[Federal Register Volume 69, Number 34 (Friday, February 20, 2004)]
[Rules and Regulations]
[Pages 7865-7867]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-3608]



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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.

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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).

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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).
0
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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