APPENDIX C-Statement of COSTContinued

8. Accumulated Government ceiling in Article III......
9. The difference between lines 7 and 8..
10. Provide information regarding contributions by
the Contractor of items in Article A-ll(b) of
Appendix A during pertinent period. State the
extent of the Contractor's actual contribution,
the measure of such contributions should be in
the same terms as the Contractor's commit-
ment under Article A-ll(b), e.g., time, dollar, etc...
11. Actual outstanding commitments for property
at the end of the period covered by this state-
ment

I hereby certify that this report is true and correct to the best of my knowledge and belief and that the costs listed herein were incurred in connection with the performance of the research provided for under this contract and in accordance with the terms and conditions set forth therein

917.7200 Scope of subpart.

(a) This subpart establishes procedures for the submission, evaluation, and selection for award or support of proposals offered in response to program opportunity notices (PONs) issued by DOE to accelerate the demonstration of the technical feasibility and commercial application of all potentially beneficial non-nuclear energy sources and utilization technologies.

(b) As a result of a PON, a contract, grant or cooperative agreement may be entered into. If the intended relationship is expected to be a contract this regulation shall be followed. If the intended relationship is expected to be a financial assistance instrument the DOE Assistance Regulations (DOE-AR) shall be followed. Specifically, DOE-AR 600.233 (10 CFR Part 600.233) will apply if the intended relationship is expected to be a cooperative agreement. In any event, any public notice, solicitation, or request for applications or proposals should indicate whether the intended relationship will be one of acquisition or

assistance and state that acquisition regulation will govern if an acquisition contract is entered into and that the assistance regulation will govern if a financial assistance instrument is utilized.

(c) This subpart applies to demonstrations performed by individuals, educational institutions, other commercial or industrial organizations, or other private entities, or by public entities, including State and local governments, but not other Federal agencies. For purposes of this subpart, commercial demonstration projects include demonstrating technological advances and field demonstrations of new methods and procedures, and demonstration of prototype commercial applications for the exploration, development, production, transportation, conversion, and utilization of non-nuclear energy resources.

917.7201 Policy.

917.7201-1 General.

(a) It is DOE's intent to encourage the submission of proposals to accelerate the demonstration of the technical, operational, economic, and commercial feasibility and environmental acceptability of particular energy technologies, systems, subsystems, and components. Program opportunity notices will be used to provide information concerning scientific and technological areas encompassed by DOE's programs. DOE shall, from time to time, issue program opportunity notices for proposals for demonstrations of various forms of non-nuclear energy and technology utilization.

(b) Synopsis of the notice shall be published in the Commerce Business Daily prior to release. In addition, the notice shall be circulated directly to potentially interested individuals, private and public entities (excluding Federal agencies) and associations thereof to the maximum extent feasible. Special attention in this regard should be given to small business concerns, small disadvantaged concerns, and women-owned small business concerns to insure that they are given every opportunity to participate in such acquisitions. Consideration should be given to distributing the

notice to all eligible entities which, during the preceding two years, have expressed an interest in participating in, or entering into arrangements for, commercial demonstration in the particular energy field.

917.7201-2 Determination to use and approval of content.

(a) Determination to use. (1) Before the PON is selected as the appropriate solicitation procedure the Head of the Contracting Activity expected to issue the notice will be consulted to assure that the PON is the appropriate solicitation method. A written program determination shall be made to show that the conditions in 917.7201-3 exist to support the conclusion that the use of the PON procedure is both necessary and appropriate. The determination must not be merely conclusive but shall be supported by specific facts and explanations.

(2) The Senior Program Official or designee may approve the determination.

(3) The approved determination shall be included in the PON file.

(b) Approval of content. (1) When the dollar amounts are less than Source Evaluation Board (SEB) level, a PON may be originated at whatever level is consistent with the program objectives established by the Senior Program Official. When a source evaluation board is not required, notices may be approved by the Senior Program Official or designee after prior concurrence by Counsel.

(2) When an SEB is required, notices shall be reviewed and approved by the SEB after prior concurrence by Counsel, and the Senior Program Official or designee.

(3) All PONS shall be issued by the cognizant Head of the Contracting Activity or designee.

917.7201-3 Federal support criteria.

In determining the appropriateness of DOE involvement through the PON mechanism in any particular area of demonstration activity, consideration shall be given to the extent to which the proposed undertaking meets Federal support criteria including, but not limited to, the following:

(a) The urgency of public need for the potential results of the research, development, or demonstration effort is high, and it is unlikely that similar results would be achieved in a timely manner in the absence of Federal assistance;

(b) The potential opportunities for non-Federal interests to recapture the investment in the undertaking through the normal commercial utilization of proprietary knowledge appear inadequate to encourage timely results;

(c) The extent of the problems treated and the objectives, sought by the undertaking are national or widespread in their significance;

(d) The opportunities to induce nonFederal support of the undertaking through regulatory actions, end-use controls, tax and price incentives, public educations, or other alternatives to direct Federal financial assistance are limited;

(e) The degree of risk of loss of investment inherent in the research is high, and the availability of risk capital to the non-Federal entities which might otherwise engage in the field of the research is inadequate for the timely development of the technology;

(f) The research, development, and application objectives anticipated by the activities or facilities proposed, support national interests or objectives;

(g) The economic, environmental, and societal significance which a successful demonstration may have for the national fuels and energy system; and

(h) The availability of non-Federal participants to construct and operate the facilities or perform the activities associated with the proposal and to contribute to the financing of the proposal.

(c) Evaluation criteria, including an indication, when determined practicable to do so, of the approximate cost and time duration contemplated for individual projects resulting from the notice;

(d) Program policy factors.

(e) A statement that additional information, consistent with the overall concepts and approaches developed in the proposal, may be required regarding the statement of work and the proposed budget (e.g., a notice that a detailed cost breakdown may be required from the proposers being considered);

(f) Such other information, terms, or conditions that shall apply to the particular program opportunity notices;

(g) A place and manner of submission; and

(h) A late proposal provision (see FAR 15.412).

917.7201-5 Information to be provided in proposals offered pursuant to program opportunity notices.

(a) Name and address of the entity(ies) submitting the proposals; (b) Date of preparation of submission;

(c) Type of entity(ies) (public, including State and local governments, and private, including profit and nonprofit organizations and educational institutions);

(d) Representations and certifications as specified in the notice; and

(e) Concise title and abstract of the proposed demonstration project for which assistance or participation is being sought.

(f) An outline and discussion of the proposed demonstration which shall, if applicable and to the extent possible, specifically address and reference the evaluation criteria and include:

(1) Specification of the technology; (2) Proposed statement of work to be performed;

(3) Description of prior operation experience with the technology;

(4) Preliminary design of the demonstration plan;

(5) Time tables containing proposed construction or fabrication and installation and operation plans;

(6) Budget-type estimates of construction or fabrication and operation costs;

(7) Description and proof of title to land for proposed site, natural resources, electricity and water supply, and logistical information related to access to raw materials to construct and operate the plant and dispose of salable products from the plant;

(8) Assessment of the environmental impact of the proposed plant and plans for disposal of wastes resulting from the operation of the plant;

(9) Plans for continued use of the technology if the demonstration is successful;

(10) Plans for continued use of the plant if the demonstration is successful;

(11) Plans for dismantling of the plant if the demonstration is unsuccessful or otherwise abandoned;

(12) Form and amount of assistance or participation being sought;

(13) Form and amount of funding, or other contribution to be provided by the proposer, including proposed disposition of revenues generated; and,

(14) The extent to which the proposed expenditures would constitute permanent (nonseverable) improvement to property now owned by the Government; and proposed plans for the disposal (through acquisition by the offeror or otherwise) of any such improvements.

The information called for under this section relates primarily to a demonstration project involving the construction and operation of a "plant." In instances where the proposed project concerns a demonstration that does not involve a plant (for example, the demonstration of a process, apparatus, or device), the program opportunity notice shall state what additional information is to be submitted with the proposal;

(g) Names of key personnel to be involved, brief biographical information, including relevant experience;

(h) A current financial statement; (i) The period for which proposal is valid;

(j) Names and telephone numbers of proposer's primary business and technical personnel whom DOE may content during evaluation or negotiation;

(k) Each proposal containing technical data or proprietary or business

confidential information, which the proposer intends to be used by DOE for evaluation purposes only, should be marked on the cover sheet with the legend prescribed in 927.402-3(d); and

(1) Signature and title of official of the proposing organization authorized to contractually obligate such organization.

917.7202-1 Forms of assistance and participation.

(a) In providing for demonstration, DOE may utilize various forms of Federal assistance and participation. These include but are not limited to: (1) Contracts; (2) Grants;

(3) Loans;

(4) Incentives, including financial awards, to individual inventors;

(5) Joint Federal-industry demonstration corporation;

(6) Federal purchase(s) or guaranteed price of the products of the demonstration project; and

(7) Cooperative agreements.

917.7202-2 Cost participation.

The provisions of DOE's cost participation policies contained in 917.70 shall apply, as applicable, to proposals hereunder.

917.7203 Method and criteria for evalua

tion and selection.

(a) General policy. (1) Information contained in proposals offered in response to PONS shall be handled in accordance with the policies and procedures set forth in 927.402-3(d) pertaining to the marking and handling of proprietary data.

(2) Late proposals, modifications of proposals, and withdrawals of proposals shall be handled in accordance with FAR 15.412.

(b) Selection. (1) When the aggregate of expected award values, plus costs shared by the performer and/or other parties, together with later phases of the same project, is expected to meet the SEB dollar threshold, comprehensive evaluation shall conducted by a specially constituted board which shall follow procedures and documentation requirements of the SEB Handbook modified as appro

be

priate to conform to the solicitation process as set forth herein.

(2) When the aggregate of expected award values, plus costs shared by the performer and/or other parties, together with the later phases of the same project is not expected to meet the SEB dollar threshold, proposals submitted in response to a PON will be evaluated by a panel which shall be appointed by the cognizant program office. The panel should utilize any of the procedures and documentation requirements of the SEB Handbook (as modified as appropriate to conform to the solicitation process as set forth herein) whenever necessary to ensure the impartial, equitable and thorough evaluation of each proposal. The panel will be composed of program office and other personnel, including representatives of Procurement, Counsel, and, as deemed appropriate by the appointing official, supplemented by Personnel from other Government agencies. The representative of Counsel will be an ex-officio (nonvoting) member of the panel. Personnel from DOE management or operating contractors may be used as advisors to the panel when their services are necessary and available as long as the approvals and procedures in 927.70 and 915.613(f) are followed.

(c) Evaluation criteria. The evaluation criteria shall be specified in the notice along with a narrative description of their relative importance. The criteria below, to the extent applicable, as well as any additional criteria stated in the program opportunity notice, shall be considered:

(1) The overall technical feasibility of the proposed effort;

(2) The contribution which the proposed effort is expected to make to DOE in carrying out its program responsibilities, including, but not limited to, solving energy extraction and storage, transportation, conversion, waste utilization, and conservation problems;

(3) The capabilities, related experience, facilities, instrumentation, or techniques which the proposer possesses and offers, and which are considered to be integral factors for achieving the objective(s) of the proposal;

(4) The qualifications, capabilities, experience, and availability of the proposed key personnel;

(5) The ability of the proposer to furnish necessary financial support;

(6) Project and financial plans for management of the activities including the adequacy of proposed arrangements among all participants;

(7) Plans for involvement of the small business community;

(8) Cost realism and probable cost to the government.

(d) Program policy factors. Program policy factors are those factors which, while not appropriate indicators of a proposal's individual merit (i.e., technical excellence, proposer's ability, cost, etc.), are relevant and essential to the process of choosing which of the proposals received will, taken together, best achieve the program objectives. All such factors shall be predetermined and specified in the notice so as to notify proposers that factors which are essentially beyond their control will affect the selection process. The following are examples of possible program policy factors:

(1) It is desirable, because of the nature of the energy source, the type of projects envisioned, or limitations of past efforts, to select for award or support a group of demonstration projects with a broad or specific geographic distribution;

(2) It is desirable to select for award or support (for reasons that must be stated) projects from diverse types and sizes of proposing organizations;

(3) It is desirable to select for award or support a group of projects which represents a diversity of methods, approaches, applications, or kinds of work; and

(4) It is desirable, due to the nature of certain projects or proposing organizations, to select for award or support duplicative or complementary efforts or projects.

(e) Selection official. The selection official will be as provided in 915.

(f) Preliminary review. (1) Prior to making a comprehensive evaluation of a proposal, the SEB, or the receiving office when an SEB is not required, shall determine that it:

(i) Contains sufficient technical, cost, and other required information

to enable comprehensive evaluation; and

(ii) Has been signed by a responsible official of the proposing organization or a person authorized to obligate such organization.

(2) If the proposal does not meet these requirements, a comprehensive evaluation shall not be made. In such a case, a prompt reply shall be sent to the proposer, indicating the reason(s) for its not being selected for award or support under the PON.

(g) Comprehensive evaluation. The basic task in the evaluation and selection of proposals for award or support is to assess their relative merit in order to determine which of them offers the greatest likelihood for achievement of the program objectives stated in the notice, considering technical quality, ability of the proposer, estimated cost, and other relevant factors. Proposals which survive preliminary review shall be evaluated by an SEB or a panel, as applicable, in accordance with the criteria stated in the notice. The Source Selection Official will select proposals for support or award from the findings established by the SEB or panel, as applicable. In this latter process, the selection official will take into account the relevant program policy factors in order to determine the mix of proposed projects which will best further specific program goals. All findings and selections are to be documented, signed, and maintained to provide an adequate record of the proceedings.

[49 FR 11974, Mar. 28, 1984; 49 FR 38950, Oct. 2, 1984]

917.7204 Award or support.

While only those proposals which further the needs of the program as specified in the notice will be considered for award or support, DOE may accept for award or support all, none, or any number or part of the proposals submitted.

917.7205 Unsolicited proposals for commercial demonstrations. See 915.503.