Financial Assistance Rules; Regulatory Reduction
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Federal Register › Vol. 60 › 60 FR 40323
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DEPARTMENT OF ENERGY
10 CFR Part 600
RIN 1991AB23
Financial Assistance Rules; Regulatory Reduction
AGENCY: Department of Energy.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Department of Energy (DOE) today is proposing to amend its
Financial Assistance Rules (Rules) to streamline, simplify, and improve
the DOE financial assistance process. The rules have been rewritten to
eliminate coverage that is unnecessary, to present clear coverage, and
to retain only that coverage that is considered suitable for a
regulation. The proposed changes primarily affect internal DOE
procedures and will give greater authorities to program and field
contracting offices in soliciting, reviewing, and processing
applications and making awards. The patent, data and copyright
provisions have been streamlined and updated to reflect the recent
changes in the Department of Energy Acquisition Regulations. The
Governmentwide uniform administrative requirements for grants and
cooperative agreements to higher education institutions, hospitals, and
other nonprofits and to governmental recipients are not changed by this
proposed rulemaking. The Governmentwide requirements pertaining to
audits of State and local governments remain unchanged.
DATES: Comments should be submitted on or before September 7, 1995.
ADDRESSES: Comments should be addressed to: Cherlyn Seckinger, Business
and Financial Policy Division (HR-51), Office of Procurement and
Assistance Management, U.S. Department of Energy, 1000 Independence
Avenue, SW., Washington, DC 20585, (202) 586-8192.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Introduction and Purpose
S: Comments should be submitted on or before September 7, 1995.
ADDRESSES: Comments should be addressed to: Cherlyn Seckinger, Business
and Financial Policy Division (HR-51), Office of Procurement and
Assistance Management, U.S. Department of Energy, 1000 Independence
Avenue, SW., Washington, DC 20585, (202) 586-8192.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Introduction and Purpose
II. Overview of the Organization of the DOE Financial Assistance
Rules
III. Changes to 10 CFR Part 600
IV. Review Under Executive Order 12612
V. Regulatory Review
VI. Review Under the Regulatory Flexibility Act
VII. Review Under the Paperwork Reduction Act
VIII. Review Under the National Environmental Policy Act
IX. Review Under Executive Order 12778
X. Public Comments
XI. Public Hearing Determination
I. Introduction and Purpose
The Department of Energy is proposing to amend Subpart A of its
Financial Assistance Rules to simplify and streamline the financial
assistance process in keeping with Departmental and Governmentwide
initiatives to improve the way the Department does business. The
proposed changes primarily affect DOE internal procedures contained in
Subpart A pertaining to the solicitation, evaluation, and award
processes, and will have little or no impact on requirements applicable
to recipients of DOE financial assistance. In most instances, the
proposed rule will not contain detailed internal procedures for DOE
officials, but instead establish standards or basic requirements. For
example, the section on objective merit review for financial assistance
applications would be reduced to the essential elements required for an
adequate merit review system. In other sections, decision making would
be delegated to the lowest appropriate level which in many cases is at
the contracting activity where the financial assistance awards are made
and administered
c requirements. For
example, the section on objective merit review for financial assistance
applications would be reduced to the essential elements required for an
adequate merit review system. In other sections, decision making would
be delegated to the lowest appropriate level which in many cases is at
the contracting activity where the financial assistance awards are made
and administered. One new section has been added to give DOE the
flexibility in appropriate circumstances to make small dollar awards on
a fixed obligation basis. In a fixed obligation award, a fixed amount
of funds are issued in support of a project without a requirement for
Federal monitoring of actual costs subsequently incurred. These awards
are intended for use in support of projects where there is certainty
about the costs and project accomplishments.
In DOE's implementation of the uniform administrative requirements
for grants and agreements with institutions of higher education,
hospitals, and other nonprofit organizations on October 21, 1994 (59 FR
53260), DOE chose to continue to extend the administrative requirements
for grants and agreements to commercial entities. In doing this
streamlining review of the rule, we found the patent and data
provisions of the uniform administrative requirements in Section
600.136 on Intangible Property needed modifications to clarify how
Section 600.136 applied to commercial organizations with respect to
patent, data, and copyright coverage and to cross-reference the
specific DOE patent, data, and copyright coverage of the existing
Section 600.33. This proposed rule attempts to make clear DOE patent
and data provisions for all recipients including large businesses and
foreign entities. The appropriate changes to the uniform administrative
requirements of Section 600.136 to the new Section 600.27 are included
in this proposed rule.
II. Overview of Organization of DOE Financial Assistance Rules
t coverage of the existing
Section 600.33. This proposed rule attempts to make clear DOE patent
and data provisions for all recipients including large businesses and
foreign entities. The appropriate changes to the uniform administrative
requirements of Section 600.136 to the new Section 600.27 are included
in this proposed rule.
II. Overview of Organization of DOE Financial Assistance Rules
When DOE implemented the uniform administrative requirements of OMB
Circular A-110 for Grants and Cooperative Agreements With Institutions
of Higher Education, Hospital, Other Non-Profit Organizations and
Commercial Organizations in October, 1994, DOE also reordered the
subparts of the Financial Assistance Rules.
The rules as changed in October of 1994 consist of five subparts:
Subpart A, General; Subpart B, Uniform Administrative Requirements for
Grants and Cooperative Agreements With Institutions of Higher
Education, Hospitals, Other Non-Profit Organizations and Commercial
Organizations; Subpart C, Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments;
Subpart D, Cooperative Agreements; and Subpart E, Audits of State and
Local Governments. As part of our streamlining efforts, we decided we
no longer needed a separate subpart for Cooperative Agreements because
many of the requirements pertinent to cooperative agreements such as
the application, funding, and administrative requirements were the same
as for grants. The few areas that were different (such as the
substantial involvement and patent and data provisions) we decided to
integrate into the general coverage in Subpart A.
III. Changes to 10 CFR Part 600
bpart for Cooperative Agreements because
many of the requirements pertinent to cooperative agreements such as
the application, funding, and administrative requirements were the same
as for grants. The few areas that were different (such as the
substantial involvement and patent and data provisions) we decided to
integrate into the general coverage in Subpart A.
III. Changes to 10 CFR Part 600
Section 600.2 Applicability would be rewritten in simpler language
to state that the DOE financial assistance rules apply to financial
assistance applications and new, continuation and renewal awards.
Section 600.3 Definitions would be reduced to cover only those
terms which are not defined elsewhere in the rule; therefore, the
definitions sections in Subparts B and C, are still needed.
Section 600.4 Deviations would be changed to update citations
only.
Sections 600.5 Selection of award instrument would be expanded to
cover in greater detail what DOE means by substantial involvement under
cooperative agreements. This definition of substantial involvement is
consistent with the existing coverage in Subpart D and the Federal
Grant and Cooperative Agreement Act.
Section 600.6 Discretionary awards would be eliminated since it is
primarily internal guidance. Special solicitation instruments called
Program Opportunity Notices and Program Research and Development
Announcements would be eliminated. In keeping with the simplification
objective, it was decided these special instruments are no longer
necessary and the general coverage under solicitations would meet our
needs. The policy statement regarding competition in financial
assistance has been retained, but would be moved to the new Section
600.6 Eligibility.
Section 600.7 Eligibility would be renumbered 600.6 and changed to
increase the threshold requiring Assistant Secretary or designee
approval of restricted eligibility and noncompetitive determinations
from $250,000 to $1,000,000
would meet our
needs. The policy statement regarding competition in financial
assistance has been retained, but would be moved to the new Section
600.6 Eligibility.
Section 600.7 Eligibility would be renumbered 600.6 and changed to
increase the threshold requiring Assistant Secretary or designee
approval of restricted eligibility and noncompetitive determinations
from $250,000 to $1,000,000. This would provide for greater decision-
making authority at the local level where the financial assistance
awards are being made and administered.
The requirement of the existing rule for a Federal Register notice
for noncompetitive awards which has been waived by a class deviation
would be eliminated by this rulemaking.
Section 600.8 Small and disadvantaged business participation would
be renumbered 600.7 and rewritten as a policy statement to encourage
the participation of small and disadvantaged businesses in DOE
financial assistance and contracts awarded under financial assistance
and to include in the policy women-owned businesses and historically
black colleges and universities.
Section 600.9 Solicitation would be renumbered 600.8 and changed
to give program offices the authority to issue solicitations. The
current rule requires solicitations to be issued by a contracting
officer unless the solicitation is issued under a program rule. To
ensure uniformity and compliance with the fundamental requirements of
the solicitation process, any solicitation would have to meet the
requirements contained in this section regardless of who issues it. Any
solicitation issued by a program office
tations. The
current rule requires solicitations to be issued by a contracting
officer unless the solicitation is issued under a program rule. To
ensure uniformity and compliance with the fundamental requirements of
the solicitation process, any solicitation would have to meet the
requirements contained in this section regardless of who issues it. Any
solicitation issued by a program office
would require coordination with the contracting office prior to
issuance.
Section 600.10 Form and content of applications would be amended
to eliminate the requirements pertaining to preapplication content
because DOE programs rarely require preapplication submissions. If
needed by DOE, the solicitation itself would describe to potential
applicants the information required in a preapplication based on
specific program needs.
Section 600.11 Intergovernmental review would be remain the same.
Section 600.12 Generally applicable requirements would be revised
for simplicity and clarity.
Section 600.13 Application deadlines would be deleted as being too
rigid as a general rule covering all financial assistance applications.
Instead, the simplified requirement covered in 600.8 under
solicitations specifies that a solicitation must include information
specifying due dates and a statement describing the consequences of
late submission.
Section 600.14 Unsolicited applications would be deleted and the
procedures for noncompetitive financial assistance covered in Section
600.6 procedures will be used. The criteria for acceptance of an
unsolicited application would not be changed.
Section 600.15 Notice of program interest would be renumbered
600.10 and the coverage revised to eliminate the requirement that a
notice contain all the information included in a solicitation.
Section 600.16 Objective merit review would be renumbered 600.13
and revised to allow more program office discretion in setting up a
system provided the basic standards of a merit review system are met
Section 600.15 Notice of program interest would be renumbered
600.10 and the coverage revised to eliminate the requirement that a
notice contain all the information included in a solicitation.
Section 600.16 Objective merit review would be renumbered 600.13
and revised to allow more program office discretion in setting up a
system provided the basic standards of a merit review system are met.
Section 600.17 Conflict of interest would be renumbered 600.14.
Section 600.18 Authorized uses of information would be renumbered
600.15 and the definitions section deleted as unnecessary.
Section 600.19 Application evaluation and selection would be
eliminated since the process is covered under objective merit review.
Section 600.20 Legal authority and effect of an award would be
renumbered 600.16 and paragraph (b) eliminated since it is an internal
administrative material and not a regulatory requirement.
Section 600.21 Contents of award would be renumbered 600.17 and
the essential parts of an award document summarized in a short
paragraph.
Section 600.22 Recipient acknowledgement of award would be
renumbered 600.18 and reduced to the basic requirements.
Section 600.23 Notification to unsuccessful applicants would be
renumbered 600.19 and the requirement stated more concisely.
Section 600.24 Maximum DOE obligation would be renumbered 600.20.
Section 600.25 Access to records would be renumbered 600.21 and
changed to cross-reference the Governmentwide coverage contained in
Subparts B and C.
Section 600.26 Disputes and appeals would be renumbered 600.22 and
language added to cover alternative dispute resolution.
Section 600.27 Debarment and suspension would be renumbered
600.23.
Section 600.28 Noncompliance would be renumbered 600.24.
Section 600.29 Suspension and termination would be renumbered
600.25.
Section 600.30 Responsible applicant would be deleted since it
doesn't add requirements that are not covered elsewhere
renumbered 600.22 and
language added to cover alternative dispute resolution.
Section 600.27 Debarment and suspension would be renumbered
600.23.
Section 600.28 Noncompliance would be renumbered 600.24.
Section 600.29 Suspension and termination would be renumbered
600.25.
Section 600.30 Responsible applicant would be deleted since it
doesn't add requirements that are not covered elsewhere.
Section 600.31 Funding would be renumbered 600.26 and the
limitations related to 12-month budget periods removed so that budget
periods can be more easily tied to meaningful performance phases or
activities. Also, provisions regarding retroactive extensions would be
deleted since they establish an unnecessary restriction on actions
which are within a contracting officer's authority to approve or
disapprove on a case-by-case basis.
Section 600.32 Calculation of award would be eliminated since it
provides instructions to DOE contracting officials which do not need to
be in a regulation. Provisions of interest to recipients pertaining to
excess funds notifications and unobligated balances are already covered
under the Governmentwide requirements in Subparts B and C.
Section 600.33 Patents, data and copyrights would be renamed
``Patent and Data Provisions'' and renumbered as 600.27. The patent,
data and copyrights requirements for grant and cooperative agreement
awards have been streamlined and have been revised to be consistent
with the Department's recent updating of patent regulations for
contracts (60 FR 11812).
Section 600.34 New restrictions on lobbying would be renumbered
600.28, renamed, and cross-reference the lobbying rules at 10 CFR 601.
A new Section 600.29 Fixed obligation awards would be added to
give DOE the flexibility to make small dollar ($100,000 or less)
financial assistance awards on a fixed amount basis where there is
certainty about the costs and the project accomplishments are readily
discernable such as, conferences, workshops, equipment, and travel
renamed, and cross-reference the lobbying rules at 10 CFR 601.
A new Section 600.29 Fixed obligation awards would be added to
give DOE the flexibility to make small dollar ($100,000 or less)
financial assistance awards on a fixed amount basis where there is
certainty about the costs and the project accomplishments are readily
discernable such as, conferences, workshops, equipment, and travel.
This type of award would reduce the administrative requirements placed
on recipients and reduce the administrative burden for both DOE and
recipients. Fixed obligation awards have been previously authorized by
a class deviation from 10 CFR Part 600 which is now being superseded by
these provisions.
In Section 600.112 Forms for applying for Federal assistance of
Subpart B, paragraph (c) would be revised by changing the cross-
references in the parenthetical phrase ``(See Section 600.31 (b) and
(c))'' to read ``(See Section 600.26 (b) and (c)).''
Section 600.136 Intangible property of Subpart B would be revised
to cross-reference the new Section 600.27 and to clarify the coverage
for commercial organizations.
Section 600.306 Cost sharing of Subpart D would be renumbered
600.30 and applied to grants as well as cooperative agreements since
choice of financial assistance instrument is irrelevant to the basic
policy of requiring cost sharing for research, development, and
demonstration projects.
Subpart D Cooperative Agreements would be removed and Subpart E
Audits of State and Local Governments would be redesignated as Subpart
D.
Sections 600.402, 600.403, 600.405, and 600.415 of Subpart E would
be amended to correct the references resulting from the proposed
streamlining changes.
IV. Review Under Executive Order 12612
haring for research, development, and
demonstration projects.
Subpart D Cooperative Agreements would be removed and Subpart E
Audits of State and Local Governments would be redesignated as Subpart
D.
Sections 600.402, 600.403, 600.405, and 600.415 of Subpart E would
be amended to correct the references resulting from the proposed
streamlining changes.
IV. Review Under Executive Order 12612
Executive Order 12612 requires that regulations, rules,
legislation, and any other policy actions be reviewed for any
substantial effects on States, on the relationship between the Federal
Government and the States, or in the distribution of power and
responsibilities among various levels of Government. If there are
sufficient substantial direct effects, then the Executive Order
requires preparation of a federalism assessment to be used in all
decisions involved in promulgating and implementing a policy action.
Today's proposed rule would revise certain policy and procedural
requirements. However, DOE has determined that this rulemaking will not
have a substantial direct effect on the institutional interests or
traditional functions of States.
V. Regulatory Review
Today's regulatory action has been determined not to be a
``significant regulatory action'' under Executive Order 12866,
``Regulatory Planning and Review,'' (58 FR 51735, October 4, 1993).
Accordingly, today's action was not subject to review under the
Executive Order by the Office of Information and Regulatory Affairs.
VI. Review Under the Regulatory Flexibility Act
V. Regulatory Review
Today's regulatory action has been determined not to be a
``significant regulatory action'' under Executive Order 12866,
``Regulatory Planning and Review,'' (58 FR 51735, October 4, 1993).
Accordingly, today's action was not subject to review under the
Executive Order by the Office of Information and Regulatory Affairs.
VI. Review Under the Regulatory Flexibility Act
This proposed rule was reviewed under the Regulatory Flexibility
Act of 1980, Pub.L. 96-354, 94 Stat. 1164, which requires preparation
of a regulatory flexibility analysis for any regulation that will have
a significant economic impact on a substantial number of small
entities, i.e., small businesses, small organizations, and small
governmental jurisdictions. DOE has concluded that the proposed rule
would only affect small entities as they apply for and receive
financial assistance, and does not create additional economic impact on
small entities as a whole. DOE certifies that this proposed rule would
not have a significant economic impact on a substantial number of small
entities and, therefore, no regulatory flexibility analysis has been
prepared.
VII. Review Under the Paperwork Reduction Act
No information collection or recordkeeping requirements are imposed
upon the public by this rulemaking. Accordingly, no OMB clearance is
required under the Paperwork Reduction Act of 1980, 44 USC 3501, et.
seq., or OMB implementing regulations at 5 CFR Part 1320.
VIII. Review Under the National Environmental Policy Act
alysis has been
prepared.
VII. Review Under the Paperwork Reduction Act
No information collection or recordkeeping requirements are imposed
upon the public by this rulemaking. Accordingly, no OMB clearance is
required under the Paperwork Reduction Act of 1980, 44 USC 3501, et.
seq., or OMB implementing regulations at 5 CFR Part 1320.
VIII. Review Under the National Environmental Policy Act
DOE has concluded that this rule falls into a class of actions
(categorical exclusions A5) that are categorically excluded from
National Environmental Policy Act (NEPA) review because they would not
individually or cumulatively have significant impact on the human
environment, as determined by the Department's regulations (10 CFR Part
1021, Subpart D) implementing the National Environmental Policy Act of
1969 (42 U.S.C. 4321, 4331-4335, 4341-4347 (1976)). Therefore, this
rule does not require an environmental impact statement or an
environmental assessment pursuant to NEPA.
IX. Review Under Executive Order 12778
Section 2 of Executive Order 12778 instructs each agency to adhere
to certain requirements in promulgating new regulations and reviewing
existing regulations. These requirements, set forth in sections 2(a)
and (b)(2), include eliminating drafting errors and needless ambiguity,
drafting the regulations to minimize litigation, providing clear and
certain legal standards for affected conduct, and promoting
simplification and burden reduction. Agencies are also instructed to
make every reasonable effort to ensure that the regulation specifies
clearly any preemptive effect, effect on existing Federal law or
regulation, and retroactive effect; describes any administrative
proceedings to be available prior to judicial review and any revisions
for the exhaustion of such administrative proceedings, and defines the
terms. DOE certifies that today's rule meets the requirements of
sections 2 (a) and (b) of Executive Order 12778.
X. Public Comments
y preemptive effect, effect on existing Federal law or
regulation, and retroactive effect; describes any administrative
proceedings to be available prior to judicial review and any revisions
for the exhaustion of such administrative proceedings, and defines the
terms. DOE certifies that today's rule meets the requirements of
sections 2 (a) and (b) of Executive Order 12778.
X. Public Comments
Interested persons are invited to participate in this rulemaking by
submitting data, views, or arguments with respect to the changes set
forth in this notice. Three copies of written comments should be
submitted to the address indicated in the ADDRESSES section of this
notice. All comments received will be available for public inspection
in the DOE Reading Room, Room 1E-190, Forrestal Building, 1000
Independence Avenue, SW., Washington, D.C. 20585, between the hours of
9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. All
written comments received by the date given in the DATES section will
be fully considered. Any information considered to be confidential must
be so identified and submitted in writing, one copy only. The DOE
reserves the right to determine the confidential status of the
information and to treat it according to our determination.
XI. Public Hearing Determination
DOE has concluded that this proposed rule does not involve any
significant issues of law or fact. Therefore, consistent with 5 U.S.C.
553, DOE has not scheduled a public hearing.
List of Subjects in 10 CFR Part 600
Accounting; Administrative practice and procedure; Government
contracts; Grant programs, Indians, Intergovernmental relations; Loan
programs, Lobbying; Penalties; Reporting and recordkeeping
requirements.
Issued in Washington, D.C., on July 31, 1995.
Richard H. Hopf,
Deputy Assistant Secretary for Procurement and Assistance Management.
a public hearing.
List of Subjects in 10 CFR Part 600
Accounting; Administrative practice and procedure; Government
contracts; Grant programs, Indians, Intergovernmental relations; Loan
programs, Lobbying; Penalties; Reporting and recordkeeping
requirements.
Issued in Washington, D.C., on July 31, 1995.
Richard H. Hopf,
Deputy Assistant Secretary for Procurement and Assistance Management.
For the reasons set out in the preamble, Part 600 of Chapter II,
Title 10 of the Code of Federal Regulations is proposed to be amended
as set forth below:
PART 600--FINANCIAL ASSISTANCE RULES
1. The authority citation for Part 600 continues to read as
follows:
Authority: Secs. 644 and 646, Pub. L. 95-91, 91 Stat. 599 (42
U.S.C. 7254 and 7256); Pub. L. 97-258, 96 Stat. 1003-1005 (31 U.S.C.
6301-6308), unless otherwise noted.
Subparts D and E--[Amended]
2. The existing Subpart D ``Cooperative Agreements'' is removed and
Subpart E ``Audits of State and Local Governments'' is redesignated as
Subpart D, and Secs. 600.400 through 600.417 are redesignated as
Secs. 600.300 through 600.317.
Sec. 600.112 [Amended]
3. Section 600.112(c) is amended by revising the parenthetical
phrase ``(See Section 600.31(b) and (c))'' to read ``(See Section
600.26(b) and (c)).''
4. Section 600.136 is revised to read as follows:
Sec. 600.136 Intangible property.
(a) Recipients that are institutions of higher education,
hospitals, and other non-profit organizations are subject to the
following:
(1) The recipient may copyright any work that is subject to
copyright and was developed, or for which ownership was purchased,
under an award. DOE reserves a royalty-free, nonexclusive and
irrevocable right to reproduce, publish or otherwise use the work for
Federal purposes, and to authorize others to do so.
(2) Recipients are subject to applicable regulations governing
patents and inventions. (See 10 CFR 600.27)
(3) DOE has the right to:
ubject to
copyright and was developed, or for which ownership was purchased,
under an award. DOE reserves a royalty-free, nonexclusive and
irrevocable right to reproduce, publish or otherwise use the work for
Federal purposes, and to authorize others to do so.
(2) Recipients are subject to applicable regulations governing
patents and inventions. (See 10 CFR 600.27)
(3) DOE has the right to:
(i) Obtain, reproduce, publish or otherwise use the data first
produced under an award.
(ii) Authorize others to receive, reproduce, publish, or otherwise
use such data for Federal purposes.
(4) Title to intangible property and debt instruments acquired
under an award or subaward vests upon acquisition in the recipient. The
recipient shall use that property for the originally-authorized
purpose, and the recipient shall not encumber the
property without approval of DOE. When no longer needed for the
originally authorized purpose, disposition of the intangible property
shall occur in accordance with the provisions of Section 600.134(g).
(b) Recipients that are commercial entities shall follow the
provisions set forth at 10 CFR 600.27.
Sec. 600.302 [Amended]
5. Newly redesignated Sec. 600.302 is amended in paragraph (d) by
revising ``Sections 600.25, 600.153, 600.242, and 600.305'' to read
``Sections 600.21, 600.153, and 600.242''.
Sec. 600.303 [Amended]
6. In paragraph (c), of newly redesignated Sec. 600.303 revise
``Sections 600.126, 600.226, and 600.305'' to read ``Sections 600.126
and 600.226''.
Sec. 600.305 [Amended]
7. In newly redesignated Sec. 600.305(b)(2)(ii)(C), revise
``Section 600.424 of subpart E'' to read ``Section 600.324 of subpart
D''.
Sec. 600.315 [Amended]
8. Newly redesignated Sec. 600.315 is amended, in the first
sentence, by revising ``Section 600.436 of subpart E'' to read
``Section 600.336 of subpart D''.
9. Subpart A is revised to read as follows:
Subpart A--General
05 [Amended]
7. In newly redesignated Sec. 600.305(b)(2)(ii)(C), revise
``Section 600.424 of subpart E'' to read ``Section 600.324 of subpart
D''.
Sec. 600.315 [Amended]
8. Newly redesignated Sec. 600.315 is amended, in the first
sentence, by revising ``Section 600.436 of subpart E'' to read
``Section 600.336 of subpart D''.
9. Subpart A is revised to read as follows:
Subpart A--General
Sec.
600.1 Purpose.
600.2 Applicability.
600.3 Definitions.
600.4 Deviations.
600.5 Selection of award instrument.
600.6 Eligibility.
600.7 Small and disadvantaged and women-owned business
participation.
600.8 Solicitation.
600.9 Notice of program interest.
600.10 Form and content of applications.
600.11 Intergovernmental review.
600.12 Generally applicable requirements.
600.13 Objective merit review.
600.14 Conflict of interest.
600.15 Authorized uses of information.
600.16 Legal authority and effect of an award.
600.17 Contents of award.
600.18 Recipient acknowledgement of award.
600.19 Notification to unsuccessful applicants.
600.20 Maximum DOE obligation.
600.21 Access to records.
600.22 Disputes and appeals.
600.23 Debarment and suspension.
600.24 Noncompliance.
600.25 Suspension and termination.
600.26 Funding.
600.27 Patent and data provisions.
600.28 New restrictions on lobbying.
600.29 Fixed obligation awards.
600.30 Cost sharing.
Subpart A--General
Sec. 600.1 Purpose.
This part implements the Federal Grant and Cooperative Agreement
Act, Pub. L. 95-224, as amended by Public Law 97-258 (31 U.S.C. 6301-
6308), and establishes uniform policies and procedures for the award
and administration of DOE grants and cooperative agreements. This
subpart (Subpart A) sets forth the policies and procedures applicable
to the award and administration of grants and cooperative agreements.
Sec. 600.2 Applicability.
(a) Except as otherwise provided by Federal statute or program
rule, this part applies to applications, solicitations, and new,
continuation, and renewal awards (and any subsequent subawards).
s and cooperative agreements. This
subpart (Subpart A) sets forth the policies and procedures applicable
to the award and administration of grants and cooperative agreements.
Sec. 600.2 Applicability.
(a) Except as otherwise provided by Federal statute or program
rule, this part applies to applications, solicitations, and new,
continuation, and renewal awards (and any subsequent subawards).
(b) Any new, continuation, or renewal award (and any subsequent
subaward) shall comply with any applicable Federal statute, Federal
rule, Office of Management and Budget (OMB) Circular and Governmentwide
guidance in effect as of the date of such award.
(c) Financial assistance to foreign entities is governed by this
part and by the administrative requirements and cost principles
applicable to their respective recipient type, e.g, governmental, non-
profit, commercial, to the extent appropriate.
Sec. 600.3 Definitions.
Amendment means the written document executed by a DOE contracting
officer that changes one or more terms or conditions of an existing
financial assistance award.
Assistance means the transfer of money, property, services or
anything of value to a recipient to accomplish a public purpose of
support or stimulation authorized by Federal statute, as differentiated
from financial assistance which covers the transfer of money or
property only. Financial assistance instruments are grants and
cooperative agreements and subawards.
Award means the written document executed by a DOE Contracting
Officer, after an application is approved, which contains the terms and
conditions for providing financial assistance to the recipient.
Budget period means the interval of time, specified in the award,
into which a project is divided for budgeting and funding purposes.
Continuation award means an award for a succeeding or subsequent
budget period after the initial budget period of either an approved
project period or renewal thereof
which contains the terms and
conditions for providing financial assistance to the recipient.
Budget period means the interval of time, specified in the award,
into which a project is divided for budgeting and funding purposes.
Continuation award means an award for a succeeding or subsequent
budget period after the initial budget period of either an approved
project period or renewal thereof.
Contract means a written procurement contract executed by a
recipient or subrecipient for the acquisition of property or services
under a financial assistance award.
Contracting Officer means the DOE official authorized to execute
awards on behalf of DOE and who is responsible for the business
management and non-program aspects of the financial assistance process.
DOE Patent Counsel means the Department of Energy Patent Counsel
assisting the Contracting Officer in the review and coordination of
patents and data related items.
Nonprofit organization means any corporation, trust, foundation, or
institution which is entitled to exemption under section 501(c)(3) of
the Internal Revenue Code, or which is not organized for profit and no
part of the net earnings of which inure to the benefit of any private
shareholder or individual (except that the definition of ``nonprofit
organization'' at 48 CFR 27.301 shall apply to the use of the patent
clause at Section 600.27).
Objective merit review means a thorough, consistent and independent
examination of applications based on pre-established criteria by
persons knowledgeable in the field of endeavor for which support is
requested.
Program rule means a rule issued by a DOE program office for the
award and administration of financial assistance which may describe the
program's purpose or objectives, eligibility requirements for
applicants, types of program activities or areas to be supported,
evaluation and selection process, cost sharing requirements, etc
dgeable in the field of endeavor for which support is
requested.
Program rule means a rule issued by a DOE program office for the
award and administration of financial assistance which may describe the
program's purpose or objectives, eligibility requirements for
applicants, types of program activities or areas to be supported,
evaluation and selection process, cost sharing requirements, etc. These
rules usually supplement the generic policies and procedures for
financial assistance contained in this part.
Project period means the total period of time indicated in an award
during which DOE expects to provide financial assistance. A project
period may consist of one or more budget periods and may be extended by
DOE.
Recipient means the organization, individual, or other entity that
receives an award from DOE and is financially accountable for the use
of any DOE funds or property provided for the performance of the
project, and is legally responsible for carrying out the terms and
conditions of the award.
Renewal award means an award which adds one or more additional
budget periods to an existing project period.
Research and development means all research activities, both basic
and applied, and all development activities that are supported at
universities,
colleges, and other non-profit institutions and commercial
organizations. ``Research'' is defined as a systematic study directed
toward fuller scientific knowledge or understanding of the subject
studied. The term research also includes activities involving the
training of individuals in research techniques where such activities
utilize the same facilities as other research and development
activities and where such activities are not included in the
instruction function. ``Development'' is the systematic use of
knowledge and understanding gained from research directed toward the
production of useful materials, devices, systems, or methods, including
design and development of prototypes and processes.
Sec. 600.4 Deviations.
the same facilities as other research and development
activities and where such activities are not included in the
instruction function. ``Development'' is the systematic use of
knowledge and understanding gained from research directed toward the
production of useful materials, devices, systems, or methods, including
design and development of prototypes and processes.
Sec. 600.4 Deviations.
(a) General. (1) A deviation is the use of any policy, procedure,
form, standard, term, or condition which varies from a requirement of
this part, or the waiver of any such requirement, unless such use or
waiver is authorized or precluded by Federal statute. The use of
optional or discretionary provisions of this part, including special
restrictive conditions used in accordance with Sections 600.114 and
600.212, are not deviations. The waiver provisions of the patent
requirements of Section 600.27 and awards to foreign entities are not
subject to the requirements of this section.
(2) A single-case deviation is a deviation which applies to one
financial assistance transaction and one applicant, recipient, or
subrecipient only.
(3) A class deviation is a deviation which applies to more than one
financial assistance transaction, applicant, recipient, or
subrecipient.
(b) The DOE officials specified in paragraph (c) of this section
may authorize a deviation only upon a written determination that the
deviation is--
(1) Necessary to achieve program objectives;
(2) Necessary to conserve public funds;
(3) Otherwise essential to the public interest; or
(4) Necessary to achieve equity.
(c) Approval procedures. (1) A deviation request must be in writing
and must be submitted to the responsible DOE Contracting Officer. An
applicant for a subaward or a subrecipient shall submit any such
request through the recipient.
(2) Except as provided in paragraph (c)(3) of this section--
e public funds;
(3) Otherwise essential to the public interest; or
(4) Necessary to achieve equity.
(c) Approval procedures. (1) A deviation request must be in writing
and must be submitted to the responsible DOE Contracting Officer. An
applicant for a subaward or a subrecipient shall submit any such
request through the recipient.
(2) Except as provided in paragraph (c)(3) of this section--
(i) A single-case deviation may be authorized by the responsible
Head of Contracting Activity (HCA). Any proposed single-case deviation
from the requirements of Section 600.27 concerning patents or data
shall be referred to the DOE Patent Counsel for review and concurrence
prior to submission to the HCA.
(ii) A class deviation may be authorized by the Deputy Assistant
Secretary for Procurement and Assistance Management or his or her
designee.
(3) Whenever the approval of OMB, other Federal agency, or other
DOE office is required to authorize a deviation, the proposed deviation
must be submitted to the Deputy Assistant Secretary for Procurement and
Assistance Management or designee for concurrence prior to submission
to the authorizing official. Any proposed class deviation from the
requirements of Section 600.27 concerning patents or data shall be
forwarded through the Assistant General Counsel for Technology Transfer
and Intellectual Property or designee.
(d) Notice. Whenever a request for a class deviation is approved,
DOE shall publish a notice in the Federal Register at least 15 days
before the class deviation becomes effective. Whenever a class
deviation is contained in a proposed program rule, the preamble to the
proposed rule shall describe the purpose and scope of the deviation.
(e) Subawards. A recipient may use a deviation in a subaward only
with the prior written approval of a DOE Contracting Officer.
Sec. 600.5 Selection of award instrument.
ster at least 15 days
before the class deviation becomes effective. Whenever a class
deviation is contained in a proposed program rule, the preamble to the
proposed rule shall describe the purpose and scope of the deviation.
(e) Subawards. A recipient may use a deviation in a subaward only
with the prior written approval of a DOE Contracting Officer.
Sec. 600.5 Selection of award instrument.
(a) If DOE has administrative discretion in the selection of the
award instrument, the DOE decision as to whether the relationship is
principally one of procurement or assistance shall be made pursuant to
the Federal Grant and Cooperative Agreement Act as codified at 31
U.S.C. 6301-6306. A grant or cooperative agreement shall be the
appropriate instrument, in accordance with this part, when the
principal purpose of the relationship is the transfer of money or
property to accomplish a public purpose of support or stimulation
authorized by Federal statute. DOE shall limit involvement between
itself and the recipient in the performance of a project to the minimum
necessary to achieve DOE program objectives.
(b) When it is anticipated that substantial involvement will be
necessary between DOE and the recipient during performance of the
contemplated activity, the award instrument shall be a cooperative
agreement rather than a grant. Substantial involvement exists if:
(1) Responsibility for the management, control, or direction of the
project is shared by DOE and the recipient, or
(2) Responsibility for the performance of the project is shared by
DOE and the recipient, or
(3) DOE has the right to intervene in the conduct or performance of
project activities for programmatic reasons. Intervention includes the
interruption or modification of the conduct or performance of project
activities. Suspension or termination of the cooperative agreement
under Sections 600.162 and 600.243 does not constitute intervention in
the conduct or performance of project activities.
3) DOE has the right to intervene in the conduct or performance of
project activities for programmatic reasons. Intervention includes the
interruption or modification of the conduct or performance of project
activities. Suspension or termination of the cooperative agreement
under Sections 600.162 and 600.243 does not constitute intervention in
the conduct or performance of project activities.
(4) Providing technical assistance or guidance of a programmatic
nature to a recipient does not constitute substantial involvement if
the recipient is not required to follow such guidance or if the
technical assistance or guidance is not expected to result in
continuing DOE involvement in the performance of the project.
(5) Technical assistance or guidance which pertains to the
administrative requirements of the award does not constitute
substantial involvement.
(c) Every cooperative agreement shall explicitly state the
substantial involvement anticipated between DOE and the recipient
during performance of the project.
Sec. 600.6 Eligibility.
(a) General. DOE shall solicit applications for financial
assistance in a manner which provides for the maximum amount of
competition feasible.
(b) Restricted eligibility. If DOE restricts eligibility, an
explanation of why the restriction of eligibility is considered
necessary shall be included in the solicitation, program rule, or
published notice. If the aggregate amount of DOE funds available for
award under such a solicitation or published notice is $1,000,000 or
more such restriction of eligibility shall be supported by a written
determination initiated by the program office and approved by an
official no less than two levels above the initiating program official
and concurred in by the Contracting Officer and legal counsel. If the
amount of DOE funds is less than $1,000,000, the cognizant HCA and the
Contracting Officer may approve the determination.
ore such restriction of eligibility shall be supported by a written
determination initiated by the program office and approved by an
official no less than two levels above the initiating program official
and concurred in by the Contracting Officer and legal counsel. If the
amount of DOE funds is less than $1,000,000, the cognizant HCA and the
Contracting Officer may approve the determination.
(c) DOE may award a grant or cooperative agreement on a
noncompetitive basis only if the
application satisfies one or more of the following selection criteria.
(1) The activity to be funded is necessary to the satisfactory
completion of, or is a continuation or renewal of, an activity
presently being funded by DOE or another Federal agency, and for which
competition for support would have a significant adverse effect on
continuity or completion of the activity.
(2) The activity is being or would be conducted by the applicant
using its own resources or those donated or provided by third parties;
however, DOE support of that activity would enhance the public benefits
to be derived and DOE knows of no other entity which is conducting or
is planning to conduct such an activity.
(3) The applicant is a unit of government and the activity to be
supported is related to performance of a governmental function within
the subject jurisdiction, thereby precluding DOE provision of support
to another entity.
(4) The applicant has exclusive domestic capability to perform the
activity successfully, based upon unique equipment, proprietary data,
technical expertise, or other such unique qualifications.
(5) The award implements an agreement between the United States
Government and a foreign government to fund a foreign applicant.
(6) Time constraints associated with a public health, safety,
welfare or national security requirement preclude competition.
perform the
activity successfully, based upon unique equipment, proprietary data,
technical expertise, or other such unique qualifications.
(5) The award implements an agreement between the United States
Government and a foreign government to fund a foreign applicant.
(6) Time constraints associated with a public health, safety,
welfare or national security requirement preclude competition.
(7) The proposed project represents a unique or innovative idea,
method, or approach which would not be eligible for financial
assistance under a recent, current, or planned solicitation, and if, as
determined by DOE, a competitive solicitation would not be appropriate.
(8) The responsible program Assistant Secretary (or official of
equivalent authority), with the approval of the Deputy Assistant
Secretary for Procurement and Assistance Management, determines that a
noncompetitive award is in the public interest. This authority may not
be delegated.
(d) Documentation requirements. A determination of noncompetitive
financial assistance (normally prepared by the responsible program
official (project officer)) is required to explain the basis for the
proposed noncompetitive award and shall be placed in the award file.
(e) Approval requirements. Determinations of noncompetitive awards
shall be approved, prior to award, by the initiating program official,
by the responsible program Assistant Secretary (or official of
equivalent authority) or designee, who shall be not less than two
organizational levels above that of the project officer, by the
Contracting Officer and shall be concurred in by local legal counsel.
Where the amount of DOE funds is less than $1,000,000 for a
noncompetitive financial assistance award, the determination shall be
approved by the cognizant HCA and the Contracting Officer. Concurrence
may be waived by local legal counsel.
Sec. 600.7 Small and disadvantaged and women-owned business
participation.
r, by the
Contracting Officer and shall be concurred in by local legal counsel.
Where the amount of DOE funds is less than $1,000,000 for a
noncompetitive financial assistance award, the determination shall be
approved by the cognizant HCA and the Contracting Officer. Concurrence
may be waived by local legal counsel.
Sec. 600.7 Small and disadvantaged and women-owned business
participation.
(a) DOE encourages the participation in financial assistance awards
of small businesses, including those owned by socially and economically
disadvantaged individuals and women, of historically black colleges,
and of colleges and universities with substantial minority enrollments.
(b) For definitions of the terms in paragraph (a) of this section,
see the Higher Education Act of 1965, and 15 U.S.C. 644, as amended by
the Federal Acquisition Streamlining Act, and implementing regulations
under FASA issued by the Office of Federal Procurement Policy.
(c) DOE shall require recipients and subrecipients to take
affirmative action with respect to such entities in contracts under
financial assistance awards and subawards as required under Sections
600.144 and 600.236.
Sec. 600.8 Solicitation.
(a) General. A solicitation for financial assistance applications
shall be in the form of a program rule or other publicly available
document which invites the submission of applications by a common due
date or within a prescribed period of time.
ch entities in contracts under
financial assistance awards and subawards as required under Sections
600.144 and 600.236.
Sec. 600.8 Solicitation.
(a) General. A solicitation for financial assistance applications
shall be in the form of a program rule or other publicly available
document which invites the submission of applications by a common due
date or within a prescribed period of time.
(1) A Program Assistant Secretary (or official of equivalent
authority) may annually issue a program notice describing research
areas in which financial assistance is being made available. Such
notice shall also state whether the research areas covered by the
notice are to be added to those listed in a previously issued program
rule. If they are to be included, then applications received as a
result of the notice may be treated as having been in response to that
previously published program rule. If they are not to be included, then
applications received in response to the notice are to be treated as
unsolicited applications. Solicitations may be issued by a DOE
Contracting Officer or program office with prior concurrence of the
contracting office.
(2) DOE shall publish either a copy or a notice of the availability
of a financial assistance solicitation in the Federal Register. DOE
shall publish solicitations or notices in the Commerce Business Daily
when potential applicants include for-profit organizations or when
there is the potential for significant contracting opportunities under
the resulting financial assistance awards.
(b) Subawards. In accordance with the provisions of the applicable
statute and program rules, if a DOE financial assistance program
involves the award of financial assistance by a recipient to a
subrecipient, the recipient shall provide sufficient advance notice so
that potential subrecipients may prepare timely applications and secure
prerequisite reviews and approvals.
l assistance awards.
(b) Subawards. In accordance with the provisions of the applicable
statute and program rules, if a DOE financial assistance program
involves the award of financial assistance by a recipient to a
subrecipient, the recipient shall provide sufficient advance notice so
that potential subrecipients may prepare timely applications and secure
prerequisite reviews and approvals.
(c) Contents of solicitation. Each solicitation shall include the
following types of information and such other information as may be
necessary to allow potential applicants to decide whether to submit an
application, to understand how applications will be evaluated, and to
know what the obligations of a recipient would be.
(1) A control number assigned by the issuing DOE office;
(2) The amount of money available for award and, if appropriate,
the expected size of individual awards broken down by areas of priority
or emphasis, and the expected number of awards;
(3) The type of award instrument or instruments to be used;
(4) Catalog of Federal Domestic Assistance number for the program;
(5) Who is eligible to apply;
(6) The expected duration of DOE support or the period of
performance;
(7) Application form or format to be used, location for application
submission, and number of copies required;
(8) The name of the responsible DOE Contracting Officer (or, for
program notices or solicitations issued by the program office, the
program office contact) to contact for additional information, and, as
appropriate, an address where application forms may be obtained;
f
performance;
(7) Application form or format to be used, location for application
submission, and number of copies required;
(8) The name of the responsible DOE Contracting Officer (or, for
program notices or solicitations issued by the program office, the
program office contact) to contact for additional information, and, as
appropriate, an address where application forms may be obtained;
(9) Whether loans are available under the DOE Minority Economic
Impact (MEI) loan program, 10 CFR part 800, to finance the cost of
preparing a financial assistance application, and, if MEI loans are
available, a general description of the eligibility requirements for
such a loan, a reference to Catalog of Federal Domestic Assistance
Number 81.063, and the name and address of the DOE office from which
additional information and loan application forms can be obtained;
(10) Appropriate periods or due dates for submission of
applications and a statement describing the consequences
of late submission. If programs have established a series of due dates
to allow for the comparison of applications against each other, these
dates shall be indicated in the solicitation;
(11) The types of projects or activities eligible for support;
(12) Evaluation criteria and the weight or relative importance of
each, which may include one or more of the following or other criteria,
as appropriate:
(i) Qualifications of the applicant's personnel who will be working
on the project;
(ii) Adequacy of the applicant's facilities and resources;
(iii) Cost-effectiveness of the project;
(iv) Adequacy of the project plan or methodology;
ort;
(12) Evaluation criteria and the weight or relative importance of
each, which may include one or more of the following or other criteria,
as appropriate:
(i) Qualifications of the applicant's personnel who will be working
on the project;
(ii) Adequacy of the applicant's facilities and resources;
(iii) Cost-effectiveness of the project;
(iv) Adequacy of the project plan or methodology;
(v) Management capability of the applicant;
(vi) Sources of financing available to the project. Any expectation
concerning cost sharing shall be clearly stated. While cost sharing is
generally encouraged, it shall not be considered in the evaluation
process and shall be considered only at the time the award is
negotiated, unless the cost sharing expectation is addressed in the
solicitation.
(vii) Relationship of the proposed project to the objectives of the
solicitation;
(13) A listing of program policy factors, if any, indicating the
relative importance of each, if appropriate. Examples of program policy
factors are:
(i) Geographic distribution;
(ii) Diverse types and sizes of applicant entities;
(iii) A diversity of methods, approaches, or kinds of work; and
(iv) Projects which are complementary to other DOE programs or
projects;
(14) References to or copies of:
(i) Statutory authority for the program;
(ii) Applicable rules, including the appropriate subparts of this
part;
(iii) Other terms and conditions applicable to awards to be made
under the solicitation, including allowable and unallowable costs and
reporting requirements;
(iv) Policies and procedures for patents, data, copyrights,
audiovisual productions and exhibits;
ences to or copies of:
(i) Statutory authority for the program;
(ii) Applicable rules, including the appropriate subparts of this
part;
(iii) Other terms and conditions applicable to awards to be made
under the solicitation, including allowable and unallowable costs and
reporting requirements;
(iv) Policies and procedures for patents, data, copyrights,
audiovisual productions and exhibits;
(v) Any required assurances not included in the application form;
(15) The deadline for submission of required or optional
preapplications;
(16) Date, time, and location of any briefing for applicants;
(17) Required presubmission reviews and clearances, including a
statement as to whether review under E.O. 12372, ``Intergovernmental
Review of Federal Programs'', is required.
(18) Dates by which selections and awards are expected to be made
and whether unsuccessful applications will be returned to the applicant
or be retained by DOE and for what period of time;
(19) A statement that DOE is under no obligation to pay for any
costs associated with preparation or submission of applications if an
award is not made. If an award is made, such costs may be allowable as
provided in the applicable cost principles (See Sections 600.127 and
600.222);
(20) A statement that DOE reserves the right to fund, in whole or
in part, any, all, or none of the applications submitted in response to
the solicitation; and
(21) Any other relevant information, including explanatory
information or factual basis for justifications required by this part.
Sec. 600.9 Notice of program interest.
(a) General. (1) DOE may publish periodic Notices of Program
Interest in the Federal Register and other media, as appropriate, which
describes broad, general, technical problems and areas of investigation
for which DOE may award grants or cooperative agreements.
(2) DOE shall evaluate any application submitted under a Notice of
Program Interest as an unsolicited application.
ogram interest.
(a) General. (1) DOE may publish periodic Notices of Program
Interest in the Federal Register and other media, as appropriate, which
describes broad, general, technical problems and areas of investigation
for which DOE may award grants or cooperative agreements.
(2) DOE shall evaluate any application submitted under a Notice of
Program Interest as an unsolicited application.
(b) Contents. The notice shall include the following:
(1) A brief description of the areas of interest for which DOE may
provide financial assistance.
(2) A statement about how resulting applications will be evaluated
and the criteria for selection and funding.
(3) An expiration date with an explanation that such a date does
not represent a common deadline for applications but rather that
applications may be submitted at any time before the notice expires.
(4) The location for application submission.
Sec. 600.10 Form and content of applications.
(a) General. Applications shall be required for all financial
assistance projects or programs.
(b) Forms. Applications shall be on the form or in the format and
in the number of copies specified by DOE. (See Sections 600.112 and
600.210)
(c) Contents of an application. In general, a financial assistance
application shall include:
(1) A facesheet containing basic identifying information. The
facesheet shall be the Standard Form (SF) 424;
(2) A detailed narrative description of the proposed project,
including the objectives of the project and the applicant's plan for
carrying it out;
(3) A budget with supporting justification
(4) Any required preaward assurances.
(d) Incomplete applications. DOE may return an application which is
not signed by an authorized official and does not include all
information and documentation required by statute, program rule, and
the solicitation, if the nature of the omission precludes review of the
application.
s plan for
carrying it out;
(3) A budget with supporting justification
(4) Any required preaward assurances.
(d) Incomplete applications. DOE may return an application which is
not signed by an authorized official and does not include all
information and documentation required by statute, program rule, and
the solicitation, if the nature of the omission precludes review of the
application.
(e) Supplemental information. During the review of a complete
application, DOE may request the submission of additional information
only if the information is essential to evaluate the application.
Sec. 600.11 Intergovernmental review.
Intergovernmental review of DOE financial assistance shall be
conducted in accordance with 10 CFR part 1005.
Sec. 600.12 Generally applicable requirements.
(a) Generally applicable requirements means Federal policies or
administrative requirements that apply to more than one DOE financial
assistance award, or a DOE financial assistance program and one or more
other Federal assistance programs. Generally applicable requirements
include, but are not limited to, the requirements of this part, Federal
statutes, the OMB Circulars and other Governmentwide guidance
implemented by this part, Executive Orders, and the requirements
identified in appendix A of this subpart.
(b) Except as expressly exempted by Federal statute or program
rule, recipients and subrecipients of DOE financial assistance shall
comply with all generally applicable requirements to which, by the
terms of such requirements, they are subject.
irculars and other Governmentwide guidance
implemented by this part, Executive Orders, and the requirements
identified in appendix A of this subpart.
(b) Except as expressly exempted by Federal statute or program
rule, recipients and subrecipients of DOE financial assistance shall
comply with all generally applicable requirements to which, by the
terms of such requirements, they are subject.
(c) Provisions shall be made to design and construct all buildings,
in which DOE funds are used, to meet appropriate seismic design and
construction standards. Seismic codes and standards meeting or
exceeding the provisions of each of the model codes listed in this
paragraph are considered to be appropriate for purposes of this part.
The model codes are as follows:
(1) 1991 Uniform Building Code, of the International Council of
Building Officials,
(2) 1992 Supplement to the National Building Code, of the Building
Official and Code Administrators International.
(3) 1992 Amendments to the Standard Building Code, of the Southern
Building Code Congress International.
These codes provide a level of seismic safety that is substantially
equivalent to
the National Earthquake Hazards Reduction Program (NEHRP) Recommended
Provisions for the Development of Seismic Regulations for New
Buildings, 1988 Edition (Federal Emergency Management Administration
222 and 223). Revisions of these model codes that are substantially
equivalent to or exceed the then current or immediately preceding
edition of the NEHRP Recommended Provisions (which are updated
triennially) shall be considered to be appropriate standards.
Sec. 600.13 Objective merit review.
of Seismic Regulations for New
Buildings, 1988 Edition (Federal Emergency Management Administration
222 and 223). Revisions of these model codes that are substantially
equivalent to or exceed the then current or immediately preceding
edition of the NEHRP Recommended Provisions (which are updated
triennially) shall be considered to be appropriate standards.
Sec. 600.13 Objective merit review.
(a) General. (1) It is the policy of DOE that any financial
assistance be awarded through a merit-based selection process.
Objective merit review means a thorough, consistent and independent
examination of applications based on pre-established criteria by
persons knowledgeable in the field of endeavor for which support is
requested.
(2) Each program office must establish an objective merit review
system covering the financial assistance programs it administers.
Objective merit review of financial assistance applications is intended
to be advisory and is not intended to replace the authority of the
program official with responsibility for deciding whether an award will
be made. It is expected that the cognizant project/program officer who
normally also reviews the proposals for technical/scientific merit,
will review it from a program policy perspective. The objective merit
review system must set forth the relationship between the reviewing
individuals, or the review committees or groups, and the official who
has the final decision-making authority. In defining this relationship,
the system must set out, as a minimum, the decision-making and
documentation processes to be followed by the authorized official
responsible for selection when an adverse recommendation has been
received through the objective merit review process.
wing
individuals, or the review committees or groups, and the official who
has the final decision-making authority. In defining this relationship,
the system must set out, as a minimum, the decision-making and
documentation processes to be followed by the authorized official
responsible for selection when an adverse recommendation has been
received through the objective merit review process.
(b) Each formal review system must contain the elements listed
below.
(1) Basic review standards. Each application may be assessed from a
policy/programmatic perspective prior to undergoing merit review. Those
that meet policy and programmatic considerations shall generally be
reviewed by at least three qualified persons in addition to the
official responsible for selection.
(ii) The reviewers of any particular application may be any mixture
of federal or non-federal experts, including individuals from within
the cognizant program office, except those involved in approving/
disapproving the application. The DOE shall select external (non-DOE
Federal or non-federal) reviewers on the basis of their professional
qualifications and expertise.
(c) Review summary. Upon request, applicants are to be provided
with a written summary of the evaluation of their application.
(d) Reviewers with interest in application being reviewed.
Reviewers must comply with the requirements for the avoidance of
conflict of interest established in Section 600.14.
or non-federal) reviewers on the basis of their professional
qualifications and expertise.
(c) Review summary. Upon request, applicants are to be provided
with a written summary of the evaluation of their application.
(d) Reviewers with interest in application being reviewed.
Reviewers must comply with the requirements for the avoidance of
conflict of interest established in Section 600.14.
(e) Outside reviewers. An outside reviewer shall be required to
sign a written statement agreeing to use the application information
only for review and to treat it in confidence except to the extent that
the information is available to the general public without restriction
as to its use from any source, including the applicant. Further, the
reviewer shall be required to agree to comply with any notice or
restriction placed on the application. Upon completion of the review
the reviewer shall return all copies of the application (or abstracts,
if any) to DOE; and unless authorized by DOE, the reviewer shall not
contact the applicant concerning any aspect of the application.
Sec. 600.14 Conflict of interest.
Any person who participates in the review of applications for DOE
financial assistance or in the administration of DOE financial
assistance shall comply with 1010.101(a) and 1010.302(a)(1) of the DOE
rules on the conduct of employees and special employees (consultants)
at 10 CFR part 1010. Current and former DOE employees who participate
in any aspect of the financial assistance process shall comply with all
applicable requirements of 10 CFR part 1010.
Sec. 600.15 Authorized uses of information.
ation of DOE financial
assistance shall comply with 1010.101(a) and 1010.302(a)(1) of the DOE
rules on the conduct of employees and special employees (consultants)
at 10 CFR part 1010. Current and former DOE employees who participate
in any aspect of the financial assistance process shall comply with all
applicable requirements of 10 CFR part 1010.
Sec. 600.15 Authorized uses of information.
(a) General. Information contained in applications shall be used
only for evaluation purposes unless such information is generally
available to the public or is already the property of the Government.
DOE employees may not disclose confidential information under the
provisions of 18 U.S.C. 1905 including trade secrets, technical data,
and or privileged or confidential commercial or financial information.
(b) Treatment of application information. (1) An application may
include technical data and other data, including trade secrets and/or
privileged or confidential commercial or financial information, which
the applicant does not want disclosed to the public or used by the
Government for any purpose other than application evaluation. To
protect such data, the applicant should specifically identify each page
including each line or paragraph thereof containing the data to be
protected and mark the cover sheet of the application with the
following Notice as well as referring to the Notice on each page to
which the Notice applies.
Notice of Restriction on Disclosure and Use of Data
urpose of evaluating the proposal. The data so
marked shall not be disclosed or used for any other purpose except to
the extent provided in any resulting award, or to the extent required
by law, including the Freedom of Information Act (5 U.S.C. 552) (10 CFR
part 1004). The Government shall not be liable for disclosure or use of
unmarked data and may use or disclose such data for any purpose.
(4) The Government shall obtain unlimited rights in the technical
data contained in any application which results in an award except
those portions of the technical data which the applicant asserts and
properly marks as proprietary data, or which are not directly related
to or will not be utilized in the project and are deleted from the
application with the concurrence of DOE.
(5) The clause at 48 CFR 52.227-23, which applies only to technical
data and not to other data such as privileged or confidential
commercial or financial information shall apply to every award.
Sec. 600.16 Legal authority and effect of an award.
(a) A DOE financial assistance award is valid only if it is in
writing and is signed by a DOE Contracting Officer.
(b) DOE funds awarded under a grant or cooperative agreement shall
be
obligated as of the date the DOE Contracting Officer signs the award;
however, the recipient is not authorized to incur costs under an award
prior to the beginning date of the budget period shown in the award
except as may be authorized in accordance with Sections 600.125(e) or
600.230 of this part. The duration of the DOE financial obligation
shall not extend beyond the expiration date of the budget period shown
in the award unless authorized by a DOE Contracting Officer by means of
a continuation or renewal award or other extension of the budget
period.
Sec. 600.17 Contents of award.
the award
except as may be authorized in accordance with Sections 600.125(e) or
600.230 of this part. The duration of the DOE financial obligation
shall not extend beyond the expiration date of the budget period shown
in the award unless authorized by a DOE Contracting Officer by means of
a continuation or renewal award or other extension of the budget
period.
Sec. 600.17 Contents of award.
Each financial assistance award shall be made on a Notice of
Financial Assistance Award (DOE F 4600.1) which contains basic
identifying and funding information together with attachments including
a budget, any special terms and conditions, and any other provisions
necessary to establish the respective right, duties, obligation, and
responsibilities of DOE and the recipient, consistent with the
requirements of this part.
Sec. 600.18 Recipient acknowledgement of award.
(a) After signature by the DOE Contracting Officer, the award shall
be sent to the applicant. The applicant shall be required to return a
signed copy of the award acknowledging acceptance. No DOE funds shall
be disbursed until the award document signed by the recipient is
received by DOE.
(b) In the event an applicant declines an award or fails to
acknowledge acceptance of an award, DOE shall deobligate the funds
obligated by the award after providing the applicant with at least two
weeks written notice of DOE's intention to deobligate.
y of the award acknowledging acceptance. No DOE funds shall
be disbursed until the award document signed by the recipient is
received by DOE.
(b) In the event an applicant declines an award or fails to
acknowledge acceptance of an award, DOE shall deobligate the funds
obligated by the award after providing the applicant with at least two
weeks written notice of DOE's intention to deobligate.
(c) After the recipient acknowledges the award, the terms and
conditions of the award may be amended only upon the written request or
with the written concurrence of the recipient unless the amendment is
one which DOE may make unilaterally in accordance with a program rule
or this part.
Sec. 600.19 Notification to unsuccessful applicants.
DOE shall promptly notify in writing each applicant whose
application has not been selected for award or whose application cannot
be funded because of the unavailability of appropriated funds. If the
application was not selected, the written notice shall briefly explain
why the application was not selected and, if for grounds other than
unavailability of funds, shall offer the unsuccessful applicant the
opportunity for a more detailed explanation upon request.
Sec. 600.20 Maximum DOE obligation.
The maximum DOE obligation to the recipient is--
(a) For monetary awards, the amount shown in the award as the
amount of DOE funds obligated, and
(b) Any designated property.
(c) DOE shall not be obligated to make any additional,
supplemental, continuation, renewal, or other award for the same or any
other purpose.
Sec. 600.21 Access to records.
quest.
Sec. 600.20 Maximum DOE obligation.
The maximum DOE obligation to the recipient is--
(a) For monetary awards, the amount shown in the award as the
amount of DOE funds obligated, and
(b) Any designated property.
(c) DOE shall not be obligated to make any additional,
supplemental, continuation, renewal, or other award for the same or any
other purpose.
Sec. 600.21 Access to records.
(a) In addition to recipient and subrecipient responsibilities
relative to access to records specified in Sections 600.153 and
600.242, for any negotiated contract or subcontract in excess of
$10,000 under a grant or cooperative agreement, DOE, the Comptroller
General of the United States, the recipient and the subrecipient (if
the contract was awarded under a financial assistance subaward), or any
of their authorized representatives shall have the right of access to
any books, documents, papers, or other records of the contractor or
subcontractor which are pertinent to that contract or subcontract, in
order to make audit, examination, excerpts, and copies.
(b) The right of access may be exercised for as long as the
applicable records are retained by the recipient, subrecipient,
contractor, or subcontractor.
Sec. 600.22 Disputes and appeals.
(a) Informal dispute resolution. Whenever practicable, DOE shall
attempt to resolve informally any dispute over the award or
administration of financial assistance. Informal resolution, including
resolution through an alternative dispute resolution mechanism, shall
be preferred over formal procedures available 10 CFR Part 1024, to the
extent practicable.
.
Sec. 600.22 Disputes and appeals.
(a) Informal dispute resolution. Whenever practicable, DOE shall
attempt to resolve informally any dispute over the award or
administration of financial assistance. Informal resolution, including
resolution through an alternative dispute resolution mechanism, shall
be preferred over formal procedures available 10 CFR Part 1024, to the
extent practicable.
(b) Alternative dispute resolution (ADR). Before issuing a final
disposition in any dispute in which informal resolution has not been
achieved, the Contracting Officer shall suggest that the other party
consider the use of voluntary consensual methods of dispute resolution,
such as mediation. The DOE dispute resolution specialist is available
to provide assistance for such disputes, as are trained mediators of
other federal agencies. ADR may be used at any stage of a dispute.
(c) Final determination. Whenever a dispute is not resolved
informally or through an alternative dispute resolution process, DOE
shall mail (by certified mail) a brief written determination signed by
a Contracting Officer, setting forth DOE's final disposition of such
dispute. Such determination shall contain the following information:
(1) A summary of the dispute, including a statement of the issues
and of the positions taken by the Department and the party or parties
to the dispute; and
(2) The factual, legal and policy reasons for DOE's disposition of
the dispute.
rmination signed by
a Contracting Officer, setting forth DOE's final disposition of such
dispute. Such determination shall contain the following information:
(1) A summary of the dispute, including a statement of the issues
and of the positions taken by the Department and the party or parties
to the dispute; and
(2) The factual, legal and policy reasons for DOE's disposition of
the dispute.
(d) Right of appeal. (1) Except as provided in paragraph (f)(1) of
this section, the final determination under paragraph (c) of this
section may be appealed to the Financial Assistance Appeals Board (the
Board) in accordance with the procedures set forth in 10 CFR part 1024.
(2) If the final determination under paragraph (c) of this section
involves a dispute over which the Board has jurisdiction as provided in
paragraph (f)(2) of this section, the Contracting Officer's
determination shall state that, with respect to such dispute, the
determination shall be the final decision of the Department unless,
within 60 days, a written notice of appeal is filed.
(3) If the final determination under paragraph (c) of this section
involves a dispute over which the Board has no jurisdiction as provided
in paragraph (f)(1) of this section, the Contracting Officer's
determination shall state that, effective immediately or on a later
date specified therein, the determination shall, with respect to such
dispute, be the final decision of the Department.
(e) Effect of appeal. The filing of an appeal with the Board shall
not stay any determination or action taken by DOE which is the subject
of the appeal. Consistent with its obligation to protect the interests
of the Federal Government, DOE may take such authorized actions as may
be necessary to preserve the status quo pending decision by the Board,
or to preserve its ability to provide relief in the event the Board
decides in favor of the appellant.
(f) Review on appeal. (1) The Board shall have no jurisdiction to
review:
ect
of the appeal. Consistent with its obligation to protect the interests
of the Federal Government, DOE may take such authorized actions as may
be necessary to preserve the status quo pending decision by the Board,
or to preserve its ability to provide relief in the event the Board
decides in favor of the appellant.
(f) Review on appeal. (1) The Board shall have no jurisdiction to
review:
(i) Any preaward dispute (except as provided in paragraph
(f)(2)(ii) of this section), including use of any special restrictive
condition pursuant to Sections 600.114 or 600.212;
(ii) DOE denial of a request for a deviation under Sections 600.4,
600.103, or 600.205 of this part;
(iii) DOE denial of a request for a budget revision or other change
in the approved project under Sections 600.125, 600.127, 600.222, or
600.230 of this part or under another term or condition of the award;
(iv) Any DOE action authorized under Sections 600.162(a) (1), (2),
(3) or (5); or
Sections 600.243 (a)(1), (a)(3) for suspensions only; or Sections
600.162 (a)(4) or Section 600.243(a)(4) for actions disapproving
renewal applications or other requests for extension of time or
additional funding for the same project when related to recipient
noncompliance, or such actions authorized by program rule;
(v) Any DOE decision about an action requiring prior DOE approval
under Section 600.144, or Section 600.236 of this part or under another
term or condition of the award;
(vi) A DOE decision not to make a continuation award, which
decision is based on the insufficiency of available appropriations;
(vii) Any matter which is under the jurisdiction of the Patent
Compensation Board (10 CFR 780.3);
(viii) Any matter which may be heard by the Invention Licensing
Appeals Board (10 CFR 781.65 and 781.66); or
(ix) Any other dispute not described in paragraph (f)(2) of this
section.
sion not to make a continuation award, which
decision is based on the insufficiency of available appropriations;
(vii) Any matter which is under the jurisdiction of the Patent
Compensation Board (10 CFR 780.3);
(viii) Any matter which may be heard by the Invention Licensing
Appeals Board (10 CFR 781.65 and 781.66); or
(ix) Any other dispute not described in paragraph (f)(2) of this
section.
(2) In addition to any right of appeal established by program rule,
or by the terms and conditions (not inconsistent with paragraph (f)(1)
of this section) of an award, the Board shall have jurisdiction to
review:
(i) A DOE determination that the recipient has failed to comply
with the applicable requirements of this part, the program statute or
rules, or other terms and conditions of the award;
(ii) A DOE decision not to make a continuation award based on any
of the determinations described in paragraph (f)(2)(i) of this section;
(iii) Termination of an award for cause, in whole or in part, by
DOE;
(iv) A DOE determination that an award is void or invalid;
(v) The application by DOE of an indirect cost rate; and
(vi) DOE disallowance of costs.
(3) In reviewing disputes authorized under paragraph (f)(2) of this
section, the Board shall be bound by the applicable law, statutes, and
rules, including the requirements of this part, and by the terms and
conditions of the award.
(4) The decision of the Board shall be the final decision of the
Department.
Sec. 600.23 Debarment and suspension.
Applicants, recipients, subrecipients, and contractors under
financial assistance awards may be debarred and suspended for the
causes and in accordance with the procedures set forth in 10 CFR part
1036.
Sec. 600.24 Noncompliance.
and by the terms and
conditions of the award.
(4) The decision of the Board shall be the final decision of the
Department.
Sec. 600.23 Debarment and suspension.
Applicants, recipients, subrecipients, and contractors under
financial assistance awards may be debarred and suspended for the
causes and in accordance with the procedures set forth in 10 CFR part
1036.
Sec. 600.24 Noncompliance.
(a) Except for noncompliance determinations under 10 CFR part 1040,
whenever DOE determines that a recipient has not complied with the
applicable requirements of this part, with the requirements of any
applicable program statute or rule, or with any other term or condition
of the award, a DOE Contracting Officer shall provide to the recipient
(by certified mail, return receipt requested) a written notice setting
forth:
(1) The factual and legal bases for the determination of
noncompliance;
(2) The corrective actions and the date (not less than 30 days
after the date of the notice) by which they must be taken.
(3) Which of the actions authorized under Section 600.122(n),
Section 600.162(a) or Section 600.243(a) of this part DOE may take if
the recipient does not achieve compliance within the time specified in
the notice, or does not provide satisfactory assurances that actions
have been initiated which will achieve compliance in a timely manner.
(b) DOE may take any of the actions set forth in Section
600.121(n,), Section 600.162(a), or Section 600.243(a) of this part
concurrent with the written notice required under paragraph (a) of this
section or with less than 30 days written notice to the recipient
whenever:
(1) There is evidence the award was obtained by fraud;
(2) The recipient ceases to exist or becomes legally incapable of
performing its responsibilities under the financial assistance award;
or
(3) There is a serious mismanagement or misuse of financial
assistance award funds necessitating immediate action.
Sec. 600.25 Suspension and termination.
s written notice to the recipient
whenever:
(1) There is evidence the award was obtained by fraud;
(2) The recipient ceases to exist or becomes legally incapable of
performing its responsibilities under the financial assistance award;
or
(3) There is a serious mismanagement or misuse of financial
assistance award funds necessitating immediate action.
Sec. 600.25 Suspension and termination.
(a) Suspension and termination for cause. DOE may suspend or
terminate an award for cause on the basis of--
(1) a noncompliance determination under Section 600.24, Section
600.122(n), Section 600.162(a), or Section 600.243(a);
(2) an immediate debarment or debarment of the awardee under
Section 600.23.
(b) Notification requirements. Except as provided in Section
600.24, Section 600.162(a), or Section 600.243(a) before suspending or
terminating a award for cause, DOE shall mail to the awardee (by
certified mail, return receipt requested) a separate written notice in
addition to that required by Section 600.24(a), Section 600.162(a), or
Section 600.243(a) at least ten days prior to the effective date of the
suspension or termination. Such notice shall include, as appropriate--
(1) The factual and legal bases for the suspension or termination;
(2) The effective date or dates of the DOE action;
(3) If the action does not apply to the entire award, a description
of the activities affected by the action;
(4) Instructions concerning which costs shall be allowable during
the period of suspension, or instructions concerning allowable
termination costs, including in either case, instructions concerning
any subgrants or contracts;
(5) Instructions concerning required final reports and other
closeout actions for terminated awards (see Sections 600.170 through
600.173 and Sections 600.250 through 600.252);
(6) A statement of the awardee's right to appeal a termination for
cause pursuant to Section 600.22; and
(7) The dated signature of a DOE Contracting Officer.
case, instructions concerning
any subgrants or contracts;
(5) Instructions concerning required final reports and other
closeout actions for terminated awards (see Sections 600.170 through
600.173 and Sections 600.250 through 600.252);
(6) A statement of the awardee's right to appeal a termination for
cause pursuant to Section 600.22; and
(7) The dated signature of a DOE Contracting Officer.
(c) Suspension. (1) Unless DOE and the awardee agree otherwise, no
period of suspension shall exceed 90 days.
(2) DOE may cancel the suspension at any time, up to and including
the date of expiration of the period of suspension, if the awardee
takes satisfactory corrective action before the expiration date of the
suspension or gives DOE satisfactory evidence that such corrective
action will be taken.
(3) If the suspension has not been cancelled by the expiration date
of the period of suspension, the awardee shall resume the suspended
activities or project unless, prior to the expiration date, DOE
notifies the awardee in writing that the period of suspension shall be
extended consistent with paragraph (c)(1) of this section or that the
award shall be terminated.
(4) As of the effective date of the suspension, DOE shall withhold
further payments and shall allow new obligations incurred by the
awardee during the period of suspension only if such costs were
authorized in the notice of suspension or in a subsequent letter.
(5) If the suspension is cancelled or expires and the award is not
terminated, DOE shall reimburse the awardee for any authorized
allowable costs incurred during the suspension and, if necessary, may
amend the award to extend the period of performance.
rred by the
awardee during the period of suspension only if such costs were
authorized in the notice of suspension or in a subsequent letter.
(5) If the suspension is cancelled or expires and the award is not
terminated, DOE shall reimburse the awardee for any authorized
allowable costs incurred during the suspension and, if necessary, may
amend the award to extend the period of performance.
(d) Termination by mutual agreement. In addition to any situation
where a termination for cause pursuant to Section 600.24, Sections
600.160 through 600.162 or Sections 600.243 through 600.244 is
appropriate, either DOE or the awardee may initiate a termination of a
award (or portion thereof) as described in this paragraph. If the
awardee initiates a termination, the awardee must notify DOE in writing
and specify the awardee's reasons for requesting the termination, the
proposed effective date of the termination, and, in the case of a
partial
termination, a description of the activities to be terminated, and an
appropriate budget revision. DOE shall terminate a award or portion
thereof under this paragraph only if both parties agree to the
termination and the conditions under which it shall occur. If DOE
determines that the remaining activities under a partially terminated
award would not accomplish the purpose for which the award was
originally awarded, DOE may terminate the entire award.
(e) Effect of termination. The awardee shall incur no new
obligations after the effective date of the termination of a award (or
portion thereof), and shall cancel as many outstanding obligations as
possible. DOE shall allow full credit to the awardee for the DOE share
of noncancellable obligations properly incurred by the awardee prior to
the effective date of the termination.
entire award.
(e) Effect of termination. The awardee shall incur no new
obligations after the effective date of the termination of a award (or
portion thereof), and shall cancel as many outstanding obligations as
possible. DOE shall allow full credit to the awardee for the DOE share
of noncancellable obligations properly incurred by the awardee prior to
the effective date of the termination.
(f) Subgrants. Awardees shall follow the policies and procedures in
this section and in Section 600.24, Sections 600.160 through 600.162 or
Sections 600.243 through 600.244 for suspending and terminating
subgrants.
Sec. 600.26 Funding.
(a) General. The project period during which DOE expects to provide
award support for an approved project shall be specified on the Notice
of Financial Assistance Award (DOE Form 4600.1).
(b) Budget period and continuation awards. If the project period is
12 months or less, the budget period and the project period shall be
coextensive. Except as provided in paragraph (e) of this section,
multiyear awards, including formula awards, shall be funded annually
within the approved project period. Funding for each budget period
within the project period shall be contingent on DOE approval of a
continuation application submitted in accordance with a schedule
specified by DOE. A continuation application shall include--
(1) A statement of technical progress or status of the project to
date.
(2) A detailed description of the awardee's plans for the conduct
of the project during the coming year; and
each budget period
within the project period shall be contingent on DOE approval of a
continuation application submitted in accordance with a schedule
specified by DOE. A continuation application shall include--
(1) A statement of technical progress or status of the project to
date.
(2) A detailed description of the awardee's plans for the conduct
of the project during the coming year; and
(3) A detailed budget for the upcoming budget period, including an
estimate of unobligated balances. A detailed budget need not be
submitted if the new or renewal application contained future-year
budgets sufficiently detailed to allow DOE to review and approve the
categories and elements of cost. Should the award have a change in
scope or significant change in the budget, DOE may request a detailed
budget. DOE shall review a continuation application for the adequacy of
the awardee's progress and planned conduct of the project in the
subsequent budget period. DOE shall not require a continuation
application to compete against any other application. The amount and
award of continuation funding is subject to the availability of
appropriations.
(c) Renewal awards. Discretionary renewal awards may be made either
on the basis of a solicitation or on a noncompetitive basis. If DOE
proposes to restrict eligibility for a discretionary renewal award to
the incumbent grantee, the noncompetitive award must be justified in
accordance with 600.6(b)(2). Renewal applications must be submitted no
later than 6 months prior to the scheduled expiration of the project
period unless a program rule or other published instruction establishes
a different application deadline.
s. If DOE
proposes to restrict eligibility for a discretionary renewal award to
the incumbent grantee, the noncompetitive award must be justified in
accordance with 600.6(b)(2). Renewal applications must be submitted no
later than 6 months prior to the scheduled expiration of the project
period unless a program rule or other published instruction establishes
a different application deadline.
(d) Extensions. Unless otherwise specified in the award terms and
conditions, recipients of financial assistance awards, except
recipients of SBIR awards (See Section 600.181), may extend the
expiration date of the final budget period of the project (thereby
extending the project period) if additional time beyond the established
expiration date is needed to assure adequate completion of the original
scope of work within the funds already made available. A single
extension, which shall not exceed twelve (12) months, may be made for
this purpose, and must be made prior to the originally established
expiration date. The recipient must notify the cognizant DOE
Contracting Officer in the awarding office in writing within ten (10)
days of making the extension.
Sec. 600.27 Patent and data provisions.
(a) General. Financial assistance shall be awarded and administered
by DOE in compliance with the patent and data provisions of this
section. (See also Sections 600.136 and 600.234.) To the extent not
otherwise provided in this part, the policies, procedures and clauses
referenced for contracts in 48 CFR part 927 and 41 CFR part 9-9 shall
normally be applicable to the award and administration of Departmental
grants and cooperative agreements. Copies of 41 CFR part 9-9 are
available by contacting the DOE Patent Counsel.
is
section. (See also Sections 600.136 and 600.234.) To the extent not
otherwise provided in this part, the policies, procedures and clauses
referenced for contracts in 48 CFR part 927 and 41 CFR part 9-9 shall
normally be applicable to the award and administration of Departmental
grants and cooperative agreements. Copies of 41 CFR part 9-9 are
available by contacting the DOE Patent Counsel.
(b) Required clauses. In all solicitations and awards both for the
support of research, development, and demonstration and for other
efforts, the DOE Contracting Officer shall consult the DOE Patent
Counsel for applicable patent and data clauses from those listed below
and/or for modifications thereto. In reading each 48 CFR part 27 and 48
CFR part 952 patent and data clause selected for inclusion in a
solicitation or award, the term ``contract'' when referring to a prime
contract shall be read as ``award.'' The term ``contractor'' shall be
read as referring to the ``awardee.'' The term ``subcontract'' shall be
read as ``subaward or a procurement contract under an award or subaward
and/or a procurement subcontract under an awardee's or subawardee's
contract.'' The term ``Acquisition'' with respect to the Long Form
Patent Rights Clause shall be read as ``Retention.'' The terms
``offerors'' and ``quoters'' shall be read as ``applicants,'' and
``proposal'' and ``quotation'' shall be read as ``application.''
(1) Patent clauses.
ocurement contract under an award or subaward
and/or a procurement subcontract under an awardee's or subawardee's
contract.'' The term ``Acquisition'' with respect to the Long Form
Patent Rights Clause shall be read as ``Retention.'' The terms
``offerors'' and ``quoters'' shall be read as ``applicants,'' and
``proposal'' and ``quotation'' shall be read as ``application.''
(1) Patent clauses.
(i) (Short Form Patent Clause). Incorporate the clause at 48 CFR
952.227-11 for awards to a domestic small business firm or nonprofit
organization as defined at 48 CFR 27.301. In accordance with 35 USC
202(a)(ii), the DOE may issue an exceptional circumstances
determination. To implement any exceptional circumstances
determination, DOE will modify 48 CFR 952.227-11 to retain greater
rights in subject inventions. Such modifications will be only to the
extent necessary to implement the exceptional circumstances
determination.
(ii) (Long Form Patent Clause). For awards to a large business firm
or other organization, other than a domestic small business firm or
nonprofit organization as set forth in 48 CFR 27.301, incorporate the
clause at 48 CFR 952.227-13.
(iii) The notice of Right to Request Patent Waiver at 48 CFR
952.227-84 shall also be inserted in all solicitations to advise
applicants of their rights to request in advance of, or within 30 days
after the award is signed, a waiver of all or any part of the rights of
the United States with respect to subject inventions. For unsolicited
applications, DOE shall provide this notice to the applicant prior to
award.
(2) Data Clauses (includes copyright provisions)
4 shall also be inserted in all solicitations to advise
applicants of their rights to request in advance of, or within 30 days
after the award is signed, a waiver of all or any part of the rights of
the United States with respect to subject inventions. For unsolicited
applications, DOE shall provide this notice to the applicant prior to
award.
(2) Data Clauses (includes copyright provisions)
(i) Rights in Data--General. (A) Incorporate 48 CFR 52.227-14 with
Alternates I and V. Solicitations shall also include the Representation
of Limited Rights Data and Restricted Computer Software clause at 48
CFR 52.227-15.
(B) In awards for grants and cooperative agreements with
institutions of higher education, hospitals, and other non-profit
organizations, the following paragraph (c) will be used in lieu of the
provisions in 48 CFR 52.227-14(c):
(c) Copyright. (1) Data first produced in the performance of the
award. Except as otherwise specifically provided in this award, the
recipient may establish claim to copyright subsisting in any data
first produced in the performance of this award. When claim to
copyright is made, the Recipient shall affix the applicable
copyright notice of 17 U.S.C. 401 or 402 and acknowledgement of
Government sponsorship (including award number) to the data when
such data are delivered to the Government, as well as when the data
are published or deposited for registration as a published work in
the U.S. Copyright Office. The recipient grants to the Government a
royalty-free, nonexclusive and irrevocable right to reproduce,
publish, or otherwise use the work for Federal purposes, and to
authorize others to do so. The right to publish includes the right
to publicly distribute. The right to use the work for Federal
purposes includes the right to prepare derivative works.
ished work in
the U.S. Copyright Office. The recipient grants to the Government a
royalty-free, nonexclusive and irrevocable right to reproduce,
publish, or otherwise use the work for Federal purposes, and to
authorize others to do so. The right to publish includes the right
to publicly distribute. The right to use the work for Federal
purposes includes the right to prepare derivative works.
(C) For grants and cooperative agreements with commercial
organizations, foreign governments, organizations under the
jurisdiction of foreign governments, and international organizations,
the provisions the following paragraph (d)(3) shall be used in addition
to the provisions in 48 CFR 52.227-14:
(d)(3) The Recipient agrees not to establish claim to copyright
in computer software first produced in the performance of this award
without prior written permission of the Contracting Officer. When
such permission is granted, the Contracting Officer shall specify
appropriate terms to assure dissemination of the software. The
recipient shall promptly deliver to the Contracting Officer or to
the DOE Patent Counsel designated by the Contracting Officer a duly
executed and approved instrument fully confirmatory of all rights to
which the Government is entitled, and other terms pertaining to the
computer software to which claim to copyright is made.
(D) If programmatic needs on a particular award require the
delivery to the Government of limited rights data or restricted
computer software, Alternates II or III of 48 CFR 52.227-14 shall also
be added.
(ii) Restriction on Disclosure and Use of Data. Insert the Notice
at 600.15(b)(1) in all solicitations.
(iii) Rights to Application Data. As discussed at 600.15(b)(5),
incorporate 48 CFR 52.227-23.
ogrammatic needs on a particular award require the
delivery to the Government of limited rights data or restricted
computer software, Alternates II or III of 48 CFR 52.227-14 shall also
be added.
(ii) Restriction on Disclosure and Use of Data. Insert the Notice
at 600.15(b)(1) in all solicitations.
(iii) Rights to Application Data. As discussed at 600.15(b)(5),
incorporate 48 CFR 52.227-23.
(iv) Additional data requirements. Incorporate 48 CFR 52.227-16. In
the event all technical data requirements are known in advance of and
are set forth in the agreement or, the award is for the performance of
basic or applied research and is to be performed solely by a university
or college as discussed in 48 CFR 27.406(b), 48 CFR 52.227-16 does not
need to be incorporated.
(3) Authorization and consent. Incorporate 48 CFR 52.227-1 or
Alternates I or II, as appropriate, in accordance with the guidance in
48 CFR 927.201-1 and 48 CFR 27.201.
(4) Patent indemnity. Incorporate the clause set forth in 48 CFR
52.227-3, as appropriate, in accordance with the guidance in 48 CFR
27.203-1 and 48 CFR 27.203-3.
(5) Filing of Patent Applications-Classified Subject Matter.
Incorporate the following paragraph in any solicitation or award which
covers, or is likely to cover, classified subject matter:
Classified Inventions
(a) The recipient shall not file or cause to be filed on any
invention or discovery conceived or first actually reduced to
practice in the course of or under this award in any country other
than the United States, an application or registration for a patent
without first obtaining written approval of the Contracting Officer.
likely to cover, classified subject matter:
Classified Inventions
(a) The recipient shall not file or cause to be filed on any
invention or discovery conceived or first actually reduced to
practice in the course of or under this award in any country other
than the United States, an application or registration for a patent
without first obtaining written approval of the Contracting Officer.
(b) When filing a patent application in the United States on any
invention or discovery conceived of or first actually reduced to
practice in the course of or under this award, the subject matter of
which is classified for reasons of security, the awardee shall
observe all applicable security regulations covering the
transmission of classified subject matter. When transmitting the
patent application to the United States Patent and Trademark Office,
the awardee shall, by separate letter, identify by agency and
agreement number the award(s) which require security classification
markings to be placed on the application.
(6) Notice and Assistance Regarding Patent and Copyright
Infringement. Incorporate the clause at 48 CFR 52.227-2, in accordance
with the guidance in 48 CFR 27.202, in all awards in excess of $100,000
for construction, research, development, and demonstration work which
is to be performed within the United States, its possessions, or Puerto
Rico.
(7) Royalty Information. Incorporate 10 CFR 52.227-6.
(8) Refund of Royalties. As discussed in 48 CFR 927.206,
incorporate the clause at 48 CFR 952.227-9 in solicitations and awards
where the Contracting Officer believes royalties will have to be paid
by the awardees or subawardee or contractor at any tier.
which
is to be performed within the United States, its possessions, or Puerto
Rico.
(7) Royalty Information. Incorporate 10 CFR 52.227-6.
(8) Refund of Royalties. As discussed in 48 CFR 927.206,
incorporate the clause at 48 CFR 952.227-9 in solicitations and awards
where the Contracting Officer believes royalties will have to be paid
by the awardees or subawardee or contractor at any tier.
(9) Subawards and contracts under award. The recipient shall
include the applicable clauses of this section in any subaward or
contract awarded under the award and assure that the applicable clauses
are also included by subrecipients in contracts.
Sec. 600.28 New restrictions on lobbying.
Procedures regarding restrictions on lobbying activities of
applicants and recipients are contained in 10 CFR 601.110.
Sec. 600.29 Fixed obligation awards.
(a) General. This section contains provisions applicable to the
award of financial assistance instruments on a fixed amount basis.
Under a fixed obligation award, funds are issued in support of a
project without a requirement for Federal monitoring or actual costs
subsequently incurred.
(b) Provisions applicable to fixed obligation awards. Financial
assistance awards may be made on a fixed obligation basis subject to
the following requirements:
(1) Each fixed obligation award may not exceed $100,000 or exceed
one year in length.
(2) Programs which require mandatory cost sharing are not eligible.
(3) Proposed costs must be analyzed in detail to ensure consistency
with applicable cost principles;
(4) Although budgets are submitted by an applicant and reviewed for
purposes of establishing the amount to be awarded, budget categories
are not stipulated in making an award;
(5) Payments will be made in the same manner as other financial
assistance awards, except that when determined appropriated by the
cognizant program official and contracting officer a lump sum payment
may be made;
es;
(4) Although budgets are submitted by an applicant and reviewed for
purposes of establishing the amount to be awarded, budget categories
are not stipulated in making an award;
(5) Payments will be made in the same manner as other financial
assistance awards, except that when determined appropriated by the
cognizant program official and contracting officer a lump sum payment
may be made;
(6) Recipients must certify in writing to the contracting officer
at the end of the project that the activity was completed or the level
of effort was expended, however should the activity or effort not be
carried out, the recipient would be expected to make appropriate
reimbursements;
(7) Requirements for periodic reports may be established for each
award so long as they are not more frequently than quarterly;
(8) Changes in principal investigator or project leader, scope of
effort, or institution, require the prior approval of the Department.
Sec. 600.30 Cost sharing.
In addition to the requirements of Section 600.123 or Section
600.224, the following requirements apply to research, development, and
demonstration projects:
(a) When DOE awards financial assistance for research, development,
and demonstration projects where the primary purpose of the project is
the ultimate commercialization and utilization of technology by the
private sector and when there are reasonable expectations that the
participant will receive significant present or future economic
benefits beyond the instant award as a result of the performance of the
project, cost sharing shall be
required unless waived by the cognizant Program Assistant Secretary or
designee.
(b) Except as provided in statute such as the Energy Policy Act, 42
U.S.C. 13525, DOE will decide, on a case-by-case basis, the amount of
cost sharing required for a particular project.
ent or future economic
benefits beyond the instant award as a result of the performance of the
project, cost sharing shall be
required unless waived by the cognizant Program Assistant Secretary or
designee.
(b) Except as provided in statute such as the Energy Policy Act, 42
U.S.C. 13525, DOE will decide, on a case-by-case basis, the amount of
cost sharing required for a particular project.
(c) Factors in addition to those specified in Section 600.123 or
Section 600.224, which may be considered when negotiating cost sharing
for research, development, and demonstration projects include the
potential benefits to a participant resulting from the project and the
length of time before a project is likely to be commercially
successful.
[FR Doc. 95-19149 Filed 8-7-95; 8:45 am]
BILLING CODE 6450-01-P
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.