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(c) The Federal Insecticide, Fungi- their intention to apply for Federal ascide, and Rodenticide Act, as amended- sistance. Applicants should contact the other Federal agencies, universities, or appropriate clearinghouse(s) for inforothers as may be necessary to carry out mation and assistance concerning notithe purposes of the act.

fication procedures. (d) The Federal Water Pollution Con- (2) All comments and recommendatrol Act, as amended:

tions concerning the applications that (1) Section 104(b)-State water pol- are made by or through the clearinglution control agencies, interstate houses, and a statement that such comagencies, other public or nonprofit pri- ments have been considered by the apvate agencies, institutions, organizations, plicant, must be submitted with the apand to individuals.

plication to EPA. If the requirements of (2) Sections 104(h) and 104(i)-pub- OMB Circular A-95 are followed and lic or private agencies and organizations no comments or recommendations are and to individuals.

received, a statement to that effect must (3) Section 104(r)-colleges and uni- be included with the application. versities.

§ 40.135-2 Application requirements. (4) Section 104(s)-institutions of higher education.

All applications for research and dem(5) Sections 105(a), 105(e) (2), and

onstration grants shall be submitted in 107-State, municipal, interstate, and

an original and 14 copies to the Enviintermunicipal agencies.

ronmental Protection Agency, Grants (6) Section 195(b)-State or States or

Administration Division, Washington, interstate agency.

D.C. 20460, in accordance with 40 CFR (7) Sections 105(c) and 105(e) (1)

30.301 through 30.301-4. persons.

(a) Applications involving human sub(8) Section 108—State, political sub

jects.-(1) Safeguarding the rights and division, ir terstate agency, or other pub

welfare of human subjects involved in lic agency, or combination thereof.

projects supported by EPA grants is the (9) Section 113–only to the State of

responsibility of the institution which

receives or is accountable to EPA for Alaska.

the funds awarded for the support of the (e) The Public Health Service Act, as

project. amended-only to nonprofit agencies, in

(2) Institutions must submit to EPA, stitutions, organizations, and to individ

for review, approval, and official acceptuals.

ance, a written assurance of its com$ 40.135 Application.

pliance with guidelines established by § 40.135_1 Preapplication coordination.

Department of Health, Education, and

Welfare concerning protection of human (a) All applicants.-(1) Applicants for

subjects. However, institutions which research and demonstration grants are have submitted and have had accepted, encouraged to contact EPA for further

general assurance to DHEW under these information and assistance prior to sub

guidelines will be considered as being in mitting a formal application. The EPA compliance with this requirement. These regional office or the National Environ

guidelines are provided in DHEW Pubmental Research Center nearest the ap

lication No. (NIH) 72-102, the "Instituplicant will be able to provide such as

tional Guide to DHEW Policy on Prosistance or to refer the applicant to an

tection of Human Subjects.” Copies of appropriate EPA representative.

this publication are available from the (2) Applicants shall prepare an environmental assessment of the proposed

Superintendent of Documents, U. S. Govproject where applicable, outlining the

ernment Printing Office, Washington, anticipated impact on the environment

D.C. 20420. pursuant to 40 CFR part 6.

(3) Applicants must provide with each (b) Demonstration grants.-(1) All proposal involving human subjects a cerapplicants for demonstration grants, tification that it has been or will be reexcept Indian tribes and authorized In- viewed in accordance with the institudian tribal organizations, must notify tion's assurance. This certification must the planning and development clearing- be renewed annually on the basis of conhouses of the State (or States) and re- tinuing review of the supported project. gion (if one exists) or metropolitan area (b) Applications involving laboratory in which the project is to be located of animals.-Each application for a project

97-025-73 -12

involving the use of warmblooded animals shall include a written assurance that the applicant has registered with the Department of Agriculture and is in compliance with the rules, regulations, and standards enunciated in the Animal Welfare Act, Public Law 89-544, as amended.

(c) Notice of research project (NRP).Each application for research must include a summary (NRP) of proposed work (200 words or less) incorporating objectives, approach and current plans and/or progress. Upon approval of an application, summaries are forwarded to the Smithsonian Science Information Exchange. Summaries of work in progress are exchanged with government and private agencies supporting research and are forwarded to investigators who request such information.

(d) Federal Water Pollution Control Act.-(1) All applications for grants under section 105(a) must have been approved by the appropriate State water pollution control agency or agencies.

(2) All applications for grants under section 107, where the proposed project will be located in the Appalachian region, shall have been coordinated with the Appalachian Regional Cominission for determination that such demonstration project is consistent with the objectives of the Appalachian Regional Development Act of 1965, as amended. 8 40.140 Criteria for award.

In determining the desirability and extent of funding for a project and the relative merit of an application, consideration will be given to the following criteria: $ 40.140-1 All applications.

(a) The relevancy of the proposed project to the objectives of the EPA research and demonstration program;

(b) The availability of funds within EPA;

(c) The technical feasibility of the project;

(d) The seriousness, extent, and urgency of the environmental problems toward which the project is directed;

(e) The anticipated public benefits to be derived from the project in relation to the costs of the project;

(f) The competency of the applicant's staff and the adequacy of the applicant's facilities and available resources;

(g) The degree to which the project can be expected to produce results that

will have general application to pollution control problems nationwide;

(h) Whether the project is consistent with existing plans or ongoing planning for the project area at the State, regional, and local levels;

(i) The existence and extent of local public support for the project;

(j) Whether the proposed project is environmentally sound;

(k) Proposed cost sharing. $ 40.140-2 Solid Waste Disposal Act.

In addition, consideration will be given to the following criteria:

(a) All applications.-(1) Whether the project will demonstrate and implement positive improvements in solid waste management;

(2) The extent to which the project emphasizes innovative financial and institutional arrangements for creation of a self-financed solid waste management system;

(3) The extent to which the use of Federal funds for capital expenditures is limited;

(4) The level of progress of the State solid waste management plan applicable to the applicant (e.g., progressing satisfactorily, completed and accepted by EPA, adopted by the State);

(5) Whether the project can be completed in a shorter time span than similar proposed projects.

(b) Applications for grants under section 208.-(1) Whether the application includes provision for the equitable distribution among users of all costs and revenues associated with the design, construction, operation, and maintenance of the proposed project;

(2) The financial participation and support of each participating unit of government;

(3) The soundness of the overall technical design and the system's component unit process;

(4) The economic viability of the system including analyses of available markets and purchase commitments for salable commodities;

(5) The experience and expertise of the operational and management personnel;

(6) Whether it is consistent with any guidelines for solid waste recovery collection, separation, and disposal systems which the Administrator may publish pursuant to section 208 of the Solid Waste Disposal Act;

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(7) Whether it is consistent with a eration of a request for a grant amendplan which meets the requirements for ment pursuant to 40 CFR 30.901. solid waste management planning set

§ 40.145-1 Solid Waste Disposal Act. forth in section 207(b) (2) of the Solid Waste Disposal Act;

Research and demonstration grants (8) Whether it will provide for sub

under the Solid Waste Disposal Act are stantial recovery of materials or energy awarded subject to the following condior both from solid waste entering the

tions. system on an areawide basis;

(a) Open burning of solid waste at all (9) The extent to which it does not disposal sites within the jurisdiction (or duplicate a resource recovery system that jurisdictions) for which the applicant has already been developed and is op

has authority for solid waste manageerating in an effective manner in the ment, will be eliminated within 30 calarea.

endar days of the grant award;

Pollution $ 40.140–3 Federal Water

(b) Open dumping (whether on land

or in water) and open burning of solid Control Act.

waste are prohibited by a regulation, (1) All applications for grants under ordinance, statute, or other legal authorsection 105(c) must provide evidence ity enforced within the jurisdiction in that the proposed project will contribute which the applicant has authority or to the development or demonstration of that action taken under the provisions of a new or improved method of treating the grant will eliminate such practices. industrial wastes or otherwise preventing pollution by industry, which method

8 40.145–2 Federal Water Pollution shall have industrywide application;

Control Act. (2) All applications for grants under (a) No person in the United States section 113 must include provisions for shall on the ground of sex be excluded community safe water supply systems, from participation in, be denied the benetoilets, bathing and laundry facilities, fits of, or be subjected to discrimination sewage disposal facilities and programs under any program or activity receiving relating to health and hygiene. Such assistance under the Act. projects must also be for the further (b) Grants under section 107 are purpose of developing preliminary plans awarded subject to the conditions-(1) for providing such safe water and such that the State shall acquire any land or elimination or control of water pollution interests therein necessary for such projfor all native villages in the State of ect to assure the elimination or control Alaska.

of acid or other mine water pollution; 8 40.145 Supplemental grant conditions.

and (2) that the State shall provide legal

and practical protection to the project In addition to the EPA general grant area to insure against any activites which conditions (app. A to subch. B of 40 will cause future acid or other mine water CFR and 40 CFR, pt. 30, subpt. C), all pollution. grants are awarded subject to the following requirements:

$ 40.145–3 Projects involving construc

tion. (a) The project will be conducted in an environmentally sound manner.

Research and demonstration grants (b) In addition to the notification of

for projects involving construction shall project changes required pursuant to 40

be subject to the following conditions:

(a) The applicant will demonstrate to CFR 30.900-1, prior written approval by

the satisfaction of the grants officer that the grants officer is required for project

he has or will have a fee simple or such changes which may (1) alter the ap- other estate or interest in the site of the proved scope of the project, (2) substan- project, and rights of access, as the tially alter the design of the project, or grants officer finds sufficient to assure un(3) increase the amount of Federal funds disturbed use and possession for the purneeded to complete the project. No ap- pose of construction and operation for proval or disapproval of a project change the estimated life of the project; and in pursuant to 40 CFR 30.900 or this sec- the case of projects serving more than tion shall commit or obligate the United one municipality, that the participating States to an increase in the amount of communities have such interests or rights the grant or payments thereunder, but as the grants officer finds sufficient to shall not preclude submission or consid- assure their undisturbed utilization of

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 & 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. g 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. 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 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, haying substantial powers or duties pertaining to the control of pollution. 8 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. 8 40.120-1 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 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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