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Applicants for study and investigation project grants of national value must, in addition, provide assurance satisfactory to the Surgeon General:

h. That the findings of the proposed studies and investigations would be of significant national value in solid-waste disposal practices or programs.

Applicants for study and investigation project grants on municipal and regional solid-waste disposal activities must, in addition:

i. Be, in the judgment of the Surgeon General, legally responsible or is under existing law authorized or empowered upon compliance with legal requirements to assume responsibility for the provision of solid-waste disposal services throughout the geographic area covered by the proposed project; and

j. Give assurance satisfactory to the Surgeon General that the proposed project will be coordinated with any State-wide plans and programs relating to solid-waste disposal.

VIII. Use of Funds

When approved in the application, grant funds may be used for the direct costs of carrying out the demonstration, study, or investigation project. These are:

a. Personnel - Salaries and wages, including fringe benefits, of professional, technical, clerical, and other staff, and consultants who will render direct services to the approved project. The salary levels of such personnel may be set by the grantee organization according to its own standards, provided no monetary differential is allowed for such personnel because they are to be paid from grant funds. Consultant fees must be the same as those usually paid by the applicant, but may not be paid to a staff member of the applicant organization or any person employed by the grantee or by States participating in an interstate project activity. Grant funds may not be used to pay the salary of a Federal employee.

b. Equipment - Specialized items which are needed for the project.

c. Supplies - Items which are consumable or expendable, and needed for the project.

d. Travel - Transportation, subsistence, and related costs for travel to be performed during the project period and essential to the conduct of the project,

e. Other Costs - Items not included in one of the above categories, Examples include: communication costs, contractual services, rental of space (but applicant may not charge rent for space which is State-owned or owned by the applicant) utilized by project personnel. Each item for which funds are requested must be separately identified.

f. Construction of Facilities - When necessary to a demonstration project, (See definition of "construction," Section I, Purpose of Grants, and Sections ni and IV on financial participation). Estimated costs of the construction of facilities must be included in the application. The estimates must include the estimated costs of major components or items, such as: land, engineering design, equipment, machinery, labor, and building materials. Final awards will be based on the completed

detailed design of the construction project, and a negotiated agreement as to other requisite terms and conditions.

IX. Limitations on Use of Funds

a. Grant funds may not be used for activities for which other Federal grant funds are available, or for activities not described in the approved application.

b. Grant funds may not be used for any purpose contrary to the regulations and policies of the Public Health Service or the grantee.

c. All obligations of grant funds must be incurred within the approved project period, and liquidated within one year after the end of the budget period in which the obligation was established,

X. How to Apply

Interested organizations are required to submit Form PHS-4873-1, Application for Solid-Waste Disposal Demonstration or Study and Investigation Project Grant, completed in accordance with these terms and conditions and the instructions for completing the application. The signed original and one copy must be mailed directly to the Office of Solid Wastes, Public Health Service, Washington, D.C. 20201. Two additional copies must be sent to the appropriate regional office. (For list of regional offices, see page 10.) In order to compete for Federal funds allocated for the fiscal year 1966, applications must be received by the Office of Solid Wastes not later than May 1, 1966.

In the future, applications may be submitted at any time, but should be submitted at least six months in advance of the anticipated beginning date of the project,

Applicants are urged to request consultation from the State solid-waste disposal agency early in the development and design of projects, as well as to consult with, and secure the support of professional and other groups, or appropriate local agencies that will be utilizing or assisting in the provision of the services contemplated by the project. Applicants also may secure consultation and assistance from the appropriate Public Health Service regional representative.

Applications are available through the regional offices of the Public Health Service or the Office of Solid Wastes, Public Health Service, Washington, D.C. 20201.

XI. Review Procedure and Notification

Applications will be considered for funding three times a year: February, May, and October. They will be reviewed and evaluated by the regional and headquarters staff of the Office of Solid Wastes. At the discretion of the Chief of the Office, expert advice will be secured from outside the Public Health Service on the technical merit of the project proposals.

Applicants will be notified in writing of the action taken on their applications about two to four weeks after the final review.

The regional representative will contact approved applicants to negotiate the beginning date of the project period if it is different from that requested in the application,

Review Criteria - The criteria for evaluating the merits of project pro. posals are:

1. Degree to which project objectives are clearly established, attainable, and for which progress toward attainment can and will be measured.

2. The substantive merit and potential contribution of the project toward developing knowledge and techniques for meeting the objectives of the Solid Waste Disposal Act.

3. Degree to which the project can be expected to yield or demonstrate results that will be useful and desirable on a national or regional basis.

4. Availability, adequacy, and competence of the personnel, facilities and other resources needed to carry out the project.

5. For those projects involving construction of a facility proposed, the feasibility of the facility to meet the objectives of the project.

6. Extent of participation and coordination of community groups with related interests in the area of solid-waste disposal.

7. Proportion of project costs to be borne by the applicant and, where appropriate, the applicant's plan to continue the activity as an on-going service, after termination of Federal assistance.

8. Degree to which the proposed project is in accordance with the State or regional overall plan, or proposed plan, and priorities with respect to solid-waste disposal services.

XII. Payment Procedure

If the grantee organization has received a wards from other Public Health Service programs which are being paid under a letter-of-credit system or other cash control system, the payment for solid-waste disposal project grants will be incorporated into the same system,

For grantee organizations which have no other awards from the Public Health Service, an initial payment generally will be made shortly before the beginning of the project period, and in the amount necessary for the first quarter (or first three-month period). Subsequent payments will be made upon request and in the amounts needed for the next quarterly period.

XIII. Rebudgeting of Funds

It is expected that expenditures for the project will follow the budget categories (i.e., personnel, equipment, travel, supplies, construction, and other) of the approved application. It is recognized, however, that transfers among the categories

may be necessary on occasion. Transfers among budget categories may be made, except in the following instances where prior approval of the transfer must be secured from the Public Health Service:

a. Any expenditures in a budget category for which no funds were initially budgeted in the approved application.

b. When a transfer regardless of amount would result in and/or reflect a change in the scope of the project or when the grantee is uncertain as to whether a change affects the character or scope of a project as described in the approved application.

c. Any transfers into the equipment, travel, or construction categories.

Requests for approval of rebudgeting of funds should be submitted by letter to the Office of Solid Wastes. XIV. Project Revisions

Public Health Service approval of a revision of an approved project is required when: (a) a substantial change in the scope, character, or activities of the project occurs or is proposed; (b) a change in the project director is necessitated; or (c) an extension or other change in the project is desired. These revisions may be submitted in letter form, although the extent of the changes under (a) above may require submission of a revised application. Normally, a request for extension in project period will be made only near the scheduled terminating date of the project. XV. Accountability and Audit

The grantee must establish and maintain a separate account for the grantsupported activity, reflecting all receipts, obligations, and disbursements of grant and matching funds. In addition, it must maintain and make available for audit purposes supporting fiscal records and documentation as evidence of grant and matching fund expenditures. Such documentation shall be retained until the fiscal audit has been conducted and any questions arising from it have been resolved, and shall include:

a. The name of each employee whose salary in whole, or in part, is charged

to the grant-supported activity, together with the total salary paid to such person during the grant period. Time or effort reports, filed within one month following each quarter in which service is provided, are required to support the salaries charged to the grant, and may be presented as best estimates shown in percentages for professional staff and daily time

records for non-professional staff. b. A copy of all travel vouchers, purchase invoices, and contracts charged

to the grant-supported activity. c. An identification of all other costs charged to the grant-supported activity.

A fiscal audit will be made by the audit staff of the Department of Health, Education, and Welfare.

XVI. Expenditure and Program Reports

Reports of expenditures shall be made on the expenditures report form prescribed by the Public Health Service. Reports shall be submitted within 120 days after the close of each 12-month portion of the project period, and also at the end of the project period. These reports shall be submitted in triplicate to the appropriate Regional Health Director.

The grantee must submit, no later than six months after the end of the project period, a final report of its activities under the grant. Six copies of the report should be submitted to the appropriate Regional Health Director.

Interim progress reports must accompany applications for continuation grants. (See Section XVIII, Continuation and Renewal Applications.) In addition, the Surgeon General may from time to time request special reports. XVII. Termination of Grant and Repayment of Grant Funds

A solid-waste disposal demonstration or study and investigation project may be terminated at any time before the end of the approved project period by the grantee upon formal notification to the Public Health Service. The Surgeon General may revoke a grant in whole or in part, or withhold future payments, at any time in the event that he finds that the grantee has failed in a material respect to comply with Federal law or established grant policies, or has failed to carry out the activity as approved.

Any unobligated balance in or due the Federal grant account at the end of the project period, at the time of earlier termination of the grant, or after audit, shall be refunded to the Public Health Service. Refund should be made by check payable to the Public Health Service, Department of Health, Education, and Welfare. XVIII. Continuation and Renewal Applications

In the case of solid-waste disposal projects which have been approved for a period of more than one year, and for which an initial grant award has been made in an amount for a lesser period (usually a 12-month period), a continuation application is required. Contingent on the satisfactory development of the project, continuation applications have first claim on available funds. Such applications must be submitted three months prior to the end of each 12-month portion of the project period. Grantees will be provided with the necessary application forms and instructions at the appropriate time.

Applications for renewal of a grant beyond the approved project period should be submitted at least nine months prior to the end of the currently approved period. Renewal grant applications are submitted according to the procedures for a new grant and are reviewed in competition with new and other renewal grant appli. cations, XIX. Publication and Copyright

As part of solid-waste disposal activities, grantees are urged to publish results and findings in the interest of developing public awareness of solidwaste disposal problems and enlisting public support for remedial efforts.

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