[Federal Register: February 20, 2004 (Volume 69, Number 34)]
[Rules and Regulations]
[Page 7865-7867]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr20fe04-2]
[[Page 7865]]
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DEPARTMENT OF ENERGY
10 CFR Part 600
RIN 1991-AB66
Financial Assistance Rules
AGENCY: Department of Energy.
ACTION: Final rule.
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SUMMARY: The Department of Energy (DOE) is amending its Assistance
Regulations to make changes in the solicitation requirements and the
way the public is notified of funding opportunities that result in the
award of grants and cooperative agreements. The Department's Assistance
Regulations currently require that solicitations or notices of
solicitations be published in the Federal Register. Since March 2003,
DOE has also been posting synopses of solicitations on the Grants.gov
FIND module at http://www.Grants.gov. This is the government-wide
Internet site for Federal agencies' announcements of financial
assistance funding opportunities. DOE will continue providing notices
of announcements of funding opportunities in both the Federal Register
and at the Grants.gov FIND module until the effective date of this
rule. After that date, DOE will no longer publish separate notices in
the Federal Register, because the information is provided at the
Grants.gov FIND Internet site.
EFFECTIVE DATE: This rule becomes effective on March 22, 2004.
FOR FURTHER INFORMATION CONTACT: Ms. Trudy Wood, Office of Procurement
and Assistance Policy, Department of Energy, at (202) 586-5625.
SUPPLEMENTARY INFORMATION:
I. Background
II. Explanation of Changes
III. Procedural Requirements
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act
D. Review Under the National Environmental Policy Act
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under the Treasury and General Government
Appropriations Act, 2001
J. Review Under Executive Order 13211
K. Review Under the Small Business Regulatory Enforcement
Fairness Act
IV. Approval of the Office of the Secretary of Energy
I. Background
The Federal Financial Assistance Management Improvement Act of 1999
(Pub. L. 106-107) directed agencies to work together to simplify and
streamline Federal grant-making processes. As a result of the
government-wide streamlining initiative, the Office of Federal
Financial Management (OFFM), Office of Management and Budget (OMB),
recently published several notices and policy directives. The first
notice, published at 68 FR 37370 (June 23, 2003), issued a policy
directive to establish a standard format for Federal agency
announcements of funding opportunities under programs that award
discretionary grants or cooperative agreements. The policy directive
required Federal agencies to organize announcement information in this
standard format to make it easier for potential applicants to quickly
find the information they needed. The second OFFM notice, published at
68 FR 37379 (June 23, 2003), established standard data elements for
electronically posting synopses of Federal agencies' announcements of
funding opportunities. The third notice, published at 68 FR 58146
(October 8, 2003), issued a policy directive to require Federal
agencies to post synopses of their discretionary grant and cooperative
agreement funding opportunity announcements on the Grants.gov Find
module at http://www.Grants.gov.
The purposes of the Grants.gov FIND module are to provide potential
applicants with: (1) Enough information about any funding opportunity
to decide whether they are interested in viewing the full announcement;
(2) information on how to obtain the full announcement; and (3) one
common Web site for all Federal grant opportunities searchable by key
word, date, Catalog of Federal Domestic Assistance number, or specific
agency name.
This rule establishes the government-wide announcement format as
the DOE format for announcements of financial assistance funding
opportunities and the Grants.gov Internet site as the means of
notifying the public of these opportunities. As part of its grants
streamlining and simplification efforts, DOE began posting synopses of
solicitations on the Grants.gov FIND module in March 2003. In
accordance with the Department's financial assistance requirements, DOE
has continued publishing notices of financial assistance solicitations
in the Federal Register and will continue to publish such notices until
the effective date of this regulation. This should provide adequate
time for the financial assistance community to become acclimated to the
Grants.gov Internet site. The ability to realize efficiencies through
the use of electronic processes justifies DOE's reliance upon them.
Therefore, after the effective date of this regulation, DOE will no
longer provide duplicative notices in the Federal Register and instead
will rely exclusively on notices posted on the Grants.gov Internet site
to inform the public of DOE financial assistance funding opportunities.
II. Explanation of Changes
1. In section 600.8, ``Solicitation,'' we have changed the title to
``Program announcements'' to be consistent with the OFFM policy
guidance.
2. In section 600.8, paragraph (a) is revised to define program
announcements.
3. In section 600.8, paragraph (a)(2), we deleted the requirement
to publish either a copy or a notice of availability of a financial
assistance solicitation in the Federal Register and in the Commerce
Business Daily if potential applicants include for-profit organizations
and there is potential for significant contracting opportunities. We
also added a requirement to post synopses of announcements of funding
opportunities at the Grants.gov Internet site.
4. In section 600.8, we have changed the title of paragraph (c) to
``Announcement format'' and added a requirement that DOE announcements
comply with the government-wide standard announcement format. We have
also deleted the list of items that must be included in a program
announcement since OFFM policy guidance sets forth the format and
content for each announcement.
5. Section 600.9, ``Notice of program interest,'' is removed
because the requirements for notices of program interest are now
covered in section 600.8.
6. In section 600.10, paragraph (b), ``program announcement'' is
substituted for the word ``solicitation'' to ensure consistency with
the revisions to section 600.8.
III. 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 OMB.
[[Page 7866]]
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis for any rule
that by law must be proposed for public comment, unless the agency
certifies that the rule, if promulgated, will not have a significant
economic impact on a substantial number of small entities. Because DOE
is not required by the Administrative Procedure Act (5 U.S.C. 551 et
seq.) or any other law to propose financial assistance rules for public
comment, DOE did not prepare a regulatory flexibility analysis for this
rule.
C. Review Under the Paperwork Reduction Act
This regulatory action does not impose any new information
collections subject to the Paperwork Reduction Act.
D. Review Under the National Environmental Policy Act
DOE has concluded that promulgation of this rule falls into a class
of actions that would not individually or cumulatively have a
significant impact on the human environment, as determined by DOE's
regulations implementing the National Environmental Policy Act of 1969
(42 U.S.C. 4321 et seq.). Specifically, this rule deals only with
agency procedures, and, therefore, is covered under the Categorical
Exclusion in paragraph A6 to subpart D, 10 CFR part 1021. Accordingly,
neither an environmental assessment nor an environmental impact
statement is required.
E. Review Under Executive Order 13132
Executive Order 13132, 64 FR 43255 (August 4, 1999), imposes
certain requirements on agencies formulating and implementing policies
or regulations that preempt State law or that have federalism
implications. Agencies are required to examine the constitutional and
statutory authority supporting any action that would limit the
policymaking discretion of the States and carefully assess the
necessity for such actions. DOE has examined today's final rule and has
determined that it does not preempt State law and does not have a
substantial direct effect on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government. No further
action is required by Executive Order 13132.
F. 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,'' 61 FR 4729 (February 7, 1996), imposes on
Federal 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. 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. DOE has
completed the required review and determined that, to the extent
permitted by law, this rule meets the relevant standards of Executive
Order 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) requires each Federal agency to assess the effects of a Federal
regulatory action on State, local, and tribal governments, and the
private sector. The Department has determined that today's regulatory
action does not impose a Federal mandate on State, local or tribal
governments or on the private sector.
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. Today's rule would not have any impact on the
autonomy or integrity of the family as an institution. Accordingly, DOE
has concluded that it is not necessary to prepare a Family Policymaking
Assessment.
I. Review Under the Treasury and General Government Appropriations Act,
2001
The Treasury and General Government Appropriations Act, 2001, 44
U.S.C. 3516 note, provides for agencies to review most disseminations
of information to the public under implementing guidelines established
by each agency pursuant to general guideline issued by OMB. OMB's
guidelines were published at 67 FR 8452 (February 22, 2002), and DOE's
guidelines were published at 67 FR 62446 (October 7, 2002). DOE has
reviewed today's notice of final rulemaking under the OMB and DOE
guidelines and has concluded that it is consistent with applicable
policies in those guidelines.
J. Review Under Executive Order 13211
Executive Order 13211, Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use, 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to the
Office of Information and Regulatory Affairs (OIRA) of OMB, a Statement
of Energy Effects for any proposed significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that: (1) Is a significant regulatory action under Executive
Order 12866, or any successor order and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy, or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use. Today's regulatory
action is not a significant energy action. Accordingly, DOE has not
prepared a Statement of Energy Effects.
K. Review Under the Small Business Regulatory Enforcement Fairness Act
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of today's rule prior to its effective date. The report
will state that it has been determined that the rule is not a ``major
rule'' as defined by 5 U.S.C. 801(2).
[[Page 7867]]
IV. Approval of the Office of the Secretary of Energy
The Office of the Secretary has approved the issuance of this rule.
List of Subjects in 10 CFR Part 600
Administrative practice and procedure.
Issued in Washington, DC on February 11, 2004.
Richard H. Hopf,
Director, Office of Procurement and Assistance, Management/Office of
Management, Budget and Evaluation, Department of Energy.
Robert C. Braden,
Director, Office of Procurement and Assistance Management, National
Nuclear Security Administration.
0
Part 600 of Chapter II, Title 10 of the Code of Federal Regulations, is
amended as follows:
PART 600--FINANCIAL ASSISTANCE RULES
0
1. The authority citation for part 600 continues to read as follows:
Authority: 42 U.S.C.7101 et seq; 31 U.S.C. 6301-6308; 50 U.S.C.
2401 et seq. unless otherwise noted.
Sec. 600.8 [Amended]
0
2. Section 600.8 is amended by revising:
0
a. The section title.
0
b. Paragraph (a) introductory text.
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c. Paragraph (a)(2).
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d. Paragraph (c).
The revisions read as follows:
Sec. 600.8 Program announcements.
(a) General. Program announcements include any issuance used to
announce funding opportunities that would result in the award of a
discretionary grant or cooperative agreement, whether it is called a
program announcement, program notice, solicitation, broad agency
announcement, research announcement, notice of program interest, or
something else.
(a)(1) * * *
(a)(2) DOE must post synopses of its program announcements and
modifications to the announcements at the Grants.gov Internet site,
using the standard data elements/format, except for:
(i) Announcements of funding opportunities for awards less than
$25,000 for which 100 percent of eligible applicants live outside of
the United States.
(ii) Single source announcements of funding opportunities which are
specifically directed to a known recipient.
* * * * *
(c) Announcement format. DOE must use the government-wide standard
format to publish program announcements of funding opportunities.
Sec. 600.9 [Removed and Reserved]
0
3. Section 600.9 is removed and reserved.
Sec. 600.10 [Amended]
0
4. Section 600.10 is amended in paragraph (b) by removing the word
``solicitation'' from the first sentence and adding the words ``program
announcement'' in their place.
[FR Doc. 04-3608 Filed 2-19-04; 8:45 am]
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