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600.172 Subsequent adjustments and con

tinuing responsibilities. 600.173 Collection of amounts due.

ADDITIONAL PROVISIONS 600.180 Purpose. 600.181 Special provisions for Small Busi

ness Innovation Research Grants. APPENDIX A TO SUBPART B TO PART 600_CON


Suboart c-Uniform Administrative Re

quirements for Grants and cooperative Agreements to State and Local Governments

600.251 Later disallowances and adjust

ments. 600.252 Collection of amounts due.

Entitlements (Reserved]

Subpart D-E [Reserved) Subpart 7-Eligibility Determination for Cer

tain Financial Assistance Programs

General Statement of Policy 600.500 Purpose and scope. 600.501 Definitions. 600.502 What must DOE determine. 600.503 Determining the economic interest

of the United States. 600.504 Information an applicant must sub

mit. 600.505 Other information DOE may con



DISTRIBUTEES AUTHORITY: 42 U.S.C. 7101 et seq; 31 U.S.C. 6301-6308; 50 U.S.C. 2401 et seq., unless otherwise noted.


600.200 Purpose and scope of this subpart.
600.201 Scope of 88600.200 through 600.205.
600.202 Definitions.
600.203 Applicability.
600.204 Effect on other issuances.
600.205 Additions and exceptions.

PRE-AWARD REQUIREMENTS 600.210 Forms for applying for grants. 600.211 State plans. 600.212 Special grant or subgrant conditions

for "high- risk” recipients.

Subpart A-General


Financial Administration 600.220 Standards for financial management

systems. 600.221 Payment. 600.222 Allowable costs. 600.223 Period of availability of funds. 600.224 Matching or cost sharing. 600.225 Program income. 600.226 Non-Federal audit.

Changes, Property, and Subawards 600.230 Changes. 600.231 Real property. 600.232 Equipment. 600.233 Supplies. 600.234 Copyrights. 600.235 Subawards to debarred and sus

pended parties. 600.236 Procurement. 600.237 Subgrants.

Reports, Records Retention, and Enforcement 600.240 Monitoring and reporting program

performance. 600.241 Financial reporting. 600.242 Retention and access requirements

for records. 600.243 Enforcement. 600.244 Termination for convenience.

After-the-Grant Requirements 600.250 Closeout.

SOURCE: 61 FR 7166, Feb. 26, 1996, unless otherwise noted. $ 600.1 Purpose.

This part implements the Federal Grant and Cooperative Agreement Act, Pub. L. 95–224, as amended by Pub. L. 97–258 (31 U.S.C. 6301-6308), and establishes uniform policies and procedures for the award and administration of DOE grants and cooperative agreements. This subpart (Subpart A) sets forth the policies and procedures applicable to the award and administration of grants and cooperative agreements. $ 600.2 Applicability.

(a) Except as otherwise provided by Federal statute or program rule, this part applies to applications, solicitations, and new, continuation, and renewal awards (and any subsequent subawards).

(b) Any new, continuation, or renewal award (and any subsequent subaward) shall comply with any applicable Federal statute, Federal rule, Office of Management and Budget (OMB) Circular and Governmentwide guidance in effect as of the date of such award.

(c) Financial assistance to foreign Merit review means a thorough, conentities is governed, to the extent ap- sistent, and objective examination of propriate, by this part and by the ad applications based on pre-established ministrative requirements and cost criteria by persons who are indeprinciples applicable to their respec- pendent of those submitting the applitive recipient type, e.g, governmental, cations and who are knowledgeable in non-profit, commercial.

the field of endeavor for which support

is requested. $ 600.3 Definitions.

Nonprofit organization means any corAmendment means the written docu- poration, trust, foundation, or institument executed by a DOE contracting tion which is entitled to exemption officer that changes one or more terms under section 501(c)(3) of the Internal or conditions of an existing financial Revenue Code, or which is not orgaassistance award.

nized for profit and no part of the net Award means the written document earnings of which inure to the benefit executed by a DOE Contracting Officer, of any private shareholder or indiafter an application is approved, which vidual (except that the definition of contains the terms and conditions for “nonprofit organization' at 48 CFR providing financial assistance to the 27.301 shall apply to the use of the patrecipient.

ent clause at Section 600.27). Budget period means the interval of Program rule means a rule issued by a time, specified in the award, into which DOE program office for the award and a project is divided for budgeting and administration of financial assistance funding purposes.

which may describe the program's purContinuation award means an award pose or objectives, eligibility requirefor a succeeding or subsequent budget ments for applicants, types of program period after the initial budget period of activities or areas to be supported, either an approved project period or re- evaluation and selection process, cost newal thereof.

sharing requirements, etc. These rules Contract means a written procure usually supplement the generic policies ment contract executed by a recipient and procedures for financial assistance or subrecipient for the acquisition of contained in this part. property or services under a financial Project means the set of activities deassistance award.

scribed in an application, State plan, Contracting Officer means the DOE of- or other document that is approved by ficial authorized to execute awards on DOE for financial assistance (whether behalf of DOE and who is responsible such financial assistance represents all for the business management and non- or only a portion of the support necprogram aspects of the financial assist- essary to carry out those activities.) ance process.

Project period means the total period DOE Patent Counsel means the De- of time indicated in an award during partment of Energy Patent Counsel as- which DOE expects to provide financial sisting the Contracting Officer in the assistance. A project period may conreview and coordination of patents and sist of one or more budget periods and data related items.

may be extended by DOE. Financial assistance means the trans- Recipient means the organization, infer of money or property to a recipient dividual, or other entity that receives or subrecipient to accomplish a public an award from DOE and is financially purpose of support or stimulation au- accountable for the use of any DOE thorized by Federal statute. For pur funds or property provided for the perposes of this part, financial assistance formance of the project, and is legally instruments are grants and cooperative responsible for carrying out the terms agreements and subawards.

and conditions of the award. Head of Contracting Activity or HCA Renewal award means an award which means a DOE official with senior man- adds one or more additional budget peagement authority for the award and riods to an existing project period. administration of financial assistance Research and development means all instruments within one or more DOE research activities, both basic and aporganizational elements.

plied, and all development activities

that are supported at universities, col (c) Approval procedures. (1) A devileges, and other non-profit institutions ation request must be in writing and and commercial organizations. "Re- must be submitted to the responsible search" is defined as a systematic DOE Contracting Officer. An applicant study directed toward fuller scientific for a subaward or a subrecipient shall knowledge or understanding of the sub- submit any such request through the ject studied. The term research also in recipient. cludes activities involving the training (2) Except as provided in paragraph of individuals in research techniques (c)(3) of this sectionwhere such activities utilize the same (i) A single-case deviation may be aufacilities as other research and devel thorized by the responsible HCA. Any opment activities and where such ac proposed single-case deviation from the tivities are not included in the instruc requirements of $ 600.27 concerning pattion function. “Development" is the ents or data shall be referred to the systematic use of knowledge and un DOE Patent Counsel for review and derstanding gained from research di concurrence prior to submission to the rected toward the production of useful HCA. materials, devices, systems, or meth (ii) A class deviation may be authorods, including design and development ized by the Director, Procurement and of prototypes and processes.

Assistance Management or designee.

Any proposed class deviation from the (61 FR 7166, Feb. 26, 1996, as amended at 64

requirements of $ 600.27 concerning patFR 56420, Oct. 20, 1999)

ents or data shall be forwarded through $ 600.4 Deviations.

the Assistant General Counsel for (a) General. (1) A deviation is the use

Technology Transfer and Intellectual of any policy, procedure, form, stand

Property or designee.

(3) Whenever the approval of OMB, ard, term, or condition which varies

other Federal agency, or other DOE offrom a requirement of this part, or the

fice is required to authorize a deviwaiver of any such requirement, unless

ation, the proposed deviation must be such use or waiver is authorized or precluded by Federal statute. The use of

submitted to the Director, Procure

ment and Assistance Management or optional or discretionary provisions of

designee for concurrence prior to subthis part, including special restrictive

mission to the authorizing official. conditions used in accordance with $$ 600.114 and 600.212, are not deviations.

(d) Notice. Whenever a request for a

class deviation is approved, DOE shall Awards to foreign entities and the

publish a notice in the FEDERAL REGwaiver of the cost sharing requirements in 8600.30 or the patent require

ISTER at least 15 days before the class

deviation becomes effective. Whenever ments of $ 600.27 are not subject to this

a class deviation is contained in a prosection. (2) A single-case deviation is a devi

posed program rule, the preamble to

the proposed rule shall describe the ation which applies to one financial assistance transaction and one applicant,

purpose and scope of the deviation.

(e) Subawards. A recipient may use a recipient, or subrecipient only.

deviation in a subaward only with the (3) A class deviation is a deviation

prior written approval of a DOE Conwhich applies to more than one financial assistance transaction, applicant,

tracting Officer. recipient, or subrecipient.

161 FR 7166, Feb. 26, 1996, as amended at 64 (b) The DOE officials specified in FR 56420, Oct. 20, 1999) paragraph (c) of this section may authorize a deviation only upon a written

8600.5 Selection of award instrument. determination that the deviation is

(a) If DOE has administrative discre(1) Necessary to achieve program ob- tion in the selection of the award injectives;

strument, the DOE decision as to (2) Necessary to conserve public whether the relationship is principally funds;

one of procurement or financial assist(3) Otherwise essential to the public ance shall be made pursuant to the interest; or

Federal Grant and Cooperative Agree(4) Necessary to achieve equity.

ment Act as codified at 31 U.S.C. 63016306. A grant or cooperative agreement $600.6 Eligibility. shall be the appropriate instrument, in

(a) General. DOE shall solicit applicaaccordance with this part, when the

tions for financial assistance in a manprincipal purpose of the relationship is

ner which provides for the maximum the transfer of money or property to

amount of competition feasible. accomplish a public purpose of support

(b) Restricted eligibility. If DOE reor stimulation authorized by Federal stricts eligibility, an explanation of statute. In selecting the type of finan why the restriction of eligibility is cial assistance instrument, DOE shall considered necessary shall be included limit involvement between itself and in the solicitation, program rule, or the recipient in the performance of a published notice. Except when authorproject to the minimum necessary to ized by statute or program rule, if the achieve DOE program objectives.

aggregate amount of DOE funds avail(b) When it is anticipated that sub able for award under a solicitation or stantial involvement will be necessary

published notice is $1,000,000 or more, between DOE and the recipient during

such restriction of eligibility shall be performance of the contemplated activ

supported by a written determination ity, the award instrument shall be a

initiated by the program office and ap

proved by an official no less than two cooperative agreement rather than a

levels above the initiating program ofgrant. Every cooperative agreement

ficial and concurred in by the Conshall explicitly state the substantial

tracting Officer and legal counsel. involvement anticipated between DOE

Where the amount of DOE funds is less and the recipient during the perform

than $1,000,000, the cognizant HCA and ance of the project. Substantial in

the Contracting Officer may approve volvement exists if:

the determination. (1) Responsibility for the manage

(c) Noncompetitive financial assistance. ment, control, or direction of the

DOE may award a grant or cooperative project is shared by DOE and the re agreement on a noncompetitive basis cipient; or

only if the application satisfies one or (2) Responsibility for the perform- more of the following selection criance of the project is shared by DOE teria: and the recipient.

(1) The activity to be funded is nec(c) Providing technical assistance or essary to the satisfactory completion guidance of a programmatic nature to of, or is a continuation or renewal of, a recipient does not constitute sub an activity presently being funded by stantial involvement if:

DOE or another Federal agency, and (1) the recipient is not required to

for which competition for support follow such guidance;

would have a significant adverse effect (2) the technical assistance or guid

on continuity or completion of the acance is not expected to result in con

tivity. tinuing DOE involvement in the per

(2) The activity is being or would be

conducted by the applicant using its formance of the project; or

own resources or those donated or pro(3) The technical assistance or guid

vided by third parties; however, DOE ance pertains solely to the administra

support of that activity would enhance tive requirements of the award.

the public benefits to be derived and (d) In cooperative agreements, DOE

DOE knows of no other entity which is has the right to intervene in the con

conducting or is planning to conduct duct or performance of project activi

such an activity. ties for programmatic reasons. Inter- (3) The applicant is a unit of governvention includes the interruption or ment and the activity to be supported modification of the conduct or per- is related to performance of a governformance of project activities. Suspen- mental function within the subject jusion or termination of the cooperative risdiction, thereby precluding DOE proagreement under $$ 600.162 and 600.243 vision of support to another entity. does not constitute intervention in the (4) The applicant has exclusive doconduct or performance of project ac- mestic capability to perform the activtivities.

ity successfully, based upon unique

equipment, proprietary data, technical $600.7 Small and disadvantaged and expertise, or other such unique quali women-owned business participafications.

tion. (5) The award implements an agree (a) DOE encourages the participation ment between the United States Gov in financial assistance awards of small ernment and a foreign government to

businesses, including those owned by fund a foreign applicant.

socially and economically disadvan(6) Time constraints associated with

taged individuals and women, of hisa public health, safety, welfare or na

torically black colleges, and of colleges tional security requirement preclude

and universities with substantial mi

nority enrollments. competition.

(b) For definitions of the terms in (7) The proposed project was sub

paragraph (a) of this section, see the mitted as an unsolicited proposal and

Higher Education Act of 1965, and 15 represents a unique or innovative idea,

U.S.C. 644, as amended by the Federal method, or approach which would not

Acquisition Streamlining Act (FASA), be eligible for financial assistance

and implementing regulations under under a recent, current, or planned so FASA issued by the Office of Federal licitation, and if, as determined by Procurement Policy. DOE, a competitive solicitation would (c) When entering into contracts not be appropriate.

under financial assistance awards, re(8) The responsible program Assist cipients and subrecipients shall comply ant Secretary, Deputy Administrator, with the requirements of Section or other official of equivalent author- 600.144 or Section 600.236, as applicable. ity determines that a noncompetitive

$ 600.8 Solicitation. award is in the public interest. This authority may not be delegated.

(a) General. A solicitation for finan(d) Approval requirements. Determina

cial assistance applications shall be in tions of noncompetitive awards shall

the form of a program rule or other

publicly available document which inbe approved, prior to award, by the ini

vites the submission of applications by tiating program official, by the respon

a common due date or within a presible program Assistant Secretary (or

scribed period of time. official of equivalent authority) or des

(1) A Program Assistant Secretary ignee, who shall be not less than two

(or official of equivalent authority) organizational levels above that of the

may annually issue a program notice project officer, by the Contracting Offi

describing research areas in which ficer and shall be concurred in by local

nancial assistance is being made availlegal counsel. Where the amount of able. Such notice shall also state DOE funds is less than $1,000,000 for a

whether the research areas covered by noncompetitive financial assistance the notice are to be added to those listaward, the determination shall be ap ed in a previously issued program rule. proved by the cognizant HCA and the If they are to be included, then applica

tracting Officer. Concurrence for a tions received as a result of the notice particular award or class of awards of may be treated as having been in re$1,000,000 or less may be waived by sponse to that previously published local legal counsel.

program rule. If they are not to be in(e) Documentation requirements. A de

cluded, then applications received in termination of noncompetitive finan

response to the notice are to be treated cial assistance (normally prepared by

as unsolicited applications. Solicitathe responsible program official) ex

tions may be issued by a DOE Con

tracting Officer or program office with plaining the basis for the proposed non

prior concurrence of the contracting competitive award shall be placed in

office. the award file.

(2) DOE shall publish either a copy or [61 FR 7166, Feb. 26, 1996, as amended at 64 a notice of the availability of a finanFR 56420, Oct. 20, 1999; 66 FR 34784, July 2, cial assistance solicitation in the FED2001)

ERAL REGISTER. DOE shall publish solicitations or notices in the Commerce

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