factors which, while not appropriate indicators of a proposal's individual merit (e.g., technical excellence, proposer's ability, cost, etc.), are relevant and essential to the process of choosing which of the proposals received and scored will, taken together, best achieve the program objectives. All such factors, to the degree it is practicable to do so, shall be specified in the notice so as to notify proposers that factors which are essentially beyond their control will affect the selection process. The following are examples of possible program policy factors:

(1) it is desirable, because of the nature of the energy source, the type of projects envisioned, or limitations of past efforts, to select for award or support a group of demonstration projects with a broad or specific geographic distribution;

(2) it is desirable to select for award or support projects from diverse types and sizes of proposing organizations;

(3) it is desirable to select for award or support a group of projects which represent a diversity of methods, approaches, applications, or kinds of work; or

(4) it is desirable due to the nature of certain projects or proposing organizations to select for award or support duplicative or complementary efforts or projects.

(e) Selection officials. The selection official will be the senior program official when the estimated value of any individual proposal, together with later phases of the project, is expected to be greater than the $5 million level required in an SEB, unless otherwise designated by the head of the agency. If the value of any individual proposal is not expected to exceed the level required by an SEB the selection official may be either the Senior program official or desig

nee.

(f) Intermediate evaluation. Prior to making a comprehensive evaluation of a proposal, the SEB, or the receiving office when an SEB is not required, shall determine that it:

(1) contains sufficient technical, cost, and other required information to enable comprehensive evaluation; and

(2) has been signed by a responsible official of the proposing organization or a person authorized to obligate such organizations.

If the proposal does not meet these requirements, a comprehensive evaluation shall not be made. In such a case a prompt reply shall

be sent to the proposer, indicating the reason(s) for its not being selected for award or support under the PON.

(g) Comprehensive evaluation. The basic task in the evaluation and selection of proposals for award or support is to assess their relative merit in order to determine which of them offer the greatest likelihood for achievement of the program objectives stated in the notice, considering technical quality, ability of the proposer, estimated cost, and other relevant factors. Proposals which survive intermediate review shall be evaluated by a SEB or a panel, as applicable, in accordance with the criteria stated in the notice. The source selection official will select proposals for support or award from the findings established by a SEB or a panel, as applicable. In this latter process, the selection official will take into account the relevant program policy factors in order to determine the mix of proposed projects which will best further specific program goals. The relevant program policy factors, when reasonably ascertainable, shall be predetermined and specified in the notice. All findings and selections are to be documented, signed and maintained to provide an adequate record of the proceedings.

$9-4.5705 Award or support.

While only those proposals which best meet the needs of the program as specified in the announcement will be considered for award or support, ERDA may accept for award or support all, none, or any number or part of the proposals submitted.

$9-4.5706 Unsolicited proposals for commercial demonstrations.

See ERDA-PR 9-4.954.

$9-4.5707 Optional two-step method.

Where a large number of proposals are anticipated, proposals may be limited to technical considerations with cost proposals subsequently requested from those proposers whose technical proposals are evaluated as technically acceptable.

Subpart 9-4.58 Program Research and Development Announcements.

$9-4.5800 Scope.

These regulations establish procedures for the submission, evaluation, and selection for award or support of proposals offered in response to specific program research and development announcements (PRDAs) issued by ERDA to conduct research, development, and related activities in the energy field.

$9-4.5801 Applicability.

These regulations may be applied to arrangements by ERDA to conduct, or participate in joint or cooperative projects for, research, development, and related activities with individuals, private entities (including educational institutions, not-for-profit or non-profit organizations, and commercial or industrial organizations), or public entities (including state and local governments, but not Federal agencies), provided, however, that the conditions set forth in §9-4.58021(c) exist.

$9-4.5802

$9-4.5802-1

(a)

Policy and prerequisites.

General.

PRDAs are used to provide potential proposers with information concerning ERDA's interest in entering into arrangements for research, development, and related projects in specified areas of interest. It is ERDA's intent to solicit the submission from individuals, private entities (including educational institutions, not-for-profit nonprofit, and commercial and industrial organizations), or public entities (including state and local governments, but not Federal agencies) ideas which will serve as a basis for research, development, and related activities in the energy field. Furthermore, it is ERDA's desire to encourage the involvement of small and minority business concerns in research and development undertaken pursuant to PRDAs.

(b) This mechanism is not to replace existing procurement procedures where a requirement can be sufficiently defined for solicitation under standard advertised or negotiated procurement procedures. Similarly, it is not to inhibit or curtail the submission of unsolicited proposals. However, a proposal which is submitted as though it were unsolicited but is in fact germane to an extant PRDA will be treated as though submitted in response to the announcement or returned without action to the proposer, at the proposer's option. Further, this mechanism is not to be used in a competitive situation where it is appropriate to negotiate a study contract to obtain analysis and recommendations to be incorporated in the subsequent issuance of a request for proposals.

(c) the PRDA is to be used only where:

(1) research and development is required within broadly defined areas of interest to support program goals but it is difficult, if not impossible, to describe in any reasonable degree of detail the nature of the work contemplated because of:

(i) the multiplicity of possible approaches, within the current state of the art, available for solving the problems;

(ii) the desirability of involving a broad spectrum of organizations in seeking out solutions to the problems posed;

(iii) the expectation that many individual proposers will have unique qualifications or specialized capabilities which will enable them to perform portions of the research or development program (without necessarily possessing the qualifications to perform the entire program) so that the overall support may be broken into segments which cannot be ascertained in advance; and

tions.

(iv) the desirability of fostering new and creative solu

(2) consistent with (1) above, it is anticipated that choices will have to be made among dissimilar concepts, ideas, or approaches; and

(3) it is determined that a broad range of organizations exist that would be capable of contributing towards the overall research and development goals identified in (1) above.

(d) The announcement will be synopsized in the Commerce Business Daily prior to or concurrent with release. In addition, the announcement shall be circulated directly to interested individuals, private and public entities (excluding Federal agencies), and associations thereof to the maximum extent feasible. Special attention in this regard should be given to small and minority business concerns to insure that they are given every opportunity to participate in such procurements. The originating program office should consider distributing the announcement to all eligible entities which, during the preceding two years, have expressed an interest in participating in, or entering into arrangement for, research or development in the particular energy field.

$9-4.5802-2 Determination to use and approval of content.

(a) Determination to use.

(1) Before the PRDA is selected by the program office as the appropriate solicitation procedure, a written program determination shall be made to show that the conditions in §9-4.5802-1(c) exist to support the conclusion that the use of the PRDA procedure is both necessary and appropriate. The determination must not be merely conclusory but shall be supported by specific facts and explanations. If no individual award under the PRDA is anticipated to exceed $2 million, the senior program official or designee may approve the determination with the prior concurrence of the designee of the senior procurement official, Headquarters.

(2) If any individual award is anticipated to exceed $2 million, the determination as required in 1. shall in addition explain why the PRDA procedure is more appropriate than existing procurement procedures for soliciting proposals. Determinations above $2 million require recommendation by the senior program official or designee, concurrence by the designee of the senior procurement official, Headquarters, and approval by the senior procurement official, Headquarters.

(3) The approved determination shall accompany the PRDA file through the preparation, concurrence, approval, and issuance phases.

(b) Approval of content.

(1) A PRDA may be originated at whatever level is consistent with the program objectives established by the senior program official.

(2) The PRDA content may be approved by the senior program official or designee after prior concurrence by Counsel and the senior procurement official, Headquarter's designee.

(3) All PRDAs will be issued by the cognizant head of the procuring activity or designee.

$9-4.5802-3 Information to be included.

Each PRDA shall include:

(1) a summary of the area(s) of program interest, expanded as appropriate, to include problems and objectives;

posals;

(2)

a time schedule for submission of, and action on, pro