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(2) Section 104 (42 U.S.C. 1857b-1) the demonstration of advanced waste authorizes grants for research and de- treatment and water purification velopment of new and improved meth methods (including the temporary use ods for the prevention and control of of new or improved chemical additives air pollution resulting from the com which provide substantial immediate bustion of fuels.

improvement to existing treatment (b) The Federal Water Pollution processes), or new or improved methControl Act, as amended, Pub. L. 92- ods of joint treatment systems for mu500.

nicipal and industrial wastes. (1) Section 104(b) (33 U.S.C. 1254(b)) (7) Section 105(b) (33 U.S.C. 1255(b)) authorizes grants for research and authorizes grants for demonstrating, demonstration projects relating to the in river basins or portions thereof, adcauses, effects, extent, prevention, re- vanced treatment and environmental duction, and elimination of water pol- enhancement techniques to control lution.

pollution from all sources, within such (2) Section 104(h) (33 U.S.C. basin or portions thereof, including 1254(h)) authorizes grants for re- nonpoint sources, together with insearch and development of new and stream water quality improvement improved methods for the prevention, techniques. removal, reduction, and elimination of (8) Section 105(c) (33 U.S.C. 1255(c)) pollution in lakes, including the unde- authorizes grants for research and sirable effects of nutrients and vegeta- demonstration projects for prevention tion, and for construction of publicly of pollution of any waters by industry owned research facilities for such pur- including, but not limited to, the prepose.

vention, reduction, and elimination of (3) Section 104(i) (33 U.S.C. 1254(i)) the discharge of pollutants. authorizes grants for research, studies, (9) Section 105(e)(1) (33 U.S.C. experiments, and demonstrations rela- 1255(e)(1)) authorizes grants for retive to the removal of oil from any search and demonstration projects waters and for the prevention, control, with respect to new and improved and elimination of oil and hazardous methods of preventing, reducing, and substances pollution.

eliminating pollution from agriculture. (4) Section 104(r) (33 U.S.C. 1254(r)) (10) Section 105(e)(2) (33 U.S.C. authorized grants for the conduct of 1255(e)(2)) authorizes grants for dembasic research into the structure and onstration projects with respect to function of freshwater aquatic ecosys new and improved methods of preventtems, and to improve understanding of ing, reducing, storing, collecting, treatthe ecological characteristics neces ing, or otherwise eliminating pollution sary to the maintenance of the chemi from sewage in rural and other areas cal, physical, and biological integrity where collection of sewage in convenof freshwater aquatic ecosystems.

tional, communitywide sewage collec(5) Section 104(s) (33 U.S.C. (s)) au- tion systems is impractical, uneconothorizes grants to conduct and report mical, or otherwise infeasible, or on interdisciplinary studies on river where soil conditions or other factors systems, including hydrology, biology, preclude the use of septic tank and ecology, economics, the relationship drainage field systems. between river uses and land uses, and (11) Section 107 (33 U.S.C. 1257) authe effects of development within thorizes grants for projects to demonriver basins on river systems and on strate comprehensive approaches to the value of water resources and the elimination or control of acid or water-related activities.

other mine water pollution resulting (6) Section 105(a) (33 U.S.C. 1255(a)) from active or abandoned mining operauthorizes grants for research and ations and other environmental polludemonstration of new or improved tion affecting water quality within all methods for preventing, reducing, and or part of a watershed or river basin, eliminating the discharge into any including siltation from surface waters of pollutants from sewers mining. which carry storm water or both (12) Section 108 (33 U.S.C. 1258) austorm water and pollutants; and for thorizes grants for projects to demon

strate new methods and techniques, shall have the meaning set forth and to develop preliminary plans for below: the elimination or control of pollution

(42 FR 56056, Oct. 20, 1977) within all or any part of the watersheds of the Great Lakes.

8 40.115-1 Construction. (13) Section 113 (33 U.S.C. 1263) authorizes grants for projects to demon

May include the preliminary planstrate methods to provide for central

ning to determine the economic and community facilities for safe water

engineering feasibility of a facility, the and elimination or control of pollution

engineering, architectural, legal, fiscal, in those native villages of Alaska with:

and economic investigations and studout such facilities.

ies, surveys, designs, plans, working (c) The Public Health Service Act, as

drawings, specifications, procedures, amended, 42 U.S.C. 241 et seq.

and other action necessary to the con(1) Section 301 (42 U.S.C. 241, 242b,

struction of a facility, the erection, acand 246) authorizes grants for re

quisition, alteration, remodeling, imsearch relating to the human and en

provement, or extension of a facility, vironmental effects of radiation.

and the inspection and supervision of (d) The Solid Waste Disposal Act, as

the construction of a facility. amended, by the Resource Conservation and Recovery Act of 1976 (42

§ 40.115-2 Intermunicipal agency. U.S.C. 6901 et seq.).

(a) Under the Clean Air Act, an (1) Section 8001 (42 U.S.C. 6981) au agency of two or more municipalities thorizes grants for research and dem

located in the same State or in differonstration projects relating to solid ent States and having substantial waste.

powers or duties pertaining to the pre(2) Section 8004 (42 U.S.C. 6984) au- vention and control of air pollution. thorizes grants for demonstration of (b) Under the Resource Conservanew or improved technologies for re

tion and Recovery Act, an agency essource recovery.

tablished by two or more municipal(3) Section 8005 (42 U.S.C. 6985) au- ities with responsibility for planning thorizes grants to conduct special or administration of solid waste. studies and demonstration projects on (c) In all other cases, an agency of recovery of useful energy and materi two or more municipalities having subals.

stantial powers or duties pertaining to (4) Section 8006 (42 U.S.C. 6986) au the control of pollution. thorizes grants for the demonstration

(38 FR 12784, May 15, 1973, as amended at of resource recovery system or for the

42 FR 56056, Oct. 20, 1977) construction of new or improved solid waste disposal facilities.

8 40.115-3 Interstate agency. (e) The Federal Insecticide, Fungi.

(a) Under the Clean Air Act, an cide, and Rodenticide Act, as amended, Pub. L. 92-516.

agency established by two or more (1) Section 20 authorizes grants for

States, or by two or more municipal

ities located in different States, having research in the pesticides areas with priority given to the development of

substantial powers or duties pertain

ing to the prevention and control of biologically integrated alternatives for

air pollution. pest control.

(b) Under the Federal Water Pollu(f) The Grant Act, 42 U.S.C. 1891 et

tion Control Act, an agency of two or seq., authorizes grants for basic scien.

more States established by or pursutific research.

ant to an agreement or compact ap(38 FR 12784, May 15, 1973, as amended at proved by the Congress or any other 42 FR 56056, Oct. 20, 1977)

agency of two or more States, having

substantial powers or duties pertain8 40.115 Definitions.

ing to the control of pollution of The statutes identified in $ 40.110 waters. contain definitions which are not all (c) Under the Resource Conservation repeated here. The following terms and Recovery Act, an agency of two or

more municipalities in different States or an agency established by two or more States, with authority to provide for the disposal of solid wastes and serving two or more municipalities located in different States.

(d) In all other cases, an agency of two or more States having substantial powers or duties pertaining to the control of pollution. (38 FR 12784, May 15, 1973, as amended at 42 FR 56056, Oct. 20, 1977)

(b) Under the Resource Conservation and Recovery Act, an individual trust, firm, joint stock company, corporation (including a government corporation), partnership, association, State, municipality, commission, political subdivision of a State, or any interstate body. [38 FR 12784, May 15, 1973, as amended at 42 FR 56057, Oct. 20, 1977)

8 40.115-6 State.

(a) Under the Federal Water Pollution Control Act, a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Trust Territory of the Pacific Islands.

(b) Under the Resource Conservation and Recovery Act, a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands.

(c) In all other cases, a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam and American Samoa. (42 FR 56057, Oct. 20, 1977)

8 40.115-4 Municipality.

(a) Under the Federal Water Pollution Control Act, a city, town, borough, county, parish, district, association, or other public body created by or pursuant to State law, or an Indian tribe or an authorized Indian tribal organization, with jurisdiction over disposal of sewage, industrial wastes, or other wastes; or a designated and approved management agency under section 208 of the act.

(b) Under the Resource Conservation and Recovery Act, a city, town, borough, county, parish, district, or other public body created by or pursuant to State law, with responsibility for the planning or administration of solid waste management, or an Indian tribe or authorized tribal organization or Alaska Native village or organization, and any rural community or unincorporated town or village or any other public entity for which an application for assistance is made by a State or political subdivision thereof.

(c) In all other cases, a city, town, borough, county, parish, district, or other public body created by or pursuant to State law, or an Indian tribe or an authorized Indian tribal organization, having substantial powers or duties pertaining to the control of pollution. (38 FR 12784, May 15, 1973, as amended at 42 FR 56056, Oct. 20, 1977)

$ 40.120 Publication of EPA research ob

jectives. The Office of Research and Development of EPA publishes a statement of research objectives and priorities annually in a document entitled “Office of Research and Development-Program Guide.” This document may be obtained from either the Office of Research and Development, RD-674, or the Grants Administration Division, PM-216, U.S. Environmental Protection Agency, Washington, D.C. 20460. [42 FR 56057, Oct. 20, 1977)

$ 40.115-5 Person.

(a) Under the Federal Water Pollution Control Act, an individual, corporation, partnership, association, State, municipality, commission, or political subdivision of a State, or any interstate body.

$ 40.125 Grant limitations.
§ 40.125-1 Limitations on duration.

(a) No research or demonstration grant shall be approved for a budget period in excess of 2 years except demonstration grants involving construction.

(b) No research or demonstration grant shall be approved for a project period in excess of 5 years.

Po

(c) The grant award official may (a) The Clean Air Act, as amendedextend the budget and project periods public or nonprofit private agencies, for up to an additional 12 months institutions, organizations, and to indiwithout additional grant funds, when viduals. such extensions are in the best inter

(b) Resource Conservation and Reest of the Government.

covery Act. (42 FR 56057, Oct. 20, 1977)

(1) Section 8001, public authorities, Note: For a class deviation document af.

agencies, and institutions; private fecting $ 40.125-1, see 46 FR 31259, June 15, agencies and institutions; and individ1981.

uals.

(2) Section 8004 and 8005, public 8 40.125-2 Limitations on assistance.

agencies and authorities or private In addition to the cost-sharing re persons.

ments pursuant to 40 CFR (3) Section 8006, State, municipal, 30.720, research and demonstration intersate or intermunicipal agencies. grants shall be governed by the specif

(4) No grant may be made under this ic assistance limitations listed below:

Act to any private profit-making orga(a) Federal Water Pollution Control

nization. Act. (1) Section 104(s)-no grant in

(c) The Federal Insecticide, Fungiany fiscal year may exceed $1 million.

cide, and Rodenticide Act, as amend(2) Sections 105(a), 105(c) and 108–

ed-other Federal agencies, universino grant may exceed 75 percent of the

ties, or others as may be necessary to allowable actual project costs. (b) Clean Air Act. (1) Section 104-no

carry out the purposes of the act.

(d) The Federal Water Pollution grant may exceed $1,500,000.

Control Act, as amended: (c) Resource Conservation and Re

(1) Section 104(b)-State water polcovery Act. (1) Sections 8001, 8004, and 8005. The maximum practicable cost

lution control agencies, interstate sharing is required.

agencies, other public or nonprofit pri(2) Section 8006. The Federal share

vate agencies, institutions, organizafor any grant for the demonstration of tions, and to individuals. resource recovery systems shall not (2) Sections 104(h) and 104(i)— exceed 75 percent and is subject to the public or private agencies and organiconditions contained in section 8006(b) zations and to individuals. of the Act. The Federal share for any (3) Section 104(r)-colleges and unigrant for the construction of new or versities. improved solid waste disposal facilities (4) Section 104(s)-institutions of shall not exceed 50 percent in the case higher education. of a project serving an area which in

(5) Sections 105(a), 105(e)(2), and cludes only one municipality and 75

107-State, municipal, interstate, and percent in any other case, and is sub

intermunicipal agencies. ject to the limitations contained in

(6) Section 195(b)-State or States or section 8006(c) of the Act. Not more

interstate agency.
than 15 percent of the total funds au-
thorized to be appropriated for any

(7) Sections 105(c) and 105(e)(1)fiscal year to carry out this section

persons. shall be awarded for projects in any

(8) Section 108-State, political subone State.

division, interstate agency, or other

public agency, or combination thereof. (38 FR 12784, May 15, 1973, as amended at

(9) Section 113-only to the State of 42 FR 20083, May 8, 1975; 42 FR 56057, Oct. 20, 1977)

Alaska.

(e) The Public Health Service Act, as 8 40.130 Eligibility.

amended-only to nonprofit agencies, Except as otherwise provided below,

institutions, organizations, and to indi

viduals. grants for research and demonstration projects may be awarded to any re (38 FR 12784, May 15, 1973, as amended at sponsible applicant in accordance with 40 FR 20083, May 8, 1975; 42 FR 56057, Oct. 40 CFR 30.340:

20, 1977)

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8 40.135 Application.

under these guidelines will be consid

ered as being in compliance with this $ 40.135-1 Preapplication coordination. requirement. These guidelines are pro

(a) All applicants. (1) Applicants for vided in DHEW Publication No. (NIH) research and demonstration grants are 72-102, the "Institutional Guide to encouraged to contact EPA for further DHEW Policy on Protection of Human information and assistance prior to Subjects.” Copies of this publication submitting a formal application. The are available from the Superintendent EPA regional office or the laboratory of Documents, U. S. Government nearest the applicant will be able to Printing Office, Washington, D.C. provide such assistance or to refer the 20420. applicant to an appropriate EPA rep

(3) Applicants must provide with resentative.

each proposal involving human sub(2) Applicants shall prepare an envi

jects a certification that it has been or ronmental assessment of the proposed

will be reviewed in accordance with project where applicable, outlining the

the institution's assurance. This certianticipated impact on the environ

fication must be renewed annually on ment pursuant to 40 CFR, Part 6.

the basis of continuing review of the (b) Demonstration grants. All appli

supported project. cants for demonstration grants must comply with all applicable require

(b) Applications involving labore. ments of Office of Management and

tory animals. Each application for a Budget (OMB) Circular No. A-95 as

project involving the use of warmrevised, see $ 30.305 of this subchapter.

blooded animals shall include a writ. (c) Applications for grants for dem.

ten assurance that the applicant has onstration projects funded by the

registered with the Department of Ag. Office of Solid Waste will be solicited

riculture and is in compliance with the through the Department of Commerce

rules, regulations, and standards enunBusiness Daily, and selections will be

ciated in the Animal Welfare Act, Pub. made on a competitive basis.

L. 89-554, as amended.

(c) Notice of research project (NRP). (38 FR 12784, May 15, 1973, as amended at

Each application for research must in41 FR 20659, May 20, 1976; 42 FR 56057,

clude a summary (NRP) of proposed Oct. 20, 1977)

work (200 words or less) incorporating 8 40.135-2 Application requirements. objectives, approach and current plans All applications for research and

and/or progress. Upon approval of an demonstration grants shall be submit

application, summaries are forwarded ted in an original and 8 copies to the

to the Smithsonian Science InformaEnvironmental Protection Agency,

tion Exchange. Summaries of work in Grants Administration Division,

progress are exchanged with governWashington, D.C. 20460, in accordance

ment and private agencies supporting with $$ 30.315 through 30.315-3.

research and are forwarded to investi. (a) Applications involving human

gators who request such information. subjects. (1) Safeguarding the rights

(d) Federal Water Pollution Control and welfare of human subjects in Act. (1) All applications for grants volved in projects supported by EPA under section 105(a) must have been grants is the responsibility of the insti approved by the appropriate State tution which receives or is accountable water pollution control agency or to EPA for the funds awarded for the agencies. support of the project.

(2) All applications for grants under (2) Institutions must submit to EPA, section 107, where the proposed profor review, approval, and official ac- ject will be located in the Appalachian ceptance, a written assurance of its region, shall have been coordinated compliance with guidelines established with the Appalachian Regional Comby Department of Health, Education, mission for determination that such and Welfare concerning protection of demonstration project is consistent human subjects. However, institutions with the objectives of the Appalachian which have submitted and have had Regional Development Act of 1965, as accepted, general assurance to DHEW amended.

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