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& 40.120-2 Need statements.

The environmental research need 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 Publication of research ob

jectives. 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 108– no 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. $ 40.130 Eligibility.

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 amended other 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.

(4) Section 104(s)-institutions of higher education.

(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, ir terstate 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 Application. § 40.135-1 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

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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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 Comnission 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;

(3) 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;

(b) Open dumping (whether on land $ 40.140–3 Federal Water Pollution

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

Control Act. shall have industrywide application;

(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 reiating 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; § 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:

8 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 the project for the estimated life of the struction contracts less than $100,000 project.

shall follow the State or local require(b) Invitations for bids or requests for ments relating to bid guarantees, perproposals shall be based upon a clear and formance bonds, and payment bonds. accurate description of the technical re- (g) The construction of the project, quirements for the material, product, or including the letting of contracts in conservice to be procured. Such description nection therewith, shall conform to the shall not, in competitive procurements, applicable requirements of State, terricontain features which unduly restrict torial, and local laws and ordinances to competition. “Brand name or equal" de- the extent that such requirements do not scription may be used as a means to conflict with Federal laws. define the performance or other salient (h) The grantee will provide and requirements of a procurement, and maintain competent and adequate enwhen so used the specific features of the gineering supervision and inspection for named brand which must be met by the project to insure that the construcofferors should be clearly specified. tion conforms with the approved plans

(c) Positive efforts shall be made by and specifications. the grantees to utilize small business and (i) Any construction contract must minority-owned business sources of sup- provide that representatives of the Enplies and services.

vironmental Protection Agency and the (d) Subagreements for construction State, as appropriate, will have access to work may be negotiated when advertis- the work whenever it is in preparation or ing for competitive bids is not feasible; progress and that the contractor will however, the grantee must adequately provide proper facilities for such access demonstrate its need to contract with a and inspection. The contract must also single or sole source. All such subagree- provide that the grants officer, the Compments are subject to prior approval by troller General of the United States, or the grants officer.

any authorized representative shall have (e) Construction work will be per- access to any books, documents, papers, formed by the fixed-price (lump sum) and records of the contractor which are or fixed-rate (unit price) method, or a pertinent to the project for the purpose combination of these two methods, un- of making audit, examination, excerpts, less the grants officer gives advance writ- and transcriptions thereof. ten approval to use some other method (j) The grantee agrees to construct of contracting. The cost-plus-a-percent- the project or cause it to be constructed age-of-cost method of contracting shall in accordance with the application, plans not be used. Adequate methods of adver- and specifications, and subagreements tising for and obtaining competitive approved by EPA in the grant agreement sealed bids will be employed prior to or amendments. award of the construction contract. The (k) In addition to the notification of award of the contract will be made to

project changes pursuant to 40 CFR the responsible bidder submitting the 30.900–1, a copy of any construction conlowest responsive bid, which shall be de- tract or modifications thereof, and of retermined without regard to State or local visions to plans and specifications must law whereby preference is given on fac- be submitted to the grants officer. tors other than the specification require

$ 40.150 Evaluation of applications. ments and the amount of bid. The grantee must promptly transmit to the Every application for a research or grants officer copies of bid protests, de- demonstration grant will be evaluated by cisions on such protests, and related appropriate EPA staff in terms of relecorrespondence. The grants officer will vancy and the applicable criteria set cause appropriate review of grantee forth in $ 40.140. Only applications conprocurement methods to be riade.

sidered relevant to EPA research and (f) On construction contracts exceed

demonstration objectives will receive fur

ther consideration and be subjected to ing $100,000, each bidder must furnish a bid guarantee equivalent to 5 percent of

additional review. Relevancy will be

measured by program needs and priorithe bid price. In addition, the contractor

ties as defined in the Agency's current awarded the contract must furnish per

planned objectives. Relevancy, coupled formance and payment bonds, each of with the results of technical review, will which shall be in an amount not less than provide the basis for funding recommen100 percent of the contract price. Con- dations.

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