10 C.F.R. Subpart F—Eligibility Determination for Certain Financial Assistance Programs—General Statement of Policy
Title 10 - Energy
Source: 60 FR 65514, Dec. 20, 1995, unless otherwise noted.
This subpart implements section 2306 of the Energy Policy Act of 1992, 42 U.S.C. 13525, and sets forth a general statement of policy, including procedures and interpretations, for the guidance of implementing DOE officials in making mandatory pre-award determinations of eligibility for financial assistance under Titles XX through XXIII of that Act. The definitions in §600.3 of this part, including the definition of the term “financial assistance,” are applicable to this subpart. In addition, as used in this subpart: Act means the Energy Policy Act of 1992. Company means any business entity other than an organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. §501 (c)(3)). Covered program means a program under Titles XX through XXIII of the Act. (A list of covered programs, updated periodically as appropriate, is maintained and published by the Department of Energy.) Parent company means a company that: (1) Exercises ultimate ownership of the applicant company either directly, by ownership of a majority of that company's voting securities, or indirectly, by control over a majority of that company's voting securities through one or more intermediate subsidiary companies or otherwise, and (2) Is not itself subject to the ultimate ownership control of another company. United States means the several States, the District of Columbia, and all commonwealths, territories, and possessions of the United States. United States-owned company means: (1) A company that has majority ownership by individuals who are citizens of the United States, or (2) A company organized under the laws of a State that either has no parent company or has a parent company organized under the laws of a State. Voting security has the meaning given the term in the Public Utility Holding Company Act (15 U.S.C. 15b(17)). A company shall be eligible to receive an award of financial assistance under a covered program only if DOE finds that— (a) Consistent with §600.503, the company's participation in a covered program would be in the economic interest of the United States; and (b) The company is either— (1) A United States-owned company; or (2) Incorporated or organized under the laws of any State and has a parent company which is incorporated or organized under the laws of a country which— (i) Affords to the United States-owned companies opportunities, comparable to those afforded to any other company, to participate in any joint venture similar to those authorized under the Act; (ii) Affords to United States-owned companies local investment opportunities comparable to those afforded to any other company; and (iii) Affords adequate and effective protection for the intellectual property rights of United States-owned companies. In determining whether participation of an applicant company in a covered program would be in the economic interest of the United States under §600.502(a), DOE may consider any evidence showing that a financial assistance award would be in the economic interest of the United States including, but not limited to— (a) Investments by the applicant company and its affiliates in the United States in research, development, and manufacturing (including, for example, the manufacture of major components or subassemblies in the United States); (b) Significant contributions to employment in the United States by the applicant company and its affiliates; and (c) An agreement by the applicant company, with respect to any technology arising from the financial assistance being sought— (1) To promote the manufacture within the United States of products resulting from that technology (taking into account the goals of promoting the competitiveness of United States industry); and (2) To procure parts and materials from competitive suppliers. (a) Any applicant for financial assistance under a covered program shall submit with the application for financial assistance, or at such later time as may be specified by DOE, evidence for DOE to consider in making findings required under §600.502(a) and findings concerning ownership status under §600.502(b). (b) If an applicant for financial assistance is submitting evidence relating to future undertakings, such as an agreement under §600.503(c) to promote manufacture in the United States of products resulting from a technology developed with financial assistance or to procure parts and materials from competitive suppliers, the applicant shall submit a representation affirming acceptance of these undertakings. The applicant should also briefly describe its plans, if any, for any manufacturing of products arising from the program-supported research and development, including the location where such manufacturing is expected to occur. (c) If an applicant for financial assistance is claiming to be a United States-owned company, the applicant must submit a representation affirming that it falls within the definition of that term provided in §600.501. (d) DOE may require submission of additional information deemed necessary to make any portion of the determination required by §600.502. In making the determination under §600.502(b)(2), DOE may— (a) consider information on the relevant international and domestic law obligations of the country of incorporation of the parent company of an applicant; (b) consider information relating to the policies and practices of the country of incorporation of the parent company of an applicant with respect to: (1) The eligibility criteria for, and the experience of United States-owned company participation in, energy-related research and development programs; (2) Local investment opportunities afforded to United States-owned companies; and (3) Protection of intellectual property rights of United States-owned companies; (c) Seek and consider advice from other federal agencies, as appropriate; and (d) Consider any publicly available information in addition to the information provided by the applicant. Socioeconomic Policy Requirements Nondiscrimination in Federally Assisted Programs, 10 CFR part 1040 (45 FR 40514, June 13, 1980), as proposed to be amended by 46 FR 49546 (October 6, 1981). Nondiscrimination Provisions in Federally Assisted Construction Contracts, Part III of Executive Order 11246 (September 24, 1965), 3 CFR 1964—65 Comp., p. 345. Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended (42 U.S.C. 4581). Drug Abuse Office and Treatment Act of 1972, as amended (21 U.S.C. 1174). Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151 et seq.). National Environmental Policy Act of 1969, as amended (42 U.S.C. 4321 et seq.), 40 CFR part 1500, as implemented by (45 FR 20694, March 28, 1980). Sec. 306, Clean Air Act, as amended (42 U.S.C. 7606c). Sec. 508, Federal Water Pollution Control Act of 1972 (33 U.S.C. 1251 et seq.); Executive Order 11738, September 12, 1973. Title XIV, Public Health Service Act, as amended (42 U.S.C. 300f—et seq.). Sec. 102(a), Flood Disaster Protection Act of 1973 (Pub. L. 93–234, 87 Stat. 975). 10 CFR part 1022, “Protection of Wetlands and Floodplains.” Uniform Relocation Assistance and Land Acquisition Policies Act of 1970 (42 U.S.C. 4601 et seq.). Coastal Zone Management Act of 1972, as amended (16 U.S.C. 1451 et seq.) (15 CFR part 930). Endangered Species Act of 1973, as amended (16 U.S.C. 1531 et seq.). Fish and Wildlife Coordination Act (16 U.S.C. 661 et seq.). Sec. 106, National Historic Preservation Act of 1966, as amended (16 U.S.C. 470f); Executive Order 11593, “Protection and Enhancement of the Cultural Environment,” May 13, 1971, 3 CFR 1971 Comp., p. 154; Archaeological and Historic Preservation Act of 1966 (16 U.S.C. 469 et seq.); Protection of Historic and Cultural Properties, 36 CFR part 800. Wild and Scenic Rivers Act of 1968, as amended (16 U.S.C. 1271 et seq.). Protection of Human Subjects, 10 CFR part 745. Federal Laboratory Animal Welfare Act (7 U.S.C. 2131 et seq.) (9 CFR parts 1, 2, and 3). Lead-Based Paint Prohibition (42 U.S.C. 4831(b)). Sec. 7(b), Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e(b)). Cargo Preference Act of 1954 (46 U.S.C. 1241(b)) (46 CFR §381.7). International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. 1517). Executive Order 12138, “Creating a National Women's Business Enterprise Policy and Prescribing Arrangements for Developing, Coordinating, and Implementing a National Program for Women's Business Enterprise,” (May 18, 1979) 3 CFR 1979 Comp., p. 393. Sec. 403(b), Power Plant and Industrial Fuel Use Act of 1978, (42 U.S.C. 8373(b)); Executive Order 12185 (December 17, 1979, 3 CFR 1979 Comp., p. 474). Administrative and Fiscal Policy Requirements The Hatch Act (5 U.S.C. 1501–1508). Federal Reports Act, as amended by the Paperwork Reduction Act of 1980, Pub. L. 96–511 (44 U.S.C. 3501 et seq.). OMB Circular A–111, Jointly Funded Assistance to State and Local Governments and Nonprofit Organizations—Policies and Procedures. Federal Claims Collection Act of 1966, Pub. L. 89–508, 89 Stat. 309 (31 U.S.C. 951 et seq.). OMB Circular A–88, Coordinating Indirect Cost Rates and Audit at Educational Institutions. OMB Circular A–73, Audit of Federal Operations and Programs. Single Audit Act of 1984, Pub. L. 98–502. OMB Circular A–128, Audits of State and Local Governments. [47 FR 44108, Oct. 5, 1982, as amended at 50 FR 42361, Oct. 18, 1985; 51 FR 4297, Feb. 4, 1986] Distributee: Manager, Eastern Region, Office of Inspector General, U.S. Department of Energy, P.O. Box 1328, Oak Ridge, Tennessee 37831–1328. For recipients in: Alabama, Arkansas, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Vermont, Virgin Islands, Virginia, West Virginia, Wisconsin. Distributee: Manager, Western Region, Office of Inspector General, U.S. Department of Energy, P.O. Box 5400, Albuquerque, New Mexico 87115. For recipients in: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Kansas, Montana, Nebraska, Nevada, New Mexico, North Dakota, Oklahoma, Oregon, South Dakota, Texas, Utah, Washington, Wyoming. [50 FR 42361, Oct. 18, 1985; 51 FR 4297, Feb. 4, 1986]
Title 10: Energy
PART 600—FINANCIAL ASSISTANCE RULES
Subpart F—Eligibility Determination for Certain Financial Assistance Programs—General Statement of Policy
§ 600.500 Purpose and scope.
§ 600.501 Definitions.
§ 600.502 What must DOE determine.
§ 600.503 Determining the economic interest of the United States.
§ 600.504 Information an applicant must submit.
§ 600.505 Other information DOE may consider.
Appendix A to Part 600—Generally Applicable Requirements
Appendix B to Part 600—Audit Report Distributees
