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Title : DEPARTMENT OF ENERGY Agency Specific Requirements Modifications to

the General Terms and Conditions


Type : Grant Conditions
NSF Org: OD / LPA
Date : November 13, 1995
File : fdpdoe

DEPARTMENT OF ENERGY
Agency-Specific Requirements
Modifications to the General Terms
and Conditions

A. The following constitute the DOE-


specific requirements which are
necessary to supplement the
pertinent Articles of the General
Terms and Condition:
1. The cognizant awarding agency
official shall be the Contracting
Officer or other individual named in
Item 12, "Administered for DOE
by..." of the Notice of Financial
Assistance Award (DOE F4600.1)
(7-81).
2. The total approved budget
shown in Item 16a(6), Current Budget
Period Information, of the Notice Of
Financial Assistance Award consists
of approved DOE funding for both
direct and indirect costs of the
project as well as any required cost
sharing by the recipient. DOE will
apply the applicable approved
indirect cost rate in effect at the
time of award negotiation to
determine the amount for indirect
costs to be included in the approved
budget. Should that rate
subsequently increase, DOE is under
no obligation to provide
supplemental funding. The maximum
DOE obligation to the recipient is
the amount shown in the Notice of
Financial Assistance Award as the
amount of DOE funds obligated. DOE
shall not be obligated to make any
additional, supplemental, renewal or
other award for the same or any
other purpose.
3. The DOE contact point for
matters under Article 22, Patents
and Inventions, shall be the Patent
Counsel designated by the
Contracting Officer.
4. Information which the
recipient believes requires
classification, pursuant to Article
25, shall be sent by registered mail
to U.S. Department of Energy, Attn:
Director, Declassification Division,
NN-52, Washington, DC 20585.
5. Recipients shall be required
to comply with the requirements of
10 CFR 1040, as amended,
Nondiscrimination in Federally
Assisted Programs.

B. The following are DOE-specific


requirements, binding on the
recipient and DOE, which shall take
precedence over the General Terms
and Conditions:
1. All provisions of 10 CFR Part
600, as amended, which regulate how
a recipient shall award and
administer subawards and contracts
under grants shall be applied to
subawards and contracts under prime
awards governed by the Demonstration
Agreement.
2. Any request by the recipient
for a deviation from any requirement
of the General Terms and Conditions
or this supplement shall be
submitted in writing to the Deputy
Assistant Secretary for Procurement
and Assistance Management, Office of
Procurement and Assistance
Management, HR-5, U.S. Department of
Energy, Washington, DC 20585. Any
request for a deviation from any
special condition or award shall be
directed to the DOE Contracting
Officer named on the Notice of
Financial Assistance Award for the
applicable award.
3.a. Applications for renewal or
supplemental awards must be
submitted in an original and six
copies.
b. Any application for a
renewal or supplemental award must
be submitted to the DOE Contracting
Officer whose signature appears in
Item 21 of the Notice of Financial
Assistance Award.
c. In accordance with Article
Number 6 of the General Terms and
Conditions, the required technical
progress report must be submitted 90
days prior to the next recommended
funding period. This report must
include amounts and explanation of
any unspent grant funds for the
previous funding period. Two copies
of the report should be forwarded to
the DOE Project Officer listed in
Item 11 of the Notice of Financial
Assistance Award. The original
report should be forwarded to the
DOE Contracting Officer listed in
Item 21 of the Notice of Financial
Assistance Award. If a request for
renewal support is submitted during
the final year of the project, that
year's progress report should
accompany such request.
d. An application for a renewal
award must be submitted no later
than six months prior to the
scheduled expiration of the project
period (or any recipient-initiated
extension thereof pursuant to the
General Terms and Conditions). The
application must be on the same
forms as a new application, (SF-424
or DOE 4650.2, ERF 4620.1 and
4620.1A) and must outline and
justify a program and budget for the
proposed renewal period. The
application must show, in detail,
the estimated cost of the proposed
project and the amount being
requested from DOE and/or others,
describe and explain the reasons for
any change in the scope or
objectives of the proposed project
and for differences between
estimates in the proposed budget and
actual costs experienced as of the
date of the application.
4.a. A Notice of Energy R&D
project (DOE Form 1430.22), which
summarizes the purpose and scope of
the project, must be submitted
immediately after initial award and
with each application for renewal
(as defined in 10 CFR 600.3).
b. Each progress report,
reprint, conference paper, and final
report must be accompanied by two
(2) copies of DOE Form 1332.16,
University-Type Contractor and
Grantee Recommendations for
Disposition of Scientific and
Technical Documents. Please submit
this form only on the DOE
Contracting Officer's required
copies.
5. DOE systems require that
certain DOE originated awards be
signed by both a DOE Contracting
Officer and, subsequently, by the
recipient in order for DOE to make
or authorize payment (if the
amendment involves the obligation of
funds). DOE must receive a copy of
the signed award/amendment document
from the recipient.
6.a. Whenever practicable, DOE
shall attempt to resolve informally
any dispute over the award or
administration of financial
assistance. At the initiative of
DOE or upon the written request of a
recipient, DOE shall mail (by
certified mail) a brief written
determination signed by a
Contracting Officer, setting forth
DOE's final disposition of a dispute
which is not resolved informally.
Such determination shall contain the
following information:
(1) A summary of the dispute,
including a statement of the issues
and of the positions taken by the
Department and the party or parties
to the dispute; and
(2) The factual, legal and
policy reasons for DOE's disposition
of the dispute.
b. Except as provided in
paragraph d. below, the final
determination under paragraph a. may
be appealed to the DOE Financial
Assistance Appeals Board (the Board)
in accordance with the procedures
set forth in 10 CFR Part 1024. If
the final determination under
paragraph a. involves a dispute over
which the Board has jurisdiction,
the Contracting Officer's
determination shall state that, with
respect to such dispute, the
determination shall be the final
decision of the Department unless,
within 60 days, a written notice of
appeal is filed. If the final
determination under paragraph a.
involves a dispute over which the
Board has no jurisdiction the
Contracting Officer's determination
shall state that, effective
immediately or on a later date
specified therein, the determination
shall, with respect to such dispute,
be the final decision of the
Department.
c. The filing of an appeal with
the Board shall not stay any
determination or action taken by DOE
which is the subject of the appeal.
Consistent with its obligation to
protect the interests of the Federal
Government, DOE may take such
authorized actions as may be
necessary to preserve the status quo
pending decision by the Board, or to
preserve its ability to provide
relief in the event the Board
decides in favor of the appellant.
d. The Board does not have
jurisdiction to review:
(1) Any preaward dispute
(other than a decision not to issue
funds based on a determination of
noncompliance), including use of any
special restrictive condition;
(2) DOE denial of a request
for a deviation;
(3) DOE denial of a prior
approval request;
(4) Any authorized DOE action
concerning conversion of payment
method, withholding of funds,
suspension of award, or disapproval
of renewal, extension, or
supplemental funding request.
(5) A DOE decision not to make
a continuation award, which decision
is based on the insufficiency of
available appropriations;
(6) Any matter which is under
the jurisdiction of the Patent
Compensation Board (10 CFR 780.3);
(7) Any matter which may be
heard by the Invention Licensing
Appeals Board (10 CFR 781.65 or
781.66) or;
(8) Any other dispute not
described in paragraph e. below.
e. The Board shall have
jurisdiction to review;
(1) A DOE determination that
the recipient has failed to comply
with the applicable requirements of
the award;
(2) A DOE decision not to fund
based on a determination of
noncompliance;
(3) Termination of an award
for cause, in whole or in part by
DOE;
(4) A Doe determination that
an award is void or invalid;
(5) The application by DOE of
an indirect cost rate, and
(6) DOE disallowance of costs.
f. In reviewing disputes, the
Board shall be bound by the
applicable law, statutes, and rules
including the requirements of the
Demonstration Agreement, including
the General Terms and Conditions and
this supplement.
g. The decision of the Board
shall be the final decision of the
Department.
7. Applicants, recipients,
subrecipients, and contractors under
DOE financial assistance awards may
be debarred and suspended for the
causes and in accordance with the
procedures set forth in 10 CFR Part
1036.
8. No increment above cost may be
paid to a recipient or subrecipient
under a DOE financial assistance
award, except for recipients allowed
under 10 CFR Part 605.15. A fee or
profit may be paid to a contractor
providing goods or services under a
contract with a recipient or
subrecipient.
9. Interest penalties for late
payment under a contract shall not
be an allowable cost under this
award.
10. Unless DOE and the recipient
agree otherwise, no period of
suspension under Article Number 24
of the General Terms and Conditions
shall exceed 90 days. If DOE has
not canceled a suspension by the
expiration date of the suspension,
the recipient shall resume the
suspended activities or the project
unless, prior to the expiration
date, DOE notifies the recipient in
writing of an extension (within the
permissible limits cited above).
11. If DOE closes out a grant
without an audit or without benefit
of an organization-wide or single
audit covering the full period of
DOE support, the grantee shall
refund to DOE the amount of any
costs subsequently disallowed under
the closed out grant on the basis of
any applicable audit report received
subsequent to closeout.
12. Because DOE has a
responsibility to disseminate
scientific and technical information
under 42 USC 2051(d), 42 USC 2161(b)
and 42 USC 2166(b), the recipient
agrees, for all copyrighted computer
software produced in the performance
of this agreement, to provide the
source code, an expanded abstract,
object code and the minimum support
documentation needed by a competent
user to understand and use the
software to DOE's Energy Science and
Technology Software Center, P.O. Box
1020, Oak Ridge, TN 37831.

C. To the extent not otherwise


treated in these agency-specific
requirements or in the General Terms
and Conditions, DOE and its
Contracting Officers shall be bound
by the provisions of 10 CFR 600 and
any applicable program rules which
(a) limit DOE's right to take
unilateral actions, (b) establish a
right to the recipient, or (c)
establish due process requirements.