[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]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

10 CFR Part 600

RIN 1991-AB53


Assistance Regulations; Technical and Administrative Amendments

AGENCY: Department of Energy.

ACTION: Final rule.

-----------------------------------------------------------------------

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]
BILLING CODE 6450-01-P