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Business Daily when potential applicants include for-profit organizations or when there is the potential for sig. nificant contracting opportunities under the resulting financial assistance awards.
(b) Subawards. In accordance with the provisions of the applicable statute and program rules, if a DOE financial assistance program involves the award of financial assistance by a recipient to a subrecipient, the recipient shall provide sufficient advance notice so that potential subrecipients may prepare timely applications and secure prerequisite reviews and approvals.
(c) Contents of solicitation. Each solicitation shall provide information as may be necessary to allow potential applicants to decide whether to submit an application, to understand how applications will be evaluated, and to know what the obligations of a recipient would be. At a minimum, each solicitation must include:
(1) A control number assigned by the issuing DOE office;
(2) The amount of money available for award and, if appropriate, the expected size of individual awards broken down by areas of priority or emphasis, and the expected number of awards;
(3) The type of award instrument or instruments to be used;
(4) The Catalog of Federal Domestic Assistance number for the program;
(5) Who is eligible to apply;
(6) The expected duration of DOE support or the period of performance;
(7) An application form or the format to be used, location for application submission, and number of copies required;
(8) The name of the responsible DOE Contracting Officer (or, for program notices or solicitations issued by the program office, the program office contact) to contact for additional information, and, as appropriate, an address where application forms may be obtained;
(9) Whether loans are available under the DOE Minority Economic Impact (MEI) loan program, 10 CFR part 800, to finance the cost of preparing a financial assistance application, and, if MEI loans are available, a general description of the eligibility requirements for such a loan, a reference to Catalog of Federal Domestic Assistance Number
81.063, and the name and address of the DOE office from which additional information and loan application forms can be obtained;
(10) Appropriate periods or due for submission of applications and a statement describing the consequences of late submission. If programs have established a series of due dates to allow for the comparison of applications against each other, these dates shall be indicated in the solicitation;
(11) The types of projects or activities eligible for support;
(12) Evaluation criteria and the weight or relative importance of each, which may include one or more of the following or other criteria, as appropriate:
(i) Qualifications of the applicant's personnel who will be working on the project;
(ii) Adequacy of the applicant's facilities and resources;
(iii) Cost-effectiveness of the project;
(iv) Adequacy of the project plan or methodology;
(v) Management capability of the applicant;
(vi) Sources of financing available to the project. Any requirement concerning cost sharing shall be clearly stated (See also $ 600.30, Cost Sharing). Cost sharing is generally encouraged. However, unless cost sharing is required by the solicitation, it shall not be considered in the evaluation process and shall be considered only at the time the award is negotiated.
(vii) Relationship of the proposed project to the objectives of the solicitation;
(13) A listing of program policy factors, if any, indicating the relative importance of each, if appropriate. Examples of program policy factors are:
(i) Geographic distribution;
(ii) Diverse types and sizes of applicant entities;
(iii) A diversity of methods, approaches, or kinds of work; and
(iv) Projects which are complementary to other DOE programs or projects;
(14) References to or copies of:
(i) Statutory authority for the program;
(ii) Applicable rules, including the appropriate subparts of this part;
(iii) Other terms and conditions ap (1) A brief description of the areas of plicable to awards to be made under interest for which DOE may provide fithe solicitation, including allowable nancial assistance; and unallowable costs and reporting re (2) A statement about how resulting quirements;
applications will be evaluated and the (iv) Policies and procedures for pat criteria for selection and funding; ents, data, copyrights, audiovisual pro (3) An expiration date with an explaductions and exhibits;
nation that such a date does not rep(v) Any required assurances not in
resent a common deadline for applicacluded in the application form;
tions but rather that applications may (15) The deadline for submission of
be submitted at any time before the required or optional preapplications;
notice expires; and (16) Date, time, and location of any
(4) The location for application subbriefing for applicants;
mission. (17) Required presubmission reviews
$ 600.10 Form and content of applicaand clearances, including a statement
tions. as to whether review under E.O. 12372, "Intergovernmental Review of Federal
(a) General. Applications shall be rePrograms", is required.
quired for all financial assistance (18) Dates by which selections and
projects or programs. awards are expected to be made and
(b) Forms. Applications shall be on
the form and in the number of copies whether unsuccessful applications will
specified in a program rule, the solicibe returned to the applicant or be re
tation, or these regulations. (See also tained by DOE and for what period of
$$ 600.112 and 600.210.) For unsolicited time;
applications, a guide for preparation (19) A statement that DOE is under
and submission is available from U.S. no obligation to pay for any costs asso
Department of Energy, Federal Energy ciated with preparation or submission
Technology Center, Attn: Unsolicited of applications if an award is not made.
Proposal Manager, Post Office Box If an award is made, such costs may be
10940, Pittsburgh, PA, 15236-0940. allowable as provided in the applicable
(c) Contents of an application. In gencost principles (See S$ 600.127 and
eral, a financial assistance application 600.222);
shall include: (20) A statement that DOE reserves
(1) A facesheet containing basic identhe right to fund, in whole or in part, tifying information. The facesheet any, all, or none of the applications shall be the Standard Form (SF)424 or submitted in response to the solicita- other approved DOE application form; tion; and
(2) A detailed narrative description of (21) Any other relevant information,
the proposed project, including the obincluding explanatory information orjectives of the project and the applifactual basis for justifications required cant's plan for carrying it out; by this part.
(3) A budget with supporting jus
tification, and $ 600.9 Notice of program interest.
(4) Any required preaward assur(a) General. (1) DOE may publish peri- ances. odic Notices of Program Interest in the (d) Incomplete applications. DOE may FEDERAL REGISTER and other media, as return an application that: appropriate, which describes broad (1) Is not signed, either in writing or general, technical problems and areas electronically, by an official authorof investigation for which DOE mayized to bind the applicant; or award grants or cooperative agree (2) Omits any information or documents.
mentation required by statute, pro(2) DOE shall evaluate any applica gram rule, or the solicitation, if the tion submitted under a Notice of Pro- nature of the omission precludes regram Interest as an unsolicited appli- view of the application. cation.
(e) Supplemental information. During (b) Contents. The notice shall include: the review of a complete application,
(3) 1992 Amendments to the Stand: Building Code, of the Southern Bui ing Code Congress International.
DOE may request the submission of additional information only if the information is essential to evaluate the application. (61 FR 7166, Feb. 26, 1996, as amended at 64 FR 56420, Oct. 20, 1999)
$ 600.13 Merit review.
(a) It is the policy of DOE that d cretionary' financial assistance awarded through a merit-based sele tion process. A merit review means thorough, consistent, and objective € amination of applications based on pi established criteria by persons who a independent of those submitting t applications and who are knowledg able in the field of endeavor for whi support is requested.
(b) Each program office must esta lish a merit review system covering tl financial assistance programs it a ministers. Merit review of financial a sistance applications is intended to 1 advisory and is not intended to repla the authority of the project/progra official with responsibility for decidir whether an award will be made. [64 FR 56420, Oct. 20, 1999]
$ 600.11 Intergovernmental review.
Intergovernmental review of DOE financial assistance shall be conducted in accordance with 10 CFR part 1005. 8 600.12 Generally applicable require
ments. (a) Except as expressly exempted by Federal statute or program rule, recipients and subrecipients of DOE financial assistance shall comply with all generally applicable requirements to which they are subject. Generally applicable requirements include, but are not limited to, the requirements of this part, Federal statutes, the OMB Circulars and other Governmentwide guidance implemented by this part, Executive Orders, and the requirements identified in appendix A of this part.
(b) Provisions shall be made to design and construct all buildings, in which DOE funds are used, to meet appropriate seismic design and construction standards. Seismic codes and standards meeting or exceeding the provisions of each of the model codes listed in this paragraph are considered to be appropriate for purposes of this part. These codes provide a level of seismic safety that is substantially equivalent to the National Earthquake Hazards Reduction Program (NEHRP) Recommended Provisions for the Development of Seismic Regulations for New Buildings, 1988 Edition (Federal Emergency Management Administration 222 and 223). Revisions of these model codes that are substantially equivalent to or exceed the then current or immediately preceding edition of the NEHRP Recommended Provisions (which are updated triennially) shall be considered to be appropriate standards. The model codes are as follows:
(1) 1991 Uniform Building Code, of the International Council of Building Officials,
(2) 1992 Supplement to the National Building Code, of the Building Official and Code Administrators International.
(a) General. Information contained i applications shall be used only fc evaluation purposes unless such info, mation is generally available to th public or is already the property of th Government. The Trade Secrets Act, 1 U.S.C. 1905, prohibits the unauthorize disclosure by Federal employees C trade secret and confidential busines information.
(b) Treatment of application informa tion. (1) An application may includ technical data and other data, includ ing trade secrets and/or privileged o confidential commercial or financia information, which the applicant doe not want disclosed to the public o. used by the Government for any pur pose other than application evaluation To protect such data, the applicant should specifically identify each page including each line or paragraph there. of containing the data to be protected and mark the cover sheet of the application with the following Notice as well as referring to the Notice on each page to which the Notice applies:
Notice of Restriction on Disclosure and Use
of Data The data contained in pages of this application have been submitted in confidence and contain trade secrets or proprietary information, and such data shall be used or disclosed only for evaluation purposes, provided that if this applicant receives an award as a result of or in connection with the submission of this application, DOE shall have the right to use or disclose the data herein to the extent provided in the award. This restriction does not limit the Government's right to use or disclose data obtained without restriction from any source, including the applicant.
(2) Unless a solicitation specifies otherwise, DOE shall not refuse to consider an application solely on the basis that the application is restrictively marked.
(3) Data (or abstracts of data) marked with the Notice under paragraph (b)(1) of this section shall be retained in confidence and used by DOE or its designated representatives as specified in $ 600.13 solely for the purpose of evaluating the proposal. The data so marked shall not be disclosed or used for any other purpose except to the extent provided in any resulting award, or to the extent required by law, including the Freedom of Information Act (5 U.S.C. 552) (10 CFR part 1004). The Government shall not be liable for disclosure or use of unmarked data and may use or disclose such data for any purpose.
(4) The Government shall obtain unlimited rights in the technical data contained in any application which results in an award except those portions of the technical data which the applicant asserts and properly marks as proprietary data, or which are not directly related to or will not be utilized in the project and are deleted from the application with the concurrence of DOE.
(5) The clause at 48 CFR 52.227–23, which applies only to technical data and not to other data such as privileged or confidential commercial or financial information shall apply to every award.
signed, either in writing or electronically, by a DOE Contracting Officer.
(b) DOE funds awarded under a grant or cooperative agreement shall be obligated as of the date the DOE Contracting Officer signs the award; however, the recipient is not authorized to incur costs under an award prior to the beginning date of the budget period shown in the award except as may be authorized in accordance with 88 600.125(e) or 600.230 of this part. The duration of the DOE financial obligation shall not extend beyond the expiration date of the budget period shown in the award unless authorized by a DOE Contracting Officer by means of a continuation or renewal award or other extension of the budget period. $ 600.17 Contents of award.
Each financial assistance award shall be made on a Notice of Financial Assistance Award (DOE F 4600.1) which contains basic identifying and funding information together with attachments including a budget, any special terms and conditions, and any other provisions necessary to establish the respective right, duties, obligation, and responsibilities of DOE and the recipient, consistent with the requirements of this part.
$ 600.18 Recipient acknowledgement of
award. (a) After signature by the DOE Contracting Officer, the award shall be sent to the recipient. The recipient shall acknowledge acceptance by returning a copy signed either in writing or electronically. No DOE funds shall be disbursed until the award document signed by the recipient is received by DOE.
(b) In the event a recipient declines an award, DOE shall deobligate the funds obligated by the award after providing the applicant with at least two weeks written notice of DOE's intention to deobligate.
(c) After the recipient acknowledges the award, the terms and conditions of the award may be amended only upon the written request or with the written concurrence of the recipient unless the amendment is one which DOE may make unilaterally in accordance with a program rule or this part.
$600.16 Legal authority and effect of
an award. (a) A DOE financial assistance award is valid only if it is in writing and is
8600.19 Notification to unsuccessful
applicants. DOE shall promptly notify in writing each applicant whose application has not been selected for award or whose application cannot be funded because of the unavailability of appropriated funds. If the application was not selected, the written notice shall briefly explain why the application was not selected and, if for grounds other than unavailability of funds, shall offer the unsuccessful applicant the opportunity for a more detailed explanation upon request.
8600.20 Maximum DOE obligation.
(a) The maximum DOE obligation to the recipient is
(1) For monetary awards, the amount shown in the award as the amount of DOE funds obligated, and
(2) Any designated property.
(b) DOE shall not be obligated to make any additional, supplemental, continuation, renewal, or other award for the same or any other purpose. $ 600.21 Access to records.
(a) In addition to recipient and subrecipient responsibilities relative to access to records specified in $$ 600.153 and 600.242, for any negotiated contract or subcontract in excess of $10,000 under a grant or cooperative agreement, DOE, the Comptroller General of the United States, the recipient and the subrecipient (if the contract was
rded under a financial assistance subaward), or any of their authorized representatives shall have the right of access to any books, documents, papers, or other records of the contractor or subcontractor which are pertinent to that contract or subcontract, in order to make audit, examination, excerpts, and copies.
(b) The right of access may be exercised for as long as the applicable records are retained by the recipient, subrecipient, contractor, or subcontractor.
ing resolution through an alternative dispute resolution mechanism, shall be preferred over formal procedures available in 10 CFR Part 1024, to the extent practicable.
(b) Alternative dispute resolution (ADR). Before issuing a final determination in any dispute in which informal resolution has not been achieved, the Contracting Officer shall suggest that the other party consider the use of voluntary consensual methods of dispute resolution, such as mediation. The DOE dispute resolution specialist is available to provide assistance for such disputes, as are trained mediators of other federal agencies. ADR may be used at any stage of a dispute.
(c) Final determination. Whenever a dispute is not resolved informally or through an alternative dispute resolution process, DOE shall mail (by certified mail) a brief written determination signed by a Contracting Officer, setting forth DOE's final disposition of such dispute. Such determination shall contain the following information:
(1) A summary of the dispute, including a statement of the issues and of the positions taken by the Department and the party or parties to the dispute; and
(2) The factual, legal and, if appropriate, policy reasons for DOE's disposition of the dispute.
(d) Right of appeal. (1) Except as provided in paragraph (f)(1) of this section, the final determination under paragraph (c) of this section may be appealed to the Financial Assistance Appeals Board (the Board) in accordance with the procedures set forth in 10 CFR part 1024.
(2) If the final determination under paragraph (c) of this section involves a dispute over which the Board has jurisdiction as provided in paragraph (f(2) of this section, the Contracting Officer's determination shall state that, with respect to such dispute, the determination shall be the final decision of the Department unless, within 60 days, a written notice of appeal is filed.
(3) If the final determination under paragraph (c) of this section involves a dispute over which the Board has no jurisdiction as provided in paragraph (f)(1) of this section, the Contracting Officer's determination shall state that, effective immediately or on a
$ 600.22 Disputes and appeals.
(a) Informal dispute resolution. Whenever practicable, DOE shall attempt to resolve informally any dispute over the award or administration of financial assistance. Informal resolution, includ