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 Commission for determination that such demonstration project is consistent with the objectives of the Appalachian Regional Development Act of 1965, as amended.

§ 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;

(7) Whether it is consistent with a plan which meets the requirements for solid waste management planning set forth in section 207(b) (2) of the Solid Waste Disposal Act;

(8) Whether it will provide for substantial recovery of materials or energy or both from solid waste entering the system on an area wide basis;

(9) The extent to which it does not duplicate a resource recovery system that has already been developed and is operating in an effective manner in the area.

§ 40.140-3 Federal Water

Control Act.

Pollution

(1) All applications for grants under section 105(c) must provide evidence that the proposed project will contribute to the development or demonstration of a new or improved method of treating industrial wastes or otherwise preventing pollution by industry, which method shall have industrywide application;

(2) All applications for grants under section 113 must include provisions for community safe water supply systems, toilets, bathing and laundry facilities, sewage disposal facilities and programs relating to health and hygiene. Such projects must also be for the further purpose of developing preliminary plans for providing such safe water and such elimination or control of water pollution for all native villages in the State of Alaska.

§ 40.145 Supplemental grant conditions.

In addition to the EPA general grant conditions (app. A to subch. B of 40 CFR and 40 CFR, pt. 30, subpt. C), all grants are awarded subject to the following requirements:

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

(b) In addition to the notification of project changes required pursuant to 40 CFR 30.900-1, prior written approval by the grants officer is required for project changes which may (1) alter the approved scope of the project, (2) substantially alter the design of the project, or (3) increase the amount of Federal funds needed to complete the project. No approval or disapproval of a project change pursuant to 40 CFR 30.900 or this section shall commit or obligate the United States to an increase in the amount of the grant or payments thereunder, but shall not preclude submission or consid

eration of a request for a grant amendment pursuant to 40 CFR 30.901.

§ 40.145-1 Solid Waste Disposal Act.

Research and demonstration grants under the Solid Waste Disposal Act are awarded subject to the following conditions.

(a) Open burning of solid waste at all disposal sites within the jurisdiction (or jurisdictions) for which the applicant has authority for solid waste management, will be eliminated within 30 calendar days of the grant award;

(b) Open dumping (whether on land or in water) and open burning of solid waste are prohibited by a regulation, ordinance, statute, or other legal authority enforced within the jurisdiction in which the applicant has authority or that action taken under the provisions of the grant will eliminate such practices. § 40.145-2 Federal Water Pollution

Control Act.

(a) No person in the United States shall on the ground of sex be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving assistance under the Act.

(b) Grants under section 107 are awarded subject to the conditions-(1) that the State shall acquire any land or interests therein necessary for such project to assure the elimination or control of acid or other mine water pollution; and (2) that the State shall provide legal and practical protection to the project area to insure against any activites which will cause future acid or other mine water pollution.

§ 40.145-3 Projects involving construction.

Research and demonstration grants for projects involving construction shall be subject to the following conditions:

(a) The applicant will demonstrate to the satisfaction of the grants officer that he has or will have a fee simple or such other estate or interest in the site of the project, and rights of access, as the grants officer finds sufficient to assure undisturbed use and possession for the purpose of construction and operation for the estimated life of the project; and in the case of projects serving more than one municipality, that the participating communities have such interests or rights as the grants officer finds sufficient to 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 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.

§ 40.115-7 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.

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.

§ 40.120-2 Need statements.

The need 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.

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.