Page images

$9-4.5104 Other objectives.

(a) Headquarters-designated research agreements are entered into by negotiation under the authority of section 3lc of the Atomic Energy Act of 1954 and section 302(c)(5) of the Federal Property and Administrative Services Act of 1949. In planning, negotiating, and administering such agreements, the objectives are to:

(1) Assure a continuing flow of new knowledge in fields related to the respons ibilities of ERDA;

(2) Respect the traditions of the contracting institution and encourage the quest for new knowledge without restrictions on scientific initiative, to the extent compatible with the laws and the protection of the public interest; .

(3) Provide reasonable levels of support which will increase the national capability in energy fields and enable the contracting institution to strengthen its research programs in areas of interest to ERDA;

(4) Maintain effective contact with the scientific community so that:

(i) scientists and students will be encouraged to expand their interests in fields of importance to ERDA;

(ii) the scientific strength of the country can be brought to bear more effectively on ERDA problems;

(iii) The ERDA will be continuously aware of developments of value to its activities in the academic communities; and

(iv) an adequate supply of suitably trained scientists will be available for employment within the atomic energy program.

(b) The contractor is responsible for conducting the research and is expected to carry out the project or projects in a manner consistent with the agreed-upon

objectives and requirements; these include the obligation to comply with applicable laws and regulations. The contractor is generally expected to follow its normal business practices and to use its existing accounting system.

$9.4-5105 Unsolicited research proposals.

(a) Unsolicited proposals for ERDA assistance may be initiated by scientists interested in doing research. If ERDA desires to solicit research proposals, the solicitation procedures in 9-4.58 or other

existing procurement solicitation procedures will be used. See $94.906 and 9-4.908 for guidance on submission of unsolicited research proposals. Prior to submitting proposals, the interested scientist, at his initiative, may discuss the project informally with ERDA. $9-4.5106 Selection, preparation, and award

of research agreements.

$9-4.5106-1 General.

In order to maintain a comprehensive and well-integrated research program, evaluation of research proposals and selection of educational institutions to conduct scientific research is centralized in Headquarters. However, field offices in close proximity to the contractor may be assigned responsibility for handling the final arrangements and nontechnical administration of such agreements.

$9-4.5106-2 Responsibilities.

(a) The program office interested in the particular research is responsible for evaluating the technical aspects of the proposals. The program office must determine that the proposal has sufficient technical merit and program value in comparison to other available proposals to justify providing support. This includes judgments as to the merit of the proposed research objectives, the probability of achieving the objective(s), the capabilities of the researchers, and how the proposals will specifically promote the objectives in $9-4.5103 and 9-4.5104. The program offices also review the proposer's requested cost and other estimates to determine the ableness, the propriety, and the advisability of proceeding with the project. Specifically, senior program officials or their designees at Headquarters are respons ible for:


(1) selecting and approving research proposals and determining the amount of support;

(2) documenting the rationale for providing support in accordance with (a);

(3) assuring that the statement of work is clear and com


(4) providing a copy of the documents prepared in (2) and (3) to the field office;

(5) reviewing the items in the proposal budget or itemized account of the proposed work, and, if necessary, the assistance of the appropriate field office may be requested;

[ocr errors][merged small]

(7) reviewing and following the technical progress of the


(8) providing contractors with the technical guidance and direction as may be required to meet broad program objectives; and

(9) keeping the field offices fully informed of technical correspondence and discussions with contractors that may have contractual or nontechnical administrative implications.

(b) Field offices are responsible for the consummation of agreements with the institution in accordance with directives from the program office, and administering and making payments under such agreements. Specifically, field offices are responsible for:

(1) finalizing and executing the agreement (where necessary, obtaining further instructions from the program office);

(2) administering the agreements in accordance with their terms and conditions and making payments thereunder; and

(3) providing technical and administrative assistance quested by program officials.


$9-4.5106-3 Review of research proposals.

(a) If, in the judgment of the program office, an appraisal from representatives of the scientific community is required, reviewers may be selected on the basis of their familiarity with either the field of research or the competence of the investigator.

(b) Occasionally, the program office may find it necessary to obtain additional information from the research institution or to visit the site. In some cases, the comments, assistance, or participation of staff members of the appropriate field office will be requested.

(c) At the time it reviews a research proposal, the sponsoring program office shall review the prospective contractor's budget or itemized account of the proposed work and activities and the materials, equipment, and facilities involved, for the purpose of reaching mutual understanding of the estimated cost of the research and the other major aspects of the contemplated agreement. Questions about the cost elements that require further investigation may be referred to the appropriate field office when the agreement is authorized.

90-1360- 77 - 9

$9-4.5106-4 Compensation for personal services of professional staff.

(a) In accordance with section J7 of Federal Management Circular (FMC) 73-8, the proposing institution and ERDA 'must reach an understanding regarding the basis for charges under the agreement for personal services of professional staff memebers. The payroll distribution procedure of section J7.b will be the basis for charges for personal services of all nonprofessional staff. It is not feasible to establish a stipulated salary support during the proposal and award process because detailed plans or knowledge of specific position or individuals are not available.


(b) In those cases in which the proposing institution and ERDA agree to a stipulated salary support amount as the basis for charge for personal services of a specified professional staff member, the sponsoring program office shall either:

(1) establish an appropriate stipulated salary support amount in accordance with the guidelines of FMC 73-8 and provide guidance to the field office regarding the amount of such individual stipulated salary support; or

(2) request the field office to establish an appropriate stipulate salary amount in accordance with the guidelines of FMC 73-8, and within any limitations established by the sponsoring program office. In establishing appropriate stipulated salary support amounts, it will be necessary for the program office or field office to obtain information on the academic year salary of the faculty members involved; the other research projects or proposals for which salary is allocated; and any other duties they may have, such as teaching assignments, administrative assignments, supervision of graduate students, or other institutional activities.

(c) The established stipulated salary support amount shall be provided for in the agreements and shall be the basis for charges for personal services for the specified staff member (see section Ji.e of FMC 73-8 for examples of a "significant change"); if a significant change in performance occurs, the institution has the responsibility under FMC 73-8 to either: (1) reduce the charges to the agreement proportionately; or (2) request an appropriate amendment of the agreement to reflect the change in performance.

(d) The agreement should provide that if the alternative in paragraph (c)(1) is followed, the contractor shall notify the contracting officer of such reduction, with an explanation of the basis of such reduction. In accordance with section 17.e of FMC 73-8, special provision must be made in the agreement if summer salaries are to be paid under the stipulated salary support procedure; the

agreement should provide specifically for any stipulated salary support amount for summer salaries and provide that any research covered by stipulated summer support must be carried out during the summer, not during the academic year, and at the locations approved in advance by the contracting officer.

(e) If after the award of an agreement, the contractor wishes to charge ERDA for the personal services of a professional staff member for whom a stipulated salary support amount has not been established in the agreement, the contractor shall use the payroll distribution procedure of section 37.b of FMC 73-8 as the basis for such charges, except as the parties may otherwise mutually agree in writing.

(f) The stipulated salary support procedure shall not be used as a basis for establishing the amount of a contractor's contribution to the research work. In those cases in which the contractor is required to maintain records in support of a contribution of the cost of a professional staff, the payroll distribution procedure of section 37.b of FMC 73-8 should be used.

(g) The certification required by Appendix c of $9-16.5002–1 fulfills the certification requirement of section K of FMC 73-8 for the special research support agreement.

$9-4.5106-5 Notice of selection or rejection.

The program office shall notify the proposer of the decision to support or reject the proposal. In the event of acceptance, this notification shall advise; (a) that the proposal has been selected for support subject to completion of a satisfactory agreement; (b) which field office will negotiate and execute the agreement; and (c) the ERDA assumes no obligation until agreement has been executed. A copy of the notice of acceptance or rejection shall be sent to the field office concerned. The notice shall indicate the basis for rejection and shall constitute ERDA's record of action for the files. If the proposal is accepted, a justification shall be prepared in accordance with 9-4.5106–2.

$9-4.5106-6 Selection of field office.

(a) When the program office has determined that a proposal will be supported, a field office will be requested to make the final arrangements with the institution concerned. Usually the field office geographically nearest to the research institution will be selected, but occasionally other factors such as existing contractual relationships and location of the research project will make the selection of some other field office desirable.

« PreviousContinue »