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§ 40.100 Purpose of regulation.

These provisions establish and codify policies and procedures governing the award of research and demonstration grants by the Environmental Protection Agency.

§ 40.105 Applicability and scope.

This part establishes mandatory policies and procedures for all EPA research and demonstration grants. The provisions of this part supplement the EPA general grant regulations and procedures (40 CFR pt. 30). Accordingly, all EPA research and demonstration grants are awarded subject to the EPA interim general grant regulations and procedures (40 CFR pt. 30) and to the applicable provisions of this part 40.

§ 40.110 Authority.

EPA research and

demonstration

grants are authorized under the following statutes:

(a) The Clean Air Act, as amended, 42 U.S.C. 1857 et seq.

(1) Section 103 (42 U.S.C. 1857b) authorizes grants for research and demonstration projects relating to the causes, effects, extent, prevention, and control of air pollution.

(2) Section 104 (42 U.S.C. 1857b-1) authorizes grants for research and development of new and improved methods for the prevention and control of air pollution resulting from the combustion of fuels.

(b) The Federal Water Pollution Control Act, as amended, Public Law 92-500.

(1) Section 104(b) (33 U.S.C. 1254(b)) authorizes grants for research and demonstration projects relating to the causes, effects, extent, prevention, reduction, and elimination of water pollution.

(2) Section 104(h) (33 U.S.C. 1254 (h)) authorizes grants for research and development of new and improved methods for the prevention, removal, reduction, and elimination of pollution in lakes, including the undesirable effects of nutrients and vegetation, and for construction of publicly owned research facilities for such purpose.

(3) Section 104 (1) (33 U.S.C. 1254(i)) authorizes grants for research, studies, experiments, and demonstrations relative to the removal of oil from any waters and for the prevention, control, and elimination of oil and hazardous substances pollution.

(4) Section 104 (r) (33 U.S.C. 1254 (r)) authorizes grants for the conduct of basic research into the structure and function of freshwater aquatic ecosystems, and to improve understanding of the ecological characteristics necessary to the maintenance of the chemical, physical, and biological integrity of freshwater aquatic ecosystems.

(5) Section 104(s) (33 U.S.C. (s) ) authorizes grants to conduct and report on interdisciplinary studies on river systems, including hydrology, biology, ecology, economics, the relationship between river uses and land uses, and the effects of development within river basins on river systems and on the value of water resources and water-related activites.

(6) Section 105 (a) (33 U.S.C. 1255 (a)) authorizes grants for research and demonstration of new or improved methods for preventing, reducing, and eliminating the discharge into any waters of pollutants from sewers which carry storm water or both storm water and pollutants; and for the demonstration of advanced waste treatment and water purification methods (including the temporary use of new or improved chemical additives which provide substantial immediate improvement to existing treatment processes), or new or improved methods of joint treatment systems for municipal and industrial wastes.

(7) Section 105 (b) (33 U.S.C. 1255 (b)) authorizes grants for demonstrating, in river basins or portions thereof, advanced treatment and environmental enhancement techniques to control pollution from all sources, within such basin or portions thereof, including nonpoint sources, together with in-stream water quality improvement techniques.

(8) Section 105 (c) (33 U.S.C. 1255 (c)) authorizes grants for research and demonstration projects for prevention of pollution of any waters by industry including, but not limited to, the prevention, reduction, and elimination of the discharge of pollutants.

(9) Section 105(e) (1) (33 U.S.C. 1255 (e) (1)) authorizes grants for research and demonstration projects with respect to new and improved methods of preventing, reducing, and eliminating pollution from agriculture.

(10) Section 105 (e) (2) (33 U.S.C. 1255 (e) (2)) authorizes grants for demonstration projects with respect to new and improved methods of preventing, reducing, storing, collecting, treating, or otherwise 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.

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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.

§ 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.

§ 40.115-4 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 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. § 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.

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§ 40.120-2 Need statements.

need

The environmental research statement is the formal mechanism by which research needs are expressed and transmitted to EPA. The need statement is submitted as a way of identifying problems requiring a research solution rather than as a proposal for solving an environmental problem or an application for grant or contract assistance. The statement must define the specific problem to be solved, its extent and importance, the form of the solution needed, how and by whom the solution will be used and the consequences of deferring solution to the problem. Participation in this evaluation and planning process may be accomplished by the submission of need statements through EPA Assistant or Regional Administrators or directly to the Office of Research and Monitoring. § 40.120-3

jectives.

Publication of research ob

Each year EPA will publish the results of the research planning process identifying the research objectives to be pursued by the Agency and the approximate amount of funds available for grant and contract assistance. This publication is called "EXPRO" (Extramural Program Information) and may be obtained from the Environmental Protection Agency, Office of Research and Monitoring, or the Grants Administration Division, Washington, D.C. 20460.

§ 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 except in cases where extensions of time without additional funds are appropriate

[38 FR 12784, May 15, 1973, as amended at 38 FR 16220, June 21, 1973]

§ 40.125-2 Limitations on assistance.

In addition to the cost-sharing requirements pursuant to 40 CFR 30.207, research and demonstration grants shall be governed by the specific assistance limitations listed below:

(a) Federal Water Pollution Control Act. (1) Section 104(s)-no grant in any fiscal year may exceed $1 million.

(2) Sections 105(a), 105(c) and 108no grant may exceed 75 percent of the allowable actual project costs.

(b) Clean Air Act.-(1) Section 104no grant may exceed $1,500,000.

(c) Solid Waste Disposal Act.-(1) No grant may exceed 75 percent of the allowable actual project costs for demonstration grants.

(2) No more than 15 percent of the total funds authorized to be appropriated in any fiscal year to carry out the purposes of section 208 shall be granted under this section for projects in any one State. Grants to interstate agencies will be considered to be to the States involved in proportion to the amounts of nonFederal funds expended for the project by the participating States or by the participating municipalities located in the respective States.

(3) No more than 70 percent of the funds available for award in any fiscal year under section 208 shall be awarded for projects dealing with solid waste problems in the standard metropolitan statistical areas. The remaining 30 percent shall be reserved for projects dealing with such problems in rural areas. Notwithstanding this allocation, if an insufficient number of acceptable applications are received for projects designed to assist in solving the solid waste problems of rural areas the 70-percent figure may be exceeded.

(4) No grant under section 208 for the demonstration of a resource recovery system shall be made for operation and maintenance costs beyond the first year of operation of the system. The year will not begin until the constructed facility is deemed by the grants officer to be fully operational.

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Except as otherwise provided below, grants for research and demonstration projects may be awarded to any responsible applicant in accordance with 40 CFR 30.304:

(a) The Clean Air Act, as amendedpublic or nonprofit private agencies, institutions, organizations, and to individuals.

(b) The Solid Waste Disposal Act, as amended.

(1) Sections 204 and 205-public or nonprofit private agencies, institutions, organizations, and to individuals.

(2) Section 208-only to State, municipal, interstate, and intermunicipal agencies.

(c) The Federal Insecticide, Fungicide, and Rodenticide Act, as amendedother Federal agencies, universities, or others as may be necessary to carry out the purposes of the act.

(d) The Federal Water Pollution Control Act, as amended:

(1) Section 104(b)-State water pollution control agencies, interstate agencies, other public or nonprofit private agencies, institutions, organizations, and to individuals.

(2) Sections 104(h) and 104(i)-public or private agencies and organizations and to individuals.

(3) Section 104(r)-colleges and universities.

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(5) Sections 105(a), 105(e) (2), and 107-State, municipal, interstate, and intermunicipal agencies.

(6) Section 195(b)-State or States or interstate agency.

(7) Sections 105(c) and 105(e) (1) persons.

(8) Section 108-State, political subdivision, interstate agency, or other public agency, or combination thereof.

(9) Section 113-only to the State of Alaska.

(e) The Public Health Service Act, as amended-only to nonprofit agencies, institutions, organizations, and to individuals.

§ 40.135 § 40.135-1

Application.

Preapplication coordination. (a) All applicants.—(1) Applicants for research and demonstration grants are encouraged to contact EPA for further information and assistance prior to submitting a formal application. The EPA regional office or the National Environmental Research Center nearest the applicant will be able to provide such assistance or to refer the applicant to an appropriate EPA representative.

(2) Applicants shall prepare an environmental assessment of the proposed project where applicable, outlining the anticipated impact on the environment pursuant to 40 CFR part 6.

(b) Demonstration grants.-(1) All applicants for demonstration grants, except Indian tribes and authorized Indian tribal organizations, must notify the planning and development clearinghouses of the State (or States) and region (if one exists) or metropolitan area in which the project is to be located of

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their intention to apply for Federal assistance. Applicants should contact the appropriate clearinghouse(s) for information and assistance concerning notification procedures.

(2) All comments and recommendations concerning the applications that are made by or through the clearinghouses, and a statement that such comments have been considered by the applicant, must be submitted with the application to EPA. If the requirements of OMB Circular A-95 are followed and no comments or recommendations are received, a statement to that effect must be included with the application.

§ 40.135-2 Application requirements.

All applications for research and demonstration grants shall be submitted in an original and 14 copies to the Environmental Protection Agency, Grants Administration Division, Washington, D.C. 20460, in accordance with 40 CFR 30.301 through 30.301-4.

(a) Applications involving human subjects. (1) Safeguarding the rights and welfare of human subjects involved in projects supported by EPA grants is the responsibility of the institution which receives or is accountable to EPA for the funds awarded for the support of the project.

(2) Institutions must submit to EPA, for review, approval, and official acceptance, a written assurance of its compliance with guidelines established by Department of Health, Education, and Welfare concerning protection of human subjects. However, institutions which have submitted and have had accepted, general assurance to DHEW under these guidelines will be considered as being in compliance with this requirement. These guidelines are provided in DHEW Publication No. (NIH) 72-102, the "Institutional Guide to DHEW Policy on Protection of Human Subjects." Copies of this publication are available from the Superintendent of Documents, U. S. Government Printing Office, Washington, D.C. 20420.

(3) Applicants must provide with each proposal involving human subjects a certification that it has been or will be reviewed in accordance with the institution's assurance. This certification must be renewed annually on the basis of continuing review of the supported project. (b) Applications involving laboratory animals. Each application for a project

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