Page images

and Other Agreements with Institution of Higher Education (44 FR 12368, Mar. 6, 1979 as amended by 47 FR 333658, Aug. 3, 1982, and 58 FR 58393, July 26, 1993).

(iii) OMB Circular A-87, Cost Principles Applicable to Grants, Contracts and Other Agreements with State and Local Governments (46 FR 9648, Jan. 28, 1981).

(iv) OMB Circular A-122, Cost Principles Applicable to Grants, Contracts and Other Agreements with Nonprofit Organizations (45 FR 46022, July 8, 1980 as amended by 49 FR 18276, April 27, 1984).

(v) OMB Circular A-128, Audits of State and Local Governments (50 FR 19114, May 6, 1985).

(2) Copies of the OMB publications listed in paragraph (8)(1) may be obtained from the Office of Management and Budget, Office of Administration, Publications Unit, Washington, DC 20503 or from the cognizant administering office. (47 FR 44083, Oct. 5, 1982, as amended at 48 FR 29184, June 24, 1983; 48 FR 34404, July 28, 1983; 50 FR 42356, Oct. 18, 1985; 51 FR 4297, Feb. 4, 1986; 54 FR 23959, June 5, 1989, 57 FR 3, Jan. 2, 1992; 59 FR 53265, Oct. 21, 1994)

providing financial assistance to the recipient.

Awarding party means DOE or a recipient who makes a subaward.

Budget means the applicant's financial expenditure plan for carrying out the proposed project. The budget shall include any cost sharing which is required by statute, rule, or the award.

Budget period means the interval of time, specified in the award, into which a project is divided for budgeting and funding purposes.

Continuation award means an award for a succeeding or subsequent budget period after the initial budget period of either an approved project period or renewal thereof.

Contract means a written procurement contract with a third party for the acquisition of property or services under a financial assistance award.

Contracting Officer means the DOE official authorized to execute awards on behalf of DOE and who is responsible for the business management and nonprogram aspects of the financial assistance process.

Cooperative agreement means a financial assistance instrument used by DOE to transfer money or property when the principal purpose of the transaction is accomplishment of a public purpose of support or stimulation authorized by Federal statute and substantial involvement is anticipated between DOE and the recipient during performance of the contemplated activity. For purposes of this part, the term "cooperative agreement” does not include nonfinancial assistance.

Cost sharing refers to the share of project costs required to be contributed by the recipient. Depending on the source and nature of the requirement, terms such as matching and cost participation may also be used to denote cost sharing.

Department or DOE means the United States Department of Energy.

Director means the Director, Procurement and Assistance Management Directorate, DOE.

Discretionary financial assistance means financial assistance provided under a Federal statute which authorizes DOE to select the recipient and the project to be supported and to determine the amount to be awarded.

$ 600.3 Definitions.

The following definitions are provided for purposes of this part

Ad hoc committee means a temporary committee established to perform a single, specific short-term task, after which the committee disbands.

Applicant means any individual, organization, agency, or entity which files a written application or preapplication for financial assistance with DOE or with a recipient (i.e. for a subaward).

Application means a written request for financial assistance.

Approved budget means a budget and any revision thereto which has been approved in writing by DOE for carrying out the purposes of a project.

Assistance means the transfer of money, property, services or anything of value to a recipient to accomplish a public purpose of support or stimulation authorized by Federal statute.

Award means the written document executed by a DOE Contracting Officer, after an application is approved, which contains the terms and conditions for

Extension means an amendment of an award, which would otherwise expire, to provide additional time, and if appropriate, additional funds for completion of project activities.

Federally recognized Indian tribal government means the governing body or a governmental agency of any Indian tribe, band, nation or other organized group or community (including any Native village as defined in section 3 of the Alaska Native Claims Settlement Act, 85 Stat. 688).

Field readers means persons with expertise to evaluate a specific application or category of applications. Field readers may act as independent individuals or as members of a group with the review generally being done by mail.

Financial assistance means the transfer of money or property to a recipient or subrecipient to accomplish a public purpose of support or stimulation authorized by Federal statute. For purposes of this part, financial assistance instruments are grants and cooperative agreements, and subawards.

Grant means a financial assistance instrument used by DOE to transfer money or property when the principal purpose of the transaction is accomplishment of a public purpose of support or stimulation authorized by Federal statute and no substantial involvement between DOE and the grantee during the performance of the contemplated activity is anticipated. For purposes of this part, the term "grant" does not include nonfinancial assistance.

Head of a Contracting Activity (HCA) means a DOE official with senior management authority for the award and administration of financial assistance instruments within one or more DOE organizational elements.

Local government means a local unit of government including specifically a county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (whether or not incorporated as a nonprofit corporation under State law), sponsor group representative organization (as defined in 7 CFR 620.2, 40 FR 12472, Mar. 19, 1975), any other regional or interstate government entity, or any agen

cy or instrumentality of a local government exclusive of local institutions of higher education and hospitals.

Nonprofit organization means any corporation, trust, foundation, or institution which is entitled to exemption under section 501(c)(3) of the Internal Revenue Code, or which is not organized for profit and no part of the net earnings of which inure to the benefit of any private shareholder or individual (except that the definition of "nonprofit organization" in the patent clause of $600.33(b)(1) shall apply for purposes of the applicability of that clause).

Objective merit review means a thorough, consistent and independent examination of applications based on preestablished criteria by persons knowledgeable in the field of endeavor for which support is requested. This sort of review is conducted to provide advice to selecting officials based on an evaluation of the scientific or technical merit. The reviewers themselves may be engaged in comparable efforts in institutions or organizations similar to the applicant's or have in the past been directly involved in such activities.

OMB means the Office of Management and Budget.

Project means the set of activities described in an application, State plan, or other document that is approved by DOE for financial assistance (whether such financial assistance represents all or only a portion of the support necessary to carry out those activities).

Project period means the total period of time indicated in an award during which DOE expects to provide financial assistance. A project period may consist of one or more budget periods and may be extended by DOE.

Recipient means the organization, individual, or other entity that receives an award from DOE and is financially accountable for the use of any DOE funds or property provided for the performance of the project, and is legally responsible for carrying out the terms and conditions of the award.

Renewal award means an award which extends a project period by adding one or more additional budget periods and which makes an award of DOE financial assistance for the first budget period of the extended project period.


Research means any scientific or engineering activity which (1) constitutes a systematic, intensive study directed specifically toward greater knowledge or understanding of the subject studied and contributes to a continuing flow of new knowledge; or (2) is directed toward applying new knowledge to meet à recognized need; and/or (3) applies such knowledge toward the production of useful methods, including design, development and improvement of prototypes and new processes to meet established requirements.

Responsible official means the Head of a Departmental Element or a Program Assistant Secretary. These individuals are responsible for the system of objective merit review of financial assistance applications funded by their program or department element. The functions associated with the objective merit review may be delegated, but only to the level specified in the relevant sections of this part. The responsible official, however, remains ultimately responsible for the execution of these functions.

Secretary means the Secretary of the United States Department of Energy or designee.

Small business means a business concern, including its affiliates, which is independently owned and operated, is not dominant in its field of operation, and can qualify under the criteria concerning number of employees, average annual receipts, and other criteria as prescribed by the Small Business Administration (except that the definition of "small business” in the patent clause of $600.33(b)(1) shall apply for purposes of the applicability of that clause).

Socially and economically disadvantaged individuals means individuals who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their individual qualities and/or those whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same business area who are not socially disadvantaged. Such individuals include Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Amer

icans, and other specified minorities, or any other individual found to be disadvantaged by the Small Business Administration under section 8(a) of the Small Business Act.

Socially and economically disadvantaged small business concern means any small business concern which is at least 51 percent owned by one or more socially and economically disadvantaged individuals, or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged individuals, and whose management and daily business operations are controlled by one more such individuals.

Solicitation means a document which requests the submission of applications and which describes program objectives, recipient and project eligibility requirements, evaluation criteria, award terms and conditions, and other information about the financial assistance opportunity.

Standing committee means a long-term committee established to review applications and may be used when required by legislation or when significant numbers of applications on specific topics are received periodically.

State or State government means any of the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory, possession or trust territory of the United States, or any agency or instrumentality of a State. The term does not include local governments, State hospitals, or State institutions of higher education.

State plan means a document required by statute to be submitted by a State in order to demonstrate compliance with the legal prerequisites for an award of nondiscretionary financial assistance.

Subaward means an award of financial assistance by a recipient to an eligible subrecipient when specifically authorized by statute or program rule. The term does not include a contract under a financial assistance award.

Subrecipient means the organization, individual, or other entity that receives a subaward.

Terms and conditions means the rights and obligations of the awarding party

and the recipient or subrecipient set forth in a statute, this part, other rules, or otherwise set forth or incorporated by reference in the award or subaward document. [47 FR 44083, Oct. 5, 1982, as amended at 51 FR 39366, Oct. 28, 1986; 53 FR 8045, Mar. 11, 1988; 54 FR 41945, Oct. 13, 1989)

8 600.4 Deviations.

(a) Definitions. (1) Deviation means the use of any policy, procedure, form, standard, term, or condition which varies from a requirement of this part, or the waiver of any such requirement, unless such use or waiver is authorized by Federal statute. The use of optional or discretionary provisions of this part, including special restrictive conditions used in accordance with $$ 600.114 and 600.212, are not deviations. The waiver provisions of the patent requirements of $600.33 are not subject to the requirements of this section and shall be administered in accordance with 41 CFR part 1_9.

(2) Single-case deviation means a deviation which applies to one financial assistance transaction and one applicant, recipient, or subrecipient only.

(3) Class deviation means a deviation which applies to more than one financial assistance transaction, applicant, recipient, or subrecipient.

(b) General. The DOE officials specified in paragraph (c) of this section may authorize a deviation only upon a written determination that the deviation is

(1) Necessary to achieve program objectives; (2) Necessary to

public funds;

(3) Otherwise essential to the public interest; or

(4) Necessary to achieve equity.

(c) Approval procedures. (1) A deviation may be requested by DOE staff, an applicant for an award or subaward, a recipient, or a subrecipient. Such a request must be in writing and must be submitted to the responsible DOE Contracting Officer. An applicant for a subaward or a subrecipient shall submit any such request through the recipient.

(2) Except as provided in paragraph (c)(3) of this section

(i) A single-case deviation may be authorized by the responsible Head of Contracting Activity (HCA). Any proposed single-case deviation from the requirements of $ 600.33 or $600.307 concerning patents or technical data shall be referred to the General Counsel or designee for review and concurrence prior to submission to the HCA.

(ii) A class deviation may be authorized by the Director or his or her designee.

(3) Whenever the approval of OMB, other Federal agency, or other DOE office is required to authorize a deviation, the proposed deviation must be submitted to the Director or designee for concurrence prior to submission to the authorizing official. Any proposed class deviation from the requirements of $600.33 or 8600.307 concerning patents or technical data shall be forwarded through the Assistant General Counsel for Patents.

(d) Notice. Whenever a request for a class deviation is approved, DOE shall publish a notice in the FEDERAL REGISTER at least 15 days before the class deviation becomes effective. Whenever a class deviation is contained in a proposed program rule, the preamble to the proposed rule shall describe the purpose and scope of the deviation.

(e) Subawards. A recipient may use a deviation in a subaward only with the prior written approval of a DOE Contracting Officer. If prior approval is not obtained, the use of a deviation in a subaward shall be a violation of the terms and conditions of the DOE award.


[47 FR 44083, Oct. 5, 1982, as amended at 53 FR 5261, Feb. 22, 1988; 53 FR 8045, Mar. 11, 1988; 59 FR 53265, Oct. 21, 1994)

8600.5 Selection of award instrument.

If DOE has administrative discretion in the selection of the award instrument, the DOE determination as to whether a program is principally one of procurement or assistance pursuant to Public Law 95–224 (as codified at 31 U.S.C. 6301-6306) shall be based on the purpose of the program and the authorizing statute. This determination shall be either made or reviewed at a policy level within DOE. DOE shall review individual transactions that differ from this determination for consistency


with Public Law 95–224. A grant or co- satisfy one or more of the selection crioperative agreement shall be the ap teria of $ 600.7(b)(2)(1). propriate instrument, in accordance (b) DOE may make renewal discrewith this part, when the principal pur- tionary financial assistance awards on pose of the relationship is the transfer the basis of: of money or property to accomplish a (1) Applications submitted in republic purpose of support or stimula- sponse to a financial assistance solicition authorized by Federal statute. tation; or DOE shall determine whether a grant (2) An application from an incumbent or a cooperative agreement is the ap- recipient if the award has been justipropriate instrument in accordance fied in accordance with $ 600.7(b)(2). with Public Law 95–224 and this part. (c) DOE shall solicit applications for DOE shall limit involvement between discretionary financial assistance in a itself and the recipient in the perform- manner which provides for the maxiance of a project to the minimum nec- mum amount of competition feasible. essary to achieve DOE program objec

(53 FR 12138, Apr. 13, 1988) tives. (47 FR 44083, Oct. 5, 1982, as amended at 59 FR

8600.7 Eligibility. 53265, Oct. 21, 1994)

(a) General. The eligibility of recipi

ents and subrecipients and of projects $600.6 Discretionary awards.

for DOE financial assistance shall be (a) DOE may make new discretionary determined in accordance with the apfinancial assistance awards on the plicable Federal statute or program basis of:

rule, and paragraphs (b) and (c) of this (1) Applications submitted in re- section. sponse to a financial assistance solici- (b)(1) Restricted eligibility. If DOE retation (See $600.9);

stricts eligibility in a solicitation or (2) Unsolicited applications satisfy- program rule to less than all otherwise ing the selection criteria eligible applicants under paragraph (a) $600.14(e)(1);

of this section, an explanation of why (3) Applications submitted in re- the restriction of eligibility is considsponse to a Program Opportunity No- ered necessary shall be included in the tice (PON) (see 48 CFR 917.72 for the solicitation or program rule. If the agsubmission, evaluation, and selection gregate amount of DOE funds available procedures to be used for a PON. When for award under such a solicitation it is anticipated that a PON will result other than a program rule exceeds in a financial assistance award(s), the $250,000, such restriction of eligibility procedures in 48 CFR 917.72 shall be shall be supported by a written detersupplemented by the provisions set mination initiated by the responsible forth in $$ 600.9 and 600.10 to cover those program office, which has been: solicitation and application require- (1) Approved by the responsible proments which are specific to financial gram Assistant Secretary or his or her assistance and for which there is no al- designee, who shall be at an organizaternative coverage in 48 CFR 917.72; tional level not less than two levels e.g., presubmission reviews and clear- above that of the project officer, and ances, preaward assurances, etc.);

the Contracting Officer for the award(4) Applications submitted in re- ing office issuing the solicitation and sponse to a Program Research and De- (ii) Concurred in by local legal counvelopment Announcement (see 48 CFR sel. 917.73) if, after an application is se- If the aggregate amount of DOE funds lected for award, DOE determines that available for award is $250,000 or less, a grant or cooperative agreement is the the written determination is to be apappropriate award instrument;

proved by the Head of Contracting AC(5) An application for an award to be tivity (HCA) for the awarding office made on a noncompetitive basis under that will be issuing the solicitation and $600.7(b)(2); or

the Contracting Officer. Concurrence (6) Unsolicited applications which do may be waived for a particular award not satisfy the selection criteria of or class of awards of $250,000 or less by $ 600.14(e)(1)(11) if such applications do local legal counsel, if they so elect.

167-031 0-964-4

« PreviousContinue »