Page images

Building 31, Room 4B09, Bethesda, MD 20892, or from the Office of Epidemiology and Health Surveillance, (EH-42), U.S. Department of Energy, Washington, DC 20585).

8602.11 Funding.

(a) The project period during which DOE expects to provide support for an approved project under this part shall generally not exceed 3 years and may exceed 5 years only if DOE makes a renewal award or otherwise extends the award. The project period shall be specified on the Notice of Financial Assistance Grant (DOE Form 4600.1).

(b) Each budget period of an award under this part shall generally be 12 months and may be as much as 24 months, as DOE deems appropriate.

$602.12 Cost sharing.

Cost sharing is not required, nor will it be considered, as a criterion in the evaluation and selection process unless otherwise provided under 8602.9(d)(5).

8602.13 Limitation of DOE liability.

Awards made under this part are subject to the requirement that the maximum DOE obligation to the recipient is the amount shown in the Notice of Financial Assistance Award as the amount of DOE funds obligated. DOE shall not be obligated to make any additional, supplemental, continuation, renewal, or other award for the same or any other purpose.

(2) Whether the acceptance of an award will, in the absence of paying a fee, cause substantial financial distress to the business. In evaluating financial distress, the contracting officer shall balance current displacement against reasonable future benefit to the company. (If the award will result in the beneficial expansion of the existing business base of the company, then no fee would generally be appropriate.) Fees shall not be paid to other entities except as a deviation from 10 CFR part 600, nor shall fees be paid under awards in support of conferences.

(b) To request a fee, a small business concern shall submit with its application a written self-certification that it is a small business concern qualified under the criteria and size standards in 13 CFR part 121. In addition, the application must state the amount of fee requested for the entire project period and the basis for requesting the amount and must also state why payment of a fee by DOE would be appropriate.

(c) If the contracting officer determines that payment of a fee is appropriate under paragraph (a) of this section, the amount of fee shall be that determined to be reasonable by the contracting officer. The contracting officer shall, at a minimum, apply the following guidelines in determining the fee amount:

(1) The fee base shall include the estimated allowable cost of direct salaries and wages and allocable fringe benefits. This fee base shall exclude all other direct and indirect costs.

(2) The fee amount expressed as a percentage of the appropriate fee base, pursuant to paragraph (c)(1) of this section, shall not exceed the percentage rate of fee that would result if a Federal agency contracted for the same amount of salaries, wages, and allocable fringe benefits under a cost reimbursement contract.

(3) Fee amounts, determined pursuant to paragraphs (c)(1) and (c)(2) of this section, shall be appropriately reduced when:

(i) Advance payments are provided; and/or

(ii) Title to property acquired with DOE funds vests in the recipient (10 CFR part 600).

8602.14 Fee.

(a) Notwithstanding 10 CFR part 600, a fee may be paid, in appropriate circumstances, to a recipient that is a small business concern, as qualified under the criteria and size standards of 13 CFR part 121, in order to permit the concern to participate in the Epidemiology and Other Health Studies Financial Assistance Program. Whether or not it is appropriate to pay a fee shall be determined by the contracting officer, who shall, at a minimum, apply the following guidelines:

(1) Whether the acceptance of an award will displace other work that the small business is currently engaged in or committed to assume in the near future; or

(d) Notwithstanding 10 CFR part 600, quested to obtain both personnel and any fee awarded shall be a fixed fee and facility security clearances through shall be payable on an annual basis in the Office of Safeguards and Security proportion to the work completed, as for Headquarters awards or from the determined by the contracting officer, cognizant field office Division of Safeupon satisfactory submission and ac guards and Security for awards obceptance by DOE of the progress re tained through DOE field organizaport. If the project period is shortened

tions. Costs associated with handling due to termination, or the project pe

and protecting any such classified inriod is not fully funded, the fee shall be

formation shall be negotiated at the reduced by an appropriate amount.

time that the determination to proceed 8602.15 Indirect cost limitations.

is made. Awards issued under this part for 8602.17 Continuation funding and reconferences and scientific/technical

porting requirements. meetings will not include payment for

(a) A recipient shall periodically reindirect costs.

port to DOE on the project's progress 8 602.16 National security.

in meeting the project objectives of the Activities under the Epidemiology

award. The following types of reports

shall be used: and Other Health Studies Financial As

(1) Progress Reports. After issuance of sistance Program are not expected to involve classified information (i.e., Re

an initial award, recipients must substricted Data, Formerly Restricted

mit a satisfactory progress report to Data, National Security Information).

receive a continuation award for the However, if in the opinion of the recipi

remainder of the project period. The ent or DOE such involvement becomes

original and two copies of the required expected prior to the closeout of the

report must be submitted to the Office award, the recipient or DOE shall no

of Environment, Safety and Health tify the other in writing immediately.

program manager 90 days prior to the If the recipient believes any informa

anticipated continuation funding date. tion developed or acquired may be clas

The report should include results of sified, the recipient shall not provide

work to date and emphasize findings the potentially classified information

and their significance to the field, and to anyone, including DOE officials with

any real or anticipated problems. The whom the recipient normally commu

report also should contain the folnicates, except the Director of Declas

lowing information: On the first page, sification, and shall protect such infor

provide the project title, principal inmation as if it were classified until no

vestigator/project director name, petified by DOE that a determination has riod of time the report covers, name been made that it does not require such and address of recipient organization, handling. Correspondence that includes DOE award number, the amount of unthe specific information in question expended funds, if any, that are anticishall be sent by registered mail to the pated to be left at the end of the curU.S. Department of Energy, Attn: Di rent budget period. If the amount exrector of Declassification, NN-50, ceeds 10 percent of the funds available Washington, DC 20585. If the informa for the budget period, provide information is determined to be classified, the tion as to why the excess funds are anrecipient may wish to discontinue the ticipated to be available and how they project, in which case the recipient and will be used in the next budget period. DOE shall terminate the award by mu- The report should state whether the tual agreement. If the award is to be aims have changed from the original terminated, all material deemed by application, and if they have, provide DOE to be classified shall be forwarded revised aims. A completed budget page to DOE in a manner specified by DOE must be submitted with the continufor proper disposition. If the recipient ation progress report when a change to and DOE wish to continue the award, anticipated future costs will exceed 25 even though classified information is percent of the original recommended involved, the recipient shall be re- 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 on a 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 con ditions 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 dead line, 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 8 602.17, 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.

8602.19 Records and data.

(a) In some cases, DOE will req 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 characteristics necessary for reading or processing the records;

(3) Define file and record content and codes;

(4) Describe update cycles or conditions and rules for adding or deleting information; and

(5) Detail instrument calibration effects, sampling and analysis, space and time coverage, quality control measures, data algorithms and reduction methods, and other activities relevant to data collection and assembly.

(c) Recipients agree to comply with designated DOE records and data man

agement requirements, including providing electronic data in prescribed formats and retention of specified records and data for eventual transfer to the Comprehensive Epidemiologic Data Resource or to another repository, as directed by DOE. 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.

(d) Recipients agree to make project records and data available as soon as possible when requested by DOE.


Number of copies


When due



[ocr errors]
[ocr errors]


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.

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 7. Financial Status Report (FSR)

Within 90 days after completion of the project period; for

budget periods exceeding 12 months an FSR 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.

[ocr errors]

PART 605—THE OFFICE OF ENERGY 605.19 Continuation funding and reporting RESEARCH FINANCIAL ASSIST


605.20 Dissemination of results. ANCE PROGRAM


PROGRAM OFFICE DESCRIPTIONS Sec. 605.1 Purpose and scope.

AUTHORITY: Section 31 of the Atomic En605.2 Applicability.

ergy Act, as amended, Pub. L. 83–703, 68 Stat. 605.3 Definitions.

919 (42 U.S.C. 2051); sec. 107 of the Energy Re605.4 Deviations.

organization Act of 1974, Pub. L. 93 438, 88 605.5 The Office of Energy Research Finan

Stat. 1240 (42 U.S.C. 5817); Federal Noncial Assistance Program.

nuclear Energy Research and Development 605.6 Eligibility.

Act of 1974, Pub. L. 93-577, 88 Stat. 1878 (42 605.7 (Reserved]

U.S.C. 5901 et seq.); secs. 644 and 646 of the De605.8 Solicitation.

partment of Energy Organization Act, Pub. 605.9 Application requirements.

L. 95–91, 91 Stat. 599 (42 U.S.C. 7254 and 7256); 605.10 Application evaluation and selection.

Federal Grant and Cooperative Agreement 605.11 Additional requirements.

Act, as amended (31 U.S.C. 6301 et seq.). 605.12 Funding.

SOURCE: 57 FR 40583, Sept. 3, 1992, unless 605.13 Cost sharing.

otherwise noted. 605.14 Limitation of DOE liability. 605.15 Fee.

8 605.1 Purpose and scope. 605.16 Indirect cost limitations. 605.17 (Reserved]

This part sets forth the policies and 605.18 National security.

procedures applicable to the award and

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).

$605.4 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 received, and similar transactions during a given period that will require pay. ment by the recipient during the same or a future period.

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

Special purpose equipment means equipment which is used only for research. medical, scientific, educational, or other related project activ

8 605.5 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.

8 605.6 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.

$605.7 (Reserved)

$605.8 Solicitation.

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


« PreviousContinue »