, or
(g) alteration of an EPA or other form
prescribed in this Subchapter.
§ 30.1000-2 Request for deviation.
A request for a deviation shall be sub-
mitted in writing to the Director, Grants
Administration Division, as far in ad-
vance as the exigencies of the situation
will permit. Each request for a deviation
shall contain as a minimum:
(a) the name of the applicant or the
grantee and the grant identification
number of the application or grant af-
fected, arid the dollar value,
(b> identification of the section of this
Subchapter or the grant related require-
ments of this Chapter from which a de-
viation is sought,
(c) an adequate description of the de-
viation and. the circumstances in which
it will be used, including any pertinent
background information which will con-
tribute to a fuller understanding of the
deviation sought, and
(d) a statement as to whether the
same or a similar deviation has been re-
quested previously, and if so, circum-
stances of the previous request.
§ 30.1000—3 Approval of deviation.
Deviations may be approved only by
the Director of the Grants Administra-
tion Division or his duly authorized rep-
resentative. A copy of each such written
approval shall, bs retained in. the official
EPA grant file. Concurrence- in the- ap-
proval of the deviation by the cpDrojirl-
ate Ass;-iunt Arlmini'jirilor(s) is re-
quired prior to its eflecnvneft;, vliere
the deviation would involve more than, a
unique, ppecial situation, c.f;., wild affect
o'ranttei as a class.
24
-------
Subpart J—Disputes
§ 30.11&9 Fiwal Disputes Decision.
Ca) Any dispute arising under a
grant, or any preaward dispute au-
thorized by this -subchapter (see, for
example, g§ :i:i.236 and 35.960), shall be
decided, at the request of the appli-
cant or gnu-'.ee, by the Grant Approv-
ing Official or by the Project Officer
I'wifch the concurrence of the Grant
Approving Official).
(b) Each final decision must ade-
quately notify the recipient in writing
(with prco" of delivery) that the deci-
sion is a final decLs'on which shall
become final and conclusive, unless
Ihnt'ly appealed. The following para-
graph or alternate language approved
by the Office of General Counsel ;nust
be utilized as the final paragraph of
each final decision letter:
This is a final Disputes-decision by me.
ths Grant Approving Official. Under appli-
cable EPA regulations (see particularly Sub-
part J or 40 CFR Part "JO), this decision will
be final and conclusive unless, within thirty
(.3D) days from the dale of receipt of this de-
cision, a brief written notice of appeal, ad-
dressed to the Administrator, Environmen-
tal Protection Agency (Attention: Office of
General Counsel), is mailed by certified
mail (return receipt requested) or otherwise
delivered to (insert name and address of
either the Grant Approving Official or the
Project Officer, as appropriate]. (You will
be notified of further procedural require-
roents applicable to your appeal by a subse-
quent letter.) Your notice of appeal need
only Indicate that an appeal is intended,
refer to this final decision by date, and
briefly state the ultimate reasons why the
decision is considered to be erroneous.
(c) An EPA official who receiver, a
notice of appeal from a final decision
should preserve the envelope in which
the appeal was transmitted and other
data evidencing the date of mailing of
the notice of appall (or the date of re-
ceipt, if the notice; was otherwise deliv-
ered) and should promptly forward
such information -;uid the original of
the notice of appeal to the Office of
the General Counsel.
[43 FR 28484, June 30, 1973]
Gri;n3r-e api'*-!'J.
A decision of the Project Officer made
pursuant to § 30 1100 shall be final and
coridusiw uniess, '.vithjn thirty (30) days
frcm thf> date of receipt of such copy,
the t."rani>re mails (certified mail, return
receipt rsquesifcU) or otherwise delivers
i-r> E.°-X 'ftt.'neraily, t/i ths Project OJ5-
tf''i A yii;w"-r. r-.p;"eal addressed to the
/.dun ni s Lritor.
§ 30.1 J15 Rights of tl'c grantor- and the
Government.
In connects n with an appeal proceed-
ing pursuant to §30.1110 the grantee
shall be afforded an opportunity to be
heard, to be represented by legal counsel,
to offer evidence and testimony in sup-
port of any appeal, and to cross-examine
Government witnesses and to examine
documentation or exhibits offered in evi-
dence by the Government or admitted
to the appeal record (subject to the Gov-
ernment's richt to offer its own evidence
and testimony, to cross-examine the ap-
pellant's v/ii'-iiesses, and to examine docu-
mentation or exhibits offered in evidence
by the appellant or admitted to the ap-
peal record). The appeal shall be deter-
mined solely upon the appeal record.
§ 30.1120 D-';s'-:U.ncL* Liu; been a\v..uVix? lu1..' -,-
this grant, in accordance with the appl[e;''
grant psrovt&juuu of 40 CIP. Sxibchapk-r B.
The (,-raxilce v.iiT:i>il:i, represent.;, .-UK! agrees
ThiVi it, oiKl it'* cnnl-i'Ct'.rs, subrun > i "c:r.-<,",
employ ee^ nr.a -Tcriresfjdative?, will comply
\vit-h -tO CF~t Subflinptcr H, tho follu-.vlug
General Conditions, the applicable snppltj
mental conditions cf -50 CFR Subchapu-r r-
:i,-i amended, a.nd any Special Conditions se1'
I'onh In this grant ariucment or any tjraii
1. -•Ircr'.',.':. T'":e j.i.intce :i_.rcco that it will'
provide access to ibe facihiies, premises ami1
records related to the project as provide^
in SS 30.605 and 3D.S05 01 -30 CFR Subchp.pteii
B. ' ''
2. /.i,pd.'f. nua' re^orch'. The grantee agiec;-1
that it will mainiaia r-.:i ac! equate systen!1
for riixancial n'lanagenieiit, I'-ic.pejty ninn'1-'
r.^eiv.ent find fj,rau:ee r.udit v, .pcoord.\nc*
with 5§ 30.800 ami 30.810-3. ai-.U i!nt it v,j]-.i
maintain, presew; ci:;l inaie available t'S
the Go\"er)iij'ie)it :j.ll picket rec'".,rcls for th.;!
purpose of Inspection, interim and fniti.;
.•uiclit, ,<7id copying as rccpiired by §6 30.CO,';,
30.005, and 30.820 or -10 !"FR Sabe!iapter I'»
'3. liepotln. T):C ^ra).;',e agrees to tiinel-;;
;ile \\iih EPA such repoi • ; as are !-pec;ficall-J
I'equh'ed by the r^rant af;;. -c'fnent or pui^uaiii;!
10 -10 CFR Sub..h ,pter E. incl ^d,.:- ijr-j;rc-':'•
rejxjrts ^30u:;5-ll, finanrial i-opons (S30.:"
635-3), Invention reporn (5 30.CC5—I), piup';,1
erty reports (S30.G35-S). reloeaiion and ac't
quisition reports (550.035-0) ftiul a f.nri'ic
rej>ort (§ 30 635-2), and that f ulnre to tii):e)-.J;
file s. report may caur-e EPA to invoke tl-.ij:
remedies provided in. 40 CfP. 3d.-130.
4. Project c/iunrjes; Grant nicdifcc.':o:n'l,
The grantee agrees ihai noinlcation o'.V
project changes will be (,ri\e)r j)\ir:>uant t<,r
•30 CFR 30.900(b) and that all grant rnodifl-.!,!.
cations v/i!l be eifectcd in accordance \vitl',,,i
•10 CFR 30.900 through 30.900-1. „
5. Requirements pertaining io j'aleratti'*.
assisted construction. The granted agree:^
that it will comply, and that its contractors"1""
subcontractors, employees and ix-prer-cnta-!^
tives will comply, with the requirements per-'^!
taining t-o federally assisted con.strnci!on~'
identified in -1O CFR 30.415. 'j!
6. Suspension, (n) Thf- ^rintee aj-'rcer,1"
that the grant award official may, at an;"'1^
time, require the grantee to stop all, or an^J
part, of the work within the scope of t!ir!;
project for which EPA t;rant assistance wa,y
awarded, hy y. written siop-\vork order, fo^'1'
a period of not move lhan forty-five (-15^''-
days after the ordei is delivered to th,";-1
grantee, and for any further period to v/liicH"
the parties mnv nr;vee. Ai-y such older shol;'1'
be specifically iduntinecl as a btop-wor!";"
order issued pursuant to this dense. Upoi/'E
receipt of such an order, the grantee ayrce--'
to forthwith comply with its terms snd tak,^!
iill reasonable steps xo minimize- the Incur;''*
rence of costs allocable to the work covered
l;y the order durinr; the period of work stop';'!
p::)£e. This suspension article shall not b*il
applicable' to educational institutions os)f;
nonprofit research, oi-ganizalions. '-'«;
(b) Tho t'l'-iri-tee ayrces that, \vithin an eta
sxTch .'.\ispen^ion period,-KPA iniiy either (1^1^
cnnccl tliL- itop-worh order, in lull or in part't^
below; or (3) authorize resumption of
(c) If a stop-work order Is es.n.-elcd or 1,
ihe suspension period or any exte^'i^'o..1'
thereof expires, the frranlec- utvees to pi'cri.pi,^'1
ly rc-snme tlie previously ;-uspei'ided pi^'/.-c/"1
work. ,,"'
(d) An eouit-jbTo adjustment s'nsll b'i,"
rn,i.de in trie ijro]ect period, budp,"!: j>::rloc,'"
or t)ie gran'-. ;-.r>-,ouv,t, or all o* thcto aJ a?-;^
propi'late, U:
2!
-------
(1) the> stop-work order results In an
Increase In tha time required for, or In the
grantee's costs properly allocable to, the
performance of any part, of the project, and
(2) the grantee asserts a written claim for
such adjustment within sixty (60) days
after the end of the period of work stoppage,
•provided, That If the Project Officer deter-
mines that the circumstances Justify such
action (for example. It the Impact of cost or
time factors resulting from a stop-work
crd'T could not have been ascertained prior
to written submission of the claim), he may
receive- and act upon any such claim as-
serted at any time prior to final payment
under this grant.
(K) If a stop-work order 13 not canceled
and grant-related project work cox'erecl by
such 'order is within the scope of a subse-
quently-issued termination order, the rea-
sonable costs rebutting fro^xx th& stop-work
ortler shall be allowed In arriving at thtr
termination settlement.
(0 The grantee agrees that costs Incurred
by the grantee or Us contractors, subcon-
tractors or representatives, after a stop-work
order Is delivered, or within any extension
of the suspension period to which the
parlies may have agreed, with respect to the
project work suspended by such order or
agreement, which are not authorized by this
articlo or specifically author!'"'! in Y.-rUir.i;
by 1he 1'reject Officer shall ivit l:o r.l'.o'.va'ul'
CO-itS.
7. Termination; Annulment—>a) Gran/
Termination by KPA. The i;rur> .to agrees
that the grant a .vard official may, at any
time, after written notice and aiti-r oppor-
tunity for consultation has been aiforded-to
the grantee, terminate the grant, In whole or
lil part, through a written ternilnatii'ni
notice specifying the effective date or thr-
lermlnation action.
(1) A grant may be terminate:! by EPA for
good cause, subject to negotiation and pay-
ment of termination settlement cosr-s.
(2) The grantee agrees that, upcii such
termination, it will return or credit to the
United States that portion of grant I'unds
paid or owed to the grantee and allocaole to
the terminated project work, except such por-
tion as may be required by T.he grantee to
meet commitments which had become firm
prior to the effective date of termination
and are otherwise allowable.
(3) Whenever feasible, the grant award
official and the grantee shall enter into a
termination agreement as soon as poiiibic
after any such termination action to estab-
lish the basis for settlement of grant tennl-
aation costs and the amount and date of
payment of any sums due to either party.
(b) Project termination by grantee. The
grantee agrees that it will not unilaterally
terminate work on the project for which EPA
grant tus^istance has been awarded, except
'for good cause. The grantee further agrees;
(1) that it will promptly £;lve wyiuen
notice to the Project CXTirer of any cn.nplcw
or partial termination of the project worli by
the grautoe, and
(2> that, If trie Project O'T'oer tlcter:i:lno>
til.it ll:o cr.ir.tee has termlr>.u«.'J the project
work \.ici;.jut gcc-ii caase. the grant a"- .,.:•• 1
oHiclal may annul the grant and all EPA
I'rant funii" previously paid *"'r ou'ir.<* 'o th-'j
i,rant'-j ihall be prompiiy rut ur."i.d (.'
credited t,j uic Ujilted Giatfl-.;.
Upon rcqut-.it of t>-2 f.rantc?. a-ul !I t!-(-
Project, OrliciT rleter-r-lr:^-. chat there Is rood
cauba for the termination of all or ary por-
tion of the project work for which EPA
grant assistance has been awarded, the grant
award official anU tha grantee may cuter into
a written termination agreement establish-
ing the effective date of the grant and proj-
ect termination, the basis for settlement of
grant termination costs, and the amount
and clato of payment of any siuiia due to
elth'-r party.
(c) Annulment. j.ne grantee agrees .that
the grant may be nnnuled pursuant to 40
CFR 30.920-5.
8. Disputes, (a) Except os otherwise pro-
vided by law or regulations, any dispute
arising under this grant agreement shall ba
decided by the grant approving off.ctal or th-o
Project Officer, who shall reduce his decision
to writing and mail or otherwise furrJ-h n
copy thereof to tin; gran-tee. Such i c^'-'rvlon.
shall be final and conclusive unless, v. ;->.in
thirty (30) days from the date cf receipt,
the grantee mails or otherwise delivers to
EPA (generally to the Project Orilrxr) a
written appeal addressed to the Administra-
tor.
(b) The decision of the Administrator or
his duly authorized representative for the
determination of such appeal shall be final
and conclusive unless determined by a. court
of competent Jurisdiction to have been
fraudulent or canriclous. or arbirrary, ^r so
grossly erroneous p.s to irnuly bad faith, or
not supported by substantial evidence.
(c) In connection with an appc-r-.l pr.>ccsd-
Ir.g under this article, the grantee shall bo
afforded an opportunity to- ',:-e l-.erri.!. to lj.'~
represented by legal counsel, to offer evi-i
dence and testimony in support of any ap-
peal, and to cross-examine Government
witnesses and to examine documentation or
exhibits offered in evidence by the Govern-
ment or admitted to the appeal record (sub-
ject to the Government's right to offer its
own evidence and testimony, to cross-exam-
ine the appellant's witnesses, and to exam-
ine documentation or exhibits offered In
evidence by the appellant or admitted to the
appeal record). The appeal shall be deter-
mined solely upon the appeal record, In ac-
cordance with the applicable provisions of
Subpart J of Part 30 of Title 40 CFR.
(d) This "Disputes" article shall not pre-
clude consideration of any question of law
in connection., with, decisions provided for
by this article; provided, that nothing in
this grant or related regulations shall b*
construed as making final the decision of
any administrative official, representative,
or board, on a question of law.
(9) Patents; rights in data, copyright.
(a) Every EPA grant Involving research, de-
velopmental, experimental, or dem'onstra-
tion work shall be subject to the pa'en-t
provisions of Appendix B to -10 CFIt Part 50.
(b) Every EPA grant shall be subject to
the rights in data, arid copyright provisions
of Appendix C to 40 Cr'R Fart 30.
10. i\'of!Cr: and assistance rf^^rtliny patent
cTici cop'.rfi<]l~it ijifTingcniftil. (a) T:ie grar't^e
pjrrRfi to report to the TV'jjTCv O..~:-...-,
jirorr.ptly and in r-'-nsonab'? -,vritt.-n de'a:l.
fic'fi notice ur claim of pa't--.- or copyrig^.i
inrrir.remer:'.. l'j-j:"ed orx the performance cf
tlilr. rjrant of which the f,i-Aj'if-v '-...3 kno'.vi-
or out of the Vb& of any supplies furnished
or work: or services performed horeunder,
the grantee agrees to furnish tu UK> Govern-
ment, when requested by th_» Project Ofll-
cer. all evidence and information in posses-
sion of the grantee pertaining to such suit
or claim. Such evidence; nnd information
shrill be furnished at the expe.'SL1 of th-i Gov-
ernment except wh^re th-? gra.-' ••- '.jas a^re-Hi
to Indemnify the Government'.
Note: EPA Form 5700--:;0, Grant Agree-
ment/Amendment was filed as part of the
original document
APPENDIX B—PATENTS AND IJ^VKISTIOTSFS
A. Definitions (I) "Background Patent"
means a foreign or (''•:-••'. .c >)•.>.'. .-I (re-
gardless 01 Its date of i;.3V- relative to th.-e, but uot the Gov-
ernment, has the rigat to license to others.
and
(11) Infringement of which cannot be
avoided upon the practice of a. Subject In-
vention or Specified Work Object.
(2) "Commercial Item" means—
(i) Any machine, manufacture, or compo-
sition of matter which, at the time of a re-
quest for a license pursuant to Part D of this
Appendix, has been sold, offered for sale or
otherwise made available commercially to
the public In the regular course of busi-
ness, at terms reasonable in tha circum-
stances, and
(11) Any process1 which, at the time of a
request -for a license, is In commercial use,
or Is offered for commercial use, so the re-
sults of the process or the products pro-
duced thereby are or will be n-ccessible to the
public at terms reasonable in the circum-
stances.
(3) "Specified Work Object" means the
specific process, methort, machine, manufac-
ture or composition of matter (including
relatively minor modifications thereof) which
is the subject of the experimental, develop-
mental, re.-c-arch or demonstration work per-
formed under this grant.
(4) "Grantee" Is the party whlcn has ac-
cepted this grant award and includes entitles
controlled by the grantee. The term "con-
trolled" means the direct or indirect owner-
ship of more- than 60 percent of outstanding
stock entitled to vote for the election of
directors, or a directing Influence over such
stock; provided, however, tha1'. foreign enti-
tles not wholly owned by the grantee shall
not be considered as "controlled."
(5) "Subagreement" includes subftgree-
ments at any tier under this grant.
(C) "Domestic" and "foreign" refer, re-
spectively, (i) to the United States of
America. Including Its torrU-ori-"1'-'' arid pox^s-
sions. Puerto P-lco and the District of Colum-
bia p.nd (U) t/i countries other th.in the
United States of America.
(7) "GoY?rnrnent" meiTj th? FrrK--,
errirnen" cu the United States of Ain_
i2i "Sui-.'jcc Invention." rae.-'n:; >.
version. cii.vovO'.-y. '.mpro-.'^r^^-^- • ';
26
•t Rl
-------
Bell cr hive sold, or otherwise dispose of ac-
cording to lav/, any machine, design, m»jau-
fsvcture. oi i-omposi-tion of matter phvsicially
embodying the Invention, or to use or have
used tile process or method comprising the
Invention.
(11) The phrase "to bring to the poiat
of practical application" means to manu-
facture in the CRse of composition or prod-
uct, to use In the case of a process, or to
operate In the ca?-e oi a machine and under
Euch co. Buttons as to establish that the
Invention Is being worked and tha-t Its bene-
fits 'ire rsasoiij-bly accessible to the public.
(12) "Statement" means the President's
Patent Policy Statement- of August 23. 1971,
36 ?Jl. 16B3S, August 25, 1871.
y. Domestic- patent rights in Subject In-
?jf:i>,'.in,if. (.1) The grant ;& agrees that he wlP
jiiompcly til'iclose to the 'Project Officer .In
writing each Subj«-ct Invention in a mariner
sufficiently complete &* to technical details
to convey to one skilled in the art to which
the invention pertr.iiis a clear uodet standing
of the nature, purpose, operation and, as the
c^^ki may be, the physical, chemical, biologl-
csj, sir electrical characteristics of the inven-
tion. However, it auy Subject Invention Is ob-
viously unpa'«nf.Hble under the pater t laws
of the United States, such disclosure need
not be made thereon. On request of the Proj-
ect Officer, thi grantee shall comment re-
spectlng the differences or similarities be-
tw?oa the Invention and the closest prior
M-t tU"*wn to h!s attention.
(2) Except In the Instance of a determina-
tion, pursuant to paragraph (3) of this Sec-
tion, by the Administrator to leave to the
grantee rights greater than a nonexclusive
license, the grantee agrees to grant and docs
hereby grant to the Government the full and
entire domestic right, :ltle, and Interest In
th* Su'- '-.-> t L. :-•"':..-' subject to retention
by th-i . .o.tv"- ••:' • • . '••-.ble, nouexuiualvs,
royalty-ii-?e lideruv 'n practice the Subject
Invention, Any K'.'ch .ireo-s granted shall ex-
tend to any exlstln;; and future companies
controlled by, cou Uniting or under common
control with the grantee and shall be as-
signablb to the ijccessor of the part of the
gr&ntee's business to which such Invention
pertains. SMcl license to the grantee m.-iy be
revoked by th* .Vlrnjnlst.ra.tor or his designee
ii' It is deter allied thai it is necessary to 1s-
D-JS an exclusive license, pursuant to then
applicable Government regulations, In order
to more exped.ttlously bring the Invention to
commercialization; provided, however, that
the grantee shall b% provided the opportunity
to present to the Administrator reasons why
said license should not be revolced.
(3) Not later than three (3) months after
t'>4 disclosure of n, Sublet Invention puisxi-
a'at '••> p^rn^'T.pc1 (1) of -this Section, ruu*
v/Ulvjut 're3?r;l t-o -.rjK :hcr the Invention '.»
.?! p^ i Tjiwv obiect t>i" this ;(;rani, the -grant ,^
Tr,{\y -sub'r.U rv recru^-t irx writing to the I'-roj-
ret OjV,c..-r If'.' .. d'.-f .-nTiinatio'i by the Ad-
ministrator leaving th? grantee greater rights
than tl\»t reserved to the grantee in para-
graph ('-') of this .Section, Such request
shov.jd v?fc Toi ch information and facts which
In '.'-i<= ;;->viitf:»'.s opinion, should justify e
tut- ;.Lse of a Subject Invention
\- '"•'.•:•':. "-'i olear?y a primary object of this
Y,'"-':'1, t1 •; i '-••luistclOTi of rueh greater rights
by lh.-- grr. T;'.?P 1; both coac'-sUnl with the
i-jU.T.t of .c -i. tt, 11 i(a; of the Statement tuid
Is fir'.'tr -i ijef-!-i.^»ry i7->ire,'nive to call forth
private rtsk capital and expert-- lo bring the
Invention to ib* point of prac/.lcal appllcs-
tlon or is Justified because the Government's
contribution to such invention Is small corn-
pared to that of --he grantee; or that
(11) The Subjf. * Invention is .not a pri-
mary obK'-:' of tills grant, and that th? an-.
quisltJoii ; such greater rights will serve
the pub'.u Interest ss expressed In- the State-
ment, particular}? whea taking Into account
the scopp and nu'iire of the grantt-e'r, stated
Intentions to brint the Invention to the
point of practical application and' the guide-
lines of Section l(a) of the Statement. The
Administrator will review the grautse's re-
quest for greater rights and will niA'te P. de-
termination, either granting the request in
whole or In part, or denying the request In
its entirety. The iff an tee will be notified of
Kuch drterrntriB.Uon.
(•t) In the avwit greater rights in ary Sub-
ject Invention FU'S vested in or prallied to th:
grantee pursuant to paragraph (3) of this
Section:
(i) Ths grantee's rights !n such Inventions
shall, as a minimum, be subject to a non-
exclusive, non transferable, paid-up Ucen^'e to
the Government to practice tha invention
throughout the world by or on beh&lf of th^
Government ;>oi.'"Vis of the granting ;>f
s'.icn t;reat-'er rjgnts a U.S fjat^nL r-.ppiica-
tion rlimung die Subject Jnvenjnn and sh.ill
fi'.L-msh. MS sfnji p.s practicable, (.hc im'ornv.i-
iiLit 'ari:t ma^L-rUd ^ ['•^i\ii','*--Ci uvidc1; (jaf/i^i-aijh
('.'] of Section f. A'. t..> <"-,.cb oubj*ct Jrucii-
iloa )u v/hich th;.- t-<\ritee h^i been gii-cn
r;r-'.-.tiT r.pbt,:.. .'.h- r^.-.-.n/je s-', ,'l nottfv vbp
be filed such s_n application within u six (6)
month periwJ but ele~ts not u> continue pros-
Ticution of such application, he shall co
notify the JToject Officer, and EPA Patent
Counsel not lass than forty-five (45) days
before the expiration cr the response period.
In either of the situations covered by the U1 o
Immediately preceding sentences, the- Oov-
ernm'-nt shall" b-e entitled to all right, tlt'.e,
and iTiierest in sue!) Subject Im-entlon .siib-
je^r to the res?rvatloii to the f;rn .' -"- - ' a
re-.orable royally-frae, nonexclui,!1, i'^-.- •-•?
tli?reln.
•(;v) The grantee shall. If request-.-:: by -• -
Coveramsnt. either before or ;-,r;-r flrc'.
do?eo'.:t of this grant, .furnish v/rltte-n repori.
at rei^jna&le inrerrjj;-., tus to;
(a) The corrLrrx£rc"ial u-;e - nr\t'is being ?r.ade
or is Intended to be IT,..*r-C"
a royalty-free nonexclusive license to pr&c;.: :• :
th? invention under any patent obtained on '
such Subject Inven^!o:^ in any foreign oouu- ;
try. The license shill eMtend to existing .EOid .
anj future coir.pan!:^ controlled by. con- :
troil'ng or und^r o-.-.".moT: cont-roi wlUi the "
grantee, and shSll he assignable to the sue- ;
censor of the part of the grantee's business to :
which, such Invention pertains.
Ci) The grantee may requ&s? the loreljn :
nght.5 to a Subject. InverLtioa sA any U^te :
subit-quent to the re-porting of such iriven- '.
tion. The respa.ise TO such request ;\nd not.l- i!
nc.i'.-:r>n thereof to the grantee -Rill not be ;-
unrtiso.-iibly delayed. The Government will ,
•j,-aive title to the grantee to sxich Subject :j
Invention in forelsn countries In v.'hich the :
Government v-jll not file an ap-piicatlon for i!
a uat-e:it for such invention, or otherwise ee- :
curi- proicctior. therefor. ViT.tncver the
pr.intoo is authorized lo ;i!e In any forelgiV
country tlic Govc-,:-n:ne:i:. wiU no'^ Uiereaftcr ',•
pr>~>cc--d with. .Mirig in r.ach ccur-.iry except Dn ;|
thf- v.-riUo'.i -!,'r>:umeni of the ^r.xntee. unless l?
tu^ut t-j iia-.T^-r.i-ph (3) ol this Section.
(rt) Tnjlhe event the grantee Is s.iithor!.:ocl
to l:h- a foreigu patent apr>!icit.Lon o/i ^ S'.u-
Jtcc JnveiVtion. thp Gavtrivment RIJT-. i's thut
It will xiS'i* I':-, bef-.t cllorts not to publish f>
clcrjr-.rjpilon of such 1'.\ven iJon oritil .i Unll->".
Spates or ior\::yn -a-p-jtlCAtiiia on such Uiv«'.i-
t'..T:i !.-. filed, vhlchpvt-r 1-; earHer. bxit rir-i-fi-
lUe fUv.---rnni.ont. it> oHiCtrs. j.i;entr>. or '-*"•-
plc-yc-. t;h:dl h? D.iMt- f-^r .1: inFj!vert.r~.t
pubilraUcu thereof. 71 the tr A:I'..>' t; au-
27
-------
F E D E R A L R E G U LA •' i C N .0
Ihori/.c-d to file lu any rore:£:i country, he
shall. on request oT toe Project Oiflcer, fur-
uljli t*J the Government a piw-nv speeds ca-
lioi'. in English within six (5) months after
suc'n aut.hoi-ia3.Uon is granted. prior to any •
(orelgn filing ar.d without add i tonal com-
pensaton. The Project OSlcer. f.Cior coacur-
ront-e by the KI'A Pa.teut Counsel, may revoke
such autharii-^.cion 0:1 failure on the part
of the grants? to iV.e any ouclv foreign appli-
cation within nine (9) months after such
authorization h.is been granted.
(4) If the grantee files patent applications
la foreign countries pursuant to authoriza-
tion (jra.nt.erl under paragraph (2) of this
section, ttie grantee agrees to grant to the
Government an Irrevocable. nonexclusive,
paid-up license to practice by or on its be-
half the .invention under any patents which
may issue thereon. In any foreign country.
Such license shall Include the right to Issue
subllcenswi pursuant to any existing or fu-
ture treaties or agreements between the Gov-
ernment and » foreign government Tor uses
ot such jorc-igii governrnen.. provided the
AdmimS'.ri'.tor determines that It is in the
national Interest to acquire such right to
subl icons*.
(5) In the event the Government or the
grantee elects not to continue prosecuting
any foreign application or to maintain any
foreign patent on a Subject Invention, the
other party shall be notified no less than
sixty (60) days before the expiration of the
response period or maintenance tax due elate.
and upon written request, shall execute such
Instruments (prepared by the party wishing
to continue "the prosecution or to maintain
such patent) as are necessary to enable such
party to carry out its wishes in this regard.
D. Licenses under background patents. (1)
The grantee agrees that he will make his
Background Patent (s) available for use la
conjunction with a Subject Invention or
Specified Work Object for use in the specific
field of technology in which the purpose of
this grant or the work called for or re-quired'
thereunder falls. This may be done (\j by
miV.siig- available, In quality, quantity Mid
pries all of which are reasonable to the cir-
cumstances, an embodiment of'the Subject
Invention or Specified Work Object, which
Incorporates the Invention covered by such
Background Patent. ?.s n Commercial Ttcrn.
or (ii) by the sale of un embodiment of such
Background Patent as a Commercial Item in
a form '.vhir.li can be employed in the prac-
tice of a Subject Invention or Specified Work
Object or c.>.rv be so employed with relatively
minor niodl.'icatlons, or (ill) by the licensing
of the domestic Background Patent (s) at
reasonable royalty to responsible applicants
on their request.
12) 'If tii.-.- Administrator determtnt-s after
a hfMrln^; that trie quality, quantity. or pr
of embod::i>,ents of the Subiect Invention or
Sp^claed Woik Obj.;c; suHl or otherwise made
avi1 ; • h'o cc'nrnc-rci't's v as set forth in (D)
iU!-i Is unre;ioOn -.b!» i:i the circur.ist;ince<;.
}\r. MI xy require t'.s gnnte*- to license such
Jor--.^'.r.ic r>A.''K:;r..;. ..;-..' r.«t<-nt to o. responsible
•;•)•>•, .. -. v. s-.i retv.o".:-.'-j';v Terms, including u
; •- " ur;:*';^*- .^vniiv. for u^ in the rrt'.-ciric
fieiu •:.' tcchroio;;;.- In which the purpose of
tii.-i :;u.; ,,- '.:u> v.-.-ir'- ra'.lcd for there' inct-rr
Call- 1 ••!'' t.T i.-.- i:i ~< • :'.:-,•••. :U'n with (i) o
:,...• '•('..'•• vr>;k f..' JJ----C, oi- Mi) P Subject
(3)(i) When n. license to practice a do-
mestic Background Patent In conjunction
with a Subj=ci Invention or Specified \Vcrk
.'.'Object Is requested Ln writing by a respon-
sible applicant. for us* in the specific field
of technology In whlc'a the purpose or this
grant ov the work, called for thereunder falls,
and such Background patent Is not .\va'.lable
as set forth in D(l) (1) or (ii). t:-.- .v.-sntea
shall have six (6) months from t- :..vte of
his receipt of tuch request to ueckio .yhether
to make such Background Pi-.t?rr. so avail-
able. The gra:r_.-e shall promptly notify EPA
in writing of any request for a license to
practice a Background P-Uent in conjunction
with a Subject Invention or Specified Work
Object, which the grantee or his exclusive
licenses wish to attempt to make available
asset forth in D(l) (l)cr(ir).
(ill If the grantee decides to make such
domestic Background Patent so available
either by hirrusc-lf or by an exclusive licensee.
he shall so notify the Administrator within
the said six (6) months, whereupon the Ad-
ministrator shall then designate the reason-
able time within which the grantee 'mv~t
make such Background Patent available In
reasonable quantity and quality, and at v.
reasonable price. If the grantee or his ex-
clusive licenses decides not to make such
Background Patent so available, or full-; to
make It available within the time designate!
by the Administrator, the Background Patent
shall be licensed to a. responsible applicant at
reasonable terms, including a. reasonable
royalty, in conjunction with (a) a SpecK'.ed
Work Object, or (b) a Subject Invention, aad
may b» limited to the specific Isold of tech-
nology hi which the purpose of this gr&nt or
the work called for thereunder falls.
(Ill) The grantee agrees to grant or hp.ve
granted to a designated applicant, upon the
written request of the Govprr.r.ient. a non-
exclusive license at reasonable terms, Includ-
ing reasonably royalties, under r-.ny foreign
Background Patent in furtherance of r-'iy
treaty or agreement between the Government
of the United States and a foreign govern-
ment for practice by or on the behalf of
such foreign government, if an embodiment
of the Background Patent Ii not commer-
cially available in that country; provided.
however, that no such license will be required
unless tV.e Administrator determines that
Issuance of such license Is in the national
Interest. Such license may be limited by the
licensor to the practice of such Background
Patent In conjunction v.-lth p. Subject In-
vention or a Specified Work Object and for
use in only the specific field of technology In.
which-the purpose of this grant or thf. worlc
called for thereunder falls
(Iv) The grantee agrees it will not seek in-
Junctive relief or other prohibition of the use
of the Invention In enforcLng Its rights
against any re'.ponslb'e applicant for such
license and that n wiH not Jo:r. with oth«ri
In any inch action. It Is understood and
3~.-rcd that the- foregoing shall not affect the
E.rantea'. n,jht to injunctlve .-e'liuf or other
prohlhltj.'a o! the u.^e or Background Patents
j:i areas not con reeled y/!:h :h? practice of a
Subject Invetit'.r.n or S'.'x-^-'.f]--^ Work Object
in tbft s;)_-c;.'r Acid ol iec:-.'io:oi;y In v, h-,:h
t.'ic piu-puse of lais v-r"-:.t
l-t! J-i;: i.ss :;. the sp»-ri:.c. f-.e:d o- tp.rh-
noli.t-y in which the pur^.-,' of this Krf-:-r
or the work caliud for thiriur.dsr falLs, a':d
In conjunction with a SubJe-'-t Invention or
a Specified V.'ork Object, the grant.je agree-i
to grant to thv^ Government a UC-DJC under
any Background Patent. Such license shall
b© nonexclusive, noritransferable, royalty-free
and worldwide to practice- such ptiient which
Is not available as :•, Conim.ji-cl.'i1 Item ;xs
specified In Para^r?-?'-! H(l) (II) for uis cf
the Federal Govfcrrur.e:it In conuevtion v.-'.lh
pilot plants, demonstration planfs, test beds,
and test modules. For all other Gkivernrnc-nt
uses, any royalty charged the Government
under such licence shall be re?.sona.ble. o.nd
shall give due credit arid allowance for the
Government's contribution, if p..v.y. toward
the making, commercial development, or en-
hancement of the invention(s) covered by
the Background Patent.
(5) Any license granted under a process
Background Patent for use with a specified
Work Object shall be additionally limited to
employment of the Background Patent under
conditions and parameters reasonably equiv-
alent to those called for or employe-.-; under
this grant.
(6) It is understood and agreed that the
grantee's obligation to grant llcens.--. under
Background Patents iliall be limits-.', to the
extent of the grantee's right to gr^-.it the
same without breaching any unexplreu con-
tract It had entered Into prior to this, i.r.xnt
or prior to the identification of a Background
Patent, or without incurring any obligation
to another solely on account of salcl grant.
However, where such obligation Is the pay-
ment of royalties or other compensation, the
grantee's obligation to license his Background
.Patents shall continue and the reasonable
license terms shall Include such payments
by the applicant as will fit least fully com-
pensate the grantee under said obligation
to another.
(7) On the request of the Project Officer.
the grantee shall Identify and describe any
license agreement which would limit his right
to- grant licenses under any Background
Patent.
(8) In the event the- grantee has a parent.
or an affiliated company, -which has the right
to license a patent which would be a Back-
ground Patent If owned by the grantee, but
which is not available as a Commercial Item
as specified In paragraph D(l) (i) or (il), and
E'qualified applicant requests a license under
such patent for use in the specific field of
technology in. which the purpose of this
contract or the work called for thereunder
falls, and in connection with the use of a
Subject Invention or Specified Work Object.
the grantee shall, at the written request of
the Government, recommend to his parent
company, or affiliated company, as the case
may be, -the granting of the requested li-
cense on reasonable terms, including reason-
able royalties, and actively assist and par-
ticipate with the Government and such ap-
plicant, as to technical matters arid in liai-
son functions between the pstt'.as, as may
reasonably be required In concwctlon with
any negotiations for Issuance cf svch' li-
cense. For the purpo:-- of thi-i »alj(..r.ia:,,ia;ih,
(i) "• par CMS cor.if.vny i? jr.c- which o-.vns or
control.;, thr.vjyh di-o-j- or Indirect; owaer-
shlp of more thoii 50 percent of Lbe our-itand •
Ing ste-ch entitled to voce for the olectiorc
of directors, uno-her c:-rr-pany or k-.h-r en-
tity, and (11) ;'.•;!'..itari ..j:n;^-:i<^ *.-. • CGM-
piu.'es or other eiii-lti^s ownec! or cootroll^1'.
by U.e La.T.e pwm* company.
-------
£. :<-'-laied inventions. At the request of
i.he Project Officer made during or subsequent
to the term of this grant including any ex-
tensions for additional research and develop-
ment work, the grantee shall furnish infor-
mation concerning any Invention which ap-
pears to the Project Orflcer to reasonably
have the possibility of being a Subject In-
vention.
All information supplied by the grantee
hereunder shall be of such nature and char-
acter as to enable the Project Officer. with
the concurrence of the EPA Patent Counsel.
ref-sonably to ascertain whether or not the
invention concerned is a Subject Invention.
Failure to furnish such 'information called
for herein shall, in any subsequent proceed-
ing, place on the grucU"- the burden of go-
ing fonvard with the evidence to establish'
that such invention is not a Subject Invfn-
tion. If such evidence is not then presented,
the invention shell be deemp.d to be z. Sub-
ject fyivention After receipt of information
furnished pursuant hereto, the Project Officer
shall not. unduly delay rendc-r'.ng his opinion
on the m,atter. The Project. Officer's decision
shall be subject to the Disputes Clause of
the errant. The grantee may furnish the in-
formation required under this Section E as
grantee confidential Information, which
shall ba identified as such.
F. General provisions. (1) The grantee shall
obtain the execution of and deliver to the
Project -Officer any document, including
domestic patent applications (see B(5) here-
of) , relating to Subject Inventions as the
Project Officer may require under the terms
hereof to enable the Government to file and
prosecute patent "Applications therefor In any
country and to evidence and preserve its
rights'. Each party hereto agrees to execute
and. deliver to the other party on its request
suitably documents to evidence and preserve
license- rights derived from this Appendix.
(2) The G-overnrru-it. and the grantee shall
promptly notify each ether of the filing of
a patent application ou n Subject Invention
in any country, identifying the country or
countries in which such filing occurs and the
date and serial number of the application,
and on request shall furnish a copy of such
application to the other party and a copy
of r-.ny action on such patent application
by any Patent Office and the responses theie-
t-j. Any applications or responses furnished
shall be kepf confidential, unless the Gov-
ernment has title to the Invention.
(3) Any other provisions of this Appendix
notwithstanding, the Projtct Officer, or any
authorized EPA representative shall, until
the expiration of three (S) years after sub-
mission of the final financial status report
under this grant, have the right to examine
ir. confidence any too:-.:;, records, documents,
ar.d other supporting data of the grantee
which i.hc- "Project Officer or any authorized
L'FA reprf-seafauvs shall reasonably deem
directly per!lr,-:'.j:. to the; dtr/jovery or identifl-
;e fi 0.1 of Su'uj.-,-- Inventions or to the com-
pliance- by th; graii ic-e with the requirements
of this Append:x
(••',) NoUvith,?aading the grant of a license
1.1'idFT "i:y pp.t*-"'-f,; fo the ("iovernment pursu-
nr to pny p--o . ,-•'•;>;, of thij Append':-:, the
Or- '•.-:•:!:,?::t ca-i;', not I--,- p-.•.•vented from
c- :,-.':• ..ir,;, ri.- validity, cnfnrceabliity, ccope,
or -.1;. .. o_ ::i:':''\ llr^riseri. pai^nt.
(c) -":ia pr&nt:--: ihull furnish to the
Project Ofnc:r c-\?iy 12 tjjonths, or earlier »s
may he- agr'-c-d i-\ this grant (the initial pe-
riod shall commence with the date of award
of this grant) an interim report listing all
Subject. Inventions required to be disclosed
which were made during the interim report-
ing period or certify that ther»* are :jo such
unreporte-d inventions.
(6) The grantee shall submit a final re-
port under this grant listing all Subject In-
ventions required to be disclosed which were
made 17-1 the course of the work performed
untl-r this grant, and all subagrt-ements sub-
ject dj this Appendix. If to the best of the
grantee's knowledge and belief, no Eubtect
Inventions have resulted from this cram the
grantee shall so certify to the Project Officer.
If there aie no such subagreernents, .<- nega-
tive report is required.
(7) The interim and final reports sub-
vention dlsclosun-s required under E(i)
shall be submitted on EPA forms which will
be furnisher1, by the Project Officer on re-
quest. 'Any equivalent form approved by the
Project Officer with the concurrence of the
EPA Patent Counsel may be used in lieu of
EPA forms Such reports and disclosures shall
be submitted in triplicate.
(8) Any action required by or of the Gov-
ernment under this patent provision shall be
undertaken by the Project Officer or other
authorized EPA official as its duly authorised
representative unless otherwise stated.
(9) The Government may duplicate and
disclose reports and disclosures of Subject
Inventions required to be furnished by the
grantee pursuant to this Appendix without
additional compensation.
(10) The. grantees shall furnish to the
Project Officer, !n writing, and as soon as
practicable, information as to the date and
identity of any first public use, sal'- or pub-
lication of any Subject Invention made by or
known to the grantee, or of any contem-
plated publication of the grantee.
(11) The Administrator shall determine
the responsibility of an applicant for ;:
license under any provision of this patent
provision when this mat'ier is in dispute and
his determination thereof shall be final and
binding.
(12) The grantee shall furnish promptly
to the Project Officer or other authorized KPA
official 011 it-quest an irrevocable power tu In-
spect and make copies of each U.S. p: -at
application filed by or on behalf ot the
grantee covering any Subject Invention.
(13) The j.'-.-intee shall include in the first
paragraph iu any U.S. patent application
which it may file on a Subject Invention the
following statement:
This Invention re-suited from work done
under Grant No. ____ with the Environmen-
tal Protection Agency arid is subject to the
terms and provision ^ of said Grant.
(H) Ail Inform.irio.i furbished in confi-
dence pursuant to this Appc-ncjix shall ho
clearly identified by an appropriate '.vrltten
legend Such information shall be subject to
tli..: pro', ijiuii-- of the r'r'judOLn of Iiifni rnj.i i jn
Act. 5 U S.C 552, and sli'dl in any y.'ci!t c^'-j -
to be confidential If It is or becomes peni-rally
available to thi public o:- !>.-_! lieiu ^-icde o
h^cornes available It > Mu- x^o1, -r:mv~>>t t-\
frfj,:i oth.-r .v3 ! 1 •" IT -• -> , u; ^i) LV th'j -r,-.nJ._
it.
shall be taken only after review by the Office
of Genera) Counsel.
G. Warranties (1) The grantee warrants
that whenever he has divested h!m.s"!f of the
right to license ;iny Background l-c.'-.nt (or
any invention owned by line gran L'.-e which
could become the subject of a Bncl'i round
Patent) prior to tht C,?.te of this gra;:., such
divestment wa.s not done to avoid tru 'ft-ns-
ing requirements set forth In f>.-.u ... D Of
this Appendix. After a Background Pi- -fit, or
invention which could btcoins ttv subject
of a Background Patent, Is idrotiUed, the
grantee shall take no action which • hall im-
pair thf performance of his ob': ition to
issue Bf.cjicrour.d Patent licenses p-."'-.uant to
this grant
(2) ThK grii.te- varrmirs that he- >- ill take
no rr-tion v,-h::h -.-•S'l • i-.p-l' his C'b:i:,v.i!nr. to
assign to the Covc-rnr;i .,; t any invpnlion first
dcti:r.:iy coT:cc;ved or rcducc-o to p-acticc- in
-liie CC'-;I-:L- of o; \:nuer thr- grant.
Cti 'i'h? granite •,v.iTrar.*s that he has full
a'.tiid::t> t'i ir.ake oblisatiyn- of t>u.s A;jpe:i-
d1." <:•''•" rti1. t. b> re?/-o-i of agreer.icr1 :-; v. it- aH
of t!.i- p-"i ?C'iir.e'. . including consul t;-.'ir -. rho
ml-,:ht reasonably be expected to roal'.c ir.vc-n-
ti.-i'is, and who v.-jll be employed in work on
thf pfijo-ot for v>)-:.ch the prar.r ' --s been
awarded, to assign to the grarirt-e all discov-
eries ar.d in^-pntion? madf- v.'itl'iln the scope of
th'-ir employment
K Subaareerncnl^. This Aooendi'< shall be
nichi'.U-d in any subagrcei.-ieht over S10.000
und1?!' thii grant \\-her(- a purpose of the sub-
agrC'C-:r.c;it is the conduct of experimental, de-
vc-iopnmrital, re'-earch, or demonstration _
wr-ri: unless the Grant Approving O.Ticial
with the i-cncurrcnce of the EPA Patent
Cour^cl, aufho: i?es the ornL^lon or modifica-
tion o:' this Appendix The grantee shall not
acquire any right.- to Subject Inventions
made under such suhagrf-erri-^nt for his • ,,'n
use tat. dt-,tmt;',ti:,l,eu from such rights a^ -.ay
be required tulely to fullfil his grant obl'^a-
tions to the Gr.vermr-rit In performance of
this grant). Upon coi'iplellon of work under
such a subai-jrc-ement, tii; grantee shall
pron'iptl^v notify tnfi iToject Officer in "writing
of such complt'tion, end shE'U upon -equest
furnis)i a copy of the subagreerne'-it to the
Proj'jc! OScer. Th? grante:- hereby assigns
to the Cov.-rr.'.rif-nt all rights of the grantee
to fiJorcD iae obligations of the party to
such ;;u'ua;.;ros.-'.en.t with r-.v^prCt to Subject
Inven lions. Background Pa ''. :n'ts. £.nd piu-su-
ant to Section E of t'.v Apnendix. The
grantee- .-h. all cooperate v. '< . tne Government
ai the Government's req\i''-:-t aiid expanse in
any legal p.ctioti to secure .the Goven'i/nent'k
rlghU.
pro;.rr.ir.s. co;nputoa:ccd da:a b.:ae = , ph-forlil
rrpri-1.'1.. -f'.or.11 ri'.v -.. '-'ra-.-i; --5. ;-f~1fi (•.-|--.<
or nl.ii,.,- ;-r/L'.->hl'-j'l ;-eprestT:'aM-'vs, pnl v/orks
of :in> -.irnliar mi.tvin: (v.Iiellv r cr nul. i-o;>y
rl^h!''d'i'v,M,-/i t-.-. t •.-...: hi r, I-.,. -a \.Ui-, -. •> ;..]• o:.a!
i' r gr/' 'i r ;'-. ; ol ' .-•-^ ' '. • n L - ^/*.i. p /.;- ;.-. -.•:)'„, LO
-------
films, or ;-,iml!ar materials are developed di-
rectly or Indirectly from a project supported
by the Environmental Protection Aaencv.
the author Is free to arrange- for copyright
without approval. However, such materials
shall Include acknowledgement of EPA
grant assistance. The grantee agrees to and
does hereby grant to the Government, and
to its officers, agents, ejid .employees acting
within ths scope of their official duties, a
royal t;. -free, nonexclusive, and Irrevocable
licence throughout the world for Govern-
ment purposes to publish, translate, repro-
duce, deliver, perform, dispose of, and to
authorize others so to do. all Subject Data,
or copyrlghtable material based. 011 such
da'-a. iiow or r.-reafter covered by copyright.
3. The yraiiU-i: shall not include In the
Subject Data any copyrighted matter, with-
out the written approval r>f the Project Of-
ficer, unless he piov:clei the Guvernmen1"
with the writ ton permission of the copy-
right owner for the Government W use^such
copyrighted matter in the manner provide"3
in Article 2 above
4. The grantee shall report to the iToJect
Officer, promptly nncl In reasonable wTltten
det:-.il, r-p.ch notice or claim of copyright
Infringement received by the grantee with
respect to all Subject Data, delivered under
this grant.
5. frothing contained in this Appendix
shall imply a license to the Government un-
der any patent or be construed as affecting
the scope of any license or other rights
otherwise granted to the Government under
any patent.
6. Unle:,s otherwise limited below, the
Government may. without additional com-
pensation to th£ grantee duplicate, use. and
disclose In any manner and for any purpose
whatsoever, nad have others so do, all Sub-
ject Data.
7. Notvi'lthstandlng any provisions of this
grant concerning inspection and acceptance,
the Government shall have the right ac any
time to modify, remove, obliterate, or ignore
any marking not authorized by the terms of
this grant on any piece of Subject Data fur-
nished under this grant.
8. Data need not be furnished for stand-
ard commercial Items or services which are
normally or have been sold or offered to the
public commercially by any supplier and
which p-re Incorporated as component parts
In or to be used with the product or process
being developed or investigated. If In lieu
.thereof IdentinVatlon of source and char-
acteristics (including performance specifica-
tions, when necessary) sufficient to enable
the Government to procure the part or an
adequate substitute, rire furnished; and fur-
ther, proprietary data need not be fur.nlshed
for -other items or processes which were de-
veloped nt private expense and previously
sold or offered for sp-le or commercially pruc-
tlcecl in tL" case of a process, lnclu
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