Page images



Approved by OMB 0346-0046

Reporting Entity:


Authorized lor local Reproduction
Standard form - WA


This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing pursuant to titie 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the

outcome of a covered Federal action. 2. Identity the status of the covered Federal action. 3. Identify the appropriate Jassification of this report. If this is a followup report caused by a material change to the

information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last

previously submitted report by this reporting entity for this covered Federal action. 4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if

known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identity the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier.

Subawards include but are not limited to subcontracts, subgrants and contract awards under grants. 5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and

zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational

level below agency name, it known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full

Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan

commitments. 8. Enter the most appropriate Federal identifying number wailable for the Federal action identified in item 1(e.g.,

Request for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract, grant, or loan award number, the application/proposal control number assigned by the Federal agency). Include

prefixes, e.g., "RFP-DE-90-001." 9. For a covered federal action where there has been an award or loan commitment by the Federal agency, enter the

Federal amount of the award loan commitment for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity

identified in iter 4 to influence the covered federal action. (b)Enter the full names of the individual(s) performing services, and include full address it different from 10 (a).

Enter Last Name, First Name, and Middle initial (MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the

lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned

to be made. 12. Check the appropriate box(es). Check all boxes that apoig. If payment is made through an in-kind contribution,

specify the nature and value of the in-kind payment. 13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to

perform, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identity the Federal officiaks) or employee(s) contacted for the officer(s),

employee(s), or Mernber(s) of Congress that were contacted. 15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached. 16. The certifying official shall sign and date the form, print histher name, title, and telephone number.

Public reporting burden for this collection of information is estimated to merge 30 mintues per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other mpect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget Paperwork Reduction Project (0346-0046). Washington, D.C. 20503.



Sec. 602.1 Purpose and scope. 602.2 Applicability. 602.3 Definitions. 602.4 Deviations. 602.5 Epidemiology and Other Health Stud

ies Financial Assistance Program. 602.6 Eligibility. 602.7 Solicitation. 602.8 Application requirements. 602.9 Application evaluation and selection. 602.10 Additional requirements. 602.11 Funding. 602.12 Cost sharing. 602.13 Limitation of DOE liability. 602.14 Fee. 602.15 Indirect cost limitations. 602.16 National security. 602.17 Continuation funding and reporting

requirements. 602.18 Dissemination of results. 602.19 Records and data. APPENDIX A TO PART 602—SCHEDULE OF RE

NEWAL APPLICATIONS AND REPORTS AUTHORITY: 42 U.S.C. 2051; 42 U.S.C. 5817; 42 U.S.C. 5901-5920; 42 U.S.C. 7254 and 7256; 31 U.S.C. 6301-6308.

SOURCE: 60 FR 5841, Jan. 31, 1995, unless otherwise noted.

Conference and communication activities means scientific or technical conferences, symposia, workshops, seminars, public meetings, publications, video or slide shows, and other presentations for the purpose of communicating or exchanging information or views pertinent to DOE.

DOE means the United States Department of Energy.

Education/Training means support for education or related activities for an individual or organization that will enhance educational levels and skills, in particular, scientific or technical areas of interest to DOE.

Epidemiology and Other Health Studies means research pertaining to potential health effects resulting from DOE or predecessor agency operations or from any aspect of energy production, transmission, or use (including electromagnetic fields) in the United States and abroad. Related systems or activities to enhance these areas, as well as other program areas that may be described by notice published in the FEDERAL REGISTER, are also included.

Principal investigator means the scientist or other individual designated by the recipient to direct the project.

Research means basic and applied research and that part of development not related to the development of specific systems or products. The primary aim of research is scientific study and experimentation directed toward advancing the state of the art or increasing knowledge or understanding rather than focusing on a specific system or product.

$ 602.1 Purpose and scope.

This part sets forth the policies and procedures applicable to the award and administration of grants and cooperative agreements by DOE (through the Office of Environment, Safety and Health or any office to which its functions are subsequently redelegated) for health related research, education training, conferences, communication, and related activities.

$ 602.2 Applicability.

(a) This part applies to all grants and cooperative agreements awarded after the effective date of this rule.

(b) Except as otherwise provided by this part, the award and administration of grants and cooperative agreements shall be governed by 10 CFR part 600 (DOE Financial Assistance Rules).

8 602.4 Deviations.

(a) Single-case deviations from this part may be authorized in writing by the Assistant Secretary for Environment, Safety and Health, the Head of the Contracting Activity, or their designees, upon the written request of DOE staff, an applicant for award, or a recipient. A request from an applicant or a recipient must be submitted to or through the cognizant contracting officer.

(b) Whenever a proposed deviation from this part would be a deviation from 10 CFR part 600, the deviation must also be authorized in accordance

$ 602.3 Definitions.

In addition to the definitions provided in 10 CFR part 600, the following definitions are provided for purposes of this part:

with the procedures prescribed in that (c) Except as otherwise provided in a part.

notice of availability, applicants may

obtain application forms, described in 8 602.5 Epidemiology and Other Health

602.8(b) of this part, and additional inStudies Financial Assistance Pro

formation from the Office of Epidemigram.

ology and Health Surveillance (EH-42), (a) DOE may issue under this part U.S. Department of Energy, Washingawards for research, education/train ton, DC 20585, (301) 903–5926, and shall ing, conferences, communication, and submit applications to the same adrelated activities in the Office of Environment, Safety and Health program (d) DOE will publish program notices areas set forth in paragraph (b) of this in the FEDERAL REGISTER regarding the section.

availability of epidemiology and other (b) The program areas are:

health studies financial assistance. (1) Health experience of DOE and

DOE may also use other means of comDOE contractor workers;

munication, as appropriate, such as the (2) Health experience of populations

publication of notices of availability in living near DOE facilities;

trade and professional journals and (3) Workers exposed to toxic sub

news media. stances, such as beryllium;

(1) Each notice of availability shall (4) Use of biomarkers to recognize ex

cite this part and shall include: posure to toxic substances;

(i) The Catalog of Federal Domestic (5) Epidemiology and other health

Assistance number and solicitation studies relating to energy production,

control number of the program; transmission, and use (including elec

(ii) The amount of money available tromagnetic fields) in the United

or estimated to be available for award; States and abroad;

(iii) The name of the responsible DOE (6) Compilation, documentation, management, use, and analysis of data

program official to contact for addifor the DOE Comprehensive Epidemio

tional information and an address

where application forms may be oblogic Data Resource; and (7) Other systems or activities en

tained; hancing these areas, as well as other

(iv) The address for submission of ap program areas as may be described by

plications; and notice published in the FEDERAL REG

(v) Any evaluation criteria in addiISTER.

tion to those set forth in 8602.9 of this

part. 8602.6 Eligibility.

(2) The notice of availability may Any individual or entity other than a also include any other relevant inforFederal agency is eligible for a grant

nt mation helpful to applicants such as: or cooperative agreement. An unaffili

(i) Program objectives; ated individual is also eligible for a (ii) A project agenda or potential grant or cooperative agreement.

area of project initiatives;

(iii) Problem areas requiring addi8 602.7 Solicitation.

tional effort; and (a) The Catalog of Federal Domestic (iv) Any other information that idenAssistance number for 10 CFR part 602 tifies areas in which grants or cooperais 81.108 and its solicitation control tive agreements may be made. number is EOHSFAP 10 CFR part 602. (e) DOE is under no obligation to pay

(b) An application for a new or re- for any costs associated with the prepnewal award under this solicitation aration or submission of applications. may be submitted at any time to DOE (f) DOE reserves the right to fund, in at the address specified in paragraph whole or in part, any, all, or none of (c) of this section. New or renewal ap the applications submitted. plications shall receive consideration (g) To be considered for a renewal for funding generally within 6 months award under this part, an incumbent but, in any event, no later than 12 recipient shall submit a continuation months from the date of receipt by or renewal application, as provided in DOE.

8602.8 (c) and (h) of this part.

$602.8 Application requirements.

(a) An original and seven copies of the application for initial support must be submitted, except that State and local governments and Indian tribal governments shall not be required to submit more than the original and two copies of the application.

(b) Each new or renewal application in response to this part must include:

(1) An application face page, DOE Form 4650.2 (approved by OMB under OMB Control No. 1910–1400). However, the face page of an application submitted by a State or local government or an Indian tribal government shall be the face page of Standard Form 424 (approved by OMB under OMB Control Number 0348-0043).

(2) A detailed description of the proposed project, including its objectives, its relationship to DOE's program, its impact on the environment, if any, and the applicant's plan for carrying it out.

(3) Detailed information about the background and experience of the recipients of funds or, as appropriate, the principal investigator(s) (including references to publications), the facilities and experience of the applicant, and the cost-sharing arrangements, if any.

(4) A detailed budget for the entire proposed period of support with written justification sufficient to evaluate the itemized list of costs provided on the entire project. Applicants should note the following when preparing budgets:

(1) Numerical details on items of cost provided by State and local government and Indian tribal government applicants shall be on Standard Form 424A, “Budget Information for NonConstruction Programs" (approved under OMB Control No. 0348-0044). All other applicants shall use budget forms ERF 4620.1 (approved by OMB under Control No. 1910-1400).

(ii) DOE may, subsequent to receipt of an application, request additional budgetary information from an applicant when necessary for clarification or make informed pre-award determinations under 10 CFR part 600.

(5) Any pre-award assurances required pursuant to 10 CFR parts 600 and 602.

(c) Applications for a renewal award must be submitted with an original and seven copies, except that State and

local governments and Indian tribal government applicants are required to submit only an original and two copies (Approved by OMB under OMB Control Numbers 0348-00050348-0009.)

(d) The application must be signed by an official who is authorized to act for the applicant organization and to commit the applicant to comply with the terms and conditions of the award, if one is issued, or if unaffiliated, by the individual applicant. (See 8 602.17(a)(1) for requirements on continuation awards.)

(e) DOE may return an application that does not include all information and documentation required by statute, this part, 10 CFR part 600, or the notice of availability, when the nature of the omission precludes review of the application.

(1) During the review of a complete application, DOE may request the submission of additional information only if the information is essential to evaluate the application.

(g) In addition to including the information described in paragraphs (b), (c), and (d) of this section, an application for a renewal award must be submitted no later than 6 months before the expiration of the project period and must be on the same forms as required for initial applications. The renewal application must outline and justify a program and budget for the proposed project period, showing in detail the estimated cost of the proposed project, together with an indication of the amount of cost sharing, if any. The application shall also describe and explain the reasons for any change in the scope or objectives of the proposed project and shall compare and explain any difference between the estimates in the proposed budget and actual costs experienced as of the date of the application.

(h) DOE is not required to return an application to the applicant.

(i) Renewal applications must include a separate section that describes the results of work accomplished through the date of the renewal appliCation and how such results relate to the activities proposed to be undertaken in the renewal period.

« PreviousContinue »