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§ 35.955 Grant amendments to increase

grant amounts. Grant agreements may be amended in accordance with $ 30.901 of this chapter with respect to project changes which have been approved in accordance with $ 30.900 of this chapter: Provided, That no grant agreement may be amended to increase the amount of a grant unless the State agency has issued a priority certification for the grant increase from available State allotments and reallotments in accordance with $ 35.915.

credits, or other amounts (including any interest thereon) accruing to or received by the grantee with respect to the project, to the extent that they are properly allocable to costs for which the grantee has been paid under a grant, must be credited to the current State allotment or paid to the United States. Reasonable expenses incurred by the grantee for the purpose of securing such refunds, rebates, credits, or other amounts shall be allowable under the grant when approved by the Regional Administrator.

(e) Final payment. On receipt and approval of the request for payment designated by the grantee as the "final payment request” and upon compliance by the grantee with all applicable requirements of this part (including paragraph (d) of this section) and the grant agreement, the Regional Administrator shall cause to be disbursed to the grantee any balance of allowable cost which has not been paid to the grantee. The final payment request must be submitted by the grantee promptly following completion of the project work but in no event later than 1 year (or such longer period as the Regional Administrator may in his discretion approve in writing) from the date of such completion. Prior to final payment under the grant, the grantee must execute and deliver an assignment to the United States, in form and substance satisfactory to the Regional Administrator, of the Federal share of refunds, rebates, credits or other amounts (including any interest thereon) properly allocable to costs for which the grantee has been paid by the Government under the grant, and a release discharging the United States, its officers, agents, and employees from all liabilities, obligations, and claims arising out of the project or under the grant, subject only to such exceptions which may be specified in the release. 8 35.950 Suspension or termination of

grants. Grants may be suspended, in accordance with $ 30.902 of this chapter and Article 4 of the General Grant Conditions (Appendix A to Subchapter B of this title), or terminated, in accordance with $ 30.903 of this chapter and Article 5 of the General Grant Conditions (Appendix A to Subchapter B of this title) : Provided, That the State agency shall be concurrently notified in writing of any such suspension or termination action.

PART 40_RESEARCH AND

DEMONSTRATION GRANTS Sec. 40.100 Purpose of regulation. 40.105 Applicability and scope. 40.110 Authority. 40.115 Definitions. 40.115-1 Construction. 40.115-2 Intermunicipal agency. 40.115-3 Interstate agency. 40.115-4 Municipality. 40.115-5 Person. 40.115-6 Recovered resources. 40.115-7 Resource recovery system. 40.115-8 Solid waste. 40.115-9 Solid waste disposal. 40.115-10 State. 40.120 Determination of EPA research

objectives. 40.120-1 Environmental research need. 40.120-2 Need statements. 40.120_3 Publication of research objec

tives. 40.125 Grant limitations. 40.125-1 Limitations on duration. 40.125-2 Limitations on assistance. 40.130 Eligibility. 40.135 Application. 40.135-1 Preapplication coordination. 40.135-2 Application requirements. 40.140 Criteria for award. 40.140-1 All applications. 40.140-2 Solid Waste Disposal Act. 40.140-3 Federal Water Pollution Control

Act. 40.145 Supplemental grant conditions. 40.145-1 Solid Waste Disposal Act. 40.145-2 Federal Water Pollution Control

Act. 40.145-3 Projects involving construction. 40.150 Evaluation of applications. 40.156 Confidential data. 40.160 Reports. 40.160-1 Progress reports. 40.160-2 Report of project expenditures. 40.160-3 Reporting of inventions. 40.16044 Equipment report. 40.160-5 Final report. 40.165 Continuation grants.

AUTHORITY: Authorities cited in $ 40.110.

SOURCE: 38 FR 12784, May 15, 1973, unless 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

of freshwater aquatic ecosystems, and award of research and demonstration 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 dem40.110 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 polluauthorizes grants for research, studies,

tion from agriculture.

(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. & 40.115-4 Municipality.

(a) Under the Federal Water Pollution Control Act a city, town, igh, 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. $ 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.

or

$ 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 138 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 amended public 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, muni. cipal, interstate, and intermunicipal agencies.

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