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(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 renewal application as provided in 8 605.9 (c) and (h).

81.049, and its solicitation control num ber is ERFAP 10 CFR part 605.

(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) Applicants may obtain application forms, described in 8605.9(b), and additional information from the Acquisition and Assistance Management Division, Office of Energy Research, ER64, Department of Energy, Washington, DC 20585, (301) 903–5544, and shall submit applications to the same address.

(d) DOE shall publish annually, in the FEDERAL REGISTER, a notice of the availability of the Office of Energy Research Financial Assistance Program. DOE shall also publish notices or abbreviated notices of availability in trade and professional journals, and news media, and use other means of communication, as appropriate.

(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 8 605.10.

(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 areas for project initiatives,

(iii) Problem areas requiring additional effort, and

(iv) Any other information which 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.

$ 605.9 Application requirements.

(a) An original and seven copies of the application for initial support must be submitted except that State governments, local governments, or 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 facesheet of the application for State and local governments and Indian tribal government applicants shall be the facesheet of Standard Form (SF) 424 (approved by OMB under OMB Control Number 0348-0043).

(2) A detailed description of the proposed project, including the objectives of the project, in relationship to DOE'S program and the applicant's plan for carrying it out;

(3) Detailed information about the background and experience of the principal investigator(s) (including references to publications), the facilities and experience of the applicant, and the cost-sharing arrangements, if any.

(4) A detailed budget for the entire proposed period of support with written justification sufficient to evaluate the itemized list of costs provided on the entire project.

(i) Numerical details on items of cost provided by State and local government and Indian tribal government applicants shall be on Standard Form 424A, Budget Information for Non-Construction Programs (approved under OMB Control No. 0348-0044). All other applicants shall use budget form ERF 4620.1 (approved by OMB under Control No. 1910-1400).

(ii) DOE may, subsequent to receipt of an application, request additional budgetary information from an applicant when necessary for clarification or to make informed preaward determinations under 10 CFR part 600.

(5) Any preaward assurances required pursuant to 10 CFR parts 600 and 605.

(c) Applications for a renewal award must be submitted in an original and seven copies, except that State governments, local governments, or Indian tribes are required to submit only an original and two copies. (Approved by OMB under OMB Control Numbers 0348-00050348-0009).

(d) The application must be signed by an official who is authorized to act for the applicant organization and to commit the applicant to comply with the terms and conditions of the award, if one is issued, or if unaffiliated, by the individual applicant. (See $ 605.19(a)(1) for requirements on continuation awards.)

(e) All applications which involve research, development, or demonstration activities when such activities:

(1) Have a unique geographic focus and are directly relevant to the govern mental responsibilities of a State or local government within the geographic area;

(2) Necessitate the preparation of an Environmental Impact Statement under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq. (1976)); or

(3) Are to be initiated at a particular site or location and require unusual measures to limit the possibility of adverse exposure or hazard to the general public, are subject to the provisions of Executive Order 12372 and 10 CFR part 1005. Anyone planning to submit such applications should contact ER for further information about compliance requirements.

(1) DOE may return an application which does not include all information and documentation required by statote, this part, 10 CFR part 600 or the notice of availability, when the nature of the omission precludes review of the application.

(g) During the review of the complete application, DOE may request the submission of additional information only if the information is essential to evaluate the application.

(h) In addition to including the information described in paragraphs (b), (c), and (d) of this section, an application for a renewal award must be submitted

no later than six months prior to the scheduled expiration of the project period and must be on the same forms and include the same type of information as that required for initial applications. The renewal application must outline and justify a program and budget for the proposed project period, showing in detail the estimated cost of the proposed project, together with an indication of the amount of funds needed and the amount of cost sharing, if any. The application also shall describe and explain the reasons for any change in the scope or objectives of the proposed project, and shall compare and explain any difference between the estimates in the proposed budget and actual costs experienced as of the date of the application.

(i) DOE is not required to return to the applicant an application which is not selected or funded.

(j) Renewal applications must include a separate section that describes the results of work accomplished through the date of the renewal application and how such results relate to the activities proposed to be undertaken in the renewal period.


$ 605.10 Application evaluation and se

lection. (a) Applications shall be evaluated for funding generally within 6 months but, in any event, no later than 12 months from the date of receipt by DOE. After DOE has held an application for 6 months, the applicant may, in response to DOE's request, be required to revalidate the terms of the original application.

(b) DOE staff shall perform an initial evaluation of all applications to ensure that the information required by this part is provided, that the proposed effort is technically sound and feasible, and that the effort is consistent with program funding priorities. For applications which pass the initial evaluation, DOE shall review and evaluate each application received based on the criteria set forth below and in accordance with the Merit Review System developed as required under DOE Financial Assistance Regulations, 10 CFR part 600.

(c) DOE shall select evaluators on the Special Terms and Conditions of a basis of their professional qualifica- award. tions and expertise. Evaluators shall be (b) A recipient performing researc required to comply with all applicable involving recombinant DNA molecule DOE rules or directives concerning the and/or organisms and viruses COI use of outside evaluators.

taining recombinant DNA molecule (d) DOE shall evaluate new and re shall comply with the National Inst newal applications based on the fol tutes of Health “Guidelines for RA lowing criteria which are listed in de search Involving Recombinant DN scending order of importance:

Molecules" (51 FR 16958, May 7, 1986 (1) Scientific and/or technical merit

or such later revision of those guide or the educational benefits of the

lines as may be published in the FEI project;

ERAL REGISTER. (The guidelines ar (2) Appropriateness of the proposed

available from the Office of Recon method or approach;

binant DNA Activities, National Insti (3) Competency of applicant's per

tutes of Health, Building 31, room 4B1)

Bethesda, Maryland 20892.) sonnel and adequacy of proposed re

(c) Any recipient performing researc sources;

on warm-blooded animals shall compl; (4) Reasonableness and appropriate

with the Federal Laboratory Anima ness of the proposed budget; and

Welfare Act of 1966, as amended (5) Other appropriate factors estab

U.S.C. 2131 et seq.) and the regulation lished and set forth by ER in a notice

promulgated thereunder by the Sec of availability or in a specific solicita

retary of Agriculture at 9 CFR chapter tion.

I, subchapter A, pertaining to the care (e) Also, DOE shall consider, as part

handling, and treatment of warn of the evaluation, other available ad

blooded animals held or used for revice or information as well as program

search, teaching, or other activities policy factors such as ensuring an ap

supported by Federal awards. The repropriate balance among the program

cipient shall comply with the guideareas listed in 8605.5(b) of this part.

lines described in DHHS Publication (f) In addition to the evaluation cri

No. (NIH) 86-23, “Guide for the Care teria set forth in paragraphs (d) and (e)

and Use of Laboratory Animals," or of this section, DOE shall consider the

succeeding revised editions. (This guide recipient's performance under the ex

is available from the Office for Protecisting award during the evaluation of a

tion from Research Risks, Office of the renewal application.

Director, National Institutes of Health, (g) Selection of applications for

Building 31, room 4B09, Bethesda, award will be based upon the findings Maryland 20205.) of the technical evaluations, the importance and relevance of the proposed $605.12 Funding. application to ER's mission, and fund

(a) The project period during which availability. Cost reasonableness and

DOE expects to provide support for an realism will also be considered to the

approved project under this part shall extent appropriate.

generally not exceed 3 years and may (h) After the selection of an applica exceed 5 years only if DOE makes a retion, DOE may, if necessary, enter into newal award or otherwise extends the negotiation with an applicant. Such

award. The project period shall be specnegotiations are not a commitment ified on the Notice of Financial Assistthat DOE will make an award.

ance Award (DOE Form 4600.1).

(b) Each budget period, of an award $ 605.11 Additional requirements.

under this part, shall generally be 12 (a) A recipient performing research, months and may be as much as 24 development, or related activities in- months as determined appropriate by volving the use of human subjects must comply with DOE regulations in 10 CFR part 745. “Protection of Human 8605.13 Cost sharing. Subjects,” and any additional provi- Cost sharing is not required nor will sions which may be included in the it be considered as a criterion in the


evaluation and selection process unless ment of a fee by DOE would be approotherwise provided under $ 605.10(d)(5). priate.

(c) If the Contracting Officer deter$605.14 Limitation of DOE liability. mines that payment of a fee is approAwards under this part are subject to

priate under paragraph (a) of this secthe requirement that the maximum tion, the amount of fee shall be that DOE obligation to the recipient is the

determined to be reasonable by the

determined amount shown in the Notice of Finan

Contracting Officer. The Contracting cial Assistance Award as the amount of Officer shall, at a minimum, apply the DOE funds obligated. DOE shall not be following guidelines in determining the obligated to make any additional, sup

fee amount: plemental, continuation, renewal or (1) The fee base shall include the estiother awards for the same or any other

mated allowable cost of direct salaries purpose.

and wages and allocable fringe bene

fits. This fee base shall exclude all $605.15 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 which 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

amount of salaries, wages, and alloconcern to participate in the ER Fi

cable fringe benefits under a cost reimnancial Assistance Program. Whether or not it is appropriate to pay a fee

bursement contract. shall be determined by the Contracting

(3) Fee amounts, determined pursuOfficer who shall, at a minimum, apply

ant to paragraphs (c)(1) and (c)(2) of the following guidelines:

this section, shall be appropriately re(1) Whether the acceptance of an

duced when: award will displace other work the

(i) Advance payments are provided; small business is currently engaged in

and/or or committed to assume in the near fu

(ii) Title to property acquired with ture; or

DOE funds vests in the recipient (10 (2) Whether the acceptance of an

CFR part 600). award will, in the absence of paying a

(d) Notwithstanding 10 CFR part 600, fee, cause substantial financial distress

any fee awarded shall be a fixed fee and to the business. In evaluating financial

shall be payable on an annual basis in distress, the Contracting Officer shall

proportion to the work completed, as balance current displacement against

determined by the Contracting Officer, reasonable future benefit to the com

upon satisfactory submission and acpany. (If the award will result in the

ceptance by DOE of the progress rebeneficial expansion of the existing

port. If the project period is shortened business base of the company, then no

due to termination, or the project pelee would generally be appropriate.)

riod is not fully funded, the fee shall be Fees shall not be paid to other entities reduced by an appropriate amount. except as a deviation from 10 CFR part 600, nor shall fees be paid under awards

8 605.16 Indirect cost limitations. in support of conferences.

Awards issued under this part for (b) To request a fee, a small business conferences and scientific/technical concern shall submit with its applica- meetings will not include payment for tion a written self certification that it indirect costs. 18 a small business concern qualified under the criteria and size standards in

8 605.17 [Reserved] 13 CFR part 121. In addition, the application must state the amount of fee re

$ 605.18 National security. quested for the entire project period Activities under ER's Financial Asand the basis for requesting the sistance Program shall not involve amount, and must also state why pay- classified information (i.e., Restricted


Data, formerly Restricted Data, Na- mit a satisfactory progress report in tional Security Information). However, order to receive continuation awards if in the opinion of the recipient or for the remainder of the project period. DOE such involvement becomes ex- The original and two copies of the repected prior to the closeout of the quired report (generally not to exceed award, the recipient or DOE shall no two pages per project or task) must be tify the other in writing immediately. submitted to the ER program manager If the recipient believes any informa 90 days prior to the anticipated contion developed or acquired may be clas tinuation funding date and contain the

able, the recipient shall not provide following information on the first the potentially classifiable information page, provide the project title, printo anyone, including the DOE officials cipal investigator/project director with whom the recipient normally name, period of time report covers, communicates, except the Director of name and address of recipient organizaClassification, and shall protect such tion, DOE award number, the amount information as if it were classified of unexpended funds, if any, that are until notified by DOE that a deter- anticipated to be left at the end of the mination has been made that it does current budget period, and if the not require such handling. Correspond- amount exceeds 10 percent of the funds ence which includes the specific infor- available for the budget period, provide mation in question shall be sent by information as to why the excess funds registered mail to U.S. Department of are anticipated to be available and how Energy, Attn: Director of Classifica they will be used in the next budget petion, DP-32, Washington, DC 20585. If riod. Report should state whether aims the information is determined to be have changed from original application classified, the recipient may wish to and if they have, provided revised aims. discontinue the project in which case Include results of work to date. Emthe recipient and DOE shall terminate phasize findings and their significance the award by mutual agreement. If the to the field, and any real or anticipated award is to be terminated, all material problems. A completed budget page deemed by DOE to be classified shall be must be submitted with the continuforwarded to DOE, in a manner speci- ation progress report when a change to fied by DOE, for proper disposition. If anticipated future costs will exceed 25 the recipient and DOE wish to continue percent of the original recommended the award, even though classified infor future budget. mation is involved, the recipient shall (2) Notice of Energy R&D Project. A be required to obtain both personnel Notice of Energy R&D Project, DOE and facility security clearances Form 1430.22, which summarizes the through the Office of Safeguards and purpose and scope of the project, must Security for Headquarters awards, or be submitted in accordance with the from the cognizant field office Division Distribution and Schedule of Docuof Safeguards and Security for awards ments set forth at the end of this secobtained through DOE field organiza- tion. Copies of the form may be obtions. Costs associated with handling tained from a DOE Contracting Office. and protecting any such classified in (3) Special reports. The recipient shall formation shall be negotiated at the report the following events to DOE as time that the determination to proceed soon after they occur as possible: is made.

(i) Problems, delays, or adverse con

ditions which will materially affect the 8 605.19 Continuation funding and re ability to attain project objectives, or porting requirements.

prevent the meeting of time schedules (a) A recipient shall periodically re and goals. The report must describe the port to DOE on the project's progress remedial action the recipient has in meeting the project objectives of the taken or plans to take and any action award. The following types of reports DOE should take to alleviate the probshall be used:

lems. (1) Progress reports. After issuance of (ii) Favorable developments or events an initial award and if future support which enable meeting time schedules is recommended, recipients must sub- and goals sooner or at less cost than

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