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(2) Noncompetitive financial assistance. mental function within the subject juDOE may award a grant or cooperative risdiction, thereby precluding DOE proagreement on a noncompetitive basis vision of support to another entity. (other than as a result of the accept- (D) The applicant has exclusive doance of an unsolicited application mestic capability to perform the activmeeting the selection criteria of ity successfully, based upon unique $ 600.14(e)(1)(ii) or an application for a equipment, proprietary data, technical continuation award in accordance with expertise, or other such unique quali$ 600.31(b)) only if the application satis- fications. fies one or more of the selection cri- (E) The applicant implements an teria in paragraph (b)(2)(i) of this sec- agreement between the United States tion and is supported by a written de- Government and a foreign government termination of noncompetitive finan- to fund a foreign applicant. cial assistance prepared in accordance (F) Time constraints associated with with the provisions of paragraphs (b)(2) a public health, safety, or welfare or (ii) and (iii) of this section. In addition, national security requirement preclude

announcement of the intent to competition. make a noncompetitive financial as- (G) A specific recipient has been sistance award and an explanation of statutorily designated. why a noncompetitive financial assist- (H) The responsible Assistant Secance award is necessary shall be pub- retary, with the approval of the Direclished in the FEDERAL REGISTER at tor, determines that a noncompetitive least 14 calendar days prior to making award is in the public interest. This auan award. Public comments (or inquir- thority may not be delegated. ies) to this announcement must be re- (ii) Documentation requirements. A desolved by the DOE office issuing such termination of noncompetitive finanannouncement. Any such noncompeti- cial assistance (normally prepared by tive financial assistance is not subject the responsible program official to the solicitation requirements of (project officer)) is required to explain $ 600.9.

the basis for the proposed noncompeti(1) Criteria for justifying noncompetitive tive award. The determination, the financial assistance. In order for a non- purpose of which is to justify funding competitive award to be made under on a noncompetitive basis, shall be the authority of paragraph (b)(2) of this placed in the award file and must, as a section, it must satisfy one or more of minimum, include the following inforthe following selection criteria in addi- mation: tion to the types of factors listed in (A) Name of the sponsoring program 8600.14(d):

office and the awarding office, the type (A) The activity to be funded is nec- of award proposed (grant or cooperaessary to the satisfactory completion tive agreement), and the proposed reof, or is a continuation or renewal of, cipient. an activity presently being funded by (B) A description of the nature of the DOE or another Federal agency, and financial assistance to be provided (e.g. for which competition for support research grant, conference grant, etc.), would have a significant adverse effect the amount and availability of DOE on continuity or completion of the ac- funds required, any cost sharing protivity.

posed or required, and the statutory (B) The activity(ies) is (are) being or authority for the proposed award. would be conducted by the applicant (C) A statement of whether the appliusing its own resources or those do- cation was solicited or unsolicited and nated or provided by third parties; the nature of any significant however, DOE support of that activity preapplication contact between the apwould enhance the public benefits to be plicant and the Department. If received derived and DOE knows of no other en- on an unsolicited basis, a statement of tity which is conducting or is planning why the application does not meet the to conduct such an activity(ies).

selection criteria of $600.14(e)(1). (C) The applicant is a unit of govern- (D) To the extent relevant, a discusment and the activity to be supported sion of the programmatic evaluation is related to performance of a govern- conducted and the results of that evaluation, including the overall merit and ganization substantially owned or conrelevance to the DOE mission, the an- trolled by one or more current DOE ticipated objectives and probability of employees are not eligible for DOE flsuccess in meeting them, the quality of nancial assistance. the applicant's personnel and facilities, (3) The Director, with the concurand the appropriateness and adequacy rence of the Assistant General Counsel of the proposed budget.

for Standards of Conduct, may exempt (E) A brief description of the public an applicant from the restriction of purpose of support or stimulation to be paragraph (c)(2) of this section if the served by the proposed award and, in applicant is determined to have unique nontechnical terms, identification of expertise or technical resources and if any particular significance or special- it is determined that providing finanized character of the activity proposed cial assistance to the applicant would to be funded.

be in the public interest. DOE shall (F) A statement of which one(s) of publish in the FEDERAL REGISTER a nothe criteria in paragraph (b)(2)(i) of tice of any exemption under this parathis section is (are) being relied upon graph at least 30 days prior to making to justify the action and an expla- an award to the exempted applicant. nation in general, nontechnical detail No exemption may be granted to a DOE why each such criterion applies.

employee who is or was involved in ini(ili) Approval requirements. Except as tiating, developing, reviewing or adprovided below, all determinations of ministering the financial assistance noncompetitive financial assistance program under which assistance is under paragraph (b)(2) of this section being sought, or to a DOE employee must be:

who is considered “supervisory” under (A) Approved, prior to award, by the the Department of Energy Organizainitiating program official (project of- tion Act (42 U.S.C. 7211(a)). ficer), the responsible program Assist- (4) In reviewing any proposed finanant Secretary or his or her designee, cial assistance award, the Assistant who shall be not less than two organi- General Counsel for Standards of Conzational levels above that of the duct shall consider the prohibition of project officer, and the Contracting Of- 18 U.S.C. 203 (Section 203 prohibits a ficer for the awarding office issuing the Government employee from receiving solicitation, and

compensation from persons other than (B) Concurred in by local legal coun- the United States for services rendered sel.

by the employee or another before a Where the amount of DOE funds is Government agency in relation to a $100,000 or less for a noncompetitive fi- particular matter in which the United nancial assistance award under any States is a party or has a direct and program for which the HCA has been substantial interest). formally assigned cognizance, the de

(47 FR 44083, Oct. 5, 1982, as amended at 53 FR termination shall be approved by the 12138, Apr. 13, 1988; 57 FR 3, Jan. 2, 1992; 59 FR HCA and the Contracting Officer. Con- 53265, Oct. 21, 1994) currence for a particular award or class of awards of $100,000 or less may be 3 600.8 Small and disadvantaged busiwaived by local legal counsel, if they so

ness participation. elect.

(a) DOE shall provide adequate op(c) DOE employees. (1) An applicant portunities for small businesses, inindividual who is a former DOE em- cluding socially and economically disployee or an applicant organization advantaged small business concerns, to that is substantially owned or con- compete for DOE financial assistance trolled by one or more former DOE em- awards consistent with the program ployees may be declared ineligible for statute or other Federal law, impleDOE financial assistance if such appli- menting rules, and program needs. cant does not comply with the require- (b) DOE may use small business prefments of 10 CFR part 1010, subpart C. erences or set-asides in DOE financial

(2) Except as provided in paragraph assistance programs only when author(c)(3) of this section, a current DOE ized or required by Federal statute. employee and a business concern or or- DOE shall include a citation to such

statutory authority in any solicitation that provides for small business preference or a set-aside.

(c) DOE shall require recipients and subrecipients to take affirmative action with regard to small and disadvantaged businesses in contracts under financial assistance awards and subawards only as authorized by Federal statute, program rules, and this part. 8 600.9 Solicitation.

(a) General. A solicitation for financial assistance applications shall be in the form of a program rule or other publicly available document which invites the submission of applications by a common due date or within a prescribed period of time.

(1) A Program Assistant Secretary may annually issue a program notice describing research areas in which flnancial assistance is being made available. Such notice shall also state whether the research areas covered by the notice are to be added to those listed in a previously issued program rule. If they are to be included, then applications received as a result of the notice may be treated as having been in response to that previously published program rule. If they are not to be included, then applications received in response to the notice are to be treated as unsolicited applications. Solicitations (other than a program rule which serves to solicit applications), e.g., PONS and PRDAS, may be issued only by a DOE Contracting Officer.

(2) DOE shall publish either a copy or a notice of the availability of a financial assistance solicitation in the FEDERAL REGISTER. If the potential applicants are limited to State governments, DOE may, in advance of FEDERAL REGISTER publication, mail a copy of the solicitation simultaneously to each potential applicant. DOE shall publish solicitations or notices in the Commerce Business Daily when potential applicants include for-profit organizations or when there is the potential for significant contracting opportunities under the resulting financial assistance awards. In order to reach the widest possible audience of potentially interested applicants, DOE may also publish notices or copies of solicitations in

trade and professional journals, news media, and use other means of communication, as appropriate.

(b) Subawards. In accordance with the provisions of the applicable statute and program rules, if a DOE financial assistance program involves the award of financial assistance by a recipient to a subrecipient, the recipient shall provide sufficient advance notice so that potential subrecipients may prepare timely applications and secure prerequisite reviews and approvals.

(c) Contents of solicitation. Each solicitation shall include the following types of information and such other information as may be necessary to allow potential applicants to decide whether to submit an application, to understand how applications will be evaluated, and to know what the obligations of a recipient would be:

(1) A control number assigned by the issuing DOE office;

(2) The amount of money available for award and, if appropriate, the expected size of individual awards broken down by areas of priority or emphasis, and the expected number of awards;

(3) The type of award instrument or instruments to be used;

(4) Catalog of Federal Domestic Assistance number for the program;

(5) Who is eligible to apply (see $ 600.7);

(6) The expected duration of DOE support or the period of performance;

(7) Application form or format to be used, location for application submission, and number of copies required;

(8) The name of the responsible DOE Contracting Officer (or, for program notices, the program office contact) to contact for additional information, and, as appropriate, an address where application forms may be obtained;

(9) Whether loans are available under the DOE Minority Economic Impact (MEI) loan program, 10 CFR part 800, to finance the cost of preparing a financial assistance application, and, if MEI loans are available, a general description of the eligibility requirements for such a loan, a reference to Catalog of Federal Domestic Assistance Number 81.063, and the name and address of the DOE office from which additional information and loan application forms can be obtained;

(10) Appropriate periods or due dates for submission of applications and a statement describing the consequences of late submission. If programs have established a series of due dates to allow for the comparison of applications against each other, these dates shall be indicated in the solicitation;

(11) The types of projects or activities eligible for support;

(12) Evaluation criteria (and the weight or relative importance of each), which may include one or more of the following or other criteria, as appropriate:

(i) Qualifications of the applicant's personnel who will be working on the project;

(ii) Adequacy of the applicant's facilities and resources;

(iii) Cost-effectiveness of the project;

(iv) Adequacy of the project plan or methodology;

(v) Management capability of the applicant;

(vi) Sources of financing available to the project. Any expectation concerning cost sharing shall be clearly stated. While cost sharing is encouraged, unless the cost sharing expectation is addressed in the solicitation, it shall not be considered in the evaluation process and shall be considered only at the time the award is negotiated.

(vii) Relationship of the proposed project to the objectives of the solicitation;

(13) A listing of program policy factors, if any, indicating the relative importance of each, if appropriate (see $ 600.19(a));

(14) References to or copies of:

(1) Statutory authority for the program;

(11) Applicable rules, including the appropriate subparts of this part;

(111) 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, technical 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 OMB Circular A-95 (“Review, Evaluation, and Coordination of Federal and Federally Assisted Projects and Programs"), Attachment A, part I, is required and, if required, the consequences of noncompliance (see $ 600.11);

(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 $ 600.127);

(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 justifications required by this part. [47 FR 44083, Oct. 5, 1982, as amended at 53 FR 5261, Feb. 22, 1988; 54 FR 41946, Oct. 13, 1989; 59 FR 53265, Oct. 21, 1994) 8 600.10 Form and content of applica

tions and preapplications. (a) General. Applications shall be required for all financial assistance projects or programs. Preapplications shall be required for all construction, land acquisition, and land development projects or programs for which the need for Federal funding exceeds $100,000 unless the cognizant program office makes a written program determination to waive the preapplication requirement.

(b) Forms. Applications or preapplications shall be on the form or in the format and in the number of copies specified by DOE either in this part, in a program rule, or in the applicable solicitation, and must include all required information. For State governments, local governments, or Indian tribal governments, applications shall be made on the applicable forms in the

mation is essential to evaluate the application.


(53 FR 5261, Feb. 22, 1988, as amended at 53 FR 8045, Mar. 11, 1988; 54 FR 23959, June 5, 1989; 57 FR 40085, Sept. 2, 1992; 59 FR 53265, Oct. 21, 1994)

8 600.11 Intergovernmental review.

Intergovernmental review of DOE financial assistance shall be conducted in accordance with 10 CFR part 1005. (48 FR 29184, June 24, 1983)


Standard Form 424 (SF 424) series. Such applicants shall not be required to submit more than the original and two copies of the application preapplication. (Approved by OMB under control number 1910-0400.)

(c) Signature. The application and any preapplication must be signed by the individual who is applying or by an individual who is authorized to act for the applicant organization and to commit the applicant to comply with the terms and conditions of the financial assistance instrument, if awarded.

(d) Contents of a preapplication. In general,

financial assistance preapplication shall include:

(1) A facesheet containing basic identifying information. The facesheet shall be the Standard Form (SF)424;

(2) A brief narrative statement describing the project objectives and method of accomplishment; and

(3) A project budget identifying the estimated amounts of Federal funds and non-federal contributions (cash or in-kind) needed to support the project.

(e) 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;

(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 (see $$ 600.31, 600.112, and 600.303); and

(4) Any required preaward assurances.

(1) Incomplete applications. DOE may return an application which does not include all information and documentation required by statute, program rule, and the solicitation, if in the judgment of the DOE Contracting Officer, the nature of the omission precludes review of the application.

(g) Supplemental information. During the review of a complete application, DOE may request the submission of additional information only if the infor


8 600.12 Generally applicable require

ments. (a) Generally applicable requirement means Federal policies of administrative requirements that apply to (1) more than one DOE financial assistance award, or (2) a DOE financial assistance program and one or more other Federal assistance programs. Generally applicable requirements include, but are not limited to, the requirements of this part, Federal statutes, the OMB Circulars and other governmentwide guidance implemented by this part, Executive Orders, and the requirements identified in appendix A of this part.

(b) Except as expressly exempted by Federal statute or program rule, recipients and subrecipients of DOE financial assistance shall comply with all generally applicable

applicable requirements which, by the terms of such requirements, they are subject. DOE may require the submission of preaward assurances of compliance with one

generally applicable requirements and may conduct preaward and postaward compliance reviews only to the extent such actions are authorized by this part, Federal statute or rule, Executive Order, or OMB directive.

(c) Provisions shall be made to design and construct all buildings, in which DOE funds are used, to meet appropriate seismic design and construction standards. Seismic codes and standards meeting or exceeding the provisions of each of the model codes listed in this paragraph are considered to be appropriate for purposes of this part. The model codes are as follows:

(1) 1991 Uniform Building Code, of the International Council of Building Officials,



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