Page images
PDF
EPUB

Sec. 600.234 Program Research and Develop

ment Announcements. 600.250 Statutory requirements for Coop

erative Agreements. 600.251 Eligible recipients for DOE Coop

erative Agreement. 600.252 Source selection, approval, and ex

ecution of Cooperative Agreement in

struments. 600.270 Cooperative Agreement structure. 600.271 Administrative requirements for

Cooperative Agreements. 600.281 Contents of a Cooperative Agree

ment. 600.282 Face page. 600.283 Schedule. 600.290 General and special provisions.

DOE assistance awards. The DOE assistance regulations do not, in and of themselves, provide authority for the use of assistance instruments nor the making of assistance awards where statutory authority has not been otherwise provided. Generic authority to award grants and cooperative agreements is provided in Pub. L. 95–224, the Federal Grant and Cooperative Agreement Act of 1977. The assistance regulations are distinct from the Federal and DOE procurement regulations.

Subpart D-Direct Loans (Reserved)

Subpart E-Loan Guarantees (Reserved)

8 600.4 Authority.

The DOE assistance regulations are issued pursuant to Section 644 of the Department of Energy Organization Act (Pub. L. 95-91) 42 U.S.C. 7101 et seq., and pursuant to the Secretary's delegation of authority to the Director, Procurement and Contracts Management Directorate, in accordance with Section 642 of the Act.

APPENDIX A-OMB GUIDANCE TO AGENCIES

FOR IMPLEMENTING THE FEDERAL GRANT

AND COOPERATIVE AGREEMENT ACT AUTHORITY: Sec. 644, Dept. of Energy Organization Act, Pub. L. 95-91, 91 Stat. 599 (42 U.S.C. 7101); Pub. L. 95-224, 92 Stat. 3 (41 U.S.C. 501), unless otherwise noted.

SOURCE: 44 FR 12921, Mar. 8, 1979, unless otherwise noted.

Subpart A-General

$ 600.1 Scope of subpart.

This subpart sets forth information about the Department of Energy (DOE) assistance regulations: Their purpose, authority, applicability, issuance, arrangement, implementation, and exception procedure; definitions of terms; and general DOE assistance policies.

REGULATION SYSTEM

$ 600.5 Applicability.

The DOE assistance regulations apply to all DOE organizations, to all DOE programs which will result in assistance awards, and to all recipients eligible for DOE assistance awards such as state and local governments, institutions of higher education, hospitals, other nonprofit organizations, individuals, profitmaking organizations, and foreign organizations. The provisions of this part govern the award and administration of all financial assistance matters, including resolutions and guidelines issued by DOE except:

(a) As otherwise required by statute;

(b) For final regulations issued before the effective date of this part;

(c) As otherwise provided by specific program regulations;

(d) Assistance instruments awarded by any Federal department, agency, or official thereof in the performance of functions transferred to DOE under the Department of Energy Organization Act (Pub. L. 95-91), which are in effect as of October 1, 1977, shall continue in effect according to their terms until renewed, continued, or otherwise extended. Such renewals, continu

8 600.2 Scope of section.

This section sets forth introductory information pertaining to the DOE assistance regulations: Their purpose, authority, applicability, exclusions, issuance, arrangement, publication, and exceptions. $ 600.3 Purpose.

This section establishes the DOE assistance regulations which codify, implement, and publish uniform assistance policies and selected procedures applicable to DOE and recipients of

ations, or extensions will then be subject to this part.

Assistance Manual, which will be available to the public upon request.

8 600.6 Exclusions.

Excluded from this part are requirements pertaining to procurement contracts subject to the Federal Property and Administrative Services Act of 1949 and the Federal and DOE procurement regulations, interagency agreements, memorandums of understanding and programs or projects which directly disseminate technical information, or provide consultation, technical service, information, and data counseling to recipients without the use of an assistance instrument. Also excluded is the sale, lease, license, or other authorization to use Federal property, when such use is not for the purpose of stimulation or support.

$ 600.9 Exceptions, deviations, or waivers.

Requests for exceptions, deviations, or waivers from the requirements of this part, unless exceptions are required by program legislation or program regulations, shall be submitted to the Director, Procurement and Contracts Management Directorate. Exceptions may be approved by the DirectorProcurement and Contracts Management Directorate or his designee on matters within the scope of his authority, or obtained by the Director from OMB or other cognizant DOE Headquarters Staff Office when required by law or other applicable Federal requirement.

DEFINITION OF TERMS

$ 600.7 Issuance.

The DOE assistance regulations are issued in the Code of Federal Regulations as Part 600, Chapter II, of Title 10, Energy after publication in the FEDERAL REGISTER. Copies of the DOE assistance regulations in the FEDERAL REGISTER and Code of Federal Regulations may be purchased from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402.

$ 600.20 Scope of section.

This section will include only those definitions needed to understand this part. Generally terms defined elsewhere in statutes, OMB circulars, and other Federal requirements will not be restated in this section.

$ 600.8 Arrangement.

(a) General plan. The general format, numbering system, and nomenclature used in this part conforms with FEDERAL REGISTER Standards.

(b) Citation. The DOE assistance regulation will be cited in accordance with FEDERAL REGISTER standards. Thus this paragraph, when referred to within divisions of the DOE assistance regulation, should be cited as $ 600.8(b). When this section is referred to formally in other documents outside of this part, it should be cited as “10 CFR 2-600.8(b).” Any section of the DOE assistance regulation may be informally identified, for purposes of brevity, as “DOE-AR” followed by the section or paragraph number, such as “DOE-AR 10-600.8(b).”

(c) Implementation. Instructions and procedures needed by DOE to internally implement this part will be contained, in a separate DOE Financial

$ 600.21 Definitions.

(a) Assistance is where the principal purpose of the relationship is the transfer of money, property, services, or anything of value to a recipient in order to accomplish a public purpose of support or stimulation authorized by Federal statute rather than of acquisition, by purchase, lease, or barter, of property or services for the direct benefit or use of the Federal Government.

(b) Assistance instrument is a general term which identifies a class of instruments used to award assistance. These instruments include grants and cooperative agreements.

(c) DOE means the Department of Energy as created by the Department of Energy Organization Act.

(d) Secretary means the Secretary of DOE.

GENERAL PROVISIONS

8 600.31 Scope of section.

This section sets forth the regulations applicable to all assistance instruments as defined herein.

$ 600.32 Selection of award instrument.

(a) This section provides guidance on the appropriate use of award instruments consistent with the Federal Grant and Cooperative Agreement Act of 1977, Pub. L. 95-224 and OMB implementation of this Act as published in the FEDERAL REGISTER August 18, 1978 (41 FR 36860) and incorporated by reference herein as Attachment “A”. This section applies to all program and individual transactions where the choice of award instruments is within the administrative discretion of DOE and is not otherwise proscribed or limited by law. A variety of award instruments is available as the means for defining the terms and conditions, and the nature of the relationship between DOE and eligible recipients. The award instruments are intended to be different in purpose, application, content, and nature. When properly employed, they create different relationships between the parties. Because of these differences, the decision to use a particular instrument to implement a particular purpose must be made deliberately. The determination of whether a program, to be implemented through individual transactions, is principally one of acquisition or assistance will be made at a DOE policy level. DOE Secretarial Officers will ensure that this determination is either made or reviewed at a policy level.

(b) Procurement contracts. A procurement contract shall be used as the legal instrument to reflect a relationship between the Federal Government and a state or local government or other recipient whenever (1) the principal purpose of the instrument is the acquisition by purchase, lease, barter, of property, or services for the direct benefit or use of the Federal Government; or (2) whenever DOE determines in a specific instance that the use of a type of procurement contract is appropriate.

(c) Grants. A type of grant agreement shall be used as the legal instrument to reflect a relationship between the Federal Government and a state or local government or other recipient whenever the principal purpose of the relationship is the transfer of money, property, services, or anything of value to the state or local government or other recipient in order to accomplish a public purpose of support or stimulation authorized by Federal statute, rather than acquisition, by purchase, lease, or barter, of property or services for the direct benefit or use of the Federal Government; and no substantial involvement is anticipated between DOE, acting for the Federal Government, and the state or local government or other recipient during performance of the contemplated activity.

(d) Cooperative agreements. A type of cooperative agreement shall be used as the legal instrument to reflect a relationship between the Federal Government and a state or local government or other recipient whenever the principal purpose of the relationship is the transfer of money, property, services, or anything of value to the state or local government or other recipient to accomplish a public purpose of support or stimulation authorized by Federal statute, rather than acquisition by purchase, lease, or barter, of property, or services for the direct benefit or use of the Federal Government; and substantial involvement is anticipated between DOE, acting for the Federal Government, and the state or local government or other recipient during performance of the contemplated activity.

(e) Part C (Cooperative Agreements) of this regulation will be published at a later date. However, effective immediately, any instrument entered into by DOE will identify on the instrument's cover page whether the instrument is a procurement contract, a grant, or a cooperative agreement.

or

$ 600.33 Small business participation.

(a) In furtherance of Pub. L. 95-91, section 102(17), small business firms will be given a reasonable opportunity to participate, insofar as is possible, operations are controlled by one or more of such individuals. For purposes of this definition, socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Native Americans, and other specified minorities, or any other individual found to be disadvantaged by the Small Business Administration pursuant to Section 8(a) of the Small Business Act.

fairly and equitably in assistance awards made pursuant to this part.

(b) It is further DOE's desire to encourage the maximum feasible involvement of small business, including disadvantaged small businesses, in DOE assistance awards consistent with eligibility criteria established in program legislation or other applicable statutes or directives, and programmatic needs.

(c) Solicitation mechanisms used to obtain proposals or applications for assistance awards may provide for small business preferences where consistent with eligibility criteria established in program legislation, other applicable statutes, directives, regulations, and programmatic needs.

(d) Recipients should accomplish the maximum amount of subcontracting to small and minority business concerns that is reasonable, appropriate, and consistent with the efficient performance of awards received from the Department.

(e) Definitions—(1) Small business concern. Unless otherwise designated by the DOE Procurement Business Affairs Office, a small business concern, for the purpose of awarding assistance, is a concern, including its affiliates, which is independently owned and operated, is not dominant in the field of operation in which it is submitting requests for assistance, and can further qualify under the criteria concerning number of employees, average annual receipts, or other criteria, as prescribed by the Small Business Administration under Code of Federal Regulations, Title 13, Part 121.3-2, as amended, which contains detailed industry definitions and related procedures for grants and cooperative agreements.

(2) Socially and economically disadvantaged business enterprise. A small business concern owned and controlled by socially and economically disadvantaged individuals, which is at least 50 per centum owned by one or more socially and economically disadvantaged individuals; or in the case of any publicly owned business, at least 50 per centum of the stock of which is owned by one or more socially and economically disadvantaged individuals; and whose management and daily business

8 600.34 Unsolicited applications and pro

posals for financial assistance awards. (a) Policy. Although it is DOE policy to solicit applications and proposals for assistance awards where possible, DOE also values obtaining innovative ideas, methods, and approaches in energy areas offered by the public through unsolicited applications and proposals.

(b) Scope. This section applies to unsolicited proposals being considered for support through an assistance instrument. This section does not apply when a procurement contract is the appropriate award instrument in accordance with $ 600.32(b).

(c) Definition of unsolicited proposal. The term unsolicited proposal (application) means a written request for DOE support of a project, which is submitted without a written or verbal solicitation made by DOE. The term may include both requests for support of a new project and requests for additional support of a previously funded project (renewals).

(d) Advance consultation. Organizations or individuals who are interested in submitting an unsolicited proposal are encouraged, before expending extensive effort in preparing a detailed unsolicited proposal or submitting any proprietary information to the Government, to make preliminary inquiries of DOE program staff as to the general interest in the type of project contemplated. Prior contact with agency technical personnel is permissible and is encouraged with the limited objectives of conveying to the prospective recipient an understanding of the agency mission and interest relative to the type of project contemplated. The project officer shall not indicate or imply in discussions with the potential

proposer that a proposal will result in an award. Nothing is to be suggested to encourage or authorize the proposer to perform any work at DOE expense in anticipation of support or an award. If there have been prior discussions with a particular DOE program and the proposal is intended for consideration by that program "For consideration by-Program" should be stated on the face of the proposal.

(e) Guides. Guides for preparing the content of unsolicited proposals are available from the DOE Procurement and Contracts Management Directorate, Unsolicited Proposals Management Branch, PR-33, Washington, D.C. 20545. Notwithstanding these guides, state and local governments may submit unsolicited applications or proposals using the application forms authorized by OMB Circular No. A102, Attachment M.

(f) Submission point. All unsolicited proposals for new or renewals of financial assistance awards will be submitted to DOE, Procurement and Contracts Management Directorate, Unsolicited Proposals Management Branch, PR-33, Washington, D.C. 20545.

(g) Receipt and review. (1) Receipt of unsolicited proposals will be acknowledged promptly by the Procurement and Contracts Management Directorate and then forwarded expeditiously to potentially interested program offices. Each unsolicited proposal that is circulated for a comprehensive evaluation shall have a legend attached or imprinted on it by the Procurement and Contracts Management Directorate identifying it as unsolicited proposal, and stating that it shall be used only for purposes of evaluation.

(2) The responsible program official or designee shall assign a project officer and other personnel, as necessary, to evaluate the proposal fairly and objectively. In some instances, the resp sible program official may find it advantageous to subject the proposal to external, such as peer group reviews, rather than internal evaluation.

(3) Unsolicited proposals may include data which the proposer does not want disclosed for purposes other than the evaluation of the proposal. In which case, each page containing

such data should be marked with the words “Proprietory Data-Restricted Use" at the top of the page. In the event that an unsolicited proposal, in whole or in part, indicates that the proposer wishes to impose restrictions on the use or disclosure of the data contained in the proposal, DOE personnel handling the proposal should take care to ensure that the information in the proposal is not disclosed outside of the Department except for purpose of scientific/technical/business evaluation. The assigned project officer has responsibility for ensuring that proposal reviewers are free of any direct affiliation with the individual(s) or institution submitting the proposal. DOE policy on the use of information contained in proposals is to use such information only for evaluation purposes, except to the extent such information is generally available to the public, is already the property of the Government, or is available to the Government without restriction. Accordingly, if a proposal contains information the proposer wishes to protect, the proposer should mark the cover page of the proposal with the following Notice:

an

NOTICE The data contained in pages of this proposal have been submitted in confidence and contain trade secrets and/or privileged or confidential commercial or financial information, and such data shall be used or disclosed only for evaluation purposes: Provided, That if this proposer receives an award as a result of or in connection with the submission of this proposal the Government shall have the right to use or disclose the data herein to the extent provided in the award. This restriction does not limit the Government's right to use or disclose data obtained without restriction from any source, including the proposer. DOE shall ensure that all copies of the proposal carry the above Notice, and that it is not disclosed outside DOE except for evaluation purposes.

(h) Criteria for acceptance of an unsolicited proposal. Unsolicited applications and proposals may be accepted for support if the project has high technical merit or program value in accordance with paragraph (i) of this section; support is appropriate to accomplish a public purpose authorized

« PreviousContinue »