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(iii) Other terms and conditions applicable to awards to be made under the solicitation, including allowable and unallowable costs and reporting requirements;

(iv) Policies and procedures for patents, data, copyrights, audiovisual productions and exhibits;

(v) Any required assurances not included in the application form;

(15) The deadline for submission of required or optional preapplications;

(16) Date, time, and location of any briefing for applicants;

(17) Required presubmission reviews and clearances, including a statement as to whether review under E.O. 12372, "Intergovernmental Review of Federal Programs", is required.

(18) Dates by which selections and awards are expected to be made and whether unsuccessful applications will be returned to the applicant or be retained by DOE and for what period of time;

(19) A statement that DOE is under no obligation to pay for any costs associated with preparation or submission of applications if an award is not made. If an award is made, such costs may be allowable as provided in the applicable cost principles (See $8600.127 and 600.222);

(20) A statement that DOE reserves the right to fund, in whole or in part, any, all, or none of the applications submitted in response to the solicitation; and

(21) Any other relevant information, including explanatory information or factual basis for justifications required by this part. $600.9 Notice of program interest.

(a) General. (1) DOE may publish periodic Notices of Program Interest in the FEDERAL REGISTER and other media, as appropriate, which describes broad, general, technical problems and areas of investigation for which DOE may award grants or cooperative agreements.

(2) DOE shall evaluate any application submitted under a Notice of Program Interest as an unsolicited application.

(b) Contents. The notice shall include:

(1) A brief description of the areas of interest for which DOE may provide financial assistance;

(2) A statement about how resulting applications will be evaluated and the criteria for selection and funding;

(3) An expiration date with an explanation that such a date does not represent a common deadline for applications but rather that applications may be submitted at any time before the notice expires; and

(4) The location for application submission.

$ 600.10 Form and content of applica

tions. (a) General. Applications shall be required for all financial assistance projects or programs.

(b) Forms. Applications shall be on the form and in the number of copies specified in a program rule, the solicitation, or these regulations. (See also $$ 600.112 and 600.210.) For unsolicited applications, a guide for preparation and submission is available from U.S. Department of Energy, Federal Energy Technology Center, Attn: Unsolicited Proposal Manager, Post Office Box 10940, Pittsburgh, PA, 15236-0940.

(c) Contents of an application. In general, a financial assistance application shall include:

(1) A facesheet containing basic identifying information. The facesheet shall be the Standard Form (SF)424 or other approved DOE application form;

(2) A detailed narrative description of the proposed project, including the objectives of the project and the applicant's plan for carrying it out;

(3) A budget with supporting justification; and

(4) Any required preaward assurances.

(d) Incomplete applications. DOE may return an application that:

(1) Is not signed, either in writing or electronically, by an official authorized to bind the applicant; or

(2) Omits any information or documentation required by statute, program rule, or the solicitation, if the nature of the omission precludes review of the application.

(e) Supplemental information. During the review of a complete application,

DOE may request the submission of ad (3) 1992 Amendments to the Standard ditional information only if the infor- Building Code, of the Southern Buildmation is essential to evaluate the ap ing Code Congress International. plication. (61 FR 7166, Feb. 26, 1996, as amended at 64

$ 600.13 Merit review. FR 56420, Oct. 20, 1999)

(a) It is the policy of DOE that dis

cretionary financial assistance be 8600.11 Intergovernmental review.

awarded through a merit-based selecIntergovernmental review of DOE fi

tion process. A merit review means a nancial assistance shall be conducted

thorough, consistent, and objective exin accordance with 10 CFR part 1005.

amination of applications based on pre$ 600.12 Generally applicable require

established criteria by persons who are ments.

independent of those submitting the (a) Except as expressly exempted by

applications and who are knowledge

able in the field of endeavor for which Federal statute or program rule, recipients and subrecipients of DOE financial

support is requested. assistance shall comply with all gen

(b) Each program office must estaberally applicable requirements to

lish a merit review system covering the which they are subject. Generally ap

financial assistance programs it adplicable requirements include, but are ministers. Merit review of financial asnot limited to, the requirements of this sistance applications is intended to be part, Federal statutes, the OMB Circu advisory and is not intended to replace lars and other Governmentwide guid the authority of the project/program ance implemented by this part, Execu official with responsibility for deciding tive Orders, and the requirements iden whether an award will be made. tified in appendix A of this part. (b) Provisions shall be made to design

[64 FR 56420, Oct. 20, 1999) and construct all buildings, in which DOE funds are used, to meet appro

$ 600.15 Authorized uses of informa

tion. priate seismic design and construction standards. Seismic codes and standards (a) General. Information contained in meeting or exceeding the provisions of applications shall be used only for each of the model codes listed in this evaluation purposes unless such inforparagraph are considered to be appro mation is generally available to the priate for purposes of this part. These

public or is already the property of the codes provide a level of seismic safety Government. The Trade Secrets Act, 18 that is substantially equivalent to the

U.S.C. 1905, prohibits the unauthorized National Earthquake Hazards Reduc

disclosure by Federal employees of tion Program (NEHRP) Recommended

trade secret and confidential business Provisions for the Development of

information. Seismic Regulations for New Buildings,

(b) Treatment of application informa1988 Edition (Federal Emergency Management Administration 222 and 223).

tion. (1) An application may include

technical data and other data, includRevisions of these model codes that are

ing trade secrets and/or privileged or substantially equivalent to or exceed the then current or immediately pre

confidential commercial or financial ceding edition of the NEHRP Rec

information, which the applicant does ommended Provisions (which are up

not want disclosed to the public or dated triennially) shall be considered

used by the Government for any purto be appropriate standards. The model

pose other than application evaluation. codes are as follows:

To protect such data, the applicant (1) 1991 Uniform Building Code, of the

should specifically identify each page International Council of Building Offi- including each line or paragraph therecials,

of containing the data to be protected (2) 1992 Supplement to the National and mark the cover sheet of the appliBuilding Code, of the Building Official cation with the following Notice as and Code Administrators Inter well as referring to the Notice on each national.

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


accordance with $8 600.125(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. 8600.17 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. 8 600.18 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

$600.19 Notification to unsuccessful ing resolution through an alternative applicants.

dispute resolution mechanism, shall be DOE shall promptly notify in writing preferred over formal procedures availeach applicant whose application has

able in 10 CFR Part 1024, to the extent not been selected for award or whose practicable. application cannot be funded because

(b) Alternative dispute resolution of the unavailability of appropriated (ADR). Before issuing a final deterfunds. If the application was not se

mination in any dispute in which inforlected, the written notice shall briefly

mal resolution has not been achieved, explain why the application was not se

the Contracting Officer shall suggest lected and, if for grounds other than that the other party consider the use of unavailability of funds, shall offer the voluntary consensual methods of disunsuccessful applicant the opportunity pute resolution, such as mediation. The for a more detailed explanation upon

DOE dispute resolution specialist is request.

available to provide assistance for such

disputes, as are trained mediators of $ 600.20 Maximum DOE obligation. other federal agencies. ADR may be

(a) The maximum DOE obligation to used at any stage of a dispute. the recipient is

(c) Final determination. Whenever a (1) For monetary awards, the amount dispute is not resolved informally or shown in the award as the amount of through an alternative dispute resoluDOE funds obligated, and

tion process, DOE shall mail (by cer(2) Any designated property.

tified mail) a brief written determina(b) DOE shall not be obligated to tion signed by a Contracting Officer, make any additional, supplemental, setting forth DOE's final disposition of continuation, renewal, or other award such dispute. Such determination shall for the same or any other purpose. contain the following information:

(1) A summary of the dispute, includ$ 600.21 Access to records.

ing a statement of the issues and of the (a) In addition to recipient and sub- positions taken by the Department and recipient responsibilities relative to the party or parties to the dispute; and access to records specified in $$ 600.153 (2) The factual, legal and, if approand 600.242, for any negotiated contract priate, policy reasons for DOE's disor subcontract in excess of $10,000 position of the dispute. under a grant or cooperative agree (d) Right of appeal. (1) Except as proment, DOE, the Comptroller General of vided in paragraph (f)(1) of this section, the United States, the recipient and the final determination under parathe subrecipient (if the contract was graph (c) of this section may be apawarded under a financial assistance pealed to the Financial Assistance Apsubaward), or any of their authorized peals Board (the Board) in accordance representatives shall have the right of with the procedures set forth in 10 CFR access to any books, documents, pa part 1024. pers, or other records of the contractor (2) If the final determination under or subcontractor which are pertinent paragraph (c) of this section involves a to that contract or subcontract, in dispute over which the Board has jurisorder to make audit, examination, ex diction as provided in paragraph (1)(2) cerpts, and copies.

of this section, the Contracting Offi(b) The right of access may be exer cer's determination shall state that, cised for as long as the applicable with respect to such dispute, the deterrecords are retained by the recipient, mination shall be the final decision of subrecipient, contractor, or subcon the Department unless, within 60 days, tractor.

a written notice of appeal is filed.

(3) If the final determination under $ 600.22 Disputes and appeals.

paragraph (c) of this section involves a (a) Informal dispute resolution. When- dispute over which the Board has no juever practicable, DOE shall attempt to risdiction as provided in paragraph resolve informally any dispute over the (1)(1) of this section, the Contracting award or administration of financial Officer's determination shall state assistance. Informal resolution, includ- that, effective immediately or on a

later date specified therein, the determination shall, with respect to such dispute, be the final decision of the Department.

(e) Effect of appeal. The filing of an appeal with the Board shall not stay any determination or action taken by DOE which is the subject of the appeal. Consistent with its obligation to protect the interests of the Federal Government, DOE may take such authorized actions as may be necessary to preserve the status quo pending decision by the Board, or to preserve its ability to provide relief in the event the Board decides in favor of the appellant.

(f) Review on appeal. (1) The Board shall have no jurisdiction to review:

(i) Any preaward dispute (except as provided in paragraph (f)(2)(ii) of this section), including use of any special restrictive condition pursuant $$ 600.114 or 600.212;

(ii) DOE denial of a request for a deviation under $8 600.4, 600.103, or 600.205 of this part;

(iii) DOE denial of a request for a budget revision or other change in the approved project under $$ 600.125, 600.127, 600.222, or 600.230 of this part or under another term or condition of the award;

(iv) Any DOE action authorized under $$ 600.162(a) (1), (2), (3) or (5); or $$ 600.243 (a)(1), (a)(3) for suspensions only; or $600.162(a)(4) or $ 600.243(a)(4) for actions disapproving renewal applications or other requests for extension of time or additional funding for the same project when related to recipient noncompliance, or such actions authorized by program rule;

(v) Any DOE decision about an action requiring prior DOE approval under $600.144, or $600.236 of this part or under another term or condition of the award;

(vi) A DOE decision not to make a continuation award, which decision is based on the insufficiency of available appropriations;

(vii) Any matter which is under the jurisdiction of the Patent Compensation Board (10 CFR 780.3);

(viii) Any matter which may be heard by the Invention Licensing Appeals Board (10 CFR 781.65 and 781.66); and

(ix) Any other dispute not described in paragraph (f)(2) of this section.

(2) In addition to any right of appeal established by program rule, or by the terms and conditions (not inconsistent with paragraph (f)(1) of this section) of an award, the Board shall have jurisdiction to review:

(1) A DOE determination that the recipient has failed to comply with the applicable requirements of this part, the program statute or rules, or other terms and conditions of the award;

(ii) A DOE decision not to make a continuation award based on any of the determinations described in paragraph (1)(2)(i) of this section;

(iii) Termination of an award for cause, in whole or in part, by DOE;

(iv) A DOE determination that an award is void or invalid;

(v) The application by DOE of an indirect cost rate; and

(vi) DOE disallowance of costs.

(3) In reviewing disputes authorized under paragraph (f)(2) of this section, the Board shall be bound by the applicable law, statutes, and rules, including the requirements of this part, and by the terms and conditions of the award.

(4) The decision of the Board shall be the final decision of the Department. 8 600.23 Debarment and suspension.

Applicants, recipients, subrecipients, and contractors under financial assistance awards may be debarred and suspended for the causes and in accordance with the procedures set forth in 10 CFR part 1036.


$ 600.24 Noncompliance.

(a) Except for noncompliance with nondiscrimination requirements under 10 CFR part 1040, whenever DOE determines that a recipient has not complied with the applicable requirements of this part, with the requirements of any applicable program statute or rule, or with any other term or condition of the award, a DOE Contracting Officer shall provide to the recipient (by certified mail, return receipt requested) a written notice setting forth:

(1) The factual and legal bases for the determination of noncompliance;

(2) The corrective actions and the date (not less than 30 days after the

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