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INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subuwardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing pursuant to the 31 U.S.C. section 1352. The Filing of a form is required for each payment or agreement to make payment to any lobbying entity for influending or attempting to influence an officer or employee of any wgency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered federal action. Use the SF-ILLA Continuation Sheet for additional Information if the space on the form is inadequate. Comolete items that apply for both the initial Alling and material change report. Reter to the implementing guidance published by the Office of Management and Budget for additional Information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the
outcome of a covered Federal action. 2. Identify the status of the covered federal action. 3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the
information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last
previously submitted report by this reporting entity for this covered Federal action. 4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if
known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or suboward recipient. Identity the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier.
Subewards include but are not limited to subcontracts, subgrants and contract awards under grants. 5. If the organization filling the report in item 4 checks "Subawardee", then enter the full name, address, city, stale and
zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational
level below agency name, it known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered federal action (item 1). If known, enter the full
Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan
commitments. 8. Enter the most appropriate federal identifying number available for the Federal action identified in item r (e.g.,
Request for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract. grant, or loan award number, the applicationproposal control number assigned by the Federal agency). Include
prefixes, e... "RFP-DE-90-001." 9. For a covered federal action where there has been an award or loan commitment by the Federal agency, enter the
Federal amount of the award loan commitment for the prime entity identified in Item 4 or 5. 10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity
identified in Item 4 to influence the covered Federal action. (b)Enter the full names of the individuaks) performing services, and include hull address if different from 10 (a).
Enter Last Name, First Name, and Middle Initial (MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (itern 4) to the
lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned
to be made. 12. Check the appropriate boxes). Check all boxes that apply. It payment is made through an intend contribution,
specity the nature and value of the in-kind payment. 13. Check the appropriate boxes). Check all boxes that apply. If other, specity nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to
pertorm, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal official. Identify the Federal ohidak(s) or employee(s) contacted or the onlicerts),
employee(s), or Member(s) of Congress that were contacted. 15. Check whether or not a SF-ULL Continuation Sheet(s) is attached. 16. The certifying official shall sign and date the form, print histher name, tidle, and telephone number.
Public reporting burden for this collection of information is estimated to average 30 minues per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the deta needed, and completing and reviewing the collection of information. Send comment regarding the burden estimate a mny other spect of the collection of information, including stions for reducing this burden, to the Office f Management and Budget, Paperwork Reduction Project (0346-0046), Washington, D.C. 20503.
PART 602-EPIDEMIOLOGY AND
OTHER HEALTH STUDIES FINAN-
ies Financial Assistance Program.
602.9 Application evaluation and selection. 602.10 Additional requirements. 602.11 Funding. 602.12 Cost sharing. 602.13 Limitation of DOE liability. 602.14 Fee. 602.15 Indirect cost limitations. 602.16 National security. 602.17 Continuation funding and reporting
requirements. 602.18 Dissemination of results. 602.19 Records and data. APPENDIX A TO PART 602-SCHEDULE OF RE
NEWAL APPLICATIONS AND REPORTS AUTHORITY: 42 U.S.C. 2051; 42 U.S.C. 5817; 42 U.S.C. 5901-5920; 42 U.S.C. 7254 and 7256; 31 U.S.C. 6301-6308.
SOURCE: 60 FR 5841, Jan. 31, 1995, unless otherwise noted.
hance educational levels and skills, in particular, scientific or technical areas of interest to DOE.
Epidemiology and Other Health Studies means research pertaining to potential health effects resulting from DOE or predecessor agency operations or from any aspect of energy production, transmission, or use (including electromagnetic fields) in the United States and abroad. Related systems or activities to enhance these areas, as well as other program areas that may be described by notice published in the FEDERAL REGISTER, are also included.
Principal investigator means the scientist or other individual designated by the recipient to direct the project.
Research means basic and applied research and that part of development not related to the development of specific systems or cific systems or products. The primary aim of research is scientific study and experimentation directed toward advancing the state of the art or increasing knowledge or understanding rather than focusing on a specific system or product.
$602.1 Purpose and scope.
This part sets forth the policies and procedures applicable to the award and administration of grants and cooperative agreements by DOE (through the Office of Environment, Safety and Health or any office to which its functions are subsequently redelegated) for health related research, education/ training, conferences, communication, and related activities.
(a) This part applies to all grants and cooperative agreements awarded after the effective date of this rule.
(b) Except as otherwise provided by this part, the award and administration of grants and cooperative agreements shall be governed by 10 CFR part 600 (DOE Financial Assistance Rules).
$ 602.4 Deviations.
(a) Single-case deviations from this part may be authorized in writing by the Assistant Secretary for Environment, Safety and Health, the Head of the Contracting Activity, or their designees, upon the written request of DOE staff, an applicant for award, or a recipient. A request from an applicant or a recipient must be submitted to or through the cognizant contracting officer.
(b) Whenever a proposed deviation from this part would be a deviation from 10 CFR part 600, the deviation must also be authorized in accordance with the procedures prescribed in that part.
In addition to the definitions provided in 10 CFR part 600, the following definitions are provided for purposes of this part:
Conference and communication activities means scientific or technical conferences, symposia, workshops, seminars, public meetings, publications, video or slide shows, and other presentations for the purpose of communicating or exchanging information or views pertinent to DOE.
DOE means the United States Department of Energy.
Education/Training means support for education or related activities for an individual or organization that will en
$ 602.5 Epidemiology and Other Health
Studies Financial Assistance Pro
gram. (a) DOE may issue under this part awards for research, education/training, conferences, communication, and related activities in the Office of Environment, Safety and Health program areas set forth in paragraph (b) of this section.
(b) The program areas are:
(1) Health experience of DOE and DOE contractor workers;
(2) Health experience of populations living near DOE facilities;
(3) Workers exposed to toxic substances, such as beryllium;
(4) Use of biomarkers to recognize exposure to toxic substances;
(5) Epidemiology and other health studies relating to energy production, transmission, and use (including electromagnetic fields) in the United States and abroad;
(6) Compilation, documentation, management, use, and analysis of data for the DOE Comprehensive Epidemiologic Data Resource; and
(7) Other systems or activities enhancing these areas, as well as other program areas as may be described by notice published in the FEDERAL REGISTER.
DOE may also use other means of communication, as appropriate, such as the publication of notices of availability in trade and professional journals and news media.
(1) Each notice of availability shall cite this part and shall include:
(i) The Catalog of Federal Domestic Assistance number and solicitation control number of the program;
(ii) The amount of money available or estimated to be available for award;
(iii) The name of the responsible DOE program official to contact for additional information and an address where application forms may be obtained;
(iv) The address for submission of applications; and
(v) Any evaluation criteria in addition to those set forth in $ 602.9 of this part.
(2) The notice of availability may also include any other relevant information helpful to applicants such as:
(i) Program objectives;
(ii) A project agenda or potential area of project initiatives;
(iii) Problem areas requiring additional effort; and
(iv) Any other information that identifies areas in which grants or cooperative agreements may be made.
(e) DOE is under no obligation to pay for any costs associated with the preparation or submission of applications.
(f) DOE reserves the right to fund, in whole or in part, any, all, or none of the applications submitted.
(g) To be considered for a renewal award under this part, an incumbent recipient shall submit a continuation or renewal application, as provided in $ 602.8 (c) and (h) of this part.
$ 602.6 Eligibility.
Any individual or entity other than a Federal agency is eligible for a grant or cooperative agreement. An unaffiliated individual is also eligible for a grant or cooperative agreement.
$ 602.7 Solicitation.
(a) The Catalog of Federal Domestic Assistance number for 10 CFR part 602 is 81.108 and its solicitation control number is EOHSFAP 10 CFR part 602.
(b) An application for a new or renewal award under this solicitation may be submitted at any time to DOE at the address specified in paragraph (c) of this section. New or renewal applications shall receive consideration for funding generally within 6 months but, in any event, no later than 12 months from the date of receipt by DOE.
(c) Except as otherwise provided in a notice of availability, applicants may obtain application forms, described in 602.8(b) of this part, and additional information from the Office of Epidemiology and Health Surveillance (EH-42), U.S. Department of Energy, Washington, DC 20585, (301) 903-5926, and shall submit applications to the same address.
(d) DOE will publish program notices in the FEDERAL REGISTER regarding the availability of epidemiology and other health studies financial assistance.
$ 602.8 Application requirements.
(a) An original and seven copies of the application for initial support must be submitted, except that State and local governments and Indian tribal governments shall not be required to submit more than the original and two copies of the application.
(b) Each new or renewal application in response to this part must include:
(1) An application face page, DOE Form 4650.2 (approved by OMB under OMB Control No. 1910-1400). However,
the face page of an application sub- for requirements on continuation mitted by a State or local government awards.) or an Indian tribal government shall be (e) DOE may return an application the face page of Standard Form 424 (ap- that does not include all information proved by OMB under OMB Control and documentation required by statNumber 0348-0043).
ute, this part, 10 CFR part 600, or the (2) A detailed description of the pro notice of availability, when the nature posed project, including its objectives of the omission precludes review of the its relationship to DOE's program, its application. impact on the environment, if any, and (f) During the review of a complete the applicant's plan for carrying it out. application, DOE may request the sub(3) Detailed information about the
mission of additional information only background and experience of the re if the information is essential to evalucipients of funds or, as appropriate, the
the ate the application. principal investigator(s) (including ref
(g) In addition to including the inforerences to publications), the facilities
mation described in paragraphs (b), (c), and experience of the applicant, and
and (d) of this section, an application the cost-sharing arrangements, if any.
for a renewal award must be submitted (4) A detailed budget for the entire
no later than 6 months before the expiproposed period of support with written
ration of the project period and must justification sufficient to evaluate the
be on the same forms as required for
initial applications. The renewal appliitemized list of costs provided on the entire project. Applicants should note
cation must outline and justify a pro
gram and budget for the proposed the following when preparing budgets: (1) Numerical details on items of cost
project period, showing in detail the es
timated cost of the proposed project, provided by State and local govern
together with an indication of the ment and Indian tribal government ap
amount of cost sharing, if any. The applicants shall be on Standard Form
plication shall also describe and ex424A, "Budget Information for Non
plain the reasons for any change in the Construction Programs" (approved
scope or objectives of the proposed under OMB Control No. 0348-0044). All
project and shall compare and explain other applicants shall use budget forms
any difference between the estimates ERF 4620.1 (approved by OMB under
in the proposed budget and actual costs Control No. 1910-1400).
experienced as of the date of the appli(ii) DOE may, subsequent to receipt
cation. of an application, request additional
(h) DOE is not required to return an budgetary information from an appli
application to the applicant. cant when necessary for clarification
(i) Renewal applications must inor make informed pre-award deter
clude a separate section that describes minations under 10 CFR part 600.
the results of work accomplished (5) Any pre-award assurances re through the date of the renewal appliquired pursuant to 10 CFR parts 600 and cation and how such results relate to
the activities proposed to be under(C) Applications for a renewal award taken in the renewal period. must be submitted with an original and seven copies, except that State and $602.9 Application evaluation and selocal governments and Indian tribal lection. government applicants are required to (a) Applications shall be evaluated submit only an original and two copies for funding generally within 6 months, (Approved by OMB under OMB Control but in any event no later than 12 Numbers 0348-00050348-0009.)
months, from the date of receipt by (d) The application must be signed by DOE. After DOE has held an applicaan official who is authorized to act for tion for 6 months, the applicant may, the applicant organization and to com- in response to DOE's request, be remit the applicant to comply with the quired to revalidate the terms of the terms and conditions of the award, if original application. one is issued, or if unaffiliated, by the (b) DOE shall perform an initial evalindividual applicant. (See $ 602.17(a)(1) uation of all applications to ensure
that the information required by this and relevance of the proposal to the Ofpart is provided, that the proposed ef- fice of Environment, Safety and fort is technically sound and feasible, Health's mission, and the availability and that the effort is consistent with of funds. Cost reasonableness and realprogram funding priorities. For appli- ism will also be considered. cations that pass the initial evalua (h) After the selection of an application, DOE shall review and evaluate tion, DOE may, if necessary, enter into each application received based on the negotiations with an applicant. Such criteria set forth below and in accord negotiations are not a commitment ance with the Office of Environment, that DOE will make an award. Safety and Health Merit Review System developed, as required, under DOE 8 602.10 Additional requirements. Financial Assistance Regulations, 10 (a) A recipient performing research CFR part 600.
or related activities involving the use (c) DOE shall select evaluators on the of human subjects must comply with basis of their professional qualifica- DOE regulations in 10 CFR part 745, tions and expertise. To ensure credible “Protection of Human Subjects," and and inclusive peer review of applica- any additional provisions that may be tions, every effort will be made to se- included in the special terms and conlect evaluators apart from DOE em- ditions of an award. ployees and contractors. Evaluators (b) A recipient performing research shall be required to comply with all ap- involving recombinant DNA molecules plicable DOE rules or directives con and/or organisms and viruses concerning the use of outside evaluators. taining recombinant DNA molecules
(d) DOE shall evaluate new and re shall comply with the National Instinewal applications based on the fol- tutes of Health “Guidelines for Relowing criteria that are listed in de- search Involving Recombinant DNA scending order of importance:
Molecules" (51 FR 16958, May 7, 1986), (1) The scientific and technical merit or such later revision of those guideof the proposed research;
lines, as may be published in the FED(2) The appropriateness of the pro ERAL REGISTER. (The guidelines are posed method or approach;
available from the Office of Recom(3) Competency of research personnel binant DNA Activities, National Instiand adequacy of proposed resources; tutes of Health, Building 31, Room
(4) Reasonableness and appropriate BBB, Bethesda, MD 20892, or from the ness of the proposed budget; and
Office of Epidemiology and Health Sur(5) Other appropriate factors con- veillance, (EH-42), U.S. Department of sistent with the purpose of this part es Energy, Washington, DC 20585). tablished and set forth in a Notice of (c) A recipient performing research Availability or in a specific solicita on warm-blooded animals shall comply tion.
with the Federal Laboratory Animal (e) DOE shall also consider as part of Welfare Act of 1966, as amended (7 USC the evaluation other available advice 2131 et seq.), and the regulations proor information, as well as program pol mulgated thereunder by the Secretary icy factors, such as ensuring an appro of Agriculture at 9 CFR chapter I, subpriate balance among the program chapter A, pertaining to the care, hanareas listed in $ 602.5 of this part.
dling, and treatment of warm-blooded (f) In addition to the evaluation cri- animals held or used for research, teria set forth in paragraphs (d) and (e) teaching, or other activities supported of this section, DOE shall consider the by Federal awards. The recipient shall recipient's performance under the ex- comply with the guidelines described isting award during the evaluation of a in the Department of Health and renewal application.
Human Services Publication No. (NIH) (g) Selection of applications for 86-23, “Guide for the Care and Use of award will be based upon the findings Laboratory Animals," or succeeding of the technical evaluations (including revised editions. (This guide is availpeer reviews, as specified in the Office able from the Office for Protection of Environment, Safety and Health from Research Risks, Office of the DiMerit Review System), the importance rector, National Institutes of Health,