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PORTFOLIO ANALYSIS AND MANAGEMENT SYSTEM (PAMS)

NOTICE TO USERS

This is a U.S. Government, Department of Energy (DOE) system and it is for the use of authorized users only. The system is to be used for official Government business pertaining to the inquiring, applying, and managing of proposals and awards. Unauthorized access or use of this system may subject violators to criminal, civil, and/or administrative action. It is protected by various provisions of Title 18, U.S. Code. Violations of Title 18 are subject to criminal prosecution in Federal court.

PRIVACY NOTICE

The system contains personal information protected under the provisions of the Privacy Act of 1974, 5 U.S.C. § 552(a), as amended. Violations of 5 U.S.C. § 552(a) may subject the offender to criminal penalties.

In the event it is suspected that you have not complied with these Rules of Behavior, your account will be frozen, you will be denied any access to the site, and criminal, civil, and/or administrative action may also be taken.

The Privacy Act generally prohibits government agencies from revealing personal information by any means of communication to any person without the prior written consent of the individual about whom the information pertains. DOE will maintain the confidentiality of the information, and will not further disseminate it except as needed for proposal and award administration or as authorized by 5 U.S.C. § 552(a)(b).

Section 641 of the Department of Energy Organization Act, codified at 42 U.S.C. § 7251, authorizes the DOE to collect, use, and retain information that is mandatory for the financial awards process. All information comes from proposals, reviews, and reports that are submitted to the DOE by authorized external users (i.e., scientists and research administrators).

Grant applications, contract proposals, technical reviews by peer reviewer, records of grant and contract awards, financial data, and any other pertinent information needed for the tracking or approval of a grant or contract is maintained to track and monitor the receipt, review, and disposition of grant applications and contract proposals from universities, non-profit organizations, large and small businesses, other Federal agencies, State and local governments, individuals, and DOE national laboratories seeking Federal financial support for research projects, training, and related activities. The system also tracks and monitors funding authorizations and associated financial data. A record from this system may be disclosed as a routine use to expert peer reviewers selected by the DOE Office of Science for their expertise in specific research areas to evaluate the proposal in accordance with established evaluation criteria. A record also may be disclosed as a routine use to a Principal Investigator, Sponsored Programs Office, Business Office, or similar element, via electronic media for the purpose of checking the status of its proposals that have been submitted to DOE for support.

This system is an interactive, web-based application that enforces edits and business rules that check for data completeness; therefore, individuals generally don’t get a choice to opt out of providing information necessary to the financial awards process. Failure to provide required documents such as preproposals, interagency proposals, DOE national laboratory proposals, reports, or minimal required registration information (e.g., name, contact information) can negatively affect eligibility for awards.

Reports about people, institutions, awards, and proposals can be produced for internal DOE use, e.g., evaluating and selecting applicants, determining funding for projects, and tracking awards and proposals. Only DOE employees and contractors who have a need to know based on their job responsibilities have access to these reports. Persons who are provided information in PAMS are subject to the same statutory criteria applicable to DOE employees under the Privacy Act.

RULES OF BEHAVIOR

1. I consent to having my activities on the system monitored and understand that if such monitoring reveals possible evidence of criminal activity, system personnel may provide the evidence obtained by such monitoring to law enforcement officials.
2. I will not make unauthorized attempts to view or change information, or otherwise cause damage to the system and system data. Unauthorized attempts to upload information, change or access information on this service are strictly prohibited and may be punishable under the Computer Fraud and Abuse Act of 1986.
3. Information I provide in the course of using this system, and activities I perform in this system, shall not be false, inaccurate or misleading; violate any law, statute, ordinance or regulation, contain any viruses or any malicious code that may damage, detrimentally interfere with, surreptitiously intercept, or expropriate any system, data, or personal information.
4. I agree to protect my access codes from disclosure.
5. I agree to report security incidents and vulnerabilities to the DOE.
6. I will comply with the provisions of copyrighted software by not infringing upon or compromising (copy, distribute, manipulate, etc.) software of this system.
7. I agree to use the PAMS system in accordance with the DOE’s policies and procedures.
8. I understand that all conditions and obligations imposed upon me by these rules apply during the time I am granted access to this system regardless of location.
9. I understand that the DOE reserves the right to terminate or suspend my access and use of PAMS, without notice, if there is a violation or suspected violation of these Rules of Behavior.

By participating as a reviewer, I am consenting to the above stipulations.

I acknowledge and understand my responsibilities and agree to comply with the rules of behavior for PAMS.

In addition, merit reviewers must agree to the following before they are provided access to an application:

U.S. DEPARTMENT OF ENERGY CONFLICT OF INTEREST AND CONFIDENTIALITY CERTIFICATE

Information on Conflict of Interest

This acknowledgment must be completed by individuals prior to receiving applications or other related information pertaining to, and participation in, the merit review process. The acknowledgment provides for each reviewer to understand conflict of interest and nondisclosure requirements associated with their participation in the merit review. Individuals with a conflict of interest or appearance thereof may not participate in the development, merit review, and/or peer review process unless DOE has decided that there is acceptable mitigation of the identified conflict. Further, individuals may not make unauthorized disclosures of information obtained during the Request for Application (RFA), peer review, or merit review process. For reviewers who are Federal employees, the conflict of interest statutes and regulations that apply in regular Government employment apply for participants in the review of an application or proposal.

In anticipation of my participating as a reviewer for the Department of Energy,

By participating as a reviewer, I acknowledge the following:

A. I understand that while performing development, merit review, and/or peer review services, I may obtain access to confidential or proprietary business, technical, or financial information belonging to the Government or other entities, including information relating to the submissions of applications, proposals, RFAs, and other information. 

B. I attest to the following:

(1) To the best of my knowledge and belief, no conflict of interest exists that may either:

(i)Result in my participation on a particular matter involving a solicitation, application or other related review, to which compliance with this document is required, that will have a direct and predictable effect upon my financial interest;

(ii)Diminish my capacity to impartially assist in (i); or

(iii)Result in a biased opinion or unfair advantage.       

Should any of the above circumstances become apparent during my review of any application while performing my duties for DOE, I shall immediately inform the RFA Manager/Merit Review Manager and/or the DOE Contracting Officer.

(2) I do hold personal interests that may give rise to an actual conflict of interest or create the appearance of a conflict of interest. If any of the entities that I hold an interest in apply to any solicitation, application or other proposal (or this is a peer review) where I will be a reviewer or have any other involvement, I will immediately inform the RFA Manager/Merit Review Manager and/or the DOE Contracting Officer and will not engage further in any part of financial assistance process  until otherwise directed.

C. In making the above statement, I have considered all the following factors that might place me in a position of conflict, real or apparent, regarding solicitation or peer review information:

(1) All my stocks, bonds, other outstanding financial interests or commitments;

(2) All my employment arrangements (past, present, and under consideration);

(3) All financial interests and employment arrangements of my spouse, minor children, and other members of my immediate household as well as my general partners, or any organization in which I serve as an officer, director, or trustee, or with whom I am negotiating for employment; and

(4) Any examples of relationships that might create an appearance of a conflict regarding this review that DOE has provided to me.

(5) Affiliation with an applicant institution.

• Current employment at the institution as member of the scientific staff, professor, adjunct professor, visiting professor, or similar position.
• Current employment or are being considered for employment at the institution.
• Any formal or informal re-employment arrangement with the institution.
• Current membership on a visiting committee or similar body at the institution.
• Ownership of the institution’s securities or other evidences of debt.
• Any office, governing board membership, or relevant committee chairpersonship in the institution.
• Current enrollment as a student.
• Received and retained an honorarium or award from the institution within the last 12 months.

(6) Relationships with an investigator, project director, or other person who has a personal interest in the proposal or other application.

• Known family or marriage relationship.
• Business or professional partnership.
• Employment at the same institution within the last 12 months.
• Past or present association as thesis advisor or thesis student.
• Past or present association as postdoctoral advisor or postdoc.
• Collaboration on a project or on a book, article, report, or paper within the last 4 years. (If publication with more than ten authors are the norm for your scientific field, only relationships with individuals in the core group with whom you interacted on a regular basis while the research was being done are covered.)

(7)Other affiliations or relationships.

• Interests of the following persons are to be treated as if they were yours: any affiliation or relationship of your spouse, of your minor child, or a relative living in your immediate household or of anyone who is legally your partner that you are aware of and that would be covered above.
• Any other relationship, such as close personal friendship, that you think might tend to affect your judgments or be seen as doing so by a reasonable person familiar with the relationship.

D. I have a continuing obligation to disclose any circumstance that may create an actual or apparent conflict of interest. If I learn of any such conflict, I will report it immediately to RFA Manager/Merit Review Manager and/or the DOE Contracting Officer. I will not perform any duties related to a particular review until I receive instructions on the matter.

E. I acknowledge that participation in this development, merit review, and/or peer review may impact my ability, the ability of those with whom I have a business arrangement, and those with whom my family members have a business relationship from participating in opportunities related to the subject matter of my participation.. 

F. I agree to treat this information as proprietary and confidential and comply with agency procedures for the protection of such information (including electronic information) and use my best efforts to safeguard such information. I will not disclose the contents of, nor release any such information to anyone either during or after the review evaluation other than:

(1)To individuals within the review process that are directly concerned with the performance of this effort and who have executed this Conflict of Interest and Nondisclosure Acknowledgment;

(2)To other individuals designated by the DOE Contracting Officer or Federal Merit Review Manager; or

(3)As required by law or pursuant to an order from a court of competent jurisdiction.

G. I shall not accept any invitations or gratuities (i.e., meals, gifts, favors, etc.) from any applicant regardless of whether there is an applicable exception set forth in the Standards of Ethical Conduct for Employees of the Executive Branch. If I am offered any invitations, gratuities, or job offers by or on behalf of any applicant, I will immediately report to the Contracting Officer or Federal Merit Review Manager.

H. Whenever DOE furnishes any solicitation or peer review information to me, I, the reviewer, agree to use such information only for the purpose of conducting the review and to treat the information obtained in confidence. Further, I will not use such information for my own private gain or the private gain of others. This requirement for confidential treatment applies to information obtained from any source, including the submitter, without restriction. Any notice of restriction placed on such information by either DOE or the submitter of the information shall be conspicuously affixed to any reproduction or abstract thereof and its provisions strictly complied with. Upon completion of my duties, I will return all copies to the DOE office that initially furnished such information, or I will destroy the files (paper and electronic) and certify to the Contracting Officer or Federal Merit Review Manager that I have done so.

I. These provisions are consistent with and do not supersede, conflict with, or otherwise alter my obligations, rights, or liabilities created by existing statute or Executive order relating to (1) classified information, (2) communications to Congress, (3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety, or (4) any other whistleblower protection. The definitions, requirements, obligations, rights, sanctions, and liabilities created by controlling Executive orders and statutory provisions are incorporated into this agreement and are controlling.

J. In executing this acknowledgment, I agree to comply with all applicable laws, rules, and regulations that apply to my participation in this DOE activity. I understand that any action I take which violates any applicable law, rule, or regulation could subject me to criminal liability, civil liability, and or suspension and debarment or other administrative penalty.

Information on Confidentiality

The DOE receives proposals in confidence and protects the confidentiality of their contents. For this reason, you must not copy, quote from, or otherwise use or disclose to anyone, including your graduate students or postdoctoral or research associates, any material from any proposal you are asked to review. When you have completed your review, please be certain to destroy the paper copy of the proposal and/or delete any electronic correspondence or files related to the proposal.

The DOE keeps reviews and your identity as a reviewer of specific proposals confidential to the maximum extent possible, except that we may send to Principal Investigators (PIs) the reviews of their own proposals without reviewer names and affiliations. In addition, selected proposals and peer reviews, including reviewer names and affiliations, may be shared with an outside Committee of Visitors established to assess the quality of the peer review process. Members of COVs sign confidentiality agreements before participating and are not given access to reviews of their own proposals, of proposals in which they collaborated or participated, or of proposals from their institution. Please respect the confidentiality of all PIs and of other reviewers. Do not disclose their identities, the content of discussions in a merit review panel, or other details about the merit review of proposals. Please remember that the contents of the proposal are legally proprietary information of the author and his/her institution and should not be used outside the context of proposal evaluation.

Certification

The certification below must be completed by individuals prior to their participation in the merit review process.

1. I will not participate in the review of any proposal involving a particular matter that would have a direct and predictable effect on any person, company or organization with which I have a relationship, financial or otherwise. For purposes of this statement, the interests of my spouse, my minor child, my general partner, any organization in which I serve as officer, director, trustee, general partner, or employee, and any person or organization with whom I am negotiating employment, are attributed to me.
2. Further I will not participate in the review of any proposal involving a particular person or a particular matter that I believe would cause a reasonable person with knowledge of the relevant facts to question my impartiality.
3. Prior to my participation as a merit reviewer, I will disclose any actual or perceived conflicts of interest that I may have with such duties. In addition, I agree to disclose any actual or perceived conflicts of interest as soon as I am aware of the conflict.

By proceeding with this review, you are certifying that you have read and acknowledge the above outlined the comprehensive Conflict of Interest and Confidentiality Agreement. If you DO have a conflict of interest, please return to your review task and declare the conflict by selecting the “Additional” tab in the “Resources” section and follow the “Conflict of Interest” link.