[Federal Register Volume 64, Number 202 (Wednesday, October 20, 1999)]
[Rules and Regulations]
[Pages 56418-56420]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-27424]
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DEPARTMENT OF ENERGY
10 CFR Part 600
RIN 1991-AB53
Assistance Regulations; Technical and Administrative Amendments
AGENCY: Department of Energy.
ACTION: Final rule.
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SUMMARY: The Department of Energy (DOE) is amending the Department of
Energy Assistance Regulations to make technical and administrative
changes. These changes include: revising a definition for clarity,
updating titles and addresses, changing an approval authority,
eliminating provisions that contain internal procedures for DOE
officials, removing obsolete coverage, eliminating redundant coverage,
and correcting a typographical error. These changes are technical and
administrative in nature and have no significant impact on non-agency
persons, such as recipients or applicants. The uniform administrative
requirements for grants and cooperative agreements with institutions of
higher
[[Page 56419]]
education, hospitals, other non-profit organizations, commercial
organizations, and state and local governments are not changed by this
rule.
EFFECTIVE DATE: This final rule will be effective November 19, 1999.
FOR FURTHER INFORMATION CONTACT: Trudy Wood, Office of Procurement and
Assistance Policy (MA-51), U.S. Department of Energy, 1000 Independence
Avenue, S.W., Washington, D.C. 20585, telephone 202-586-5625.
SUPPLEMENTARY INFORMATION:
I. Explanation of Changes
II. Procedural Requirements
A. Review Under Executive Order 12866
B. Review Under Executive Order 12988
C. Review Under the Regulatory Flexibility Act
D. Review Under the Paperwork Reduction Act
E. Review Under the National Environmental Policy Act
F. Review Under Executive Order 12612
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Explanation of Changes
1. In section Sec. 600.3 Definitions, we have revised the
definition of ``Merit review'' to clarify what constitutes an
``independent examination'' of a financial assistance application.
2. In Sec. 600.4 Deviations, we have updated the title of the
authorizing official.
3. In Sec. 600.6 Eligibility, we have changed the approval
authority on a determination that a noncompetitive award is in the
public interest to the Secretary, because such determinations are more
appropriately made by the Secretary of Energy.
4. In Sec. 600.10 Form and content of applications, we have updated
the address for obtaining a guide for the preparation and submission of
unsolicited applications and removed redundant language.
5. In Sec. 600.13 Objective merit review, we have changed the title
to ``Merit review'' and eliminated provisions relating to internal
procedures that are more appropriately addressed in a DOE handbook on
merit reviews.
6. Section 600.14 Conflict of interest is removed because the
current provision is obsolete. Conflict of interest requirements for
all DOE employees, including those who participate in the review of
applications for DOE financial assistance or in the administration of
financial assistance awards, are covered in 5 CFR part 2635 and part
2640. Conflict of interest requirements for non-federal merit reviewers
are more appropriately covered in a DOE handbook on merit reviews.
7. In Sec. 600.24 Noncompliance, we have corrected a typographical
error in a cross-reference.
II. Procedural Requirements
A. Review Under Executive Order 12866
Today's regulatory action has been determined not to be a
``significant regulatory action'' under Executive Order 12866,
``Regulatory Planning and Review'' (58 FR 51735, October 4, 1993).
Accordingly, this action is not subject to review under that Executive
Order by the Office of Information and Regulatory Affairs of the Office
of Management and Budget (OMB).
B. Review Under Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of Executive Order 12988,
``Civil Justice Reform (February 7, 1996)'' 61 FR 4729, imposes on
Executive agencies the general duty to adhere to the following
requirements: (1) Eliminate drafting errors and ambiguity; (2) write
regulations to minimize litigation; and (3) provide a clear legal
standard for affected conduct rather than a general standard and
promote simplification and burden reduction. With regard to the review
required by section 3(a), section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) Clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
section 3(a) and section 3(b) to determine whether they are met or it
is unreasonable to meet one or more of them. The Department of Energy
has completed the required review and determined that, to the extent
permitted by law, the regulations meet the relevant standards of
Executive Order 12988.
C. Review Under the Regulatory Flexibility Act
This rule is not subject to review under the Regulatory Flexibility
Act, 5 U.S.C. 601 et seq., because there is no legal requirement to
propose financial assistance rules for public comment.
D. Review Under the Paperwork Reduction Act
No new information or recordkeeping requirements are imposed by
this rulemaking. Accordingly, no OMB clearance is required under the
Paperwork Reduction Act (44 U.S.C. 3501 et seq.).
E. Review Under the National Environmental Policy Act
DOE has concluded that promulgation of this rule falls into a class
of actions which would not individually or cumulatively have
significant impact on the human environment, as determined by DOE's
regulations (10 CFR part 1021, subpart D) implementing the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et seq.).
Specifically, this rule is categorically excluded from NEPA review
because the proposed amendments to the DOE financial assistance
regulation do not change the environmental effect of the rule being
amended (categorical exclusion A.5). Therefore, this rule does not
require an environmental impact statement or environmental assessment
pursuant to NEPA.
F. Review Under Executive Order 12612
Executive Order 12612 (52 FR 41685, October 30, 1987) requires that
regulations, rules, legislation, and any other policy actions be
reviewed for any substantial direct effects on States, on the
relationship between the National Government and the States, or in the
distribution of power and responsibilities among the various levels of
Government. If there are sufficient substantial direct effects, then
the Executive Order requires the preparation of a federalism assessment
to be used in all decisions involved in promulgating and implementing a
policy action. DOE has determined that this rule will not have a
substantial direct effect on the institutional interests or traditional
functions of the States.
G. Review Under the Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally
requires a Federal agency to perform a detailed assessment of costs and
benefits of any rule imposing a Federal Mandate with costs to state,
local or tribal governments, or to the private sector, of $100 million
or more. This rulemaking would not affect state, local or tribal
governments or private sector entities.
[[Page 56420]]
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277), requires Federal agencies to issue a
Family Policymaking Assessment for any proposed rule or policy that may
affect family well-being. This rulemaking is not subject to a
requirement to propose for public comment, and section 654 therefore
does not apply.
List of Subjects in 10 CFR Part 600
Administrative practice and procedure.
Issued in Washington, DC, on October 12, 1999.
Richard H. Hopf,
Director, Office of Procurement and Assistance Management.
For the reasons set out in the preamble, part 600 of Chapter II,
Title 10 of the Code of Federal Regulations, is amended as follows:
PART 600--FINANCIAL ASSISTANCE RULES
1. The authority citation for part 600 continues to read as
follows:
Authority: 42 U.S.C. 7254, 7256, 13525; 31 U.S.C. 6301-6308,
unless otherwise noted.
2. Section 600.3 is amended by removing the term objective merit
review and adding in its place in alphabetical order the term merit
review to read as follows:
Sec. 600.3 Definitions.
Merit review means a thorough, consistent, and objective
examination of applications based on pre-established criteria by
persons who are independent of those submitting the applications and
who are knowledgeable in the field of endeavor for which support is
requested.
* * * * *
Sec. 600.4 [Amended]
3. Section 600.4 is amended in paragraphs (c)(2)(ii) and (c)(3) by
revising the phrase ``Deputy Assistant Secretary for Procurement and
Assistance Management'' to read ``Director, Procurement and Assistance
Management''.
4. Section 600.6 is amended by revising paragraph (c)(8) to read as
follows:
Sec. 600.6 Eligibility.
* * * * *
(c) * * *
(8) The responsible program Assistant Secretary (or official of
equivalent authority), with the approval of the Secretary of Energy,
determines that a noncompetitive award is in the public interest. This
authority may not be delegated.
* * * * *
5. Section 600.10 is amended by revising paragraph (b) to read as
follows:
Sec. 600.10 Form and content of applications.
* * * * *
(b) Forms. Applications shall be on the form and in the number of
copies specified in a program rule, the solicitation, or these
regulations. (See also Secs. 600.112 and 600.210.) For unsolicited
applications, a guide for preparation and submission is available from
U.S. Department of Energy, Federal Energy Technology Center, Attn:
Unsolicited Proposal Manager, Post Office Box 10940, Pittsburgh, PA,
15236-0940.
* * * * *
6. Section 600.13 is revised to read as follows:
Sec. 600.13 Merit review.
* * * * *
(a) It is the policy of DOE that discretionary financial assistance
be awarded through a merit-based selection process. A merit review
means a thorough, consistent, and objective examination of applications
based on pre-established criteria by persons who are independent of
those submitting the applications and who are knowledgeable in the
field of endeavor for which support is requested.
(b) Each program office must establish a merit review system
covering the financial assistance programs it administers. Merit review
of financial assistance applications is intended to be advisory and is
not intended to replace the authority of the project/program official
with responsibility for deciding whether an award will be made.
Sec. 600.14 [Removed and Reserved]
7. Section 600.14 is removed.
Sec. 600.24 [Amended]
8. Section 600.24 is amended in paragraph (b), introductory text,
by revising ``Sec. 600.121(n)'' to read ``Sec. 600.122(n)''.
[FR Doc. 99-27424 Filed 10-19-99; 8:45 am]
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