---
kind: "section"
citation: "40 C.F.R. § 35.2040"
title: "40"
number: "35.2040"
heading: "Grant application."
url: "https://uscodex.org/cfr/40/35.2040"
---

# §35.2040. Grant application.


Applicants for Step 2 + 3 or Step 3 assistance shall submit applications to the State. In addition to the information required in 2 CFR parts [200](/cfr/2/part200.md) and [1500](/cfr/2/part1500.md), applicants shall provide the following information:

- (a) **Step 2 + 3: Combined design and building of a treatment works and building related services and supplies.** An application for Step 2 + 3 grant assistance shall include:
  - (1) A facilities plan prepared in accordance with this subpart;
  - (2) Certification from the State that there has been adequate public participation based on State and local statutes;
  - (3) Notification of any advance received under [§ 35.2025(b)](/cfr/40/35.2025.md?p=b);
  - (4) Evidence of compliance with all application limitations on award ([§§ 35.2100 through 35.2127](/cfr/40/35.2100..35.2127.md)); and
  - (5) **The project schedule.**
- (b) **Step 3: Building of a treatment works and related services and supplies—** An application for Step 3 grant assistance shall include:
  - (1) A facilities plan prepared in accordance with this subpart;
  - (2) Certification from the State that there has been adequate public participation based on State and local statutes;
  - (3) Notification of any advance received under [§ 35.2025(b)](/cfr/40/35.2025.md?p=b);
  - (4) Evidence of compliance with all applicable limitations on award ([§§ 35.2100 through 35.2127](/cfr/40/35.2100..35.2127.md));
  - (5) Final design drawings and specifications;
  - (6) The project schedule; and
  - (7) In the case of an application for Step 3 assistance that is solely for the acquisition of eligible real property, a plat which shows the legal description of the property to be acquired, a preliminary layout of the distribution and drainage systems, and an explanation of the intended method of acquiring the real property (see [40 CFR part 4](/cfr/40/part4.md)).
- (c) **Training facility project.** An application for a grant for construction and support of a training facility, facilities or training programs under section 109(b) of the Act shall include:
  - (1) A written commitment from the State agency to carry out at such facility a program of training; and
  - (2) If a facility is to be built, an engineering report including facility design data and cost estimates for design and building.
- (d) **Advances of allowance.** State applications for advances of allowance to small communities shall be on government wide Application for Federal Assistance (SF-424). The application shall include:
  - (1) A list of communities that received an advance of allowance and the amount received by each under the previous State grant; and
  - (2) **The basis for the amount requested.**
- (e) **Field Testing of Innovative and Alternative Technology.** An application for field testing of I/A projects shall include a field testing plan containing:
  - (1) Identification; including size, of all principal components to be tested;
  - (2) Location of testing facilities in relationship to full scale design;
  - (3) Identification of critical design parameters and performance variables that are to be verified as the basis for I/A determinations:
  - (4) Schedule for construction of field testing facilities and duration of proposed testing;
  - (5) Capital and O&M cost estimate of field testing facilities with documentation of cost effectiveness of field testing approach; and
  - (6) Design drawing, process flow diagram, equipment specification and related engineering data and information sufficient to describe the overall design and proposed performance of the field testing facility.
- (f) **Marine CSO Fund Project.** An application for marine CSO grant assistance under [§ 35.2024(b)](/cfr/40/35.2024.md?p=b) shall include:
  - (1) All information required under [paragraphs (b)](#b) (1), (2), (4), (6), and (7), of this section;
  - (2) Final design drawings and specifications or a commitment to provide them by a date set by the Regional Administrator; and
  - (3) The water quality benefits demonstration required under [§ 35.2024(b)(1)](/cfr/40/35.2024.md?p=b-1).
- (g) **Design/build project grant (Step 7).** An application for a design/build project grant shall include:
  - (1) All the information required in [paragraphs (b)](#b) (1), (2) and (4) of this section; and
  - (2) The estimated building start and completion dates and Federal payment schedule (the start and completion dates may be revised when the design/build bids are accepted and included in the amended grant).

## Notes

### Amendments

[49 FR 6234, Feb. 17, 1984, as amended at 50 FR 45895, Nov. 4, 1985; 55 FR 27096, June 29, 1990; 79 FR 76056, Dec. 19, 2014]

### Authority

Authority: Secs. 101(e), 109(b), 201 through 205, 207, 208(d), 210 through 212, 215 through 219, 304(d)(3), 313, 501, 502, 511 and 516(b) of the Clean Water Act, as amended, 33 U.S.C. 1251 et seq.

### Source

Source: 49 FR 6234, Feb. 17, 1984, unless otherwise noted.

### Authority

Authority: 42 U.S.C. 7401 et seq.; 33 U.S.C. 1251 et seq.; 42 U.S.C. 300f et seq.; 42 U.S.C. 6901 et seq.; 7 U.S.C. 136 et seq.; 15 U.S.C. 2601 et seq.; 42 U.S.C. 13101 et seq.; Pub. L. 104-134, 110 Stat. 1321, 1321-299 (1996); Pub. L. 105-65, 111 Stat. 1344, 1373 (1997), 2 CFR 200.

### Amendments

[49 FR 6234, Feb. 17, 1984, as amended at 50 FR 45895, Nov. 4, 1985; 55 FR 27096, June 29, 1990; 79 FR 76056, Dec. 19, 2014]