HomeMy WebLinkAbout1980
PR No. 01-80RC-10514,000
Wig) ~a .S. De a- t+•Aggreement No, ti.MODIFICATION N .
bsi's! partrnent of Energ
YJ E-FCOI-80RC 0514 A000
COOPERATIVE AGREEMENT3 t. Agreement Ptriod
Pursuant of Authority of PL 96-1260 PL 93-5771
ZO/1/80
PL 95-91, PL 93-438 FROM
3. Participant Natge and Address TO 9/30/81 '
City of Denton
215 E, McKinney
76201 4. Participant Type
Denton, Texas a
Esye+tlw O N~orie
State or Local Profit
S,PA ICY TITLE NNOVATIVE RATES PROG 6 PROJECT WILL 11 CONDUCTED riA
Electric Utility Rate Reform Initiatives Statement of Work
to Innovative Rate Structures under
Titles I anti III of PURPA _ j
7 TECHNICAL REPORT/ AAI REOVIRED
Statement of Work
8 VIRECTORIS) NAME AND°ADORILIS PROGRAM 9 DOE Program Officer (Name and Address)
Mr. Chris Hartung Mr. Howard Perry
City of Denton Division of Regulatory Assistance, DOE
215 E. McKinney 2000 M Street, N.W.. Room 4306
Washinggton D.C. 21673
Denton, Texas 7fi201 T~rrpASti Re.: ~ _
,I ACCOUNTING AND Zi;iOPAIATiON DATA I1 MITHOO Of FAYMENT
.,.,U=JL 41 EA-07-L EA-80' UB-01 RNr_jJLU L) U At A*", % Were Rost::, Ix Upon AK*01 of
13 /U/bNT V06CHIAE IF ANY, TO ORANTI O'FICIA I" moon
UNLIU OTHIRWI$i SPECIFIED IN 7hil FLOCK
O lstwr of CrNit ~ R40nbrrtwt4nt
SEE APPENDIX S O Othw At W*)
1FUNDING SOURt11 . 14 REMARKS
SOURCE M1111_90 AND ANOINT The project will be condur,ted in
%rwlr 10/l/flOTe: 9130/81 accordance with:
A. The attached Statement of Work
D02 6.11.336 B. The attached Schedule
C. Federal Register Rule, dated 7/14/80,
entitled "Financial Assistance Programs
PARTICIPANTS S . -0- for State Jtilit7 Regulatory Commissions
TOTALfUNDI^ N~ 0 8 77 136 and Eligible Nonreguiated Electric
15 AMOIlIiTOiL10ATkG1Y S71.336 ~i Utilitier.
16. DOE 1SSUU V OFFICE (name and address) D. OMB Circular A102, incorporated herein
U.S, Department of Energy b reference.
E. 10 CFR 6001 Doe Assistance
Off}.ce of Procurement Operations Regulations, incorporated herein
1000 Independence Lve., S.W. by reference.
PR 535 ,
Washington, D.C. 2058;;
Attnt Mr. Edward R. Simpeon
17. DO, T~,yE R 7S OFFICER 18. PARTICIPANT ACCEPTANCE
+f
~ ahwW~r Z a o
NAME (marl Robert S. Kirk k"? IIYWJ VJ. 14. &A
TITLE Contracting Officer TITLI VINe►t4V..,. 'bw>ee-'to w
ISLP14,,041 N0. 202-232-1026 titLdPMONI NO. ~t Z 8'S?~V
ALI, MATERIAL BEYOND THIS
PAGE IS TO BE USED TO
DEVELOP THE AWARD DOCUMENT
{
Addendum
INNOVATIVE RATES PROCPIhv
TYPE OF
AWARD: X NL
RECIPIENT. CITY OF DENTON, TEXAS
TASb
TITLED ESTIMATING CONSUMER LOAD CRARACTERISTICS r
As a result of program negotiations held between representatives of the Depart-
ment of Energy and the applicant agency concluded on
the f.,llnwing changes to the task proposPA are being made and should be
incorporated into this cooperative agreement.
WORK STAMENT CHANGES
The work statement found in PART IV of the proposed task work plan is hereby
modified to include the following:
NONE
BUDGET CHANGES
The total amount of federal funds to be obligated to this task in Fiscal Year
1980 is Uj'j G
AGREEMENT PERIOD
For the purposes of this took, the agreement period of performance is 10
months.
.
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PART 11
PROJECT ArPROVAI INFORMATION
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PART 111
BUDGET INFORMATION
Proposer CITY OF DENTON, TEXAS
Date ~August
Propose as Identification
Title ESTIMATING CONSUMER LOAD CRA1tA'CTTMCS
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1 DU fund, rifer 10 the funds avthorlttd under tht Energy Eonstrvatfon end
Prodvttlon Act, Title It, sections 104 Ind 20913), Pob. L. 94-316, at
amended by /vb• L 95411• hoh-wE fund, rtfor to I pt „w Nimes t.lcelred by
the provostr Includlnp other WE fvnds•
1i this thvvld Include any transfers, teetrltts, cooperative OF lnterspeecy
11reevehts, ed tho Services it Products of tlPtrtt And 90A%ultantt to
perforn essential !erupts.
PART IV
PROGRAM NARRATIVE
GgIdgRAL INFORMATION
PROJECT DEFINITION AND GOALS
The City of Denton, Texas proposes, under Title II of the
Energy Conservation and Production Act, 13ection IV,6,1.32(a), a
program initiative to implement time of day rate and load
two manageent dbato assess customer load nd cable communications system# Theagoals g A
this project are:
A. To identify appropriate rate incentives and tariffs
for a residential and commercial time-of-day rate
class and a voluntary load management program.
B. gather customer class through meerreading using astatistically valid ample of
customers.
C. To identify the administrative, technical support,
and legal requirements for implementing a full-
scale residential, and commercial time-of-day rates
and a voluntary loa6 management program using two
way CAM
This project to goals and the innovative rate program
of
This project fulfills the intent of the innovative rates
program in that:
It is an innovative rate initiative which will.
result in implementation of a time of day and
voluntary load management program.
B. It will provide the basic tools and methodology for
accurately estimating customer class loads and
distribution system component loads without
requiring large scale data gathering.
i
( C. The techr.-cal and administrative experience and
information gained in the implementation of this
program will provide the basic tools and
methodology for conducting similar'time of /Jay,
load managements and class load charactertstica
measurement projects in other areas which have
1
r
1
cable television as a medium for interactive two-
way communication. This information will be
transferable not only to other municipally owned
electric utilities with access to operating cable
television systems but also to large metropolitan
areas with interconnected two-way cable systems and
publicly owned utilities.
D. The customer class characteristic information
gathered and analyzed by the City of Denton will be
available to other agencies doing research in this
area.
Specifically, this project proposes to address tasks number
It 4, and 7 under section 461.32 (a), i.e., estimation of
consumer load characteristics, rate incentives for utility
efficiency, and financing energy management methods.
BACKGROUND
Denton is a city of vigorous growth
and increasing energy requirements
The City of Denton is located thirty-five miles equidistant
from the downtown metropolitan areas of Dallas and Ft. Worth.
Due to the proximity of th2rje dynamic and growing metropolitan
areas the City of Denton has itself experienced substantial
industrial, commercial and residential growth. This growth has
been reflected in a changing customer mix an4 increasing
electrical demand on Denton's municipally owned electric utility.
Denton has approximately 17.150 electrical customersi
approximately 828 of these are residential, 168 commercial and
industrial, and 28 are municipal or other. Energy sales for 1980
are estimated to be approximately 490 million kilowatt hours.
Present electrical demand is 109 megawatts, with an estimated 101
to 118 growth factor per year. The City of Denton currently
generates about 608 of its electric requirement with natural gas
fueled combustion turbine generating plants. The remaining 401
of the requirement is obtained through a natural gas transfer
arrangement using a more economic dispatching arrangement with
the cities of Garland, Bryan and Greenville, Texas, Denton's
future power and energy requirements are planned to be met by
generation plants being financed and constructed by the Texas
Municipal Power Agency (TMPA), a joint action agency formed by
Denton, Garland, Bryan and Greenville. T:4PA is constructing a
400 mw minemouth lignite plant near Bryan, which is due to be on-
line in 1982. TMPA also has a 6.28 interest (142mw) in the 'texas
utility's Commanche Peak Nuclear Units I and 11 scheduled for
r:mpletion in 1981.
2
Rates for the electric utility are Set by a five-member City
Council upon the advice of a five-member Public Utilities Board,
The City of Denton is not subject to the jurisdiction of the
Texas Public Utility commission in rate setting matters and
therefore is qualified to participate under the Innovative Rates
Program.
USE OF BROAD BAND CABLE FOR TIME OF DAY METERING
AND LOAD MANAGEMENT
Broadband faster other
which offer
two way communications
The City of Denton has recently
Cable Communications, Inc. to installra CATV systemhwithin the
corporate limits of the city. Recognizing the tremendous
potential for conducting remote meter reading and load management
using a two-way interactive broadband coaxial network, the City
of Denton, working in conjunction with Cox Cable, has devised an
efficient and cost-effective plan to make time of day motering
and voluntary load management available to residential and
commercial electric utility customers. This scheme involves
installing on residential and commercial locations currently
available terminal devices or transponders which are capable of
monitoring the status of individual appliances and of activating
a switch to turn off or on such appliane-ce as air conditioning at
the discretion of a centralized master control unit. In addition
this addressable device will have the capability of interacting
with an electric meter which has been modified to acquire
customer use information. Because of the enormous frequency
response and high data transmission rate of broadband coaxial
cable, these meters may be read frequently enough to give a
minute by minute usage for each customer account. It is this
data gathering speed which gives cable television a natural
advantage over other systems such as power line or telephone two-
way interactive systems. Coaxial cable based systems are
approximately eight times faster in datr, transmission rate than
telephone-based systems and more than ten times as fast as power
line based systems. In addition, because of its two way data
transmission capability, coaxial cable systems are superior to
Yadio control or ripple devices,
3
COST BENEFIT ESTIMATES
Benefits to cost ratio is favorable
Preliminary analysis of the cost of implementing and
operating a broad band cable based time-of-day metering and load
management system yield a very favorable ratio when weighed
against anticipated benefits. Analysis of the Arkansas Demand
Management Demonstration Project indicates that time of day
metered customers were-able to reduce their peak day demand by an
average of 2.2 KW. Working on the assumption of a total cost of
six million dollars for system wide implementation, a plant life
of 7.5 years and assignment of eighty-two percent of the cost of
the system to residential customers, the cost of this project
will be approximately $26 per KW saved per year. This compares
with capital Cost of approximately $216 per KW per year for a
lignite, mine mouth generation facility. Operating costs for the
two way system were assumed to equal reduced meter reading
r expenses.
No energy savings were computed. The benefit to cost of the
cable project is therefore 7.3 where benefit is defined as the
oppotunity cost per xW of the lignite plant leas the cost of the
cable syatem per KW curtailed.
PM78CT DESCRIPTION
This project adopts current technology
to an ir..novative data collection,
load management and TOO meter application
Denton initially proposes to instf+ll approximately 150
bddressable tape, meters and load management switches as ph;sse 1
of a plan leading to a system wide time-of-day billing end energy
management program. Half of these devices will be installed in
the homes of a volunteer group wishing to participate in a time
of day rate or a voluntary lord management program. The other
half will be placed in the homes of a control group'ahich will
not need to be notified of their existence. This latter group
will not of course participate in load management. Each group
will be stratified according to usage and demand and will contain
~ statistically valid number of participants to make the
conclusions drawn from the data collected valid when applied to
Denton's entire electric system. These devices will be ccnneeted
via two-way coaxial cable used for cable television broadcasting
to a central computer capable of polling each terminal device
severel time: within an hour. Such a centralized computer
4
1 J
facility is currently in use in many locations by cable
television franchise operators for security alarm monitoring and
pay television purposes. Load management uring these addtassable
devices are also currently installed an a few locations
throughout the country.
Frequency of meter reading will yield
demand as well as use data
Unique to this project will be the collection and storage of
customer electrical use data on a frequency of ev,.:ry few minutes.
The frequency of this ramote meter monitoring will allow
assessment of use and demand by time of use of each meter
installation. This information can then be used for time-of-day
billing as well as for gathering statistics on customer clans use
characteristics.
This project will result in
identification of cost and
support requirementss for TOO
The installation of this equipment and the collection of
6ata during phase 1 will allow the City of Denton to assess the
administrative and technioal support requirements, costs and
benefits of offering a city-wide voluntary time-of-day use and
load management program to all customer classes. The City of
Denton also hopes to gain valuable information on the customer
response to time-of-day rates in order to assess the elasticity
of demand in Denton and, therefore, design rate incentive
required for utility-wide application of these programs.
Finally, Denton hopes to gain vr.iuable planning information on
customer clas3 load characteristics and upon transformer and
distribution system component load characteristics for use in
future rate studies as well as for capital planning.
The City of Denton has budgeted money for the purchase And
installation of several test meters. In addition Cox Cables has
pledged its assistance in developing the two-way capabilities of
the CATV cable for this application. The City of Denton !.s
asking the Department of Energy for funding to defray the
marginal coats of personnel expenses, professional services ar~d
operating expenses associated with conducting this first step.
runding provided by the Department of Energy under tho innovative
rates program will not be used for the purchase or lease of non-
office equipment or to purchase data processing equipment.
Funding received under this program will also not be used as a
s;ibstit;As for other funds available from other federal or State
agekicios.
5
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Denton is a leader in
municipal energy management
Denton has taken a leadership role among smaller cities of
the State and Nation regarding its involvement and
responsibilities in the areas of energy consnrvatior, planning and
management. While many siraller cities have been so involved in
the provision of services that they have neglected the area of
energy management, Denton has recognized the necessity for
adequately addressing this issue now.
In spite of the fact that it does not now fall under the
mandates of the Public Utilities Regulatory Policies Act, Denton
has made an early commitment to the guidelines and requirements
of PURPA. Denton has commissioned a study to identify how Denton
can further the goals of equity, conservation and efficiency
embodied in PURPA. Funding of this application would g: early
assist Denton continue to its leadership role while benefiting
the nation's energy conservation and regulatory reform
objectives.
Denton's track record in this area of energy managament
includes-
o The City is presently administering a public/private
research project, "Urban Waste A Potential Energy
Source for Brick Plants," a DOE.-funded feasibility
study of an alternative to landfilling for the City,
o The City has established an Energy Information
Center, which is an on-going program resulting from
a one-year grant to provide citizens with basic
energy information,
o The City created the position of Energy Specialist
in 1977 (this was later changed to P.nergy
dinator).
o The City's Energy Coordinator provided instruction
for the HEAT (Home Energy Audit Training) course at
North Texas State University in the fall of 1979.
The training was conducted through the Division of
Continuing Education of North Texas
Studies atiU. coordination
with the Center for Energy St T, Austin,
o A mass transit study is presently being conducted by
the federal Highway Administration as a preliminary
step toward the City's participation, in the Rural
Mass Transit Program. A public hearing was
conducted in the fall of 1979 to gain,citizGn input
for this planning effort.
6
o The City (a member of to Texas Innovation Group,
TIG) is a participant in a National Science
Foursdation-funded proect to provide energy
conservation technical assistance to small
businesses in the City (1980)0
o Denton's Energy Coordinator ' participated in TENRAC's
Energy Audit Training program in the summer of 1979,
a Energy Audits (according :o federal standards) of
the municipal complex were performed in the summer
of 1979 without federal funding.
o An implementation program of the recommended no-cost
actions identified in the energy audits was
coordinated in 1979 by the Energy Coordinator,
resulting in a very dramatic Ravings of 470,000 KWH,
a 22.5 percent savings.
o The City was awarded technical assistance by the
Environmental Protection Agency for the conduct of
an economic feasibility study in ;onjunction with
the resource recovery project in the fall of 1979.
(The City had sought grant assistance for the
resource recovery study but did not meet the
economic distress criteria of the Urban Policy
program.)
o The City's utility board is nresontly having a study
conducted, "Load Forecast ;tudy,a for the City's
electric utility, which would include load
manage- ment, alternative technology, and other factors.
o A group from Texas A 6 M University is presently
performing a study khat will result in energy
management recommendations for the Denton Policy
Department.
o The City was an Innovative Energy Grant recipient
for a Targeted Energy Consumer Education program in
1978, funded by the Governor's Offica of Energy
Resourceo.
o The Cl.ty's Utility Department established the Home
Energy Audit Program In 1976 as a customer
counseling tool.
o The Utility Department conducted a newspaper
campaign in 1977-78 to publicize the need for energy
conservation and the availability of personnel to
perorm energy audits.
7
l
o An education program was established by the Energy
Coordin.tor for residents of apartment complexes
that had recently converted to individual metering.
o The City has participated in the Weatherization
Program for lod-income home owners.
o Save Home Energy public exhibitions/seminars were
held in 1977.
o A Land Use Plan is presently being finalized by a
consultant and a task force. Preliminary results
were available in the spring of 1980.
o An industrial development study has been prepared
and an industrial development corporation has been
established in the City,
u hn electric rate study is presently being conducted.
o A Comprehensivu Plan for Human Services was prepared
in 1977 by the City's Planning Department.
Obviously, all of these efforts are impressive for a city
the size of Denton= however, the future needs of the growing area
dictate that a coordinal-Ang element must be developed to provide
continuity, purpose, and system to these diverse efforts at
planning and management of enezgy. ~
8
~ai~
IV-B: TASK PLAN tl
1. Task Identification:
ESTIMATING CONSUMER LOAD CHARACTERISTICS
2. Task Objectives:
i Project objectives associated with this task are:
A. To utilize the capability of Denton's broadband
cable television system to perform frequent remote
meter reading to develop without extensive data
gathering, accurate estimates of consumer load
characteristics for the residential and commercial
classes.
B. To acquire sample class characteristic data from
which to project the cost of service for the new
TOD rate class.
C. To acquire information from which to forecast
support requirements and cost for system wide
implement.ation of time of day meterinil and load
management.
3. Scope of Work
A. DeL-:ription of Task 1
The City of Denton, working in conjunction with Cox
Cable Communications will install meters capable of
being remotely read using the two-way broadband
coaxial cable installed to provide cable television
and security alarm systems to residential and
commercial establishments. These meters will be
read on a fre%uency interval which will not exceed
one hour. Each meter will be discretely addressed
by a centrvlized computer which will store and
summarize energy use data and demand information.
These remote meters will be distributed in a
randomly selected sample of customers stratified by
use and demand characteristics in the residential
and commercial customer classes. Thts group of
remotely metered accounts will serve two purposes.
First, it will provide customer load information on
an hour by hour basis, and secondly, it will serve
as a control group against which data.from a second
group of voluntary time-of-day and load management
participants will be measured. This latter group
will also be stratified according to use and demand
9
characteristics. Remotely read meters for this
latter group will also serve two purposes. First,
imation on the inistrr
it will provi
technical support nand legal problems dinvolved twith
full-scale implementation of
read meter c informations used
secondly, the remotely and load management
by voluntary time- of day a
participants will provide data on the probable
impact of these two service classes on load and
rates when such services become available on a
city-wide basis.
Purpose of Task 1 is to assure
equitable rates while encouraging conservation
The City of Denton feels it is absolutely responser
to understand demand elasticity,
and probable effects on the loa8d curve t assA is
equitable rates while providing
and
incentives to discourage on-peak elAectric u Denton
encourage energy conservation.
does not currently fall under the mandates of PURPA
it has made an early commitment to conform to PURPPA
guidelines and has commissioned a s ins to
Management And Researoh Consultants,
evaluate and recommend Denton's response to theses
guidelines. The commission of the study
indicative of Denton 's commitment tbolther innovative
approach to aohteving g ital.
encouraging conservation of fuel and cap
Denton's move towards implementing eto these,
rates and load management is a response
goals. The requirement for demand and use ledbta ns is
made more urgent because of Demon's pl ty in
acquire additional generating
these Municipal Power
association with the Texas
Authority. Participating facilities is
expected to bring a radical change in the average
demand and energy charges, making equitable
distribution of coats and the anda ion of even
incentives .or conserving fuel
of this project by the capit
' more urgent. The finding
Department of Energy through the innovative rates
firmly committed towards
se program s to whi h it assist Denton to move
these goals i
la
project Emphasis is on implementation
We wish to emphasize that the thrust of this task
initiative is to seek funding assistance in the
first step towards full scale implementation of
time of day rates and load management. Denton's
City Utilities staff and its consultants have
researched available data on time of day rates
experiments and load management National l Regulatory the
Department of Energy, the Research Institute, Nation8l Association of
Regulatory Commissions and various state public
service commissions. We will make full use of this
information in the design of our initial rates, our
analysis of use/demand characteristics and in the
application of remote meter reading and load
management technology.
B. Description of Activities
The following are the major activities assgciated
with Task 1.
1. Installation of Two-Way Cable Components:
This activity will be performed in conjunction
with the installation c-f other cable television
components. Denton is investigating the
possibility of limiting the installation of two
way during this initial project to one or two
CATV trunk lines. Final decision as to how
much of the CATV system will be initially
installed with two way amplifiers, filter, etc.
will depend upon the ability to achieve a
sample for the remote metering and voluntary%
load management program which includes a
sufficient diversity of economic and social
backgrounds as well as representative use and
demand characteristics.
2. Definition and Selection of the Time of Day and
Load Management Saaples
A set of participant selection criteria will be
employed to select customers to participate in
i the time of day dwelling and load management
programs.
A computerized analysis of billing histories
will be used to stratify customers-in each rate
class according to use and demand
it
characteristics. Stratification may include,
in the case of residential and some classes of
commercial accounts, not only use but also
season differentiated in use. Accounts will be
screened further to eliminate new accounts or
accounts with abnormal billing histories.
Randomly selected accounts will receive a final
manual screening to ensure a mix of service
areas of socio-economic diversity. These
customers will then be solicited to participate
in the initial installation project by mail or
by a personal visit from a City Utility
representative. The number of participants
selected will conform to the statistical
requirements for each use strata in each
customer class. In this manner the sample of
participants will statistically model thc-
population of utility customers.
30 selection of Class Use/Load Char!ieteristic
i3omple participants:
A second group will be chosen from the
stratified, screened group of customers who
have not been contacted or selected for
participation in the voluntary program. This
group will also represent a statistically valid
model of the utility customer population and
will receive remotN read meters. This group
will serve two purposes first it will serve as
a control group establishing a base line for
measuring changes in use and load in the
voluntary groupi second it will serve as a
sample for establishing customer use
characteristics of existing classes. This
group will not be informed that they are
participating in a load data gathering project.
Both groups will serve as an initial
installation project for refining the
administrative and technical problems allowing
utility wide initiation of time-of-day rates
and load management using two way CATV.
4. Volunteer Group Education and Perception
Assessment:
Members of the volunteer group will receive
materials and visits by utility representatives
which will inform them of how time-of-day rates
and load management incentives will be placed
fn effect anal how they mry achieve savings
under this billing scheme. Surveys mailed with
12
i
the bills and visits by utility representatives
will be conducted periodically to assess
customer perceptions.
5. Acquire Remote Read Meters and Addressable
Taps:
The City of Denton and Cox Cable Communications
have been working with several manufacturers of
electronic components in order to find or
develop a suitable remote read metes for
continuous polling ovar a cable television
system. Two companies have committed to
manufacture such meters at a price consistent
with Denton's budgetary constraints upon
issuance by the City of a purchase order for 50
-to 150 test meters. A more detailed discussion
of the problems associated with remote metering
is contained in section C of this task work
j plan.
6. Install Addressable Taps, Remote Read Meters
and Test Central Computer:
Addressable taps are currently available from
several CATV component supply firms. Cox Cable
Communications will install addressable taps at
sites selected by the City of Denton during
initial customer hook up.
As is the case with addressable taps, several
models of head-end computers are available to
provide polling of addressable taps, load
management and data collection. These systems
are also used for security alarm, pay
television ane similar applications. Use of
the computer for energy management and remote
meter reading will be an additional service or
use. installation an6 testing will also be
concurrent with initial system installation.
7. Install, Modify and Test Computer Softwares
Computer software is currently available in the
cable television industry for polling
addressable taps for the purpose of billing
per view pay television, for status monitoring
of security systems, as well as for energy
management. This software must be modified for
remote meter reading in order that suffintent
bytes of information can be returned to Allow
the inclusion of the current meter reading.
13
This will be done by expanding the usual packet
of bits transmitted downstream by the central
computer to include sufficient bits to pack up
from the transponder ai.3 return the current
meter wadi • app f
pay per view ications will be modified so
that it records by customer accol;nt status of
appliances and the most current meter reading.
Additional software modifications will allow
rovide
summarization this data t
for the
information on hour by hour customer use,
g. Develop an Initial TOD Rate and Load Management
Incentives
Data from existing studies and the current
PURPA study will be used to develop an initial
TOD -ate and load management rate which will be
equitable and which will provide an incentive
for participation, Current customer load
information for the City of Denton electric
ctime of
utility and information available of frthe om
ountry
day experiments in other regiine
will be used to make a eat guess ataan
appropriate time of day differential load management.
incentive rate for voluntary
A survey m a; uls° beoused incentivecustomer
leval to
perception of an app priate
encourage participation in such programs. As a
result of this analysis an atimeithm will be
developed for the billing
and for billing customers participating in
voluntary load 9. Develop and Apply Methodology for Assessing
Customer Load Class Characteristics:
Use data in summary form will be assessed using
available use demand relationships as
in
established in other time-of-day studies.
order to develop a computerized algorithm for
rendering summary use 6ata into a estimate of
overall class strata, and demand
characteristics. Denton will make use of
current available studies and available
software designed to perform this analysis.
Such readily available packages as SPBS leprobability,r thSAS
is
may also be employed.
data processing work will be done-on the City's
main computer ° university facilities s available
immar.y
at a nearby information from the head-end computer
14
equipment associated with the CATV utility.
Information on customer class usages will be
summarized in monthly reports and associated
with degree days and other pertinent
information. Details of the methodology of
this task are discussed in a subsequent section
i of this task description.
In addition to these activities there will be
j the ongoing activities of data collection,
meter maintenance and replacement, and project
management. Project management: will include
budgetary control, development of documentation
and statistics for use by other agencies
wishing to apply the results of this pilot
project and by the City of Denton in its full
scale implementation of time of day and
voluntary load management.
C. Possible Problems
Two way cable technology is well developed
No problems are anticipated in the installation of
a two-way capability on the cable television
network. The technology and methodology for
installing two way cable is well developed and Cox
Cable Communications, Inc. is experienced in this
area.
Data for stratifying customers
and selecting sample is available
No problems are anticipated in the selection of the
control group. Denton has full and adequate
bij:ling histories of each customer to yield the
required use and demand data for stratification.
In addition, Management And Research Convultants,
Inc. has members of its staff familiar with the
methodology for stratifying and selecting
statistically valid samples of electric utility
customers.
Finding remote read motors is difficult
!5
I
The City of Denton has experienced some problem in
finding appropriate remote read meters for use in
this project. Many addressable taps and various
customer terminal equipment are available because
of cable television industry participation with pay
television security monitoring. However, an
appropriate remote meter capable of providing
minute by minute or hour by hour use information is
not marketed. Time of day meters currently in use
employ a remotely triggered system which activates
a different series of recording dials to accumulate
use during peak and off-peak hours. While these
meters are adequate for time of use billing they do
not provide hour by hour customer use information
which can be rendered into customer load
information. Nor can these meters be used to
accurately identify customer class peak. Further,
there is no associated benefit of remote reading
and billing without the intervention of human data
collection, The City of Denton, its consultants,
and Cox CLble have workec', together wilt, several
leading manufacturers of cable television a;nd
electrical components in order to develop a simple, '
inexpensive device which can be aoded to existing
meters. This device is comprised of a pulse
generator which is capable of recording each
revolution of the meter spin wheel and storing this
information on a non-volatile, metal oxide
semiconductor chip. An additional large scale
integrated circuit chip converts these pulses to
digital output which is fed back to the addressable
tap when that tap is polled by the system's central
computer, Pulse storage is not affected by power
outages. In addition, since this syatem does not
rely on physically reading or scanning dials, it is
compact and inexpensive. No modifications of the
existing meter box are necessary. The technology
employed is not radically different from home
computers, telephone private business exchange
switching equipment or other communications
devices. All components are current available and
have been used in other applications. They should
pron.- to be quite reliable because of the lack of
any moving or mechanical parts.
Modification of current central computer
software is also an area of concern
Problems are a possibility in the installation and
modificatiosi of computer software to do the polling
16
of time of day meters and collection of data.
Software currently exists for frequent polling of
addressable taps such as proposed in this project
and the recording of transponded information.
Heretofor, however, this information has been in
the form of a status indication and has not
included actual digital data. The research done by
Denton 's consultants indicates that it will not be
a major problem to modify the information packet
transmitted downstream to the individual customer's
tap and returning upstream to the centralized
computer to include this information. Devising a
means of handling in a cost efficient manner the
magnitude of data resulting when time of day
metering is implemented system wide will be one of
the most difficult problems confronting the City in
this endeavor. Phase 1 installation of 150 meters
will require 432,000, meter readings per month if a
quarter hour frequency is used. This would require
storage of near 70 megabytes. Obviously a
methodology of less frequent readings and weekly or
twice weekly processing of raw data will be
required. One essential outcome of this project
will be to define a methodology for handling the
d:, ;a processing load before full scale
implementation.
D, Methodological Issues
Methodological issues associated with the project
center primarily on the statistical and data
interpretation activities of sample design, data
collection, development of billing algorithms and
the applicption of use demand relationships.
A wealth of information already exists
on how to stratify customers
and identify samples
Essential to validity of the conclusions to be
drawn concerning customer class use and demand
characteristics is the proper selection of the
sample to be employed in the initial metering
process. As described earlier, both a control and
an experimental group will be used to compare the
effects of time of day and voluntary load
management rater , i end user load shifting and
conservation, Th( :ity of Denton has' found that a
wealth of information already exists on the-proper
method for stratifying customer class information
17
by use and demand characteristics and choosing a
statistically valid sample. Denton will follow
these known and tested practices in designing the
sample fcr the initial installation project.
Accurate data collection requires
adequate system testing
i
A second issue is to ensure the integrity of the
data collected. This involves several things among
which are to ensure the data is accurately
captured, to ensure the data is reliably
transmitted, to ensure the data is properly and
securely store and to ensure that data is
processed accurately. Finally, P propor
methodology must be employed for renderir,a the data
into information from which conclusions will be
draar..
The first three of these are a direct function of
the electronic equipment used for meter reading
transmission via the broadband cable, data capture
and storage by the central head-end computer. The
head-end computer will be used only to capture
data, it will not be used to process or summarize
remote meter reading. The accuracy of data
capture, transmission and storage can only be
insured by thorough testing of each of the
components when assembled as a system,
Denton proposes to use developed analysis
packages wherever possible
Data processing will take place, as stated earlier,
on the City's main computer or the data processing
facilities of a nearby university. Denton proposes
to use already developed software or software
packages for analyzing consumer load information.
For example, the National Regulatory Research
Institute has several modals, including one
entitled "Computer Analysis of Time of Use Rates
for Massachusetts" which should be of great
assistance in analyzing load shifting
characteristics resulting from time-of-day rates.
Further, such well-known and widely used
statistical packages as SAS and SPSS are readily
available to Denton for summarizing and analyzing
the raw data collected from the CATV system. We
18
emphasize again that Denton will use wherever
poss±ble software and methodologies which have
already been developed for analyzing data developed
under the remote reading program. The City of
Denton proposes to use a study entitled
"Considerations in Analyzing Data from Time of Day
Electricity Pricing Experimental Demonstrations"
prepared for the Department of Energy in February,
1979 as a basic guideline for data gathering and
analysis during phase ? of this project,
Identification of initial time of day
rates will make use of existing skudies
A third area of methodological concern is the
selection of an appropriate time of day and
voluntary load management program Incentive during
the initial phases of this project. The City of
Denton is familiar with load management projects
completed in other parts of the country which
provide information from which the time of day
differential may be estimated. Notably, the
Arkansas Demand Management Demonstrations project
may be of particular use for thin purpose. In
addition, Management and Research Consultants, j
Inc,, as part of its project to assess Denton's
response to PURPA, is assessing cost benefits and
structures of time of day and voluntary load
management rates.
E, Data Requirements
Denton has adequate billing history
data for sample selection
As alluded to in earlier sections, the City of
Denton has adequate billing history information
from which to stratify customer classes according
to demand and use and to select from within the
strata specific counts to remotely meter or to
place in the load management program. In
establishing initial time-of-day rates Denton will
make use of data currently available from other
time of day demonstration projects and cost and
savings data developed by Management-And Research
Consultants as part of Denton's PURPA project,
Other data will be developed as a result of the
r.imote meter reading program.
19
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5. Task Management and Administration
Denton has experience in project
administration and task management
The City under way a
received efromctheeDepartmenteof
Energy. Denton has in the past also received grants from
i the Department of Housing and Urban Development and
therefore has staff experienced in grant administration and
reporting. We recognize that planning, organizing and
coordination are essential. to achieve maximum benefits from
any project. These efforts have no` been and will not be
cost
neglected.
included istaff time for administration and
estimates have The
reporting.
This project will be directed by a project manager wit; the
overall responsibility for task definition, task assignment,
for meeting reporting requirements and for enforcing time
table deadlines. Similarly, each activity within a task
will have an activity coordinator chosen for his or her
expertise to ensure the succesful and timely completion
ill be
that activity. A task force of key personnel w
selected to directly support the efforts of administrators,
technicians and advisors.
The task force which will participate in this project
during the initial stages includes staff from the Denton
city utilities Department, Cox Cable Communications, and
Management And Research Consultants, Inc. in general, the
City of Denton will perform overall administration of this
task. Cox Cable will provide engineering services while
Management And Research Consultants will sarve as the
technical consultants for data collection, data processing,
and load research analysis. An organization chart of task
force organization follows.
21
Task 1
Organization Chart
i
Project
Director
J
Grant
Administrator
ACTIVITY I
Technical
Activities ACTIVITY 5
Coordinator
ACTIVITY 6
Research and ACTIVITY 2
Analysis ACTIVITY 3 TASK
Activities ACTIVITY 4
Coordinator ACTIVITY 8 FORCE
ACTIVITY 9
1
i ~
Data
Procer•sing ACTIVITY 7 ti
Activities
Coordinotor
6. Experience of Key Personnel
The City of Denton is fortunate to have on its staff highly
qualified managers and engineers, experienced in effectively
directing large projects and familiar with the staffing,
administration and technical requirement which will be
associated with this project.
Robert B. Nelson
Robert Nelson graduated from the University of Nebraska in
1964 with a Bachelor of Science Degree in Electrical
Engineering, and is presently studying for MBA in Management
at North Texas University.
Mr. Nelson began his professional career with the Consulting
Engineering firm of Lutz, Daily and Brain of Kansas City,
Missouri. He joined the engineering, servive, construction
and manufacturing firm of Austin Meter, Inc. of Austin,
Texas from 1966 to 1971 prior to entering the utility
management field with Hastings Nebraska in 1971. Upon
returning to Texas in 1974 he served as birector of Electric
Utilities for Greenville, Texas. He became Director of
Utilities for Denton in 1977.
Mr. Nelson presently serves on the board ftf Directors of the
Electric Reliability Council of Texas and he is a member of
the Board of the recently formed Texas Public Power
Association. He previously Served as President of the Board
of the Texas Municipol Power Agency and is presently serving
as Chairman of TMPA's Planning and Operating Committee. Mr.
Nelson also serves on the American Public Power
Association's national generation Planning Committee and is
a member of the Texas Water Utilities Association and serves
on the North Central Texas Council of Governments Water
Resources Council.
A Registered Professional Engineer in Texas and Nebraska,
member of the National Society of Professional Engineers,
Mr. Nelson has previously served on the Board of Directors
of the Northeast Texas Chapter of TSPE. He is a member of
the institute of Electrical and Electronic Engineers and a
member of the Power Engineering Society and Management
Society branches of IEEE and has previously served on the
Board of Directors of the Central Texas Chapter of the IEEE
Power Engineering Society.
Mr. Nelson will, be the Project Director and an active
participant in the project.
23
grnwood e. Tullos
Mr. Tullos currently serves as ties. 's Utilities Engineer
Mr. Tullos has served
es.
and Assistant Director of Utili of Lubbockr Texas; as
as Distribution Engineer for the City
Renovation Engineer with miner and miner International In
Lahore, Pakistan: as Director of Electrical Systems Division
for thy! Consulting Engineering Company of Hicks and Ragland;
8ngineer/Project Manager for Rogers
and ari supervising
Engineering company, 11 Mr. Tullos' work experience incluationCtransmissionC
utility systems, . ncluding genet, ange
distribution anningl as computer based short and long facilities Pl ech Mr. Tullos received his atingein the StateseofiTexasa
rating
has a Professional Engineer
Nebraska and California. His professional memberships
include IEEEr TSPEr NSPE and Texas Municipal Power Agency.
Mr. Tullos will serve as the coordinator for technical
activities.
24
Dr. John C. Pickett
Dr. Pickett's education includes a Ph.D. in Economics from
the University of Missouri, M.A. in Economics from the
University of Missouri and a S.A. from Hendrix Colleger
Conway, Arkansas.
Inc. as
Before
Director of joining Management
Aaysis# hehserved lasnChairman of
the Arkansas Public Service Commissions Commissioner on the
Arkansas Public Service Commission) as Associate Professor
of Economics at Hendrix Collegel Assistant Professor of
Fellow at Economics, mUrban University Unit# Australian National
University.
Dr. include k National membership Association roofs Regulatory organizations
Commissioners (Executive Committee, Committee on National
Energy Aot), Midwest Association of Regulatory Commissions
(Executive Committee), American Economic Association and
American Agriculture conomic As6ociation.
Dr. Pickett is the author of several articles and books
dealing with the economics and regulation of public and
municipally owned utiliti(s. In addition lie has testified
befor Congressional Committees concerning national electric
rate design policies,
Dr. Pickett will serve as the technical advisor for rate
design, analysis and economio activities.
25
Fred Moriarty
Mr. Moriarty, currently President of Management And Research
Consultants, Inc., has extensive experience as a consultan..
with a national consulting firm in the field of utility
finance, cost of service, rate of return analysis and rate
design. Mr. Moriarty has managed )r participated in several
such projects, nine of which have inclile ad substantial
efforts in long range financial projections or rate design
Mr. Moriarty has testified
for municipally owned utilities.
before the Public Service Commissions of Alaska, Arkansas
and Pennsylvania as well as before the Federal Energy
Regulatory
Mr. Moriarty is currently participating in projects with two
public utilities commissions and laone me tatiolp of the Public
which are assoc ated with tilities Regulatory Policies eAct,
U
Mr. Moriarty's background also includes experience in
management, corporate finance and data processing. He has
served as director of a 180 employee Bureau of rtoh~e I Ninths
Department of Personnel and in a manage
Corporate Finantial Evaluation and Operational Audits for
Motorola, Inc. He as also directed several large date
processing design and implementation projects for MARC and
for a major national consulting firm.
Mr. Moriarty is a CPA and holds an MBA from the University
of Chicago and a BSBA from Loyola University of Chicago. He
is a member of the American Institute of Certified Pubic
Accountants and the Missouri Society of Certified Public
Accountants.
Mr. Moriarty will serve as a task force member, supporting
the cost of service, revenue re-juirements and data
processing activities.
26
Richard Anthony
Prior to joining Management And Research Consultants as
Director of Communications and Data Processing, Mr. Anthony
was employed as a consultant with a major national
consulting firm where he specialized in utility rate design
and data processing systems. Mr. Anthony has also been
employed as Finance Director for the City of Clayton, 1
Missouri and as Utilities Comptroller for the City of.
j Columbia, Missouri.
Mr. Anthony has recently served as technical advisor to
several municipalities seeking to grant franchises for cable
television services. He has also designed and installed f
long range financial planning modules for electric
utilities, customer records and billing systems and customer
use auditing systems. Mr. Anthony is currently working with
two projects seeking to implement the guidelines of PURPA.
Mr. Anthony will serve as a technical advisor for activities
dealing with data processing, analysis and data collection.
27
Dr. Gary Tjaeden
Dr. Tjaeden is currently Vice President of Engineerinq and
Technology for Cox Cable Communications Company. Prior to
Joining Cox, Dr. Tjaeden was Direotor of Hardware Technology
with Sperry Univac where he was directly involved in
research and design in solid state switching, computer
large architecture scale inand desin and enineerin tegreated cicuit development;rdinator of very
l
Dr. Tjaeden was also employed by the Bell System where he
involved was large scaletelecommunications switching system development.
Dr. Tjaeden received his B.S. of Electric Engineering degree
at the University
andhis Ph.D. ainn Can M.S. omputer degree Northwestern eJohns
HopAins University.
Dr. Tjaeden is the author of numerous technical articles and
reports, and is a noted lecturer.
theedamember overseeing the
He will serve
ta collection and load
cable tochnology task force
marrying of
management system.
I
28
SUMMARY OF ESTIMATED COSTS
t .
TASK NUMBER 1
ACTIVITY 1. INSTALLATION OF TWO WAY CABLE COMPONENTS
COST CATEGORY:
PERSONNEL COSTS (CITY) 0
FRINGE BENEFITS (CITY) 0
I
TRAVEL 0
EQUIPMENT
TWO WAY FILTERS ETC 75,000
SUPPLIES 10680
CONTRACTUAL
PROFESSIONAL SERVICES 3,000
OTHER
ALLOCATED CABLE OPERATING EXPENSES 26,100
TOTAL DIRECT 105,780
INDIRECT 0
TOTAL FOR ACTIVITY 103,780
ANTICIPATED BUDGET
CITY OF DENTON 20,580
COX CABLE 150000
OTHER, 0
REQUE3''D MON D.O.E. 10,200
.
TOTAL BUDGETED 1050180
r
SUMMARY OF ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY 2. SELECTION OF TOD SAMPLE
COST CATEGORY:
PERSONNEL COSTS (CITY) 3,400
FRINGE BENEFITS (CITY) 1,156
TRAVEL 600
EQUIPMENT 0
SUPPLIES 11100
CONTRACTUAL
PROFESSIONAL SERVICES 6,400
OTHER 0
TOTAL DIRECT 12,656
INDIRECT 0
TOTAL FOR ACTIVITY 12,656
ANTICIPATED BUDGET
CITY OF DENTON 3,200
COX CABLE 0
OTHER 0
REQUESTED FROM D.O.E. 91456
TONAL BUDGETED 12,656
30
SUMMARY OP ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY 3. SELECTION OF CLASS LOAD CHARACTERISTIC SAMPLE
COST CATEGORYi
PERSONNEL COSTS (CITY) 2,100
FRINGE BENEFITS (CITY) 750
TRAVEL 0
EQUIPMENT 0
SUPPLIES 10000
CO:ITRACTUAT-j
PROFESSIONAL SERVICES 3,000
OTHER 0
TOTAL DIRECT 6,850
INDIRECT 0
TOTAL FOR ACTIVITY 61850
ANTICIPATED BUDGET
CITY OF DENTON 1,250
COX CABLE 0
OTHER 0
REQUESTED FROM D.O.E. 5,600
TOTAL BUDGETED 61850
31
SUMMARY OF ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY 4. VOLUNTEER GROUP EDUCATION AND PERCEPTION
EVALUATION
COST CATEGORY:
PERSONNEL COSTS (CITY) 4,200
FRINGE BENEFITS (CITY) 1,470
TRAVEL 400
EQUIPMENT 0
SUPPLIES 800
CONTRACTUAL 0
OTHER 0
TOTAL DIRECT 618-70
INDIRECT 0
TOTAL FOR ACTIVITY 6p870
ANTICIPATED BUDGET
CITY OF DENTON 1'270
COX CABLE 0
OTHER 0
REQUESTED FROM D.O.E. 51600
TOTAL BUDGETED 61870
32
SUMMARY OF ESTIMATED COSTS
TASK NUMBER 1
1 ACTIVITY 5. ACQUIRE REMOTE READ METERS
COST CATEGORY:
PERSONNEL COSTS (CITY) 800
FRINGE BENEFITS (CITY) 280
TRAVEL 800
EQUIPMENT
METER MODIFICATION PACKAGE 7tigo
SUPPLIES 100
CONTRACTUAL
ENGINEERING SERVICES 7,500
'
OTHER 0
TOTAL DIRECT 16,984
INDIRECT a
TOTAL FOR ACTIVITY 16,980
ANTICIPATED BUDGET
CITY OF DENTON 81240
0
COX CABLE
0
OTHER
8,780
REQUESTED FROM D.O.E.
15,980
TOTAL BUDGETED
33
PUMMARY OF ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY 6. INSTALL ADDRESSABLE TAPSs METERS AND CENTRAL
COMPUTER
COST CATEGORY:
PERSONNEL COSTS (CITY) 4,200
FRINGE BENEFITS (CITY) 1,470
TRAVEL 600
EQUIPMENT
ADDRESSABLE TAPS 22,500
CENTRAL COMPUTEk 20,000
SUPPLIES 400
CONTRACTUAL
PROFESSIONAL SERVICES 2,200
OTHER
LABOR TO INSTALL TAPS 5,200
TOTAL DIRECT 56,770
INDIRECT 0
TOTAL FOR ACTIVITY 56,770
ANTICIPATED BUDGET
CITY OF DENTON 6,070
COX CABLE 42,500
OTHER 0
REQUESTED FROM D.O.E. 8,200
TOTAL BUDGETED 56,770
34
SUMMARY OF ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY 7. INSTALL, MODIFY AND TEST COM?UTER SOFTWARE
COST CATEGORY:
PERSONNEL COSTS (CITY) 41200
FRINGE BENEFITS (CITY) 1,470
TRAVEL 460
EQUIPMENT 0
SUPPLIES 1,100
CONTRACTUAL
PROFESSIONAL SERVICES 5.200
OTHER 0
TOTAL DIRECT 12,430
INDIRECT 0
TOTAL FOR ACTIVITY 12,430
ANTICIPATED BUDGET
CITY OF DENTON 2'760
COX CABLE 0
OTHER 0
REQUESTED FROM D.O.E. 9,670
TOTAL BUDGETED 12,430
35
SUKMARY OF ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY 8. DEVELOP INITIAL TOD RATE AND LOAD MANAGEMENT
INCENIIVF
COST CATEGORY;
PERSONNEL COSTS (CITY) 3,oao
FRINGE BENEFITS (Ci'PY) 1,100
TRAVEL 600
EQUIPMENT
0
SUPPLIES
100
CONTRACTUAL
PROFESSIONAL SERVICES 61800
OTHER 0
TOTAL DIRECT
11,600
INDIRECT
0
TOTAL FOR ACTIVITY 11,600
ANTICIPATED BUDGET
CITY OF DENTON
2r6Ga
COX CABLE
0
OTHER
0
REQUESTED FROM D.O.E.
90000
TOTAL BUDGETED 11,600
36
~a
SUMMARY OF ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY 9. DEVELOP METHOD FOR ASSESSING CLASS LOAD
CHARACTERISTICS
COST CATEGORY:
PERSONNEL COSTS (CITY) 2,000
FRINGE BENEFITS (CITY) 700
TRAVEL 260
EQUIPMENT 0
SUPPLIES 0
CONTRACTUAL
i
PROFESSIONAL SERVICES 4,200
!
OTHER 0
TOTAL DIRECT 7j160
INDIRECT 0
TOTAL FOR ACTIVITY 7j160
ANTICIPATED BUDGET
CITY OF DENTON 2p330
0
COX CABLE
OTHER 0
REQUESTED FROM D.O.L. 4,830
TOTAL BUDGETED 7,160
37
SUMMARY OF ESTIMATED COSTS
TASK NUMBER 1
ACTIVITY TOTAL FOR TASK 1
COST CATEGORY:
PERSONNEL COSTS (CITY) 23,900
FRINGE BENEFITS (CITY) 8,396
TRAVEL 3,920
EQUIPMENT
'OTAL OF EQUIPMENT 125,000
SUPPLIES 6,280
CONTRACTUAL
TOTAL CONTRACTUAL SERVICES 38,300
OTHER
TOTAL OF OTHER 31,300
TOTAL DIRECT 237,09E
INDIRECT 0
TOTAL FOR ACTIVITY 237,096
ANTICIPATED BUDGET
CITY OF D£NTON 48,260
COX CABLE 117,500
OTHER 0
REQUESTED FROM D.O.E. 71,336
TOTAL BUDGETED 237,096
38
mmmmmmmwmwlL~
i
PART V
ASSURAteClt
Tht Appliconr !+~»It tllvrts and W11191 rho he form aOVlr with l"it rtgvlffr tea, paLtial, gv dol.ntt and rr
wirorar+fl, inclvd,n0 OCAS Cirevlol No. A-95. A_101 .+d FMC 74-4, as r*h raJorl rt.ha appiicel'on, acc.or-
Woee one vso of Fodo.al fvhds f.r this hsdrdly-4aulrtd pnlov. Alan d► Appl,eont aasvtt will etrfhL;/ tt
04 grant that:
1. It pO"re"M lewf dutt+ormy to worn fa 1Aa wit. fill a 4. 11 Will aDmDly whth fro?~ rRr+en6 of lht 01`01u/or•1
rwDlut,op, moshon or trv0r W,on has bwn duly of ow Uniform llobfa. o^ itrrramt"Il"' Pro"rrr
steootw OF paurC r w otfciV rn of tote avDlcan fl fAmvivt~sA ALv o" ubra19r70 rr`s l pr•V?^ d, otcitrdri
t is I
~ev,m '9 boor, ovthor4 ni the fl,nq of 1`4 Wo,cts-o
Widhnp all vndrsord-mo wd' covrtrtm rronu,nrd rM OI Of P441'40 Vid y id VW a yo.U'&Ir of Oe Hatd Ifct i
limit✓„ rhd dirwitnl Ind *A1 Or'r" IM Pc'rrr0'r' IWO f It w1l ~pi 11
loved a1 " oNe I' rrgrrynLtrvl Of 04 ao Pteant 10 aCt wh,eh I.fnit Ykr P0141 JI aetirnrr Or omOl Drttt
(P ponewt,om w+U ins WOrcitrOn and W VQVICrr tud+ 6, It will com0ty with dw rrhhnun,rr r/gr and 11181h0"h+~
rSdt,orv' informal-on n may be rrouvrrd to6n prPrht+ont of VW Fwltrlf Fa,r Lsbv 51M6I1:s
Act, a they soorr to PWM4a1 and odvcr,ons' rnr, t,
Z It w;u eorr+dr ,r+s4 Title yr of IN C:.a 1114 tits Act of ton employm of State and loct• ¢T rr nnhl hu
196+ 10 L 8635.' and in accordamce w+th TWO VI of T. 11 wilt arubi,tn aarrg,Iros 10 Proh-b,r o+rplpylt/ rro-
fat Att. no wwm on Inn Un ud Sumr /hall, art the rime ehao poyt,onl /o aoOvrvote "1 a a V124 tno
ground,af fun cola, of Mtor Ong,n, pee dadvded ap9aranel of bhme metaalod.br a del fco orpirItc
fbom yhprtrthpathon in, be donwd the baMhu of. Orr be pin for tp+r"oolvo or eat*tn. ►Nt,wlirry Vicite *it%
wtthe- r a wbiww W diacrimiMtion vndr any Pro- 0Wor VW-Y lira ftr+iy.love Mons or ot+tr tier.
IaMPOf Of KiNlrV OW whid; ehe WPICrnt rlfM r0 Fadvtr (i h will give fM spenaaring agency Or the Cerapnelly
finarrcu' M-T t 1 and will ;nw++ItilAtVV e W e►e atrY n+oa Gonarat NMh ant avtAanilee ropreselileli.e IM
taus r'wolaaarv to tffac>Vnlv+r arrwn+ant.
oeeosa to had 1}w risk$ It oaa+ehnt all tatOfder 10014
It till' pmDl1 rSpr Titir VI Of the G1 (lighti Ass of papas. M totv"All rahfod to the pant.
iW 142 VSC MOW Pr9h;b;1ing amplolrmant dverim • , It will comply with all rafrvifarrwnts ;ahperod by the
"idtorr+Dlwle pletrotrmant tM or Munch III dIcrVVIV imiMtDh Kmi et of a angenthDloyamMbt fadorgl apantrin1 opncy tancarninj special
grOx;d
pow e" will faartl in uMOVi: bteAvntnl of Want who faolYilaverrf l of 116rw, par♦roM raetYi/rrronta, and other
are or Mould be banefiii0i ham tN pVtt•aded a uvity. adofieilAtt}rr rnr4v;fatoanla.
10.1t will instze that the facilities under its ottrnersh•ip, leaser tar
supaxvisioc which shall be utilited its the aCCMlish:a;t of the
project are not listed on tai EnVironmental protection 1lgent.Y's
(EPA) list of violating Tacilitles and that it will notify tea
lade~'al grantor agency of the receipt of any coltatr nication fros
that DiZactor of the EPA Office of Taderat ACtiviti.1s indicating
tttat a facility to to used in the projoct.is under consideration
for 1iltinq by the EPA.
11.1t Vill comply with the flood iasurenea pusc=ash re""1:2.tnts of
foec'tivo 102(a) of the Tlood Disaster Protection Act of 1973, Public
14v 93-231, 97 Stat. 975, 9pproved December 3.1, 1976. Section
102(a) requires, on and after March 2, 19751 the purchase of flood
insurance in communities vherv such insurance is available as a
condition for the receipt of anyJaderal financial assistance for
tonlftrztction or acquisition purposes for use is any area that has
beet identified by the Secretary of the Departztnt of Bousinq and
Urban Development as as area huvinq special flood hatards.
I 1 , 1
1
P. V (Cor-ticued;
The phrase 'Federal financial assistance' includes any for_
of loan, 9-r%:,t, quaza.-.ty, insuzasce pa}mer.t, ret,ete,
disaster assistu.ce loan or grs"It, or ar)' ct.`.e: fc.-~ of
di2,%ct or indirect Federal ass stance.
SI. It will assist the Federal grantor agency ;,r its cL=; ::a-..e
with section 106 of the National 11st,>:ic Preserwatior. Ac:
of 1966 as amended (16 C.S.C. 170), txecutivt Crder 1159:,
and tae Arche:logical and 8:storic Preservation. At: of-
1966 (16 C.S.C. 169&•1 et seq.) by (a) consulting witT. the
State sistoric Pzese:-satiCa Office.- o: Uhl cotduct of.
investigations, as tacesstry, to ide-tify properties listeC
is or sligibla fo: inclusion in the National Rag-star of
SListoric Places that are subject to adverse effe:ts:set It CF:
Part 800.1) by the activity, a.Ad tooti:ying Lhe Fa3era.-
graator agency of tae existence of any such prope:::ea, a-~~
Y (b) oor:ytag Watt; all rerairszen:s estl.!: She! by tse
rederal CrLzto agency to avcid or litigate adverse effects
opoa suea properties.
gi0 ,70 f7
e
11
1
}
i
CITY of DENTON, TEXAS MUNICIPAL BUILDING/ DENTON, TEXAS 76201 / TELEPHONE (817) 566.8100
Office of the City !4fr,nager
August 13, 1980
The City of Denton certifies that it has and will comply with the
laws, regulations, policies, and directives set fr.rth in this part.
i
i
r
G. Chris Hartung
City Manager
r
7 ' ' 1
SCHEDULE FOR COOPERATIVE AGREEKENT
I
I
I
.
SCHEDULE FOR COOPERATIVE AGREEMENT
TABLY OF' CONTEt'S
ARTICLES
statement of Joint Objectives 1
TT _ _ Project Management Plan . . . . . . 1
IIT - - Financial Support . . . . . . . . . 2
IV - - Payment . . . . . . . . . . . • . . 3
V - - Terms of the Agreement. . . . . . . 4
VI - Project Information System. 8
VI: - - Property Management and 22
Disposition . . . . . . . . . . .
Appendix 10 CFR, Part 461 July 15, 1980
Appendix B Financial Reporting Forms
Article I Statement of Joint objectives
As"authorized !>y the Energy Conservation and Pro action Act of
1976 (ECPA) (Pl1),lic Law 94-385),
Utility Regulatory Policies Act rf 1978 (Public l8i95-617 l~
the U. S. Department of Energy (DOE) is providing
f f and practices
assistance to promote reform of regulatory policies by the development and implementation ofraeeftrricanitiatives,
relating to innovative rate structures, ` signed the purposes of ECPA.
Article 11 Project Management Plan
DOE is providing assistance through cooperative agreements and
anticiates cooperative agreement aparticipant nforeseveral reasons.
First, the task(s) to be performed under this agreemert represents
relatively new areas of complex work and yet, is to be completed
within a minimum period of time. In order to ensure necessary
progress and completion of the task(s), DOE anticipatesthefrequent
review of, and communication regarding, performance task(s). Second, DOE intends that the results of the task(s)
performed by the participant be capable of replication in other
State utility regulatory commissions and nonregulated electric
utilities. In order to provide that the task(s) is focused in
this direction, DOE anticipates close monitoring of task performance.
Third, the innovative and often complex nature of the task(s)
requires collaboration between DOE and the participant to
provide assistance to the pticipant in those areas in which
DOE experience may be helpful.
DOE is equipped to be actively involved in the F.:rformance of
the task(s) to be undertaken in this cooperative agreement.
DOE's substantial involvement is anticipated to include technical
assistance in the design and operation of the specific task(s),
review and approval during the performance of task(s), un
redirection as necessary, to ensure the quality and national
applicability of the findings and products resulting from
the cooperative agreement.
' 1 .
1
Article III Financial Support
Participant expenses under this cooperative agreement shall be
incurred under project work conducted in corneration with,
and under, the direction of the DOE Governme.. Technical Project
Officer (GTI10) and/or the DOE Contracting Of icer, in keeping
with appropriate Federal circulars and the -_3ulation governing
this program as outlined in 10 CFR Part 461. All work conductedl
under this cooperative ayreement shall be subject to GTPO
review-and inspection for purposes of determining adequacy
of effort and satisfactory performance.
Invoices shall be paid by DOE when requests for payment --e
submitted by the participant. The reporting requirements for
task activities are covered in Articles IV and VI below.
The participant, by aut.i.orized signature hereof, represents
and guarantees that all expenses to be claimed under this
cooperative agreement have been incurred for the purposes of
performing the scope of work. Further, the participant
certifies that such expenses will not have been previously
paid from Federal monies to include loans, grants-in-aid,
and other contractual instruments. The participant shall
maintain such books, records, documents and other evidence,
accounting procedure:s and practices, as are necessary and
sufficient to reflect properly all direct and indirect costs
of whatever nature claimed to have been incurred for the
performance of this cooperative agreement as required by
Federal Management Circular i4-4, "Cost Principles Applicable
to Grants and Contracts with the State and Local Governments,"
and Federal Management Circular OMB A-102, "Uniform Admini-
strative Requirements for Grants-in-aid to State and Local
Governments," and the DOE Assistance Regulations (1C CFR 600).
Program Income
Any program income realized by this project will be subject
to the provision of Oka Circular A-102, Attachment E. Other 7
program income under Paragraph 5 of Attachment. E will be
subject to subparagraph c.
i
{
i
i
Changes
it is understood that modificat?.ons of the task/activities
may be effected at any time pursuant to mutual agreement and
amendment of this cooperative agreerk~nt.
In the event of termination of the cooperative agreerrIent, the
financial obligations of the participants will be governed by
the termination clause in Article V of the schedule.
Notice of PartfcipanL'S Contractors kights and Pernedies
Under no circumstances may a participant's contractor seek
compensation or damage from the Department of Energy oa the
U. S. Government for work or services performed resulting
from a contract between a participant and a contractor. The
contractor's exclusive source of compensation shall be
the participant under this Cooperative Agreement.
Furthermore, the participant is not authorized to direct work
to a contractor beyond its funding limitation. In the event
of such an cccurrance, the participant shall not be permitted
to bring any claim against the Department of Energy or thf
U. S. Government on behalf of the contractor for such
compensation, nor shall the participant be allowed to recover
indemnification for any cost of claim it itself incurs as a
result of directing and authorizing work beyond its funding
limitation. The above clause iE to be incorporated into every
participant's contractor contract.
Article IV Method of Payment
FederO funds obligated under this cooperative agreement
will be disbursed by V. S. Treasury check on an advance
and/or reimbursement basis, as outlined in OMB Circular A-102,
Attachment J. The Participant shall provide for effective
control over and acc(untability for all federal funds in
accordance with 31 CFR Part 205 (1978).
Cash advances requested by the participant shall be limited
to the minimum amounts needeJ and shill be based on actual,
immediate cash requiremei.ts to carry out this program.
Requests for advance or reimbursement of Federal funds shall
nvt-be made more frequently than montt,ly or for amounts of
less than $1,000 and will be made usizig the SF 270, Request
for Advance on Reimbursement. A co¢y'of Sf' 270 is contained
in Appendix B of this schedule.
1
3
I
Article V Terms of the Contract
The dates of the cooperative agreement are shown on the Face
Page of the cooperative agreement.
Termination
NOTICE OF DEFINITIONS For p;-rposes of this clause:
"Contract" means cooperative agreement
"Contractor" means participant
"S+ibcontra:tor" means contractor to the participant
(a) The performance of work under this contract may be
terminated in tjnole or, from time to time, in part by the
DOE for cause when contractor fails to fulfill the terns of
the performance effort as stipulated in this agreement:.
Termination of work hereunder shall be effected by delivery
to the Contractor of a Notice of Termination specifying
act is
date a upon o which k such under termination
seteextent to rminated,arid which the performance
Dad,)mes effective.
(b) After receipt of the Notice of Termination the
Contractor shall cancel his outsti:ading commitments hereunder
covering the procurement of materials, supplies, equipment,
and miscellaneous items. In addition, the Contractor shall
exercise all reasonable diligence to accomplish the
cancellation or diversion of his outstanding commitments
covering personal services ani extending beyond the date of
such termination to the extent that they relate ~o the
performance of any work terminated by the notice. Vith respect
to such cancelled commitments, the Contractor agrees to
(1) settle all outstanding liabilities and all claims arising
out of such cancellation of commitments, with the approval
I
4
or ratification which the rovaltorgraOfficer 0 to he tification shallxbent
he may require, whicr apppp
final for all 2urposes of this clause, and (2) assign to the
i-0overnment► in the manner, at the time, and to the extent the directe andyinthe teresttofcthegCoOfficer# ntractoraunder the orders and
titletlel ,
subcontracts so terminated, in which ease the Government
shall have the right, in its diofc`etiono toatttle or pay
any or all claims arising out orders and subcontracts.
(c) The Contractor shall submithisrtermination claiceto
the Contracting Officer promptly after of a Not
onelater
of Teadate#thbut in ereof,nunlessevent
or more extensionsrin the effective Officer upon written
writing are granted by the Contracting
request of the Contractor within such ne-year period o rector
authorized extension thereof. Pon, failure of the to submit his termination claim within the time allowed,
the Contracting ascoftthendatevofwexecution
procedures
by the e DOE
of this contract, determine, on the basin of information
available to him, the amount, if any, due to the Contractor
by reason of the termination and shall thereupon pay to the
Contractor the amount to determined. applicable
(d) Any determination of costs under paragraph (c) shall
be governed in accordance with the cost principles app
statednin the Fcont ederaltmanagementtCircularc?4 4o(FMCm74t4)ain
a
effect on the date of this cooperative agreement.
(e) Subject to the provisions of paragraph (c) esbove,and
subject to any review required by the DOE procedur in effect
as of the date of execution of this ontract, the Contractor
and the Contractir..1 Officer may agree id to the Contractor
part of the amount or amounts to be pa
by reason of the terminatio1eunder this clause, whinhar aunt
or amounts may include any
u he
e outstanding commitments r for o personalyservtcesbwhichs
upon connection
is unable to cancels Provided, however, that in
which the the Contractor
with aoContractor is unable to cancel~,o
shall have exercised reasonable diligence to divert such
commi
such agreement activitiesin andamendmentnto this
such q
'••rontrect and the Contractor shall be paid tie agreed amours
S
m time to time, under such terms and
(f~ n E may i a prescribes make partial payments
against costs in incumrY red by the Contractor in connection with
agan
the act opinionmofathe poronttr-ionactofingthiOfsficontrcerl theraggregateoofnsuch
opi
ayments within the aifu thettotal Contractpr will
payryents is in
e en
ntitled ed hereunder.
excess of the amount finally agreed or determined'to be due
a able by the
under this clause, such oncdemandallpbe d that if ruch
excess c is to the DOE up
excess is not so paid upon demand, interest thereon shall
be payable by the Contractor to the DOE at the rate of 6
percent per ann-am, beginning 30 days from the date of such
demand.
(g) The Contractor agrees to transfer title to the DO
and deliver in the manner, at the ti es# and to the exte ats
if any, directed by the Contracting officer, such informon been and items
e~ iihbecfurnishedato the ppFp1eted, would
have be required to
Other than the above, any termination inventory resulting
, with
from writ en approv~ of the Contracting Officer~,tbeasold
or the acquir cquirened by by the participant under the conditions prescribed
on by shall the he Contraapplcitiedng in Officer#
by and at a price or such prices approved
reduction proceeds of of ensYment$ to be made by the DOE to the
anyp
participant under this cooperative agreement or steal
otherwise be credited to the pricer cost of work cmenner '
by this cooperative agreement or paid i such rcher
as the Contracting Officer may dfrecto Pendi!9 final the
disposition of property arising
participant agrees to take such actiriects may be np4rss&rion
or as the Contracting officer may d
to this
and preservation of the property reiated
cooperative agreement which is in the possessio off tare
participant and in which the DOE has or may acquire
ise
interest.
(h) Any disputes as to questions of fact which may ar
hereunder shall be subject to the "Disputes" ac clause of this
v
contract.
Disputes
NOTICE OF DEFINITIONS For purposes of this clause:
"Contract" means cooperative agreement
"Contractor" means participant
"6ubcontractor~' means coht,taotor to the participant
(a) Except as otherwise provided in this contract, anY
dispute concerning a question of fact arising u der this
contract which is not disposed of by agreement becidsd by the Contracting Officer, who shall reduce his
6
and mail or otherwise furnish a copy
decision to writing
thereof to tiie Contractor, The decision of the Contracting
officer shall be final &nd conclusive unless,within 30 days
fro-n the date of receipt of such copy, the Contractor mails
or otherwise furnishes to the Contracting Officerof written
sopeal addressed to the Secretary. The Secretary or his duly azshallpbesfinaliandF-conclusive
determination of such appeals .teat jurisdiction to
uAless determined by a court of comp,.
nave been fraudulent, or capricious, or arbitrary, or so
grossly erroneous as necessarily to imply bad faith, or not
supported by stbstantial evidence. In connection with any ntrac appeal proceeding clause, offer evidence
be afforded
in support of f its s appeal. Pending final decision of a
dispute hereunder, the Contractor shall proceed diligently
with the performance of the contract and in accordance with
the Contracting Officer's decision.
(b) This "Disputes" clause does not preclude considera-
tion of law questions in connection with decisions provided
for in paragraph (a), above= Provided that nothing in this
contract construed
official,irep s tative,tor boardion of
any administrative
a question of law.
mop Work Order
NOTICE OF DEFINITIONS For purposes of this clause:
"Contract" means cooperative agreemeAt
"Contractor' means participant
"Subcontractor" means contractor to the participant
(a) The Contracting officer may at any time, by written top order to ontractor for bynthistcontract for
any p p r
period la,
period of 90 days after the order is delivoted to the
Contractor, and for any further period to which the p+►rties
may agree. Any'such order shall be spolcifically idenl.•.fied
as a stop work order issued pursuant to this clause. Upon
receipt of such an order, the Contractor shall forthwith
comply with its terms .nd tike all reasonable steps to
minimize the incurrence of oo
covered by the order during the period of work stoppagdelivered
Within a period of go days after a stop work order is thin an whichethenparties,shallihnve agreed, theoContractingeOfficer
wh
shall oithert
7
<,1} cancel the stop work order, or
work by order
(2 terminate
in the)"Termination"eprovisione Ofdthisscontract at, provided
(b) If a stop work order issued under this clpuse is
cancelled or the period of the order or any extension thereof
An equitable
expires, the Contractor shall resume work.
adjustment shall be made in the delivery schedule, the
estimated cost, or a combination thereof, andein and theer
provisions of the contact that may be affect, accordingly, if:
contract shall be modified in writing (1) the stop work order results in an increase in the
time required for, or !.n ' e Contractor's costhprocontiact,
allocable to, the perfarman.:e of any part of is
and
(2) the Contractor asserts a claim for such adjustments
within 30 days after the end of the period of work stoppage,
provided that, if the Contracting Officer decides the facts
justify such action, he may receive and art upon any such
claim asserted at any time prior to final payment under this
contract.
(c) It a stop ~rork order Jr not cancelled and the work
covered by such order is terminated, the reasonable cysts
resulting from the stop work order shall allowed
equitable adjustment or otherwise.
Article VI project Information
Fro act oord,_____inan
The individual designated by the cooperative agreement award
participant as Project Manager shall be the primary point of
contact between DOE and the participant. In turn, the t)Or hall
designate a Government Technical Project office projeshall be
the Government's agen. on all matters ragardng guidance and review.
Fro act fceviaw Meetings
From time to time the Government Technical Project Officer (GTPL))
may convene a proS6 ct review meeting. The agenda for such meetings
will be prepared in advance ond.coordinatod between the GTPO
and the Project Manager. Meting locations may alternate between
DOE headquarters in Washington, D.C., and %he participant's site.
The purpose of the meeting in to make a thorough review of
progress to dale, and a forwo.rd look at the ensuing activities.
8
Project Re~ortinn
The reporting requirements of this cooperative agreement follow:
INI RIM NARRATiVE REPORTS of progress will be required Semi
anrFally. Re ort% must be submitted no later than 30 days
after the end of each reporting period.
INTERIM FINANCIAI. REPORTS will be required quarterly throughout
the agreement period. These reports shall consist of a
completed Financial Status Report ((SFg269) andnia completed te:
Federal Cash Transactions Report
no later than 30 days after the end of each reporting period.
FINAL NARRATIVE AND FINANCIAL REPORTS will b ec due notlater
than 90 days following the comp
agreement. The final narrative report shall describe the
accomplishments realized by the project and shall include
Status Report).
shalls be fmaany de using developed. The
Appendix 8 contains copies of the standard forms to be used
in making financial reports. Instructions for completing
these forms and guidelines for the interim and f falt'narrrative
reports will be issued by DOE within thirty days datc.
of this agreement.
Documentation
In the performance of the cooperative agreement, the
participant will meet all DOE standards for forms clearance,
documenta-
computer hardware/software, data base, and program
tion where developed as a deliverable or product in performance
of the task under this cooperative agreement. The participant
will provide documentation for software programs in accordance
with DOE guidelines. These guidelines require that the
documentation conform with level 3 of the office of Energy
Data Standards and Procedures Manual and the DOE User's ruidc
to the EIA Service Facility. The Director, Office of Energy
Data, is the source of information on ADP standards and related
computer activities. DOE has 10 working days to it-view ar,d
accept all documentation.
Privacy Act
• NOTICE OF DEFINITIONS For purposes of this clause:
"Contract" means cooperati&w.agreement
"Contractor" meat participant
"Subcontractor" means contractor to the rarticipant
9
The Contractor agrees:
(1) To establish appro?ria'.e administrative, technical and
physical safeguards to ensure the security and
confidentiality of all Information gathered on indiviaualn
in the cours-I of this project and to protc,et aga!.nst
any anticipated threa's or hazards to the security
or integrity of this i iformat on.
(2) to disclose in.',rmation which refers to or car, be
identified with a p• tic^lar subject except with O e
consent of the subject or his legally authorized
representative. extent
(3) pTo collect racticable,ndirtctly r'from the subect greatest individual.
th maintenance of
(9) establish els ent,noperatiionpersons or
the design, d.vevelopm
this sect.on.
(5) To gather only ch information about an individual as
is relevant acid necessary to accomplish the purpose
intended for the project.
(6) )nforr each individua who it asks to supply inf,>-mat.ion
or onEaf oepawate l form uses
it iividual
(a) the prir.-iple purpose or pvrposes for which
the information is intended to be used;
(b) the routine uses which mr,y be made of the
information.
(7) To include this clause, including this paragraph (7)
in all subccntri,As awarded pursuant to this contract.
10
Ri,jhts in Technical Data
N 'TICS OF DEFINITIONS For purposes of this Claus(:
"contract' "Pans cooperative egreenent
Coll ractor" fnesns participant
"subcontractor" means contractor to the Lartiri;&n!
Ian Derinn, IVn
(11 "Techn,ul dtu" meant recorded lnfornul,a, regardtn, of form M
eharaclerUle'. Off Kgnldl, W Iechn,cal rtsiwft 11 nu) for taample docwmr*+ it
nnfch etpenwimu' dr.tlopmrntal of defnoflstral,orl or Crs'netnng word be
ysab'r o utt0 to drfm a dnig. of proees, or to pfo-wre produce super`
Lair of ope,a'i mover Tl,r d.v ma) be graph.t of plclonal deI Inrwnnt a coed s
suit u dra-ins, of paologra, ht let' to specrrconoen or rusted perforeun:e aI
des g• l)rr diKUmen1,01 eo^+pultf aorlasrt (lncfuding compute, programs w"
pu+tf H,h,safr drs barn r d computer softwsrt documtnuton) Ebmpln l
teehru'data ncctun0 ed`prose+%sheetlnmtnuS)s WfhnfcO~ rond pc,,
uucat, s lists specifications
ioif f nem ent~fKai,on, end teinrd mformaton Technical dais u uvd heft,"
do no Include finonetst ftpo ru cost sna:ytr+, end Oliver mformstton Incldenul to
t:vnlwt sdm fnstrst,on
d~ n or t c~clum clsorii l
IJI.. nvo r err) dsuw.hsas dn~e procedais
dtvrloped it, p fx
w or errstment. In
mlv,v,t,o of R,ateruts of msnufactunn~ frrlAods prorev,n
clod rig rn nor modd,ca+tom thereof, pfoswed That su(b . a
(1) Are not genenll) pnown of available from o'hef aowfct .Ithout
obllgat,en concerning their corfidencts:sl)
(11 Hove not been made svsdable b) the owner to othcn w+lhoul 0%,
gstion concern rg ,t1 eonrodcr'ttl t) and
(tit) Aar not olrtad~ : sstloblr so the Government wtthoui ob' iI' ern
c„0nurn+rlg toi eon6Een Ua Af)
(I r , c ntra l dsu" moot te<hn,cal data firs, prtodw;ee to the perr.,
roan" or the coalrsct technical date wh ch art specified lobe del vered under he
ontrul`+ftsn)a secehn dau wisialltcdel, rllydatn mili connection with 1Ar conlrao'
1t qu,etmenn crisuu pf the that
111 'Unl,mued ngbr: tlta~s nghu 1o Ilse dupbatt d-sck a ec, nd-.s1
dau v .bolt 0 in pan in an) manor and fora) purpose w
permit others to do w
n1 A1locatton of nghls
(1) The Government shall have
p) Unllm+frd t ght% 1n col fact dou esupf w o4krwlw provded to
)ow With taped to p(opntur) dtu
go The right w remove etncet, collect or ignore an) marttng nc sv
thonaed b) the tams of this conirKl on an) techn"t dais fwrnlshto hrtewndti
of in enpoev 1o it wntitn t11Qutr) : DOE eon" Iing the ptoprtruf) rJ'urr of
the mailings the eon++actot foils to t.+pond theetlo within 10 days or fats :o sib
sunllsle the pfopmetaf) nature of the nvfllngs to atthef taw.V t, wdi lord the
wilbetor of the wlton tori
(111) M + rights Yndrf ells cootrKt In tin) Winocal data which sit n01
conlr Kt dais
(1) T)u contractor shall hove
WTle nght to wrlth)w!d plopneuq dots to ow"ordanu with the pe9vs
sk>nt of IArs (Is War. rod
l1
-Nook
b` TW nghf to re fa w phonic porpoom. arbjeci to portal, aaevnt►
• K esker provwan of Ilw eawtracl, oohvact data a first preduets M Ilse pf ffi)rrta htf
of the oottirace. provided the dbta requutaxa14 of tAaa cohtraci havr tin Ixl as
Nix door of the pnvaie rbr of weh data The eoohimclor alit" the, to floor talent
M ftmvab Of it g,vtn acaaoo b propnnar) dau of other licknKal ►uarnasa or Mtn
tart Vta M the fora of mveltd uforatrron from DOE or a DOE contractor of
sooltwotrtetor, the ashuacta theft Irrt avch data In atccadanee with sa) restrictive
legend o awmad thetti ruler or IS speetfruly sstthonsaQ b) pr*f wrntrn ar
provaj of the, Ca*tractahl OfrKel
0) Noi eentanttd in lhas AIsob in Technical Oats it Is tow shalt rmr l)
t ltctftx Io the Governrnenr unite an) patent tar ht enntuved n aflr, ring she µnpe
*111A) lactriars a either rillrrt orherw,v panted io rhr G,rtrrnmtor Whitt an) p,
ups
Icl Copprighled r►ytnul
( I I The eonuactot Mall not, without prior wrtrten aul"wal, n of tht
Contracting OlfKee, tt14bbsh s claim rW btalutrrf) eop)rilh In an) toninti dva
Ent prodWCtd to the (K rfor n rants of the eonlraca To the or IIt Mf Iuth aW+huri Pab r
KIrarned the Governmenlirxrvnfor ubelfand other%ac lanjon it,hesialfarr,),r
I) his nonebtlusrve xrevocable wnrld.wtdr Itcemt for Govtrnmthta' pvrpv.Ke,
to publish dittrrbute Irani duplicate, Wibpt and ptrrotm on) sloth dale wry
rijhted b) Ike eonrractor
Ili The eonnaclot agrrrt not or, ahJWdt to the Itchn,cal dooa debtrrrd
under the contract art malerial eopsrilhitd b) the eontr•,ctn, and nor to Inn. mj')
Include on) maitris' top►nghred b) whtn wnhnul ri»t gaming Of obla n rag ai
ho cost a bunx damn (of IN btnefn of the .)o%efnmtnr of slit Saint to. npe at ~
bet forth to paragraph RON abort If such ro)aT1)•rrte lKehx It uen adlb¢ said
tae contractor utverihtlest dttermmn that Such cop)righied maims! Iruv be it,
ebadrd in the Itcharcal data to be delivered rather than mere') rnecrrporated iharnn
b) relatncit the eoetractot shall obtain the written avthoritar,rtn of the Contra, t,ng
O(ruer to include such Copyrighted material an the irc hn,cel data prior to of, deb.
ey
fell gubtorttractinl
It n the respoetibwf) of the tonrrartor to obtain from its auf4COnnaue r,
technical date and righn therein, on behdf of the Goternmtni neceii to fulfdi
the contractor's obligations to the Government wish rebpecr to torch data in Ihf
ettDl of rtfWNl b) a subConfractor to accept a elawr afftad,n j the Govrrntnenm
Ivch nlhts, the contractor shalt
11111'rorr i)svbmltwrittrnItotrcrTotheContractingOfrcerxuiegforth
aa.ont for the Subcontractor refuel and other pertinent mforanstrnr, oh,;h my
e+prolor dnpesnion of the matte, and
(It Not prwired wtrh the wbconifaci wirh)ul the tali avihoruyilnn
of tht Contracting Officer
ft) M'nhholdtnj of Irroprlew) dais
NOlwtthstanding,he IKIWtion Of the Add'roeal TchnKal bsis Ile4uue
Inch I) tlsux In this contract of an) pfovmon of Ihn tbftl lair bjxuf) thI the or liter)
of techrotal data the eool•actor me) withhold propriewl doll from detr,er) pin
vaded Ihau the contractor (Wrf lLhN rn first of an) wth proprttluy dais w wlihhetp
Itchnrtal don disclosing the source, site eon6jurarton malrng and alro.hmeno
t1rarbctefattcy funettonal eharacitristics and performance rtqu rementl V form
For and Funcitor data.el,sptedreatanca+troldrartngt ealalolsheefv.envNopr
drarml, tic J. or a geMral deutspTroriof Lurch proptteur) data where "Form Fit
and Fvnctron" dau are not applicable The Govrrnm-nt shall acquire ho i his
oft) froprit sty data a withheld eacepl Thai suck data sMil be subgn to Tht °an
apectron rights" provnaofts of paragraph (q, ant if Included Ike "Llmurd rllhrl
an proptwta r) da u•" provrnorn *(paragraph (l t and The '•Contrac tot IKrhS ng" prc..
vnwns of paragraph (h)
M Intpetlron rights
Esvistk u ma) be ethtrui sptctfrd M this contract for specific Items of
looprtetay dais 16hKh aft AN subject to Wit paragraph Ike Cohlracunl Ofrari's
rapestntat,vn aI all feuaable is" VP to Three visit deer rifts, payment r+dcl
111tH soatiael, eta) Ihapttt at the e0ltlfaefar'/YaCIIII) an) Moptrttal; 6614 wahteld
tshdef paraj raph fr) for the pWrposrl dvthfvlhl 141 aWCk dots proprrl fr fell wrAa
the withhow ail pfovnaoh of peralfsph (e). of for hsfvahhl *Oil ptrforatanct
Ir , .
12
y
Additional Technic eta Requirements
NOTICE OF DEFINITIONS For purposes of this clause:
"Contract" means cooperative agreement
' t• "Contractor" means participant
"Subcontractor" Fans contractor to the partic~ pant
(a) In addition to the technical 6ata specified elsewhere
in this contract to be delivered, the Contracting officer may
at any time during tment tractfopetherforma
ontractoritoldeliver
year after final paY
any technical date first produced or specifically used in
the rina pertaining tocitemstofsstandardtcommercialcdesign,data
(b) The provisions of the Rights in Technical Data clause
included in this contract are applicable to all technical data
called for under this Additional Technical Data Requirementst
clause. Accordingly, nothing contained in this clause shall
require the Contractor to actually deliver anycn(e)lof
data, the delivery of which is excused by paragraph
the'Rights in Technical Data clause.
Sc) when technical data are to be delivered under this
clause, the Contractor will be compensated for appropriate
costs for converting such data into the prescribed form for
reproduction and for delivery.
Patent Rights
NOTICE OF DEFINITIONS For purposes of this clause:
'Contract" means cooperative agreement
"Contractor" means participant
"Subcontractor" means contractor to the participant
(a) prrfantont
(1) "Su►yatt uGnnwn" ttww or oventaa w dw4very of the wperrat
ew concaved at fire netually raduead to ►rrtCt u the cwtrrw co( M ttadet this ton
MCI and rnclvdes my an, MAW. prw4u, rachrrr trtamaf&cture, dnrsm a
oomiwnttn of,na: r, Or any maw Wefrt unptovemrm thereof. whrther prom.
ad a rnpnutad rode? The ►awat Laws of tk t'alrad Suter of America of am
(wash twuntrr
(ty Gxtr.ct` cream, my contract. Fart. yrermnnt. (cooverativ► agreement) or
ethet arrPpowttt, which *clvdn rnurch. devtloprnent, or drtronttratron trw1.
rod mclvdes any "Shment or wturtutwn of panrt+
+ (h "Sutn a"d dorremic municipal dovemorwats" imams the sutn of Ar
• domed Coin. the Dtatrxr ofwomtt+s. ►ueno Itreo, the vrrpn (tlamdb, Asoirrican
Samoa Owm, the Trwr Tttntory of the lsedtc Itkmd~. and any pot
awe aril geaete't thereof ' ,
td) "Ooverwme"t yency'taKlydn m rtecattve depanmeat, ptdrpendrnt
oammouoa. bWd, pfBce, tyency. admiantrnwn, wthon4, Sovrntmeat owvws.
,ion. of athe ooverrrnntt sm"b4 room of this Lwoottve a,rott► of the Gov":
111ettt 001t tlttrtsd $aW Of Asaenoa
13
• (1y TO the Poffu of practice MN'►j1ra" tutant, 10 «„"f or atoptrtr e
mar of a sewnpo►n on w producl, b prKlKe M the Nor of a N
P the cur of a "11114ht and ruder loch CWA,tant M to suat at grin tntwn
'a being waled ad that oil ►tnefiu ve eeuorranll W4Mible bk s a y he public (pt)nlrl
(t) "event Cdfeael" Punt the Drpe
artuMs the ptaconng 6e14vn)
t, (b; Alloroltoa of lommiPe1 nghtt
ti (I I Aulp"el to Iht Go%timment
The CCA116ctof Differ, to attign to the Gotrrnmenr the enial r,ghi 14111 0
and interne I% In I ti, apt n rsunerd bi, Ow contrac for whdr, ypwml:,ar%. I1,$ 2i dell Ito
Ktrni Ihr nji )
this Clwte
0i Of aitr nghn irtrm na,v,nt
Thr eont+al tFA of Iht employee Inn rob" girth ao+h~nl.nun of the 1nr.
tfocw ma) reauett greater rlttdt than the nnneacluu.t Ircenta end flit (mein pe
acc Inoild 1, Pd,, n
n. p ilh 11 t? 4 Ilp bidi Such re~uro, fr+v+ ►K ti vb
KSOfden:r •ilh 41 CfR I
COYntel lwtth Inot,Lc1110n b) Paltm Covntel to Ihr CnnlfscllouKyor i I g's ab `e
rboani to Mfaieraph telr.t of Ihi tla
of Ihr Rr►t d,tclaurr pu Than
t months earl eonctpl+on Of first aciwal +edul14no 14- ptactme, wbiLhetef ntcuwt
first or w:h longer pert dt H oil) be su+htnittd h) Pa,em COUnKi (r Ali nmd,a
Win b) Pa,rnl Couhtel in the Conrrachng Orrin ef) for gad c a,vr thouA to wfdrni
she Comrscrof
1c I hhmmum ftih}t In At Spmraclor
i 10 Conlracta IKente i
The comwworreteivesaievoctbk nnnrlclutnc.paid up hcirmwin each
patent eppLeetwn filed in an) eosmr) nn a ►ubycki InvernlNM and any retultrni M
Ith, In %t,ith the Got timent ►c Qu,rn w It The hctnK [hall [trend Iv the lnnUa,
lot'% dOlnROIC sub►diafK. Ind afr~1181et IF Im). wnh'n the corporate tLfydYrt of
which the contractor is a pert Ind Mall ,nelude the right In gf sm soblrcenvt of Mr
Saint teopr I(, the trater't '.he m"llKfnr wr legal') Ohhga+rd to do u, et the Irene
the eo .tfut %/t bootee ! The 1Krnte ►hall be IraWerehl±1on) `onh11erperi~ it of
DOE eacepi w hen tend trod to Ihr ►uccev,nf of the, pa
am 10 which the IMehtcr,] ptrlaint
lit Revtxetwn hmff7l Mot
The conlraLiciCs OneKIWHt 1Nentc eewned pvtlBent v.Ivaifaph fU
III of thrt elavw and wbl,cew,, granted Ihereundtf Ilia) be Irto►ed of modified
DOE either In whok of in part, only to the eaten, hottest) In aLMnr el
pedntnuv pfsclK►I applicstlnn of the wbte.t Intenrkv utndci DOE t pvhhLhcd 1.
eentrng rtgurattonc 110 CFR 711) and only to flit client on r&0vv6e hceow n
K taall, Ifaftltd Tht% 1Kente Mall nor rte rrt riled to that rigid of vx and 'o' the
geographical slab In wbrch the eonulclm. of Ire wbl,Lentet. M• brorthi the rot en
rispoint of pfscqtcol sson~1)
00111 mwn the
acct+tiDkfothtipuDl.dof»nnlqma% to elpert OTadnsn» hnfcrrti ~r
I
able Time
131 Rtvoeat,on piocedueet
Illeforr rnodifKatan or trtancatrnn of the IKeow or wbliantr, purtvvri
tit paregrsph fcYil of Mrt eta utt. DOE shell (Ontth the fromi atlot a e.ntrth nO(ne
of its rnl)ntan to Podir) or eevole the IKeaw end oa) svblicente thereunder and
the eonrrKlof Mall be allowed 110 da)v or tech lr.nger petads H ma) he svilOpowed
by lhr Palen[ Cownw, Iw11h W(A611twn b) PNChl Cnltntel10IN Conrracnnt W.
ctrl for Inrd C&ww Mown M wrtthhg b) the Somrattur, after ►eln hMite an thou
ewte oh) Or IKeaw or an) tAlicirw )hnvld not K ertnd f,td itf rrtrtlyd The
. w1f6c,w Ow' have the right to oppeat. vo wwdsmir s ith JvCF R Ili am) de.,
Ian toncawnng the Pod,frest'ree a revocol on of his Iwemr of an) wbl,cenw
14 t
(dl Fora!" poteas ey*1► by 11'Welf,
VPon w►tltea mqw' to horn, ~wtDOEAaecarir:aftju,alk*l$ad
~,Inal to INC, Contfaetnl of►,cerl, and whiff avenrx
rsqu retnenu. this t shotl bit fncrvtd to thecontractor. the emIn~fnf n l ,on A and
with awhonulla+ or the eonf,a, the Went tA
• garpg" columIIy wk It the Govtrafnent Au elected nor love Oft Such Fillns povld
►eQvfsfrd by DOE
. f, (,l I'm rSelpunr of .tech FilAt. whin optc,rii .
and three yean brier rywnce of b (welth pat it disclosing tad salyret Avon. o
thall fu,noh DOE a ,rporl atn,ns forth
(A) The commereral tae INC, r berns asade M r INIC*W to be
wade, of 04 InvM„on, and
(DI Y1tt ater+ take* to M+nl the mWeettfon to the pia, of pac,.cal
application of ,o wolf the Invention awlabk foe Irconstnl
(n)7Ae Government thtll Ieta,rn as ka►t M 011 oalbW ic tb)lorvon
pa'd ter Irceast to male. wise. fad till) tike invention throvi
all of she Go' (IM1041fil art
ente%%theGHead of the Alenc) Ofddy)net"doe r
stalhe misn c,pa g acquire the Iseense fa the slsle~
ama that if would na be sit INC public interest to and dpmesl,c municipal iovtfam"It
(1111 Sub)et, to the nght panted to (cltlr 12I and U) of IAA etause
the Head of tike Agency of designee $hatl have INC Fish, 0 unless the rK ptent
patent rl granted In this pSfapaph 0941 In wtolt of mfate
d)usA Fighntifmooitrattstol!te y,nfaaloofswb1iHal of the AgeftCl, Of
InvtntMn
Itutson d INC
true effective Supt ttcMary to accomP th
Nave been Alen Of within A. reasonable 1s will bICX e f1) and 111 dthn tkuve(Is) Subyed to the ng granted . SPAstacln! (euf years
the Head of the Agency of 841491111te shall have the ng
Stiff forelln patent Wit tit accorded undo thf► pa*b;rapl+ (c114) to require life
paauns of a aonricluslve of Partall) eaclustve rscelsw to a Itapons'bk applrtent
or apPhcbnu. upon terms tabonable w+def the circumstances, and In %p rll
5 Au oppme
pub't upon at whok of oft par'. 101111
an Ina rsted person
Ne r % et to
ice thereof 10 the (0191S R
s rIfts ora upon
lastifysng such hcanfns
(A) (r the Head orthe Ab.nil) Of 6esfg*aa detennsaes upon rovseu "Frit of wcA snateral u he dams relol I'm Aft~ove fecopA etawh ti hfaOf u her
Maraud person had this opfcomwesty to
w kstgna ma) require. trial such foreln
(orsf,Nlon at INC Head of the vi ) otion or to rnf t In undue
patent Fisht Wve tendo0 wbStantall) to teu tompe
IRA-ill eoacenrfnlon in any Wilson of the Uno sled stain in any bow of commerce
to ah,ch the technoiosy :etares. or
lbl Unless INC rKlplent of wch Flights derronstrasn w the N^nfIci
.twit of the Head of the Altai Or designee At such Willis that she Ill Witt eRe:tive steps. or within a ruwnobie tore Ibefeafirf a sepllcted so ale Such
Slips, aKeli to ucomplnh 6"IbItntul utlfUtroa of the tnveat,o"
(d) Ffl.ni or pascal al"t"o"
(1) Wish tespect to oath wbfecl iavtatoa in whxh'hereoas'acl this cx4l Or
tavrolof rSquesu (at'ln patrol nlht► tit Sceadante will, ps ! Lila
elbuu, a rtgo.sr or.*) alto be made (Of tM nghl Io(de and pfoucru the V f bpp
W oa behalf a the U S Government (f aueh rWue►, n granted the conts:rof
of inventor shall file a de:neulc Patent APPS `r ed. or arch aioeltfil Period 6111141
after the eeques, for foreign patent its
to let) be approved by INC Patent Counsel for SW4 Cause thowa to iFitinl by tike
104yea'of W Cab SSSpKt 1e the Mveatloet, the ►equstor "I pt~i ~ 1f) the heCaa)
1la1 Counsel (with wrfru too b) Paws, Gouoael to the Coot/SCwt/
doc,ascia not to file M W": I" , S,•. , '
rl '
15
n) for each Wb, tt rrta4t1o4 Ik Which a dpfllewK le""nt wilf:6106n is
• , &11d by the W, flavor a Is emag. the patllatlor a tav"'O a'sdtl K+t ~ evnA~n
(I► N•ahln i nta hs All, the Allsd of a pa PD
wonlht Intl WbeflrttlMl e s t revralloel dlKlasulf, d the pa'eht errlhelr+ he,
been filed pr:Viodel). deliver IC he Pale1 Collnaal a cop) 010st applK than 4, P ?d
bselud,ng the filing dole Ind MCI A humthef,
(141 11i'llhm 1 me,nlhs I haI Miss Ihr Application or Wllhln 6 months a(irf
s• wbmatingtMmvrnlondlKioaurt elk applKCwnhubeer, filed pttv*uvl) deb.
H to Ihr vIlent Counsel I dul) rtnuttd and AR"uved su,gnment to the Gravers
wntl. on a form 4pectfwd the Govtrsment,
fill) Provrdr the Paum Counsel Wsth the original Pahl graal prompt!)
N,et I pi'enl is issued on the Appbut,on, Ind
(IV) Not ku than 1r) day► before the etprttton of the lesponw prrlod
anINC Pnrn, Court
for on) fiction ltgwred by the Paltnl and TF&SC. `hM` 11011fy
acl of on) deculon not to continue pr
01 Wlih Inflect 10 "Ch wbjecl V"11" In rhKh the conlnCIM or m
Vehlof has rtqunltd fofel4n 041"1 rlghh he CMrtfaClof Of Invtnlnr shalt fill a
gate, 4pplKal?" on the Invention m each , wags Cou1f) m rhKh such frque,-
tt granird and rllh,f MK nl the (,dhwing pelKd, ( r 'r
; fra
fo EyRt m,11%, from the dale of fil,ni a c"`IC' n. if-, 'Ido', 1e, r. V,
aprLUlinn nr if such M Irrl,•a11nn 1, Plot fled sit m n R f
Na, gflled
flit Sir mwn1R, from the date a li,M,t 1, r1+J his
lh 61r r v t L:,
of Peu1, end Tradtmar)• to file shs f,srrirr r+ rhl ►rr1 . u
haI hetn rrnhlhlltd h) w.uf,lt rtavln, M IAt Pat. r.' (u+fw
11%4p Su,h hrnfer pennd a, ms) be Irrr.msfe P,% fur INd tat," shown m tinting h) the Cnnva.lrrl of 11 1 Oland I I of IA
l4l Suhjeo w Ihr bcenw s(esrnrd in pafai ar, 1.1
chow Ise unllra,ml of IRtr1M afrrt, lu Cnn+f) Ii. Ihr Gm,clnmtl ur.rn rl
nuts? the More 11hi 1106 find 1elrtest many nrGl'd m a il,dd110 lush ra Offrs
oaf tit ln,Mlnr fell,sr, hail o M Ml air
Ids tt of Ihr, clauw of decide, not lo Cnnflnue rrOVr,Yt Kin of Ill pa) an) md,nle
mmr fee, cPVrnnf the inwAN,n TP IM1d rofrtlluff nr is, f..t,+l arrf..ri.nn of
patent the :nntfvcl,rt or rolel"r %hall rata let, lh+n hf di), W -f, the tear.', .n
refl,rd Mr an) attar, requ led b) in) ralfnt nR.f nnl,f) the Pa,rnr C"unvl "I
Such (a,lulr at decision and dicker to Ihr Patrm Counsel the etecultd 1n.1•umrr~,
nrsl.--) Inr the Convrsan." spe.died in 19„ palairarh
fit l,"MLnn dentifKarton, dnr.lOlufe, and relv,rl,
I I I The tnnuarM shall Hlabinh Ind ma,nu,n nuvt and tfh.li, C prikr
dure's to e!%sufe 111 subjevl invention, aft prompll) tdef idled and tim.1) d %1.,rd
Thew prucedlnes shall include the m41nteMnct of lab,ra:,+r) n01rh alt of Cqu"a
Itnr records and nd,n records tha, are featocahl) necewt, In d'xufnfn the ,1•r,
efptl t endinr the rnv, 4nual Irlducticfn to praJ.c of subje.t lnsen 1 n. rod
ervnrd• %h .h thou that the prneeduf ts f(w dtntif) ing and di-.; hvni the m, rw rn.,
arc f rtinn of h ihse VICKCdurt+ 60 I)r he f ine) shall 0116ale and dtlerrmmt n
drv PI PIMP Or.
It.tntsl
01 The contractof ►Lall furnish INC Parent Cvwnbel (a l,f»a+nm hI
Paten Cnunsel to the Conuactinf Ofricerl on a DOE airn,r
(1) A wrtllen Ill Contalnmg lrfl and eamplele loch K Rif a'llun `
enncermho each Subject Invention satlhtn 4 mrsnths after cnnup of
aedvClan to pftCIKC, ahlchever actin first m tht course of or, a of umdtp INI n,rm„m ~WJ but in an) evenl, P. wsr in In) tile, p•.hl c use. of public Il,n,vn to the eonnactnr
The upon Shall Identify IM enn+racl find le,enlnf and
,hall be s11fr1c6C011) enmpllfr m I1111th"K41 691111 end 17rfGrhaltl) 01101,11140 h)
N itch w d einm In conve y to one swilled w the an;o0^hK and h lho thrtt~ M ~m+u n
n I ekaf andtr►tandillielf IM nllurt. Purpow ore
tht ph)uul, cMmlul, biolog cal, of eksuKal ca lcrl'r1 htu under pvag h f r
rrpnrt should also include an) requttl forforvyn r g
(4) of this elww and any Itqut%t to Gk a domesln Pollen, arrlKannrl made svllhln
the fil lud set forth In Paragraph 0911 of this clause tlI'hen an mvrlllan 0►toponed
finder Ihr, parrhrarh (1011011 n shall be presumed In M,f been conceived M fns"
actusll) tcdWed to pl Alder to lhr course of or tinder 1M Compact 4s1e+, 1M ton
".clot pMwndl if 0,16 tta so Dade. w Auadanci Wee, p►,Iflfarh (6020111 of th,.
clause
16
•
(Sal lhyoa 1"Woot. but as OW than aaowhlt. yllanm reports en a
DOE.aHpto"oill tofw haling Wbyrcl lavfntronl V4 prbcoalatta aotrd O coplorp
W.s a Patent Rogbu Clare for tNl Penrod and any i
IAI Tye IDoifaetor's proctfwe roe weatdy4ng end dr4tloarng wb
~rl la et Mr0a1 so rrpurrod b► this paragfaph (f) have beta lollowed throughnul the
ytp.>irod Penrod
(II All wb)ees tave'a14011s have been dtvclaed or than t'retr ore n0
Such tavtafoon► and
(C) Ail wbcoattacu Coatmnrag 1 latent Rrghla clause Nvf Mea,a
rtpootd of that no Wch lubconsibels We bete ewafded
(nil A fraat report Oa 1 DUE-SWOvtd form wnhtn lhrrt morllk% brief
e mp4tron or the eoauac, work Intrrtg sit sub)w Iavtntrons Ind all subeonubct%
/worded conarnrng a Pots, Rrghtl Clause and etrufyrni t1al
(A) All luhlecl lnvenuoas halt btrn di+ckried or shat them trtoe
so such ItivfNrnm and
W Alf subcorluaeu tenoning t rota, Rrghtr clause havt bell
rrponed or that no such s,rbcowFiscts have been eu1•ded
O1 Thf coa,racfot hall obarn paiw agreements to eflrcl, altsist pim
Piro
amts of this clause from all pervom m us employ who Perform on►
under ahn :onloes r'.Cepl rronstchn+ul yarboanel, Such 11 ClefKOl employees land
au n"I labor a rs
i I) MCOwrulof apfen tVs the Govtfnfaenl ma) diphnit end d sclolt
r rbhtcl ,n.rplion arrKlosufrs and all other reports and papers rutnnhrd of required
to be furnished pursuant to Chrs ClauK It the tonttwor is to (tit a fortyn paent
applKO„on 2n a lubyecl loveat,on, the 3overrrlllfal aarm, rPOp Wnsllp 1`1401ol
So use ilk tort, Ocirls to va0hold pubbcal,oa V Web mv9blrOn diw1cosllre% until the
esptrstfon or the time ptrad specified in paragraph (dh l) of this clowlic but th oo
evens shall like Governmett or its tmployen tot liable for an) pia rciion
(f) PublKrlr0ll
II is recogplud that dunrnp the caux of the work radar this C"111ct, the
eontnctol or to employee met from time to Ufrt dnut to rekaae of pubbsh Writ
ualton regarding rcKnldt: of technical devtlopmen4 eoncelvfd or first sclwll)
raduud to pracir" to CM corfrw of or rndrf this walflcl In older that plibbi: 91%
Closure of will larornutlon will nix advttul) effect the patent snltretb of DOE
or the Contfocrol, pattnl approval for rtlaw of ►ublKatton shall be feared ftom
I'otenl Counsel y.hor to lay such rekue of Publrculor.
14) Foriature or nghls Ia rtlleponed Wbhec1 tnvenlroes
(it That crefulor shall for(rd to the Govetrttrem. of the reouer of the
Head of the Agency of deupncc, all rrght► to an) Wb)ect lav9nl40a whic h the con
tntfor falls so report to taunt Counsel (with oalfKalron by Patent Coeosat to the
conuacl,ni OfYreer) within 1 moalhs bhrr the time thf Coolewor
files or tatnn to be (kl a Varied Storm W foreign palrnt apphca
Soon Ilive: ICori. of
(n) ilbfntu the final repon ropulrod by p4n4rap% R) l of this
clawv. whKk4tr is low
the However, the eofllractor shall all (09941 ligbu or 1 Wbhect lnventron
d, with," the tlmt sptcdrtd. N 11 Kt) of (I X111 of this parogr►pb (J,I. the tonlwoof
(ol prepares a wntlen dacaron based upon a review Of N head 1M,
the lnvtatroa aw wither tewKtrved nor An, actually toducrl to prK1Kr m the
oouru orof railer Ike tons bel and drlrver) the Same to Polenl Gnlnxl lwrlh florin
alma by Patrol eo;#natt to the eomfocuag (Wreff), of
(~)conuad~ng that sole tnvMtt0a h nos a Wbhfcl tpvsns~on, the toatfac
4W 69vtntKk* drKloan the Wvtnsooa and ali face porn4wa1 ore the 9G81e0111001 10
• • • Shp Potn11 Celaaltl (416 ao+rrrulam by Patrol Cjnrreel to the ca"Inclrtli (VKef),
i let r,.. .
I
N) baLwashem, am die bldwe M "Clow dad e+M Pooh No thr "A
treclaY fal w "W'slo m,"
S,7) Pending wf%11" naigneutu Of the PWCOI appltc111oa coal Patral► on
I wbyac l to ve*t an drunm ned ►y the Had of the A gentry of dew p nee so k fotfe,l r d
(avch desernmat*a to be e find decoacom wider the Mtpvtes ebele of this conltbc,l.
the contractor shall be dvernd so hold IM mvantloa and the pelenl aPpteatwnt
~ , brad prunu Perwl mg thereto M trwr 4tr the Oevrrninens Tha fofienwt P+ovluon
of this pwagroph (g) shall be an mol lron bowl shall n" w1ment0e whet nghis sad
reI 'n which the povernmwal au) have with eetpecI to subject mventiont
(h) Eaaminalwa of records trlalsnl a tarenllons
(1) The Contraetiml Met of his solhGnaad representatives skid the am plralWn of ) yea" &Aet t'snat Poymfnt andtf this eoavacl, Null 6avt the nghr Io
esaminf ant bea►a (Intlvdinj 660111`0140ey tvxebooit). taordt. daevrtwny, Leal othel
wpponml dau of the eeauw%ot which the Conlreeunl Offlctr or ha authonaed
repmental ve reaaonabl) deem prnsnent to thr diwavery of tdarmfoc oof of wh
lacl Invanko0t or to delennime eo"splosme with the raQvirtmetis of this citvw
()I The Conlracssn$ Officer or evthonaad rtpfesemat,vt shall have the
nght Io tum ht all book (Inclodlnp laborelory noteboo►s). ►aeofdt and dt,;vmrnls
Flf the oonltacsor relating 10 the a "4PIan or rim aetval radanon 10 Pfacti:r of
trvent,nm In the Mint Reid sal erehmdod) 1% the wnrl vndt I I111, soma,' It, drito
mine "helher en) svch InveMMM aft lohyt.l Ift•WWFIN. Of Ihf 41WIPSLlnt ttiav,
of fa lv to
(II Ewbloh the pruatdutn of rap.l.aph fall I p of 1111, Chios at
(61) mafria a end ro)knt Poch rhnedvrer, OF
(m)sone.l of tkmmnt an) mauhal delis Ism.) In Flit pt % idvfr, w r#,
M Thirl) do) Warier the Conuacting Orrlsef fu+IrW%the c„nltaclnt of wLh a de r„If n
c)
py M'I lshoidlnl of fgmtat (not eppkcabic )o wbvontfd.ul
(It An) Ilme before final psymtm orthe sma gmt of lhls cunlrau Fhr con
Irselmp ofL,rf may. If he deem, such etuon wetranled wlthhnW p.)mtnl until
/ rtwpve aol esfrrdInl SyM or S percent of thr emounl 14 01, tnaur.l which
over to Ins shall have ken W1 aside if a hr, fptnaa the CrAltc'trn calk 10
W nuhhsh, maintain end foilnv eftwise ptmtdutr, fro ,drntdlml
and dnctoohl svbgtl weentont puma", to pufpraph fist? of Ihly etsuve At
(nl d below on) ►vb)rcl Invention punaow IV Paragraph tte')Mu ofFhn
elbow or
(11P1 denser she Interim repo", Puhueni 10 ►aralraph reR)PonIof Ihn
elbow QI
ps) prova)e the vdormstfoa regarding wbcomfo&1% punwnF to pala
graph Or1I of Ihrt clbuse Or
(vl eonvt) to the Goverment wing a DOE opprnved (.rrm the tide
sod Wf-Shnof The Govrrnmtnrto techwbleclinvention as tevu;tedb)IN rlbww
(2fThe trterve or balance shall be •uhheld vend the Contracting Orfter
ha, dnermmed that she toatraelor has sectlfold whalner deficlenvKS toil "0 hav
dellvead all Ifpofn, diwlosum and whet InrofmalMn rtawlfd by lhn tlnu,e
1')1 Final pa)tnenl under this i Arad shall nM be made b) the Cmist ung
OfRcrt batiste the eowacta delmrs to laical Counsel all dolour" of subyecs
m.talMnt and other 111(c wallOn treluued by fix) oil of this slbvw. the final ttrntp
rpw+rd b) (elf) Ku11of this clavw, and leant Counsel has mued a Ntrnl clanncr ~
«nlfiClIKA td the Conaacting Of Pctr
NI The ContracrFal Officer Pool), tit his dpsrrnlon druraw nr mcrea,r
the tome o0held vp to the mautnom awhonaSd above If the contractor Is to non
PION alanilafMn the msalmvm amount that may k %Nlhhcld under th, parr
graph shall MN tested 00,000 or I pt+re"1 of the amount of this conlrul.
whichever as Ins Nit pwoum shall be withheld vndef this Patalrarh while the
! amovnt speufnrd by This paragtsph n king withheld vndts other prosminns of the
easlrul The withholding of an) 6"tol k Wbstoutnl fsa)minl thereof shall ray!
tyhu eaervtng to the dove+affwnl coder Ilia eM•
be tonunud 066 waver of"?
Matt
1 •
le
I 1
~r sYbloMSr►ct,
411 Fr the IsurpOw or this pt elraph the term "Coat' 601W, xWeti. line
pis) ewardtrl a ►uhcontrocl end the term' whcunlrntor" astao. rhr pan) br.n►.
ewerdrd a wlannlracf relrldle%b of lice
t' III Unle,t 011K'wiw aulhottsed of directed 1) Ike COMMONS Officer
she eontractnr ►hall Include the Patel R 'Sills elsuw of at CFR 14.0 1431.1<ral of
dl CFR 1e.9 101-6 es oppruprtale, PMOdd'.td at dtmd) the parllr In era) tsilnn
It►CI )(![Yodel )otitis! N 1 pufpow Ihr COndact 0( ()fern h. drtelnpmtnl M dree
On sit of too work it Iht et"111 of a refuel 1) a wbcolraclot in accept Ih-t llru.
W If to thr opinion of the eoeuaclof this Claw n 11fworl tvrnt with DOE t psten'
polKtrt. the Contra.lur
(d shall prntnptt) submit %witM wKr In the Contfocunr OfTKrt wtunr
forlh ftwlp, for Ihr ,utKvntfa.lnr fefuvl and Will ptfnnenl Itllvrmalotn w ht. h
tea) ctprdrte dnfettnfnn n< Iht Pistilli, and
Ud shalt not pfocted with the wbe(Alrocl wtthnus the written auth tnta
Iwo of the Conlrarlial uIrKet
Or E•cepl av mai be MhtrwtK r4ovtdtd in twin Oil. %t the vwis,.+, n
shall not in on) ►vRontract 11 u►Ies a wbLunlfact n Constdcratx,n Ihrfrf,-I A.
quirt an) rI j1 a 1111 Pit ►Ybconlraclr't wb)ecl Invent Wn rot tint COl for s nY n u%
(at dnnnlmth"d from 1141[) rISMn a• ma> be reouned wlcl) lo'pIGII the cnnun It a .
CMlfarl nbbllallnn• 10 Ike Gnv"rnnKnl m the ptlfOrmanCr of Phi. (O11llatll
tai All rnv"Mtton dttelowrt+ tWnv, sntuumenn end other rnfurril
reyuifrd n be forms%hrd b) the whcnnuactor to DOE. under the pfosntne, td it
Pwrr'Rqhltcfauvin in)rubcn11tra.thrrrtrndtrme) InthrOlv/rettnnn/thrCnn
418,11111 Un,:tr. M 1.111st0rd In Ihr ttsn418rIM for Uansmnsrnn tO G :E
. (!l Thr crvluaClnr shall pfumptl) Mont) the CCMIISCttns I]t.i.er Sri 116111,
11111 upon N err ard.dar) sybannlralr ttmutronl a Vatlnt R11hn slaves b) 11dentd)
tn1 the subvnntnctor, the work to he performed
n the request of the Conuaculls off,
Vpn
dotes of awed and etnmsted eo+npitlwM 0
tier, the Conlreclnr ►h,ll (itan.) • top) of the whvonuacl
(br The, trtnua.lof $hall tdeellf) all sub)tcl IPlvtnlol of Ike wbcantfn
Ins of which tl acpu3rty aonwtedgr to the pefforman.f of this Canlrscl and sholt
1 *nuf) tint Paunt COYnwI N ION nntdKsttnn b) (061"1 Counwl In the Conrratrlnl
OITKrtI ptompll) upon the denufKaTKm of the soveril
(1t If is andrntnetd lha1 the Govemmrnl is third pis) to nr/KMr) ed a)
Wbl Ontreil CtAWIC SfaMIM1 nShB to lint Got 111r-. r In sttb)t. t IMVenlwnr. and the
WA11,1 t0 here) aulyrt to Iht (3Ov"rlntnl alt rlshn!hilt the Co/rIC10f would
Wit to enfom the wArunlrwtvil t Obltlsttnfst For the benefit of the Goternment
ant frspee l In sub)w InvtnttOm ?)t CMtraClOl ►Aa~l nor bt obblstrd to enforce
the asfetmtnlsofer) whconlfecsor hereunder rebltal to Ikeoblisstronsofthe sub
p>r11N:1OI 10 Ike GnVelnRKnl eelsrdtnt sulljw Invenlions
ILI Baclttrourd Patton
(1) "BsCtlrnund hunt" amean11 a dumt,lt, patent eovtnns an sovenrlon
or div.nver) which it nat a ►trbpo lnvenlKtn and which n owned nr controlled b)
the turfraltw al be) lime Ihrcwsk the eofnrtrtKto of IhI% CoAlroct
(1) Ill the 4.0fifACtK, but not the 00WAmtnt, k8b Ike rISk1 Io 11
etnw to other% wilkftul ttblllal10n to pa) rn)altr, thereon. and
(Oil lnfnnSement of which canw rusoeaol) be evodrd Of" the prec.
n of n,n
tKe of en) lrrciN procrw. nwthnd machiret, a'NnY(K 1Yf Of Corr(+naKt
Pr Iudtns r0wivel) oil elsod (!.unit lhettM which n a wbpect Millie rewuch.
drvtlupr 1, or demonuratan wort p"rfomord under this contract
III The tootractot elpets to trod doer herd) {fans to the Governmrl
► M)Ih) fret, RontitlY,Ite, IKtow Yndrr etc) Ialklfost%d patent for purpose, of
i FraclKlns Of ►tfb)ftt of tMs euntratl f) & for Ike Governmenl to rwsfck, drvr"
pent and demon,1141 n wort Oil) e) r t
tt ,
19
IKatrsa DOE n
13)'[ht cpslracla ►M+d'te` char epots.mtt* NP
wig 616041 lG tgponu►1r Pent,' (a pvrpcwn of praclKing a wefts of Ihrv :wllrecl
UOntttlstvvt lreersxv loader ease baclgrnlond Violins on terms Ilow art reesnaebtt stn
der Ibe a,rtanl llln.ts 1f. horty II. Ibe ton it at to batserves 1141 asc Iw%lvt br Petliat
h tselsi nghh art Wt%%Ar) to aeherve rlprdvsovs eomiswici lde~lho-r f
Or sttlhtatson, than a repvns ma) be mode to DOE DOE 9PProval
M/ by the contractor
(a) hothwslh)4nding the foregoing pug,a'I it` elnke tests deI Klor A tit
It. toot be 011 ied to llctnve en) bsclg ound Patent r
c0 the µhsfec oool of the Head of the Agency or dnsgnet that
to) a comprt,"vt alltMai IV I to the eut sto met lei covered b) mod back
ground Perim . enmmere4tl) rvallablr or eaadsl) %lrodstes►le horn one or mwe
other lourcn, Or
(I11 the tonluclor or its hceslsen are wept) n g the wbten me"rr cotb
ertd b) mid bet k;round Past At 10% wRlc sent Qua ntn) end n «asonablt prKn to sate
f) ensiled Wdl or have taken eRrcuve IstIM w ub.lthili, a raeonable time are
eapecttd 10 take enecave Map 10 w 6 1 pC
(II AIOmK entrg)
)1) No alarm for prcun4r) es.ard of eompetsbst,on under 114 prosoton,
of the Atonic Energ) AI IpSa, r►srnended ahai} a satersed b) the eoooactor
Of n1 emplo)en Ia11h motets to an) snven"on Or diwovery madr or cOnctwrd ro
the colonic of or under thot contract
(I1 Eacepl at oherwrw WlhOnaCd in wnung by the Conuuund Officer
ther tontnctor x111 obinln P I sgruemtnu to ditcrwu the provisions of Pe•a
p sph (I ts 11 rho perform an) part of the war strider shot contrast t ac a p1 rion ltc h m
cal 1<rv,nnel loch as clerical Innplopas+ and manwt laborers
(in) Llmdulon of nghu
Nothsnp torllasned to this palenl rights clsu4 shall be detmtJ to list she
Govtrnmrnl an) ngh" wish Mpecl to sot) Instntsnn other than a evb)ect lnven,lnn
tscEP' as Ito Forth in she balms llrghsl elatne of this eoltrel I. th moped so but
ground Pelenra and the facshsles IKta4
Notice and Assistance Regarding Patent and Copyright
Infringement
NOTICE OF DEFINITIONS For purposes of this clause:
"Contract" means cooperative agreement
91 Contractc:" means participant
''Subcontractor" means contractor to the participant
The provisions of this clause shall be applicable only if the amount of
this contract exceeds $101000.
(a) The Contractor shall report to the Conttacting Officer, promp.ly
and in reasonable written detail, each notice or claim of patent or copyright
infringement based on the performance of this con,:ract of which the
Contractor has knowledge.
20
(b) in the event of arty claim or suit against the Government
on account of any alleged pltent or copyright infringement arising
t, out of the performance of this contract or out of the use of any
supplies furnished or work or services performed hereunder,* the
Contractor shall furnish to the Government when requested Vy the
Contracting Officer, all evidence and information in possession
of the Contractor pertaining to such suit or 0 sim. Such evidence
eshall be Covernment
and
(c) This clause shall bt included in all subcontracts.
Restrictions on Use of Data 1
data, or other
Prior to publication or divulgence of reports,
materials prepared o: obtained under this cooperative agree-
ment to any person or organization other than DOE or employees,
agents, or contr+ctor of the partl6 pant performing work
directly under this contract, the participant agree, to tubnit
such materials to 1~01E Contracting Officer for comment and
review. Reports shall be submitted 30 days prior to
publication. Projected release of data other than reports shall
be submitted at least 10 working days before release. DoE
agrees to provide review and comment within the proscribed
pariod, after which the participant may utilize thheeEdatta for
the purposes stated in the data review request.
prevent the participant and its employees from publication
or divulgence of reports, data, or other materials prepared
or obtained under this cooperative agreament only if the
divulgence or publication of said materials is properly
exempt from publication or divulgence pursuant to the
Freedom of Information Act (5 USC 552) or is prohibited fror.
publication or divulgence by the Privacy Act (5 USC 552x).
This clause entered'into under included this cooperative participant's sgreementontracto:s
contract
Reports and data as used herein also include information
agreementiticipant`In the
developed performance n of discoverios made
cooperative by
The participant shall indemnify and save'and hold harmless
the Government, its officers, • ents, ant: employees actin,,)
--.-within the scope ofitheir official duties against any
liability including costs and expenses resulting from the
participant divulging, usi-og,-'br'duplicating any rooorts
and data in a manner not authorited by this cooperative
agreement,
21
AIX reports, studies, or finding,; prepured by participants or participant's
contractors pursuant to this coeperative agreement shall.
inctorporate the following notice.
V
TAN .Men w* fpTOer~"M MOW~t bf wer► serwr00 bT 1IN
WIVO 5101" GW#rMwt ka'"W OW VloloM list" w TW Vend
Sires DOe•ewet of tr"'p. iw MT N taw, ~010. Woks OAT
"IF900tT 111M"U r "'W. W ampoMt MI 4v' tae-IrtT r
ILAp. 4111TV fr ft KI4rrT. 94r041Ttis, r v"V, so bf MT
OhN,0 100A. 60"'IM 000Art1. r Ir0tg1 Mc4e04 W IWOWr
WWI us ,wrta Mt WItAr IPWNev ON r*m M94rvw
M o~ is $ V •+r1K 0rfvM4r+109160tt. Yaw. or WvW4 M
setiuwa r N1WT h rteor~^t. M W%R 'r"*^, r fwroq by
1M r++ tT0 fist" GeH nnvnt N MT bf!•'+~T *woo TAr Tim w
w4m Aer of TM U4~-te0 lists Gn.rrvrw+t W Mr Owd, OW96f
Article VII Property Management and Disposition
The property management standards rr3sented in Attachment N to OMB
Circular A-102 shall apply to this c.--toperative agreement.
i
1
22
c '
J
APPENDIX
(1G CFR Part 4610 July 14, 1980)
1. r
I
I
1
i
Monday
July 14, 1888
1
w
i
Part IV
Department of
Eiergy
Economic Regulatory, Admin:stratlon
• Financial Assistance Programs for State
Utiii:y RegulaOry Commissions and
Eligible Nonrujulated Electric Utilities
t
ss■r.o
Y
41;88 Fede.'at Rooster / Vol, 45, No. 136 / Monday, July 14,11~80 / Ruler and Regulatlons
DEPARTMENT OF ENERGY C, Ywposal Requirements, Consequently, no change has been made
D. Evaluation Requlreme.its,
Economic Regulatory Administration a. Tie[ectlon Process, to 1441.31 as a result of this comment
Ill. The Pins) Regulations. Comments were also received
10 CFR Part 441 IV. Other 1; liters, suggesting that DOE extend program
(Docket No CItA R•Te-1!A) D. Background eligibility to cover utility regulatory
authorities In the territories or the
ftnar►eld Asuht+nee Programs for Regulations establishing financial United Slates. Although this section of
state el A Regulatory Pr Commissions a sislan y programs for State uilhiy the rule was not proposed to be
Utility Regula ory io re ulator commissions and amended. DOE has chosen to respond to
and UtllJti Eligible nonre ulated electric utilities were the comments because they rase an
Issued by the DOE as 10 CPR Port 441 on apparent Inconsistency in the manner In
AGENCY: Economic Regulatory June 29, 1979 (44 FR 40262, July 9, 10791, which the program regulations treat
Adminlstrat;on, Department of Energy, A notice of proposed rulemaking and utility regulatory authorities and
ACr*w Final rule, public hearing I.od been issued on conregulated electric utilities for
March 21, 1979 (44 FR 18856, March 29, purposes of eligibility. In order to be
SUMMARY:, The Economic Regulatory 1979) and comments solicited from consistent with the provision of the
Administration (ERA) of the Department Interested partles, program rule which provides that all
of Energy (DOE) hereby amends the Subpart C of these regulations nonreggufated electric of lilies are
regulations for its Innovative Rates established the Innovative Rates eligible for funding. Including those In
Program. Ills program provides Program, pursuant to section 204(1)(8) of the Untied Slates territories, DOE has ,
financial asslai.ince for electric utility the Energy Conservation and Productlon decided that utility regulatory
reggulstory rate rzform Inl!latives Act (ECPA), Pub. 1. 94-83, 90 Stat 1123 authoriUer, In lhit United States
re sting to Innovative rate structures et seq. ("2 U.B.C. GWI e{ req.), as territories should also be eligible for
under Title 11 of the Energy emended by section 142 of the Public financial as-+etance under the
Conserva0on and Production Act, as Utility Regulatory Pollee Act of 1978 Innovative Rer,, Program,
amended by Tills I of the Public Utility (PURPA), Pub. f. 9541%, 92 Stat 3117 of Consequently. FAX has added a new
Regulatory Policies Act of 1978. DOE Is seq. (14 U.S.C. 2601 et sig.). subsection (c) to 140.31 which
revising No program In order to (1) Energy April 2,1980, the Department of provides that, for to irposes of this
establish a procedure for evaluating, g(DOE) Issued a relics of program, "State" means a Stale, the
propofaIs to continue tasks for which proposed rulemaking and public hearing Diatrlct of Columbia, Puerto Rico, and
cooperative agreements were awarded flor The purpose of amending the any territory or possession of the Unh i
In opera cooperative
modify the uses eligible for Innovative Rates Program (43 FR 24092, States. With this amendment, all utilit,
funding, and (1) make other changes In AYrU 8 1960).1he public hearing rru ~gu(alory aukoytieg In the 6o States,
response to experience gained from cancelled due to a lack of written the District of Columbia, Puerto Rico,
DOE s operation of the program, requests to a aak. DOE received and and territories or possessions of the
DOFs Effective: tiny the program, consldered eight written comments on United Sines are eligible to recelve
Applications Effective:
under the .1080.Uve Rs[ee the proposed amendments, A number of fundirQ under the Innovative Rater
Pro am muss be n calved b We by commenters made n;:ggestions which "-amt.
& y have resulted In some changes in the
630 p.m., 9414 on The Au$ust 15 regulations Issued today, if. Teaks Elig/blolortlrnding-
ppreceding the fiscal year for which 1461.32 Two commenters
financlat assistance to sought, tndese n. Discussion of Comments and DOE recommended the addition of an
DOE establishes a different deaddne by Response additional task activity: to allow or
it notice published In the Federal- The following is a discussion of ew.wurags utllitlee to Finance
Register. comments received and DOE's response 'ionservation/load management
troll FURTHER 114roRMAYMM CONTACT: to these comments, no discussion is Investments as an alternative to
M. Larry Kaseman, Office of Uullty organized according to the sections of Investments in cenieal station
Ovstems, Economic Regulatory the regulations. generation. These investments would be
)minlstration, Department of A. Eligibility Requ'nements-1461,31, put of a comprehensive "least cost
,4rgy, 2000 M Street, NW" Room One commenter suggested that regulated strategy' for providing utility service
4306, Washington, D.C. 20401, (202) utilities be made eligible for funding and would rellae a number o critical
453-4008, under this program. Although 1401,31 of ratemaking Issues, Including the
Mary Ann Masterson, Office of the Subpart C was not proposed to be allocalJon for ralemaking purposes or
Assislsnt General Counsel for emended by the Notice of Proposed the coil of asststing customers to reduce
Conservation and Sitar Applications, Rulemaking issued on April 2, 12W, DOE consumption or shift a portion of their
Deppartment of Energy, James Forrestal has chosen to respond to this comment. load to off-peak periods. DOE agrees
82ding, Room fE-254, Wnhington. DOE dons not dispute the commenter', that me costs and benefits of utility
D.C. 203133, (202) 2624518, aueriior, !sat regulated utilities have Investments. In conservation, as
William 4 Webb, Office of Public made Important canlribullons to rate compared with Investments in j
Information, Economic Regu. S,ery innovations. However, DOE continues to additional geoereting capacity, are )
Administration, Department of believe [hat the purposes of this Important considerations in utility I
Enerol7!!, 2000 M Street, NW., Room B. program are most effectively served by plsaning and projections and that the '
110, W 6hington, D.C. 20481, (202) Limiting eligibility to those entitles lest cost approach has The potential of
having legal authority to get rate"late sssisting regulatory agencies and utility
bU►M,RMEUTARY IyfoRMATIOIL utility regulatory commissions,' managers in more'efficlently meeting
1.8ac4rcund' nonregulated electric utilities and the customer needs. Therefore, DOE hag
II. Discussion of Comments and DOE Tennessee Volsir ,Authority modified the r .,Ironed Allocation of
Response, ConOrvaUon Service Costa task in
A Ell~fbilliy order to give needed :.;,phoils to the
8,1 Is +dJfglblo for Funding,
Federal Roe let J Vol. 45 No. 136 / Monday, Jul 14, 1880 /Riles and Regulations 4731119
issue of conservationJload management program rule in response to this organizational lresources essential to
investment versus generation capacity comment,
Investment. It is DOE $ opinion that this C. proposal Requirements-1461'.33. Innovative raft reform. Fiflpb, the
modified If & beat describes the range Intent rfunds sfor the fDllh s of Mu finks are to bet largely applicable
of activitler r'levant to utility 2 yearn for to other regulatory authorities.
conservation efforts. performance award period of or to
a
Two commenters raised parallel new proposals. The commenters fell V order to be corer must for submit a
it
concerns about certain aspects of the DOE should not commit funds for a arsintsnce, a proposer mus
Innovative Rates Program leak period which exceeds the period of Prop~)sal In accordance with ~BL93.
activities. These issuer. and talk Congressional authorization and that The proposal Is to eonngtala a separate specific
responses, are summarized individually ability ormoni or the tasks effectively. ocilvil es tofbe undertaken for each
below.
The commenters slated that the DOE notes that agency funds from a segLt red task, In addreasin the
Innovative Rates Program, by funding given fiscal year may be obligated for eg4lrecaents for each tark,OE expects
prot the proposer to perform the gaper of
projects which are Intended to change projects which extend beyond the end of
policies t practices, is In that fiscal year. In addition, DOE does activities specified for the Individual
poectsng
ratemc1 with the tarot erattic process not believe that the 2 year furding of tasks In 1481.32, however, the activities
con lict with co The commenter talks will impede Its ability to monitor listed ere,not intended to be exhaustive. by . 1A
recommendcd that DOE require, as part performance of task activities. wring DOE the u will evaliteria inuate 461 46th proposal
of this program, that a rate Initiative not D. Lholuallon Criterio-1.181.34. No .34. There
be funded until a determination has comments were received regarding evaluation criteria focus on determining
been made as to its appropriateness in DOE'a proposed modifications to l e the quality
`ed app oath toipeyEof t ty the
meeting PURPA's objectives. DOE Holes evaluation
L Selectionlprocess-1481.35. No tick. Each proposed tas' will be
that nothing in the rule overrides
applicable Federal or State law, comments were received regarding evaluated separately and may receive a
including any requirements with re.pect aDOE's proposed modifications to the proposed maximum la srk 100 points. receiving an evalhowever, any
to the policies and procedures of Slate selection process. DOE did receive,
regulatory autisoritles. To the contrary, however, a number of questions score of less than 45 points will not be
many of the tasks ail gable for funding regarding the provision that no proposer considered for a cooperative yreemenl.
Include activities which involve public may receive funding for more then three DOE will utilize the evatualioa stores
participation in the ratemaking process tasks a1 the same time. This Umltalloa for the proposed talks as a moans of
anA,xmslderation of the PURPA spoiler to the lotai number of a selectiinngg on a competitive basis, those
ppaleppccssto and standards. DOE does not proposay's talks to be funded. including tasks tote funded1rl0E `RU~ip,~s~of
bellsve that requiring a PURPA 'tasks continued from the first year of the funding available,
consideration and determination program and new tasks to be funded ,k DO°E iaiicipa ea that for any given
Process for each retemoking W Native is Initially In 1900. opproximrtely $5.0 mAllon will be
necessary or advisab%,~ yen the scope III. The Final Regulations available for propoe.ls;botb
and var sly of thskr. ellglble for funding. Th a purpose of the Innovative Racer continuation and new, in Fiscal Year
The commenters alleged that some of 't'h Pro am Is tocticesb reform regulatory policies 1990.e 8ri proposed
the tasks funded in the first year of the and ra 6e development and o rule is adopted oo
program have resulted in unnecessarily P Y
redundant studies. DOE disagrees with implementation of Usnovelivs exapl for Lie modifiaatlonr described
this characterization. The projects ratemaking Initiatives. Since the purpose above. In rMitloll, it should be noted
funded under the prol ram are not of this program i. actually to terry out That "DOE Asslst..11ce Regulations" (10
experiments, research. or etudles. rather than s!;nply corsidee, regulatory CFR Part 900) aj5pltr to this Program
providprogram regulations
Rather, they involve local planning and ratemaking Wt1!lives ibl~E tends to ' ot cerptwhere
Implementation of discrete regulatory Innovative elec.rtc ratio, E
fund initiatives which trill sctusi.~•
appropria intended to yield focally-
appropriate ratemaking 'storms. Ina rshen8e elect,fc regutstosv ra{ema(tng IV, Other Mailers
~E has determined that this
given substantive area, DOE may decide policies of •?ractlces.
to fund more than one task because the no fiats covered by the Innovative rulemaking is stgnibcanl as that term is
subject Is both important and Complex. Rate P ngram share one or more of the vied in Executive Order 12044 and DOE
thereby meriting a variety of following key araclorlotici. First 2030, but Is not ilkoiy to have a
``ches acllvi tee undertaken en In in pert perlormirr trot rmpect as defined to these two
rocommenters. also assert that talk sm to resull In decisions by ter ) • 5:•r As. The rule is conslaered
ep9bea
certain of tha larks are not rate re form, proposer regarding the adoption of r stk;w.. Ant since R would provl 'e funds
per ace, and therefore exceed DOE's regulatory policy or practice. Soooo: d, in t4, -,ey out national energly legislation.
respect a iy to ts have
authority to fund regulatory role reform developing innovative rase, ki.I a are a maj lelIs considereJ not
initiatives as authorised by section 201 policies and practices,
4 of ECPA. to focus on p.vctiul, Immediate Issues incremental effect on the existing
It Is DOE's opinion that, while certain facad by regulatory authorities, regulatory environment, sInLe it would
of the looks eligible for funding may not Consequently, the activities are not to not impose a gross economical annual
be direct tale structure reforms, each of focus heavily on developing theoretical costof f10o million or more,, Is not likely
the tasks is likely to load to Innovative studies and models or Wdating large to Impose a major Increase In costs or
rate slructurtng. In addition, the tasks primary data rollece..on efforts. Third prices for Individual lnduse!rler, levels of
listed In 1461.32 ars necerssry and the performance of the activities is to gge~~,lo gogra of rghloh an
Important alsmonls in the development expand the proposer's areas of d
and adoption o! lorry refotmt. knowledge and level of expertise. adverse mps et on competition: Is not
Consequently, DO$ ` a 301 revised the Fourth, completed tasks are to result in likely to., have a substantial effect on any
47390 Federal Roesler Vol. 411, No. 19e / Monday, July 14, 19W Rules and Regulations
-
60ff v Identifying and documenting
of the 6jectives of notional energy PART 464-tINANCIAL ASSISTANCE ( )
procedures that can be used to conduct
Mn or energy statutes; end has viol PROGRAMS FOR STATE UTILITY electric load f,rearch studies; and
beeconsidered by the Secretary, RE4ULATORY COMMISSIONS ARO ro date guidelines
Deputy Secretary or Under Secretary as IEL1Gf8LE NONREGtILATEO ELECTRIC for the deals% operation, analysis,
likely to have a mayor impact for any UTILITIES documentation and reporting of utility
other reason. Accordingly, no regulatory Subpart C.Innovative Raise Program lc ad research studies.
analysis will be perfo-ned, (2) Soler Rate Initiative. Activites
In accordance wl1,6 6000n 404 of the 1461.30 Pul'ilm undertaken in performance of this task
Department of Energy Organization Act This subpart establishes a program of could Include:
(DUE Act) (Pub. 4 95-91, 42 US.C. 71(1 financial asslstAnce through cooperative (I Developing it solar electric rate
study to help design a rate structure for
et seq.), the Federal Energy Regulatory agreements with State utility regulatory
Commission received r, copy of tile comm(ssione, p^wegnlated electric electric consumtrs In the propose-'~ use proposed rule. On July 1, 5980, the FERC utilities and the
a neu;oi valley section sere systems oa existing el pelllem nta,~y
detemAned that the imposed Authority [N ss of this appliance and/or beating and cooling
regulations would no' signifienrMy Zo4(1)(B) off ECPA The tr'~
is to provide affect any firnction within to l~ l ill) Ion arsogr once to these entities forlplanning si(ll) Collecting and analysing
under section 41l(a)lt), (b) and carrying out electric utility appropriate data ((~~cluding weatnr,
the DOE Act reg lalory rate reform Iniustlves demographic, houdehold and load
(Energy Conservation and Production Act, releting 10 innovative rate structures characteristics to assess alternative.
pub. L %-wl, as amended by the Peblic that encourage conservation of energy, solar rats structures. Including t~ne•of-
Utiii,y igulatory PoUcies Act of 1976, Pub. L electric utility efficiency end reduced use electric rills structures; and
9; t~t7 (ta U B.C. 2001 of eeq 6 NPartmenl of eels and equitable rates to consumers. (Ili) Developing guidelines for
ratrgy OrgenlzaticA .%ct, Pub. L 93-91(42 establishing rates or electric consum era
UJl,C.71m of seq.). 1461AII y nft who use supplementary solo systems
to consideration of tha need to make (a) Cooperative agreements awarded on electric ,appliances and/or heating
continued financial assistance evallable under this subpart may be awarded only and cooling systems.
and to eosu" sufficient Ste for the to State ultl!ty regulatory commissions, (a) Rate Incentives for Oil
preparation and submission of financial aoaregulatt, t,elee-do utilities and TVA. Conservation. Activities undertaken in
(b A cooperative agreement may be perf&m&noe of t3fa task could include,
end-
astu to a eke e Gtis tis regulation good cause ) ini Dying oppo coi
exist, to mak t; "guletion effective ~ leied w{thl sa yet+s~ will be visa O all Identifying by substituting
011 July 14, etow, r a tether than r days P
d~eree{ter, as would otherwise be (c) with "sped to this subpart. selected non-0i1 generated elaelrie
required by the Administrative ''Stale' means a Stele, the District of buds, vdth particular stlent!on to span
Procedure Act Accordingly, these Columbia, Poetic Rico. slid any territory heating, water Seating, and
Of possession of the UrJted States. tra» sportauon;
h amendments shall be ehsctivs July 14, (u) IdenGfying rate incer+tives for
1900, ! M1 p Teekse!igtlsie 1oe41Mr~aq promoting such and-use fuel switching;
ration of the foregoing, (a) DOE may GW AIA cooperative (ill) Assessin; the rate base impacts of
Subpart rt C C o of Part 481 of Chapter :1. Is agreements for W tiaCves which may a successful 011 conservation imentivs
10 of Code of I'e east Regulations, V requl:e up to 2 years to complete, which tote;
amended as set forth bel2w. carry out the purpose of the pp am as (iv) Devalolft one or Wore oil
" latent
Issued to Wasbinglan D.C. on July 1. 1910, expressed in t1 461,x h"i and which conservation 'pos
Fusel l L L koll4ae, Perform lip to Uus~ o of the fotlowtng with the PURPA rate pwincen and
ratemaking tasks. standards; and
customer relations
Admin/sfrator, Economic Regulatory - (1) Estimating Consumer Load (v) Formula Val
Administradon %narecteristics. Activists undertaken In guidelines to t ilawed by the utility
Chapter It of Title 10, Code of Pedsral performance of this task could Include: in Worming its customera of The
Regulations, Part 461 Subpart C is (i) Identifying and wessirt9 existing advantages of such fuel switching, in
revised to read as fellows: approaches and methods In tthhe public 16, of the eppllcable incentive rate and
Sutapad C cloovadvs Rates prq.,n end private sectors that might be used the rotative costa and availability
within the pro poeor a sarvlts area(s) for outlook for oil.
Bee determining electric lead characteristics (O ?mil, ;,%cenuvea for Utility purpose 461,90 Debili and scope. by corsumer class; F1f~ciency A,,` Mies undertaken
In
461.61 Task eligible for (u) Developing end testing, without performs,,,:, s f this task could include:
461.3 Tofu re le for extensive date collection efforts of load (t) Identifying and assess(n& for
46133 Proposal requitoris, "search studies, Innovative methods of _ possible adoption by policies proposer,
ap clicaa vol 461.64 Etlecti ken cones. estimating consumer class load current regulat ptr
44136 fa wab txp eharaaterSatics; w71h respect io incentives for efflclent
te136 A9ocrwable rxpeadltum (III) Adopting one or more such electric utility resource uulisat(on,
by ins electric toed including such speck of utility
Asthortty: Energy Cr reservation and methods for atianat
t24apia a, , Policies Act characteristics, by consumer class, for operation as fuel use and powerpUnt
production Act. by the Ise Public 1o Uauq U Pub.
I- slectrie ratemak(ng purposss; avallabilily;
De 1676 9a!`.mPuant b. of f Energy 7 Oe (la g U B.C. *A 0009A at n Pubqk (iv) DeveloPto , as necessary, a model (d) Reviewing and sesessing
L 06-et (41 UJl.C. not of W rate pwvis,on w ich allows a residual 8Jternetiv4 resul+lorfyff ce lplroa .has At
charge cr credit to CAMpenate for MI t extee Uet the ant ercyin 5 oleic
inaccurate satimetta of iced; Wt
PetttleraI RerglaW / Vol. 43, No. 130 / Monday, July 14, 1980 / Rules and RtVlatlons 4%3"
rates of return and rr+trictioae on (f:) Developing and adopting standby before &10 P.M.
autometia e.d.t, on the Augurs 13
adjustment clauses; and emergency conservation rates- and preceding the fiscal year for which
(111( Develc~lrg and adopting (v) PormulaUon of currtomer relations financial assistance is sought, or such
regulatory gu deffines and relemaking guidelines to be followed by the utility other date u mat be established by
standards 10 increase the efficiency of in informing its customers about the DOE and pubs?shed in the Federal
electric utility operation. - need for, and apphcation of, the standby Reglsiei.
(5) Nondlscriminalo,y f ogeneralion emergency conservation rate, both (l) Each proposal mull Snclude-
Ratee, AetI Itles (Consistent with section routinely and upon activation of the (1) A brie[oposa m including a
210 of PURPA and the FERC regulations standby rate, summary of each of the tasks proposed
prcmuigated pursuant therelo) (7) Financing Energy Management lobe earrleJ tut with the financial
undertaken in performance of :his task Measures. Activities undertaken in assistance requested by the proposer,
could Include; performance of this task could include. (2) For furtditig under !I 461.32(bl, e
(I) Identifying and assessing for (1) Identifying, assessing, and separate Task Work Pion for each
possible adoption by the proposer, estimating the costs and benefits of end- proposed task lobe .ra'sied out by The
perthnmt regulstory policies and }ise energy management measures as proposer. Each Task Work Plan shall
practices for selling rates for electric aliernetives to central station not exceed 25 pages In length and shall
utility purchase of electric energy and/ generation; such measures could include Include-
or capacity from qualifying cogeneration weathetization, solar energy and (1) A brief statement of the specific
arsd small power production facilities, renewable resources, load management, objectives of the ta.k and an
(II) Identifying, tvaluating, and and small scale decentralized Identification of bow the objectives
selecting the Information, anatytical generation; relate to the proposer'e ongoing work
method(s), and procedures that might bet (11) Developing the analytical methods, and needs;
used by the proposer to establish procedures and data requirements (U) A description of the activities
appropriate rates for electric utilil needed to compare the marginal costs proposed to be undertaken In the
purchase of electrical energy and7cr and benefits of efternativa supply-side orlglnallyfunded proposal under this
capacity from qualifying cogeneration and demand•slde investments, with a program, a description of the activities
end small pourer production fecllides, key criterion being cosbminSmizallon In actually undertaken, and an
Emphasis might be given to the providing a given level of service, axplanalion, if appropriate, of the
appropriate methods for determining the (ill) Determining the most appropriate reasons why any proposed Actlvllics
cost the purchasing utility con avoid as method(s) of allocating energy ' were not undertaken.
a resch of obtaining electric energy and/ management costs for ralemaking (iii) A detailed Scope of Work
or capacity from the qualifying facilities; purposes, with particular attention to destTib[ng the activities to be
(IIiJ AJopting as s standai d, through the question of undue discrimination; undertaken to complete the task within
pubblie hearings on a case by use boils such methods may need to take Into the anticipated pe lod of time fot the
or through generic proceedings, one or account the difference between the proposed task, not to exceed 1 year,
more of the Identified methods and marginal and embedded coati of supply Including-
procedural processes for eatabllahing side options; A discuselon of how the activities 1
cogeneration rater, The standard should (Iv) Developing policy and procedural WT! ccomplish the objecil its of the
t.'entify the data required as well as guidelines for financlail energy task;
ref carting sod filing requirements; and mane imenl measures that reflect (B) A d ttaifed descrplion of each
(Iv) Documenting the method(s) consideration of end-use conservation, aclivih~
established for selling cogeneration utility efficiency, and equitable roles, as (C)) A.~atemer,t of anticipated
isles, model contractual agreements, well as attendant reliability and legal yrobtema issociated with carrying out
and provision of neces.ary issues. the activ1Iies;
orggrnizational resources and (a) Other Tasks, Other activities may (D) Ax Identification of
Information to assist potential facliltles be undertakei to plan and carry oat mothodologtnal Issues associated wish
In establishing sales agreements with electric utility regulatory rate reform the activitfe and
potential purchasers of electric power Wtiallves, relating to Innovative rife (E) An Identification of data
and/or capacity, structures, that carry out the purposes regiirements, sources, and availability
(61 Emergency Conservation Rates, expressed In 1461.30 and that will, or associated with the activities.
Activities undertaken In performanceof are likely to result In the adoption by the (Ivr A timetable by talendar month
this task could include: proposer of a reform in Its rolemakl showing the activities to be erformed
(i) identifying and assessing pertinent practices or policies. to comlete the task; P
regulatory policies and practices for (b) DOE may also award cooperative (v) A description of task management
establishing standby electric rates to agreements for the continuance of and admbristratlon, which Identifies the
Insure exceptional eenserv,ution during Inltlativts funded in Fiscal Year 1970 reeponsibillUes of key personnel and the
pedods of energy emergency, t under this subpart and which shay organlza'Jonal units ascgned to
(ii) Determining appropriate triggering require up to on additional year to underlal,s end complete the leek, and on
edterla for the activation of such comidete. Indication of any ;nefor changes from
standby emergency rates, with the year 1 proposal;
particular attention to the availability of 1461•32 Prop::al requksmar,ta
primary energy to the electric utility; (a) To be allglble to recelva a y A description of the experience of
(III) Identifies Con of the cost fact we cooperative stsl iemerst under &s identifies ono the percent t of time each
and usage characteristics essential to subpar,, a proposer mwu. submit to DOE will devote to the remainder of the task,
the design of reasonable standby a proposal an Standard Form 424 to be a, d an indication of any major changes
emergency conservation rates, including provided b DOE In conformity with from the year 1 proposal;
consideration of short-run marginal paragraph (b) of this section. This (vll) A c4A estimate by activity for the
costs and economic impact; proposal must be received by DOE on or remainder df the task;
47M recd" Register 1 Vol. 45, Nc. 136 / Monday, July 14, 11160 ~ Rules and Regulations kc
(VIII) A budget by coat aleoM for the cooperative agreement. The (A) Evidences on evaluation of the
remainder of the task, includlg the Management Plan must be submilW for proposYs current wganitation tvlth
amount requested of DOE, avid the total DOE review and approval. and the respect to Ito capability to carry out the
amount ertimcaed for each task for tiv rgclpienl may not proceed with the task; and
period of time to complete the proposO subsequent las1si antd the (B)170sbllshes clear organizational
la 3k; Management Plan to approved. resi,onslbdlilts for arryin cut the tusfi;
(3) For tasks eligi( o for funding under (6) identification of the person hr) The wen! to which the pproposer's
} 461.32(s), a separate Task Work Plan responsible for coordination and staff are r,ualifieA to perform. their
for each proposed task to be carried out management of the cooperative functions and will be Involved with the
by the proposer. Each Task Work Plan agreement, includiag the person's name, work performed by any consultants; and
shall not exceed 25 pages in less th and title, address, rind telephone numho.r. (ITil The extent to which the Teat
shall lnclud&- (7) Referenced apppondtces, including Work Man includ-s provisions for
(i) A brief statement of the bpecific any pertlaent legisistion and regulatory raking maximum use of present staff
objectives of the task and an orders which are cited in the proposal. card/or provide for training of staff in
Identification of how the nbjec:'ves order to Increase The proposer'a
rela?e to the proposer's ongoing work J4611.34 Evatustion crit". effectivtnees in carrying out the task.
and needs, (a) The following crilerie will be used (5) Tas { Dudger, 111 points maximu,n.
(T!) A detailed Scope of Work to evaluate each task for which finding The exteal to which the proposed
describing the activities to It under 14a1.32(b) Is sought. Task Work Plan contains evider-ce that
undertaken to complete the task wir:,in (1) Task Objectives. 6 points the amount of funds requested Id r
the anticipated period n.e for the maximum, reaNalically related to the activities.
,
proposed task, not to exr-e7 2 Years, (t) The extent to which the proposed especially in terms of achieving a.e
Including- task describes speci`ic objectives; and meted objectives. ,
(A) A discussion he activities (ii) The extent to which the proposed (a) performcnce to Dote. 25 points
will accomplish the !rbjectives of the task demonstrates that accomplishments maximum.
task; of the :ask will be applicable and unable (I)) The extent to which completed i
(B) A detailed description or each by other State u111itq regulatory perforraance under the test evidences
activity: commissions andlor nonrepl sted that adeque It progress In mettin$
(CIA statement of anticipated electric utilities. established goals and objectives ass
problems associated with carrying out (2) Task Work !Y)n. 33 polnta been achieved.
the activities: maximum. (tr) The extent to which the work
(D oAn idea tifi~uea aseoclaled with (T) The rctent to wldcir the activities performed (Task Work Plan) evidences
and objectives In the Task Work Plan effective u.e of personnel and budgetary
nr
the activities: and evidence Innovative. effective, and resource).
(E) An Identification of data tactical approaches to utility rate (b) The following criteria will be used
) alto% to evalus,e each proposed task for
requirements, soutces, and ovai'.abtlity practical
associated with the activities, r lQTh extent to which the activities which funding under ! 461,32(a)!s
(iii) A timetable by cele be pe month dear;dbed In the Task Work Plan ere sou fit.
showing the activities to erformed; clearly related to, and show promise of (I Took Objectives. 10 points
(iv) A description of task pk manegem~ at maximum,
and administration, which identifies The attaining, the objectives, (I) The axtent to which the proposed
responsibilities of key personnel and the (Iii) The extent to which activities In task describes specr,ic objectives: and r
organizational units assigned to the Task Work Plan are Integrated into a (H) The exterl to a-hish the proposed
undertake the task; reallrtic timetable: task demonstrates that accomplishments
(v) A description of the experience of (]v) The extent to which the, of the task will be applicable and usable. '
key personnel, Including an anticipated results. accomplishments b) other Etdte utility regulatory
Identification of the percent of time each and associated products (including commissions andjur nonregulated
will devote to the took' studies, procedures, guidelines and electric utilities. }
(vi) A cost estimate by activity for policy directives), are identified; (2) Took Work Plan. 45 points .4
each Issk: (v) The extent to which potential m`:,Xlmum.
(vii) A budget by cost category for problems and alternative coursed of (D Ti,e extent to which the activities
each task, including the amount action to resolve the problems are and nbjectives in the Task Work Plan
regjested of DOE, and the total amount identified and addressed. evidence innovative, effective and j
estimated for each task for the period of (3) Analytical and MethodolcViwl practical approaches to utility rate
tirre to l~omplet the propose.t task- Apprcoches for Task. 13 points regulation:
(4) An assure cca that [tuns.: toceived maximum, (ti) The extent to which the activities
by trra proposer ender this subpart will (:)The extent to which the evaluation described in the Task Work Plan are
be used in addition to, knd not In procedures to be used by the pi opowr in clearly related to. and show promise of
substitution for, funds made available to selecting the methodologies and policy alia'ning the objectives
The proposer from other goven,mentsl alternatives to be employed in the :ask {iii) The extent !o which activities It.
sources. are clearly described and are workable; the Task Work Plan are integrated into ■ t
(5) A eouvnltment to submit a Jill Tone extent to which the issues 186hille timetable;
Management Plan 00 days after receipt ssaoclaled with data requlrLments, (iv) The extent lu which the
of any cooppeerathe agreement under this sources, availability, costs; arA validity anllcfpated reoutU, sccomphshm;~nls i
aubparl. The Management Plan will set are clearly and adequately addressed. and associated products (Including 1
forth in detail th;I organizational. (4) Task ManagemenL to points studies, procedures, suldohnes and
budgetary, technical, and schedulingg maximum. policy directives). are Identified;
requirements nace oar/ for sucecasful lit The extent to which the staffing (v) The extent to w!tich potential
completion of each task covered In the plan, problems and alternative coerses of
1rg~daKa1 ReStoWT / Vol. 45, No. 138 / Monday, July 14, 1980 /Rules and Regulations 47V3
' action it, resolve the problems are (1) DOE shall evaluate each teak In
Wenufied and addressed, accordance with the criteria specified in
(3) Analytical and Methodological 1461.34(b). and shall give each a point
Approaches for Tosk. 25 points score according to these criteria.
(2) Any proposed task receiving a
msxSmum.
(t) The extent to which the evaluation potnl score or 45 points or less will not
procedures to be used by the proposer in a considered for a cooperative
aelacting the methodologies and policy agreement.
alternatives to be employed in the task (3, DOE shall rank All proposed tasks
are clearly described and are workable; in accordance ~laail select eifor r point sc the
(rq The extent to which the, testes proposed tasks in their order of ranking.
associated with data requirements,
sources, availability, casts, and validity until available funds for award ure
are clearly and adequately addressed. utilized, except thet no proposer may
(4) Task Hfonagement.10 points receive funding under this subpart for
maximum. more then three tasks at the same time.
(I) The extent to which the staffing (dl When determined to be necessary
plan: and apppropriate by DOE, DOE mey
(A) Evidences an evaluation of the negotiate with the proposer on Task
proposer's current organization with Work Plans and budgets for tasks, prior
resprect to its capability to carry out the to the award of a cooperative
r tasx: and agreement.
(B) Estatlirhes clear organizational #461.36 AltowsWe aRpendlturas.
responsi811iGea for carrying out fire lack Expenditures of funds provided under
t (li) The extent to which the proposers this subpart are subject to the following
staff are qualified to perform their limitations:
functions and will be involved with the (a Funds may not be used for the
work performed by any alnsuitants; and putt sae or ]told of non-office
(Ili) The extent to which the Task equipment.
Work Plan Includes provisions for (6l Funds may not be used for the off making maximum use of present at in pulzsq of data processing hardware.
and/or provide for training of staff in (c) Funds may not be subsUtuied for
or effectiveness r to inin care P g poout the ser's task funs mode available to The recipient
from otbe: governmental sotucea.
(5) BudSCf for 705-k- 10 Points (d) other limitations imposed by DOE
Ofaxlmum. pursuant to applicable statutes or
The extent to whirl, the proposed regulations, in order to ensure effective
Task Work Plan contains evidence that performance by die recipient under tt9
the amount of funds requested is cooperative agreement.
realistically related to the activitros, pa Dec so-so~ssu.a,_u aas~e,et
especially in larms of achieving the sauna pope 64041-M
stated objectives.
1461.96 Sol""n prooaaa.
The following evaluation and
selection process will be used to award
cooperative agreements to proposers.
(a) Any propvBeI I that does not includ9
Items required Sn { 461.33(8)(1) through
i 451.33(8)(7) will not be considered for
a cooperative agreement.
(b) DOE shall RrN select for funding
tasks proposed under Il 461.32(b). as
follows:
(1) DOE shell evaluate each tank in
accordance with the criteria apecifled In
1461-34(0), and shall give each a point
score socording to those criteria.
(2) Any task. receiving A score of 45
' points or loss will not be considered for
a cooperative agreement.
(3) Dob shell rrnk all larks in
accordance with their point scores.
(4) DOE shall fund the lcsks in their
order of ranking.
(c) DOE shall then select for funding
tasks proposed under 146122(00 es
follows:
APPENDIX P
Financial Reporting Forms
' ~ ~ Nwol+d h~Ifea M Wnapn+arA aM M01 M
REOUEST FOR ADVANCE
OR REIMBURSEMENT T4rz Y1w»
(gar fyt~rie NW&) 1CcaWt
C'ILptf.-f18hi a1 0/ 0016 lr.T• , ia: W stouclf'
e nos aL a1 N pus YrTa 1 w}IfFbG hyra(► A6UGMLD hUY6U FOR 1n11 alqulat
yy ►LGL AAI it ftc
IDOItI IMO UYILA n~ 0 is REQUEST
"no-if
wi -[~biw+il 7..i+•,
FEGI 7lrt d.Tr wT r ...I w. t+
W"m
Mw I/tr t
~ R.t I t.~. 7nin r
y r
1>). COMf ffAt*N OF AMOUNT OF "GMSUaSIEVINTS/ADVAIIC[S RLQUIWITO
POWK Il/FUNCTIONS/ACTIVITIES ► TOTAL
a. Toul Program a a teW1. t 10 6016 f f f f
to" Cumy41M ram W40114
L. Nat pogrom cifto (Low a w(aw
0. ::11741d not ash 0010ys for aMnea
ayrod
?del ISw wa btu11ld
f. fkn/adag+ Man sf angyrl(Nrn ana l
/WaISI [Mn N fineuM an I'M a
o. Fa/a7lDayr^arnsMMbrL yMaA
L removal Man Mu raplra01W (Lisa 1
wlnba tilt h br _
NAM" who lpwa[ a1 IMnl11
N by FWarol rants r
g6nry for raa 11 and l"d "OnM
. oy Praa(hWYIW ad.
aallcaa
3rd mono
`g. ALRAf in commit" F011 ADVANCCs ONLT
a. GAimatWFWanlNashertwyatMlt'nMn+ada/unrlgyaA00cewrWhlMadwnn f
b. Lan [at,mats. ba4nco ofFWanr ash vi MM as of bymning M adwnco pariW
I. Amount P"veaSW (LAN a IMRW bile b)
;g. "ItTIFICATION
MONA1ya10//yTllOa iota LIRtr711n10 p1tK~A1 belt alOVat
ayWifl[0
t WOlpfr that to 1M bW of my bno bdN '
1M b@W the do lo above arm torracf IAd
. .
TOW ON mlors rare made In 644wilana
Lath the Irarll w4ur4 M other yAa Tv►Fy Of MiM7 ,1 IMAM[ me tittl r Lr"041 'ASIA
p1r,ur6r■
fiMn[ IM lM1 paymaM h /W ant AN 01st `1 1 ti7• ON ff••
+ boaA pn7vwmlr n Qomod r
. r
Ts. a16M w aprMF was
,
tin w rAltaulo Fww M ".7•I
Ir.•r rgaa rt 00u M W mornal a" 11-00
M. o6. A•lla
A►rdtdd by OR.ta of Ironeetmaor and twd sl. No rl-40162
Wolterk fiesta
w N w tee..;««aa.naN N :►w w,
FEDERAL CASH TRANSACTIONS REPORT
(Sn inafril ions en the bark if report is for mute than owe Sant VT
aesis5..nrr agrremeelf, arterA completed Standard Form Elf-A.)
2. R(Ci PIENt ORGANIZATION a. raevrl era al M env rotwlr6p s. 4c.ev.rt becw+l aWeav so
lraa 4*N' itwlrb ~t sta~Mr
d'awr L tNIN of drdd stake Mrmool ""sew IWwatr
NrraiA -Gil f total Rltmber for thin period
a. raiMl YavtM7 tnedae M a. irgwq ehac4 rµarN rrbl;.r
Fail botowil
Cie . Starr 1Q. PERIOD COVEkED BY THIS REPORT _
afthir Coo, _ __..--..._._.....A
2. FFDERAL EMPLOYER FROM lwaarA, /ar, Me,) TO t«valJ, Gt Narr
iDENTIIfCAT10N NO ~
s. Casty vA hand beginning of re, vlawit perod f
b Letter of credit withdrawals
11• STATUS OF c. Treasury check payments -
FEDERAL d. Total receipts (SttAt of linteband r)
CASH L -Total cash Wadable (Stem o/ lints a andd)_,
ff. Gross disbursements
g. Federal there of program income
(See speri)Sc
inrtrueIionn
an IAe back) h. Net disbursements (Liar f minus line o)
I Adjustments of prior periods
t. Cash on hand and of period =
12. THE AMOUNT SHOWN 13. OTHER INFORMATION - -
ON LINE IIJ ABOVE. r_ -
REPRESENTS6ASH RE- a. Interest income ;
QQUIREMENTS fOR THE
ENSUING
Days rb,Advancostosubt[ranteesorsubcontractors ;
14. REMARKS (Attack additional ohetto of plain paper, if inert epaee is •tattired)
CERTIFICAI'i0N -
1 certify I SICNATUIIE OATS REPORT SVaMiTT[certify to the Dect of my ~r
knowfedge and belief that I AUTHORIZED
this report is true in all to
Spells and that all disburse CERTIFYING TYPED 00 PRINTED NAM[ AND WtIt
ments have been made for
the puma and tonddrons OFFICIAL
Of the At of aBrflminl a IAruLadr! ifiaaaerl IIFfIrYra}
Tl/E7NONt--_ - t
THIS SPACE FOR AGENCY USE i
172-101 `TANDARD 10 211M1►-71)
see ""W" V O~•M a a dngrmo one av0/tl
Cu, a
oEE , ~}t
p 9 ~ ~ (7J~ ii ye
i [{[p 11 { W Ml V
lit
r
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