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ect are unallowable. Such costs include, but are not limited to:

(a) Basin or areawide planning not directly related to the project;

(b) Bonus payments not legally required for completion of construction in advance of a contractual completion date;

(c) Personal injury compensation or damages arising out of the project, whether determined by adjudication, arbitration, negotiation, or otherwise;

(d) Fines and penalties resulting from violations of, or failure to comply with, Federal, State, or local laws;

(e) Costs outside the scope of the approved project;

(f) Interest on bonds or any other form of indebtedness required to finance the grantee's share of project costs;

(g) Ordinary operating expenses of local government, such as salaries and expenses of a mayor, city council members, or city attorney, except as provided in $ 35.940-4;

(h) Site acquisition (for example, sewer rights-of-way, sewer treatment plant sites, sanitary landfills and sludge disposal areas), except as otherwise provided in 35.940–3(a). $ 35.940–3 Costs allowable, if approved.

Certain direct costs are sometimes necessary for the construction of a treatment works and are allowable if reasonable and approved by the Regional Administrator in the grant agreement or a grant amendment. Such costs include, but are not limited to:

(a) Land acquired after October 17, 1972, that will be an integral part of the treatment process or that will be used for ultimate disposal of residues resulting from such treatment (for example, land for spray irrigation of sewage effluent).

(b) Acquisition of an operable portion of a treatment works.

(c) Rate determinations studies required pursuant to $ 35.925–11. $ 35.940-4 Indirect costs.

Indirect costs of the grantee shall be allowable in accordance with an indirect cost agreement negotiated and incorporated in the grant agreement. An indirect cost agreement must identify those cost elements allowable pursuant to $ 35,940–1. Where the benefits derived from a grantee's indirect services cannot be readily determined, a lump sum for overhead may be negotiated based upon a determination that such amount will be

approximately the same as the actual indirect costs that may be incurred. § 35.940–5 Disputes.

The grantee should seek to resolve any questions relating to cost allowability or allocation at its earliest opportunity (if possible, prior to execution of the grant agreement). Final determinations concerning the allowability of costs shall be conclusive unless appealed within 30 days in accordance with the “Disputes" article (Article 7) of the EPA General Grant Conditions (Appendix A, Subchapter B of this title). & 35.945 Grant payments.

The grantee shall be paid on a reimbursable basis for the Federal share of allowable costs incurred within the scope of an approved project: Provided, That such payments may not exceed the payment schedule and the grant amount set forth in the grant agreement and any amendments thereto.

(a) Initial payment. Upon award of a grant, the grantee may request payment for the unpaid Federal share of allowable project costs, e.g., preliminary plans and studies, sewer system evaluations, or preparation of final construction drawings and specifications.

(b) Interim payments. The grantee may submit requests for payment for allowable costs incurred in accordance with the negotiated payment schedule included in the grant agreement. Upon receipt of a request for payment, the Regional Administrator shall cause to be disbursed from available appropriated funds such amounts as are necessary so that the total amount of Federal payments to the grantee for the project is equal to the Federal share of the actual or estimated allowable project costs incurred to date, as certified by the grantee in its most recent request for payment.

(c) Adjustment. At any time or times prior to final payment under the grant, the Regional Administrator may cause any request(s) for payment to be reviewed or audited. Each payment theretofore made shall be subject to reduction for amounts included in the related request for payment which are found, on the basis of such review or audit, not to constitute allowable costs. Any payment may be reduced for overpayments or increased for underpayments on preceding requests for payment.

(d) Refund, rebates, credits, etc. The Federal share of any refunds, rebates,

credits, or other amounts (including any $35.955 Grant amendments to increase interest thereon) accruing to or received

grant amounts. by the grantee with respect to the proj

Grant agreements may be amended in ect, to the extent that they are properly

accordance with $ 30.901 of this chapter allocable to costs for which the grantee has been paid under a grant, must be

with respect to project changes which credited to the current State allotment

have been approved in accordance with or paid to the United States. Reasonable

$ 30.900 of this chapter: Provided, That expenses incurred by the grantee for the

no grant agreement may be amended to purpose of securing such refunds, re

increase the amount of a grant unless bates, credits, or other amounts shall be the State agency has issued a priority allowable under the grant when ap certification for the grant increase from proved by the Regional Administrator. available State allotments and reallot(e) Final payment. On receipt and ap

ments in accordance with $ 35.915. proval of the request for payment designated by the grantee as the "final pay

PART 40-RESEARCH AND ment request” and upon compliance by

DEMONSTRATION GRANTS the grantee with all applicable require

Sec. ments of this part (including paragraph 40.100 Purpose of regulation.

(d) of this section) and the grant agree 40.105 Applicability and scope. ment, the Regional Administrator shall

40.110 Authority.

40.115 cause to be disbursed to the grantee any

Definitions.

40.115-1 Construction. balance of allowable cost which has not

40.115–2 Intermunicipal agency. been paid to the grantee. The final pay

40.115-3 Interstate agency. ment request must be submitted by the 40.115-4 Municipality. grantee promptly following completion 40.115-5 Person. of the project work but in no event later 40.115-6 Recovered resources. than 1 year (or such longer period as

40.115–7 Resource recovery system. the Regional Administrator may in his

40.115–8 Solid waste.

40.115-9 Solid waste disposal. discretion approve in writing) from the

40.115–10 State. date of such completion. Prior to final

40.120 Determination of EPA research payment under the grant, the grantee

objectives. must execute and deliver an assignment 40.120–1 Environmental research need. to the United States, in form and sub 40.120-2 Need statements. stance satisfactory to the Regional Ad

40.120-3 Publication of research objecministrator, of the Federal share of re

tives.

40.125 Grant limitations. funds, rebates, credits or other amounts

40.125-1 Limitations on duration. (including any interest thereon) prop

40.125-2 Limitations on assistance. erly allocable to costs for which the 40.130 Eligibility. grantee has been paid by the Govern 40.135 Application. ment under the grant, and a release dis 40.135-1 Preapplication coordination. charging the United States, its officers,

40.135-2 Application requirements. agents, and employees from all liabili

40.140 Criteria for award.

40.140-1 All applications. ties, obligations, and claims arising out

40.140–2 Solid Waste Disposal Act. of the project or under the grant, sub 40.140-3 Federal Water Pollution Control ject only to such exceptions which may

Act. be specified in the release.

40.145 Supplemental grant conditions.

40.145-1 Solid Waste Disposal Act. 8 35.950 Suspension or termination of 40.145-2 Federal Water Pollution Control grants.

Act.

40.145–3 Projects involving construction, Grants may be suspended, in accord

40.150 Evaluation of applications. ance with $ 30.902 of this chapter and 40.155 Confidential data. Article 4 of the General Grant Condi

40.160 Reports.

40.160–1 Progress reports. tions (Appendix A to Subchapter B of

40.160-2 Report of project expenditures. this title), or terminated, in accordance 40.160-3 Reporting of inventions. with $ 30.903 of this chapter and Article 40.160-4 Equipment report. 5 of the General Grant Conditions (Ap

40.160-5 Final report.

40.165 pendix A to Subchapter B of this title):

Continuation grants. Provided, That the State agency shall AUTHORITY: Authorities cited in $ 40.110. be concurrently notified in writing of any SOURCE: 38 FR 12784, May 15, 1973, unless such suspension or termination action. Otherwise noted.

$ 40.100 Purpose of regulation.

(4) Section 104(r) (33 U.S.C. 1254(r)) These provisions establish and codify

authorizes grants for the conduct of basic policies and procedures governing the

research into the structure and function award of research and demonstration

of freshwater aquatic ecosystems, and grants by the Environmental Protection

to improve understanding of the ecologi

cal characteristics necessary to the Agency.

maintenance of the chemical, physical, $ 40.105 Applicability and scope.

and biological integrity of freshwater This part establishes mandatory poli aquatic ecosystems. cies and procedures for all EPA research

(5) Section 104(s) (33 U.S.C. (s) ) and demonstration grants. The provi

authorizes grants to conduct and report sions of this part supplement the EPA on interdisciplinary studies on river sysgeneral grant regulations and procedures tems, including hydrology, biology, ecol(40 CFR pt. 30). Accordingly, all EPA

ogy, economics, the relationship between research and demonstration grants are

river uses and land uses, and the effects awarded subject to the EPA interim gen

of development within river basins on eral grant regulations and procedures (40

river systems and on the value of water CFR pt. 30) and to the applicable provi

resources and water-related activites. sions of this part 40.

(6) Section 105(a) (33 U.S.C. 1255(a))

authorizes grants for research and dem$ 40.110 Authority.

onstration of new or improved methods EPA research and demonstration for preventing, reducing, and eliminatgrants are authorized under the follow ing the discharge into any waters of poling statutes:

lutants from sewers which carry storm (a) The Clean Air Act, as amended, water or both storm water and pollu42 U.S.C. 1857 et seq.

tants; and for the demonstration of (1) Section 103 (42 U.S.C. 1857b) au advanced waste treatment and water thorizes grants for research and dem purification methods (including the temonstration projects relating to the causes, porary use of new or improved chemical effects, extent, prevention, and control additives which provide substantial imof air pollution.

mediate improvement to existing treat(2) Section 104 (42 U.S.C. 1857b-1) ment processes), or new or improved authorizes grants for research and devel methods of joint treatment systems for opment of new and improved methods municipal and industrial wastes. for the prevention and control of air (7) Section 105(b) (33 U.S.C. 1255 (b)) pollution resulting from the combustion

authorizes grants for demonstrating, in of fuels.

river basins or portions thereof, advanced (b) The Federal Water Pollution Con treatment and environmental enhancetrol Act, as amended, Public Law 92-500.

ment techniques to control pollution (1) Section 104(b) (33 U.S.C. 1254(b))

from all sources, within such basin or authorizes grants for research and dem

portions thereof, including nonpoint

sources, together with in-stream water onstration projects relating to the causes,

quality improvement techniques. effects, extent, prevention, reduction, and

(8) Section 105(c) (33 U.S.C. 1255 (c)) elimination of water pollution.

authorizes grants for research and dem(2) Section 104(h) (33 U.S.C. 1254

onstration projects for prevention of h)) authorizes grants for research and pollution of any waters by industry indevelopment of new and improved meth cluding, but not limited to, the prevenods for the prevention, removal, reduc tion, reduction, and elimination of the tion, and elimination of pollution in discharge of pollutants. lakes, including the undesirable effects of

(9) Section 105(e) (1) (33 U.S.C. 1255 nutrients and vegetation, and for con

(e) (1)) authorizes grants for research struction of publicly owned research fa

and demonstration projects with respect cilities for such purpose.

to new and improved methods of pre(3) Section 104(1) (33 U.S.C. 1254(1))

venting, reducing, and eliminating pollu

tion from agriculture. authorizes grants for research, studies,

(10) Section 105(e) (2) (33 U.S.C. 1255 experiments, and demonstrations relative

(e) (2)) authorizes grants for demonto the removal of oil from any waters and

stration projects with respect to new and for the prevention, control, and elimina

improved methods of preventing, reduction of oil and hazardous substances ing, storing, collecting, treating, or otherpollution.

wise eliminating pollution from sewage

in rural and other areas where collection of sewage in conventional, communitywide sewage collection systems is impractical, uneconomical, or otherwise infeasible, or where soil conditions or other factors preclude the use of septic tank and drainage field systems.

(11) Section 107 (33 U.S.C. 1257) authorizes grants for projects to demonstrate comprehensive approaches to the elimination or control of acid or other mine water pollution resulting from active or abandoned mining operations and other environmental pollution affecting water quality within all or part of a watershed or river basin, including siltation from surface mining.

(12) Section 108 (33 U.S.C. 1258) authorizes grants for projects to demonstrate new methods and techniques, and to develop preliminary plans for the elimination or control of pollution within all or any part of the watersheds of the Great Lakes.

(13) Section 113 (33 U.S.C. 1263) authorizes grants for projects to demonstrate methods to provide for central community facilities for safe water and elimination or control of pollution in those native villages of Alaska without such facilities.

(c) The Public Health Service Act, as amended, 42 U.S.C. 241 et seq.

(1) Section 301 (42 U.S.C. 241, 242b, and 246) authorizes grants for research relating to the human and environmental effects of radiation.

(d) The Solid Waste Disposal Act, as amended, 42 U.S.C. 3251 et seq.

(1) Section 204 (42 U.S.C. 3253) authorizes grants for research and demonstration projects relating to new and improved methods of solid waste management.

(2) Section 205 (42 U.S.C. 3253a) authorizes grants for research and demonstration projects relating to the recovery of materials and energy from solid waste.

(3) Section 208 (42 U.S.C. 3254b) authorizes grants for the demonstration of resource recovery systems.

(e) The Federal Insecticide, Fungicide, and Rodenticide Act, as amended, Public Law 92-516.

(1) Section 20 authorizes grants for research in the pesticides areas with priority given to the development of biologically integrated alternatives for pest control.

(f) The Grant Act. 42 U.S.C. 1891 et seq., authorizes grants for basic scientific research.

$ 40.115 Definitions.

As used herein, the following words and terms shall have the meaning set forth below: $ 40.115-1 Construction.

May include the preliminary planning to determine the economic and engineering feasibility of a facility, the engineering, architectural, legal, fiscal, and economic investigations and studies, surveys, designs, plans, working drawings, specifications, procedures, and other action necessary to the construction of a facility, the erection, acquisition, alteration, remodeling, improvement, or extension of a facility, and the inspection and supervision of the construction of a facility. $ 40.115–2 Intermunicipal agency.

(a) Under the Clean Air Act, an agency of two or more municipalities located in the same State or in different States and having substantial powers or duties pertaining to the prevention and control of air pollution.

(b) Under the Solid Waste Disposal Act, an agency established by two or more municipalities with responsibility for planning or administration of solid waste disposal.

(c) In all other cases, an agency of two or more municipalities having substantial powers or duties pertaining to the control of pollution. 8 40.115–3 Interstate agency.

(a) Under the Clean Air Act, an agency established by two or more States, or by two or more municipalities located in different States, having substantial powers or duties pertaining to the prevention and control of air pollution.

(b) Under the Federal Water Pollution Control Act, an agency of two or more States established by or pursuant to an agreement or compact approved by the Congress or any other agency of two or more States, having substantial powers or duties pertaining to the control of pollution of waters.

(c) Under the Solid Waste Disposal 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. $ 40.1154 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 Solid Waste Disposal Act, a city, town, borough, county, parish, district, or other public body created by or pursuant to State law, or an Indian tribe, with responsibility for the planning or administration of solid waste disposal.

(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. $ 40.115–5 Person.

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. 8 40.115–6 Recovered resources.

Materials or energy recovered from solid wastes. & 40.115–7 Resource recovery system.

A solid waste management system which provides for collection, separation, recycling, and recovery of solid wastes, including disposal of nonrecoverable waste residues. $ 40.115-8 Solid waste.

Garbage, refuse, and other discarded solid materials, including solid waste materials resulting from industrial, commercial, and agricultural operations, and from community activities, but does not include solids or dissolved material in domestic sewage or other significant pollutants in water resources, such as silt, dissolved or suspended solids in industrial wastewater effluents, dissolved materials in irrigation return flows, or other common water pollutants.

$ 40.115-9 Solid waste disposal.

The collection, storage, treatment, utilization, processing, or final disposal of solid waste. $ 40.115–10 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) In all other cases, a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam and American Samoa. $ 40.120 Determination of EPA research

objectives. To promote the most efficient utilization of available resources in the solution of national environmental problems, EPA has established a detailed planning system for the identification of research needs and priorities, definition of specific research objectives which will satisfy high priority needs, development of detailed plans to accomplish defined objectives, and selection of objectives and their accompanying accomplishment plans for implementation. Accomplishment plans are based upon the most effective funding mechanism available for meeting the defined objective. Funding mechanisms include grants, contracts, in-house projects and transfer of funds to other agencies. EPA grant awards are based upon the projected grant activities developed from this planning process. Research objectives and priorities are revised as needs change, but are comprehensively reviewed and revised annually. & 40.120–) Environmental research

need. An integral part of this research planning process is a formal system for identifying environmental research needs and priorities. An environmental research need is an environmental problem which cannot be solved satisfactorily with existing technology or scientific knowledge and which requires a research or development effort to reach an effective solution. Federal, State, and local governmental agencies are encouraged to participate in the identification of environmental research needs.

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