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Building 31, Room 4B09, Bethesda, MD (2) Whether the acceptance of an 20892, or from the Office of Epidemi- award will, in the absence of paying a ology and Health Surveillance, (EH-42), fee, cause substantial financial distress U.S. Department of Energy, Wash- to the business. In evaluating financial ington, DC 20585).

distress, the contracting officer shall

balance current displacement against 8602.11 Funding.

reasonable future benefit to the com(a) The project period during which

pany. (If the award will result in the DOE expects to provide support for an

beneficial expansion of the existing approved project under this part shall

business base of the company, then no generally not exceed 3 years and may

fee would generally be appropriate.) exceed 5 years only if DOE makes a re

Fees shall not be paid to other entities newal award or otherwise extends the except as a deviation from 10 CFR part award. The project period shall be spec

600, nor shall fees be paid under awards ified on the Notice of Financial Assist- in support of conferences. ance Grant (DOE Form 4600.1).

(b) To request a fee, a small business (b) Each budget period of an award

concern shall submit with its applicaunder this part shall generally be 12

tion a written self-certification that it months and may be as much as 24

is a small business concern qualified months, as DOE deems appropriate.

under the criteria and size standards in

13 CFR part 121. In addition, the appli$602.12 Cost sharing.

cation must state the amount of fee re

quested for the entire project period Cost sharing is not required, nor will

and the basis for requesting the it be considered, as a criterion in the

amount and must also state why payevaluation and selection process unless

ment of a fee by DOE would be approotherwise provided under $602.9(d)(5).

priate. $ 602.13 Limitation of DOE liability.

(c) If the contracting officer deter

mines that payment of a fee is approAwards made under this part are sub

priate under paragraph (a) of this secject to the requirement that the max- tion, the amount of fee shall be that imum DOE obligation to the recipient

determined to be reasonable by the is the amount shown in the Notice of

contracting officer. The contracting ofFinancial Assistance Award as the

ficer shall, at a minimum, apply the amount of DOE funds obligated. DOE

following guidelines in determining the shall not be obligated to make any ad

fee amount: ditional, supplemental, continuation,

(1) The fee base shall include the estirenewal, or other award for the same or

mated allowable cost of direct salaries any other purpose.

and wages and allocable fringe bene

fits. This fee base shall exclude all $602.14 Fee.

other direct and indirect costs. (a) Notwithstanding 10 CFR part 600, (2) The fee amount expressed as a a fee may be paid, in appropriate cir- percentage of the appropriate fee base, cumstances, to a recipient that is a pursuant to paragraph (c)(1) of this secsmall business concern, as qualified tion, shall not exceed the percentage under the criteria and size standards of rate of fee that would result if a Fed13 CFR part 121, in order to permit the eral agency contracted for the same concern to participate in the Epidemi- amount of salaries, wages, and alloology and Other Health Studies Finan- cable fringe benefits under a cost reimcial Assistance Program. Whether or bursement contract. not it is appropriate to pay a fee shall (3) Fee amounts, determined pursube determined by the contracting offi- ant to paragraphs (c)(1) and (c)(2) of cer, who shall, at a minimum, apply this section, shall be appropriately rethe following guidelines:

duced when: (1) Whether the acceptance of an (i) Advance payments are provided; award will displace other work that the and/or small business is currently engaged in (ii) Title to property acquired with or committed to assume in the near fu- DOE funds vests in the recipient (10 ture; or

CFR part 600).

(d) Notwithstanding 10 CFR part 600, any fee awarded shall be a fixed fee and shall be payable on an annual basis in proportion to the work completed,

as determined by the contracting officer, upon satisfactory submission and acceptance by DOE of the progress report. If the project period is shortened due to termination, or the project period is not fully funded, the fee shall be reduced by an appropriate amount.

quested to obtain both personnel and facility security clearances through the Office of Safeguards and Security for Headquarters awards or from the cognizant field office Division of Safeguards and Security for awards obtained through DOE field organizations. Costs associated with handling and protecting any such classified information shall be negotiated at the time that the determination to proceed is made.

$ 602.15 Indirect cost limitations.

Awards issued under this part for conferences and scientific/technical meetings will not include payment for indirect costs.

8 602.16 National security.

Activities under the Epidemiology and Other Health Studies Financial Assistance Program are not expected to involve classified information (i.e., Restricted Data, Formerly Restricted Data, National Security Information). However, if in the opinion of the recipient or DOE such involvement becomes expected prior to the closeout of the award, the recipient or DOE shall notify the other in writing immediately. If the recipient believes any information developed or acquired may be classified, the recipient shall not provide the potentially classified information to anyone, including DOE officials with whom the recipient

normally communicates, except the Director of Declassification, and shall protect such information as if it were classified until notified by DOE that a determination has been made that it does not require such handling. Correspondence that includes the specific information in question shall be sent by registered mail to the U.S. Department of Energy, Attn: Director of Declassification, NN-50, Washington, DC 20585. If the information is determined to be classified, the recipient may wish to discontinue the project, in which case the recipient and DOE shall terminate the award by mutual agreement. If the award is to be terminated, all material deemed by DOE to be classified shall be forwarded to DOE in a manner specified by DOE for proper disposition. If the recipient and DOE wish to continue the award, even though classified information is involved, the recipient shall be re

8 602.17 Continuation funding and re

porting requirements. (a) A recipient shall periodically report to DOE on the project's progress in meeting the project objectives of the award. The following types of reports shall be used:

(1) Progress Reports. After issuance of an initial award, recipients must submit a satisfactory progress report to receive a continuation award for the remainder of the project period. The original and two copies of the required report must be submitted to the Office of Environment, Safety and Health program manager 90 days prior to the anticipated continuation funding date. The report should include results of work to date and emphasize findings and their significance to the field, and any real or anticipated problems. The report also should contain the following information: On the first page, provide the project title, principal investigator/project director name, period of time the report covers, name and address of recipient organization, DOE award number, the amount of unexpended funds, if any, that are anticipated to be left at the end of the current budget period. If the amount exceeds 10 percent of the funds available for the budget period, provide information as to why the excess funds are anticipated to be available and how they will be used in the next budget period. The report should state whether the aims have changed from the original application, and if they have, provide revised aims. A completed budget page must be submitted with the continuation progress report when a change to anticipated future costs will exceed 25 percent of the original recommended future budget.

and number of copies is set forth in appendix A to this part. The schedule of reports shall be as prescribed in this table, unless the award document specifies otherwise. These reports shall be submitted by the recipient to the awarding office.

(d) DOE, or its authorized representatives, may make site visits, at any reasonable time, to review the project. DOE may provide such technical assistance as may be requested.

(e) Recipients may place performance reporting requirements

subrecipient consistent with the provisions of this section.



(2) Notice of Energy Research and Development (R&D) Project. A Notice of Energy R&D Project, DOE Form 1430.22, which summarizes the purpose and scope of the project, must be submitted in accordance with the Distribution and Schedule of Documents set forth in Appendix A to this part, Schedule of Renewal Applications and Reports. Copies of the form may be obtained from a DOE contracting office.

(3) Special Reports. The recipient shall report the following events to DOE as soon after they occur as possible:

(i) Problems, delays, or adverse conditions that will materially affect the ability to attain project objectives or prevent the meeting of time schedules and goals. The report must describe remedial action that the recipient has taken, or plans to take, and any action DOE should take to alleviate the problems.

(ii) Favorable developments or events that enable meeting time schedules and goals sooner, or a lower cost than anticipated, or producing more beneficial results than originally projected.

(4) Final Report. A final report covering the entire project must be submitted by the recipient within 90 days after the project period ends or the award is terminated. Satisfactory completion of an award will be contingent upon the receipt of this report. The final report shall follow the same outline as progress reports. Recipients will provide, as part of the final report, a description of records and data compiled during the project, along with a plan for its preservation or disposition (see $602.19 of this part). All manuscripts prepared for publication should be appended to the final report.

(5) Financial Status Report (FSR) (OMB No. 0348-0039). The FSR is required within 90 days after completion of each budget period. For budget periods exceeding 12 months, an FSR is also required within 90 days after this first 12 months unless waived by the contracting officer.

(b) DOE may extend the deadline date for any report if the recipient submits a written request before the deadline, that adequately justifies an extension.

(c) A table summarizing the various types of reports, time for submission,

$ 602.18 Dissemination of results.

(a) Recipients are encouraged to disseminate research results promptly. DOE reserves the right to utilize, and have others utilize to the extent it deems appropriate, the reports resulting from research awards.

(b) DOE may waive the technical reporting requirement of progress reports set forth in $ 602.17, if the recipient submits to DOE a copy of its own report that is published or accepted for publication in a recognized scientific or technical journal and that satisfies the information requirements of the program.

(c) Recipients are urged to publish results through normal publication channels in accordance with the applicable provisions of 10 CFR part 600.

(d) The article shall include an acknowledgement that the project was supported, in whole or in part, by a DOE award, and specify the award number, but state that such support does not constitute an endorsement by DOE of the views expressed in the article.

$ 602.19 Records and data.

(a) In some cases, DOE will require submission of certain project records or data to facilitate mission-related activities. Recipients, therefore, must take adequate steps to ensure proper management, control, and preservation of all project records and data.

(b) Awardees must ensure that all project data is adequately documented. Documentation shall:

(1) Reference software used to compile, manage, and analyze data;

(2) Define all technical characteris- agement requirements, including protics necessary for reading or processing viding electronic data in prescribed the records;

formats and retention of specified (3) Define file and record content and records and data for eventual transfer codes;

to the Comprehensive Epidemiologic (4) Describe update cycles or condi

Data Resource or to another repositions and rules for adding or deleting

tory, as directed by DOE. Recipients information; and

will provide, as part of the final report, (5) Detail instrument calibration effects, sampling and analysis, space and

a description of records and data comtime coverage, quality control meas

piled during the project along with a ures, data algorithms and reduction

plan for its preservation or disposition. methods, and other activities relevant

(d) Recipients agree to make project to data collection and assembly.

records and data available as soon as (c) Recipients agree to comply with

possible when requested by DOE. designated DOE records and data man



When due

Number of copies

for awarding



8 3

1. Summary: 200 words on scope and purpose (Notice of Immediately after a grant is awarded and with each apEnergy R&D Project).

plication for renewal. 2. Renewal period ends

6 months before the budget 3. Progress Report period (or as part of a renewal appli- 90 days prior to the next budget period

cation). 4. Other progress reports, brief topical reports, etc. (Des- As deemed appropriate by DOE or the recipient

3 ignated when significant results develop or when work

has direct programmatic impact). 5. Reprints, Conference

Same as 4. above 6. Final report of the project Within 90 days after completion

3 7. Financial Status Report (FSR)

Within 90 days after completion of the project period; for

budget periods exceeding 12 months an FSA is also

required within 90 days after the first 12-month period. Note: Report types 5 and 6 require with submission two copies of DOE Form 1332.16, University-Type Contractor and Grant ee Recommendations for Disposition of Scientific and Technical Document.






605.1 Purpose and scope.
605.2 Applicability.
605.3 Definitions.
605.4 Deviations.
605.5 The Office of Energy Research Finan-

cial Assistance Program.
605.6 Eligibility.
605.7 (Reserved)
605.8 Solicitation.
605.9 Application requirements.
605.10 Application evaluation and selection.
605.11 Additional requirements.
605.12 Funding.
605.13 Cost sharing.
605.14 Limitation of DOE liability.
605.15 Fee.
605.16 Indirect cost limitations.
605.17 (Reserved]
605.18 National security.

605.19 Continuation funding and reporting

requirements. 605.20 Dissemination of results. APPENDIX A TO PART 605—ENERGY RESEARCH

PROGRAM OFFICE DESCRIPTIONS AUTHORITY: Section 31 of the Atomic Energy Act, as amended, Pub. L. 83–703, 68 Stat. 919 (42 U.S.C. 2051); sec. 107 of the Energy Reorganization Act of 1974, Pub. L. 93 438, 88 Stat. 1240 (42 U.S.C. 5817); Federal Nonnuclear Energy Research and Development Act of 1974, Pub. L. 93–577, 88 Stat. 1878 (42 U.S.C. 5901 et seq.); secs. 644 and 646 of the Department of Energy Organization Act, Pub. L. 95–91, 91 Stat. 599 (42 U.S.C. 7254 and 7256); Federal Grant and Cooperative Agreement Act, as amended (31 U.S.C. 6301 et seq.).

SOURCE: 57 FR 40583, Sept. 3, 1992, unless otherwise noted.

8 605.1 Purpose and scope.

This part sets forth the policies and procedures applicable to the award and

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administration of grants and cooperative agreements by the DOE Office of Energy Research (ER) and the Science and Technology Advisor (STA) Organization for basic and applied research, educational and/or training activities, conferences and related activities. $605,2 Applicability.

(a) This part applies to all grants and cooperative agreements awarded after the effective date of this amended 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).

8605.4 Deviations.

Single-case deviations from this part may be authorized in writing by the Director or Deputy Director of ER or the Head of a Contracting Activity upon the written request of DOE staff, an applicant for an award, or a recipient. A request from an applicant or a recipient must be submitted to or through the cognizant contracting officer. 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.

$605.3 Definitions.

In addition to the definitions provided in 10 CFR part 600, the following definitions are provided for purposes of this part

Basic and applied research means basic and applied research and that part of development not related to the development of specific 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.

Educational Training means support for education or related activities for an individual or organization that will enhance education levels and skills in particular scientific or technical areas of interest to DOE.

Principal investigator means the scientist or other individual designated by the recipient to direct the project.

Recipient obligation means the amounts of orders placed, contracts and subawards issued, services ceived, and similar transactions during a given period that will require payment by the recipient during the same or a future period.

Related conference means scientific or technical conferences, symposia, workshops or seminars for the purpose of communicating or exchanging information or views pertinent to ER/STA.

Special purpose equipment equipment which is used only for research,

medical, scientific, educational, or other related project activity.

$ 605.5 The Office of Energy Research

Financial Assistance Program. (a) DOE may issue, under the Office of Energy Research Financial Assistance Program, 10 CFR part 605, awards for basic and applied research, educational/training activities, conferences, and other related activities under the ER program areas set forth in paragraph (b) of this section and described in appendix A of this part.

(b) The Program areas are:
(1) Basic Energy Sciences
(2) Field Operations Management
(3) Fusion Energy

(4) Health and Environmental Research

(5) High Energy and Nuclear Physics (6) Scientific Computing Staff (7) Superconducting Super Collider

(8) University and Science Education Programs

(9) Program Analysis; and

(10) Other program areas of interest as may be described in a notice of availability published in the FEDERAL REGISTER. $ 605.6 Eligibility.

Any university or other institution of higher education or other non-profit or for-profit organization, non-Federal agency, or entity is eligible for a grant or cooperative agreement. An unaffiliated individual also is eligible for a grant or cooperative agreement. 8 605.7 (Reserved)



8 605.8 Solicitation.

(a) The Catalog of Federal Domestic Assistance number for this program is

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