§ 800.101 Application requirements. ( a ) Applications for loans shall be filed, one original and three copies with: Department of Energy, Washington, DC 20585, Attention: Announcement No. DE-PS60-MI.
( b ) An application for a loan under this regulation must include the following information. Items described in paragraphs (b)(1) through (7) of this section may be submitted for preliminary review in advance of a specific loan request but must be updated at time of loan request to reflect substantial changes. ( 1 ) Applicant's name and address, with a description of the kind and size of its business, its business experience and its history as a minority business enterprise.
( 2 ) Financial statements of applicant and its principals, including source of revenue and balance sheets for the current year and, as to applicant, for the two preceding years of applicant's existence as a business entity. The Secretary may require applicant to provide certification by a public accountant, or other certification acceptable to the Secretary.
( 3 ) A description of any other Federal financial backing (direct loans, guaranteed loans, grants, etc.) applied for or obtained by the applicant within the previous five years, or expected to be applied for.
( 4 ) A description of applicant's management structure, with list of applicant's key persons with their responsibilities and qualifications. ( i ) In the case of a specific loan request this list should include any contractor or consultant whose services are proposed in connection with the bid or proposal for which the loan is sought.
( 5 ) Affidavit(s) of eligibility (see § 800.004).
( 6 ) Documentation as to applicant's authority to undertake the activities contemplated by the application. Such documentation shall take substantially the following form: ( i ) If the applicant is a corporation, a copy of the charter or certificate and articles of incorporation, with any amendments, duly certified by the Secretary of State of the State where organized, and a copy of the by-laws. There shall also be included a copy of all minutes, resolutions of stockholders or directors or other representatives of the applicant, properly attested, authorizing the filing of the application.
( ii ) If the applicant is an association, a verified copy of its articles of association, if any, with an attested copy of the resolution of its governing board, if any, authorizing the filing of the application.
( iii ) If the applicant is a business trust, a verified copy of the trust instrument and an attested copy of the resolution or other authority under which the application is made.
( iv ) If the applicant is a joint stock company, a verified copy of the articles of association and of the authorizing resolution.
( v ) If the application is made on behalf of a partnership, a copy of the partnership agreement, if any; if on behalf of a limited partnership, a duly certified copy, also, of the certificate of limited partnership, if such certificate is required to be obtained under state law governing such limited partnership.
( 7 ) Credit references.
( 8 ) Information on the award to be sought through the bid or proposal, as follows: ( i ) Title, and whether in response to a solicitation or unsolicited.
( ii ) Brief description of work to be performed.
( iii ) Sponsoring DOE office, including solicitation number, if any.
( iv ) If an unsolicited proposal is planned, the loan application shall indicate the appropriate DOE program personnel to be consulted as to whether there is potential for the proposal to be supported.
( v ) Schedule for preparation and submission of the bid or proposal.
( 9 ) Itemized cost estimates (and whether yet incurred).
( 10 ) The required loan amount, not to exceed 75 percent of total bid or proposal costs, in accordance with § 800.200 on allowable costs.
( 11 ) Requested loan maturity, in accordance with § 800.202(a)(3).
( 12 ) How applicant will finance performance of work under a successful bid or proposal.
( 13 ) Such other information as the Application Approving Official may deem necessary for evaluation in accordance with § 800.103 and for compliance with the provisions of this regulation.
( 14 ) The application shall be signed by the applicant or on behalf of the applicant by an authorized representative. Verification may be by affidavit of an authorized representative of an applicant; attestation shall be by the authorized officer of an applicant.
Note:
Title 18 United States Code, section 1001 provides criminal penalties for fraud and intentional false statements in information submitted in such an application.