Page images
PDF
EPUB

property owned by the recipient. Federally-owned property need not be insured unless required by the terms and conditions of the award.

$ 600.132 Real property.

Unless otherwise provided by statute or program regulations, the requirements concerning the use and disposition of real property acquired in whole or in part under awards are as follows.

(a) Title to real property shall vest in the recipient subject to the condition that the recipient shall use the real property for the authorized purpose of the project as long as it is needed and shall not encumber the property without approval of DOE.

(b) The recipient shall obtain written approval by DOE for the use of real property in other federally-sponsored projects when the recipient determines that the property is no longer needed for the purpose of the original project. Use in other projects shall be limited to those under federally-sponsored projects (i.e., awards) or programs that have purposes consistent with those authorized for support by DOE.

(c) When the real property is no longer needed as provided in paragraphs (a) and (b) of this section, the recipient shall request disposition in structions from DOE or its successor Federal awarding agency. DOE will give one or more of the following disposition instructions.

(1) The recipient may be permitted to retain title without further obligation to the Federal Government after it compensates the Federal Government for that percentage of the current fair market value of the property attributable to the Federal participation in the project.

(2) The recipient may be directed to sell the property under guidelines provided by DOE and pay the Federal Government for that percentage of the current fair market value of the property attributable to the Federal participation in the project (after deducting actual and reasonable selling and fix-up expenses, if any, from the sales proceeds). When the recipient is authorized or required to sell the property, proper sales procedures shall be established that provide for competition to

the extent practicable and result in the highest possible return.

(3) The recipient may be directed to transfer title to the property to the Federal Government or to an eligible third party provided that, in such cases, the recipient shall be entitled to compensation for its attributable percentage of the current fair market value of the property. 8 600.133 Federally-owned and exempt

property. (a) Federally-owned property.

(1) Title to federally-owned property remains vested in the Federal Government. Recipients shall submit annually an inventory listing of federally-owned property in their custody to DOE. Upon completion of the award or when the property is no longer needed, the recipient shall report the property to DOE for further Federal agency utilization.

(2) If DOE has no further need for the property, it shall be declared excess and reported to the General Services Administration, unless DOE has statutory authority to dispose of the property by alternative methods (e.g., the authority provided by the Federal Technology Transfer Act (15 U.S.C. 3710 (i)) to donate research equipment to educational and non-profit organizations in accordance with E.O. 12821, "Improving Mathematics and Science Education in Support of the National Education Goals.") Appropriate instructions shall be issued to the recipient by DOE.

(b) Exempt property. When statutory authority exists, DOE may vest title to property acquired with Federal funds in the recipient without further obligation to the Federal Government and under conditions DOE considers appropriate. For example, under 31 U.S.C. 6306, DOE may so vest title to tangible personal property under a grant or cooperative agreement for basic or applied research in a nonprofit institution of higher education or in a nonprofit organization whose primary purpose is conducting scientific research. Such property is "exempt property." Program regulations or the terms and conditions of award may establish provisions for vesting title to exempt property. Should such conditions not

be established and the recipient has no cies. If the equipment is owned by the need for the equipment, the recipient Federal Government, use on other acshall request disposition instructions tivities not sponsored by the Federal from DOE. If DOE does not issue dis- Government shall be permissible if auposition instructions within 120 cal- thorized by DOE. User charges shall be endar days of receipt of the request, treated as program income. title to the property shall vest in the (e) When acquiring replacement recipient without further obligation to equipment, the recipient may use the the Federal Government. If, at the end equipment to be replaced as trade-in or of the project, DOE fails to issue dis sell the equipment and use the proposition instructions within 120 cal- ceeds to offset the costs of the replaceendar days of the receipt of a final in- ment equipment subject to the apventory, title to the property shall vest proval of DOE. in the recipient without further obliga (f) The recipient's property managetion to the Federal Government.

ment standards for equipment acquired

with Federal funds and federally-owned 8 600.134 Equipment.

equipment shall include all of the fol(a) Title to equipment acquired by a lowing. recipient with Federal funds shall vest (1) Equipment records shall be mainin the recipient, subject to conditions tained accurately and shall include the of this section.

following information. (b) The recipient shall not use equip (i) A description of the equipment. ment acquired with Federal funds to (ii) Manufacturer's serial number, provide services to non-Federal outside model number, Federal stock number, organizations for a fee that is less than national stock number, or other identiprivate companies charge for equiva fication number. lent services, unless specifically au- (iii) Source of the equipment, includthorized by Federal statute, for as long ing the award number. as the Federal Government retains an (iv) Whether title vests in the recipiinterest in the equipment.

ent or the Federal Government. (c) The recipient shall use the equip (V) Acquisition date (or date rement in the project or program for ceived, if the equipment was furnished which it was acquired as long as need by the Federal Government) and cost. ed, whether or not the project or pro (vi) Information from which one can gram continues to be supported by Fed calculate the percentage of Federal eral funds and shall not encumber the participation in the cost of the equipproperty without approval of DOE. ment (not applicable to equipment furWhen no longer needed for the original nished by the Federal Government). project or program, the recipient shall (vii) Location and condition of the use the equipment in connection with equipment and the date the informaits other federally-sponsored activities, tion was reported. in the following order of priority:

(viii) Unit acquisition cost. (1) Activities sponsored by DOE, then (ix) Ultimate disposition data, in

(2) Activities sponsored by other Fed- cluding date of disposal and sales price eral agencies.

or the method used to determine cur(d) During the time that equipment rent fair market value where a recipiis used on the project or program for ent compensates DOE for its share. which it was acquired, the recipient (2) Equipment owned by the Federal shall make it available for use on other Government shall be identified to indiprojects or programs if such other use cate Federal ownership. will not interfere with the work on the (3) A physical inventory of equipment project or program for which the equip shall be taken and the results recment was originally acquired. First onciled with the equipment records at preference for such other use shall be least once every two years. Any difgiven to other projects or programs ferences between quantities detersponsored by DOE that financed the mined by the physical inspection and equipment; second preference shall be those shown in the accounting records given to projects or programs spon- shall be investigated to determine the sored by other Federal awarding agen- causes of the difference. The recipient shall, in connection with the inven- quest, the recipient shall sell the tory, verify the existence, current uti- equipment and reimburse DOE an lization, and continued need for the amount computed by applying to the equipment.

sales proceeds the percentage of Fed(4) A control system shall be in effect eral participation in the cost of the to insure adequate safeguards to pre- original project or program. However, vent loss, damage, or theft of the the recipient shall be permitted to deequipment. Any loss, damage, or theft duct and retain from the Federal share of equipment shall be investigated and $500 or ten percent of the proceeds, fully documented; if the equipment was whichever is less, for the recipient's owned by the Federal Government, the selling and handling expenses. recipient shall promptly notify DOE. (2) If the recipient is instructed to

(5) Adequate maintenance procedures ship the equipment elsewhere, the reshall be implemented to keep the cipient shall be reimbursed by the Fedequipment in good condition.

eral Government by an amount which (6) Where the recipient is authorized is computed by applying the percentor required to sell the equipment, prop age of the recipient's participation in er sales procedures shall be established the cost of the original project or prowhich provide for competition to the gram to the current fair market value extent practicable and result in the of the equipment, plus any reasonable highest possible return.

shipping or interim storage costs in(g) When the recipient no longer curred. Deeds the equipment, the equipment (3) If the recipient is instructed to may be used for other activities in ac- otherwise dispose of the equipment, the cordance with the following standards. recipient shall be reimbursed by DOE Equipment with a current per-unit fair for such costs incurred in its disposimarket value of less than $5000 may be tion. retained, sold or otherwise disposed of (h) DOE reserves the right, at the end with no further obligation to the of a project, to transfer the title to the awarding agency. For equipment with Federal Government or to a third party à current per unit fair market value of named by DOE when such third party $5000 or more, the recipient may retain is otherwise eligible under existing the equipment for other uses provided statutes. Such transfer shall be subject that compensation is made to the to the following standards. original Federal awarding agency or its (1) The equipment shall be approsuccessor. The amount of compensa- priately identified in the award or othtion shall be computed by applying the erwise made known to the recipient in percentage of Federal participation in writing. the cost of the original project or pro- (2) DOE shall issue disposition ingram to the current fair market value structions within 120 calendar days of the equipment. If the recipient has after receipt of a final inventory. The no need for the equipment, the recipi- final inventory shall list all equipment ent shall request disposition instruc acquired with award funds and federtions from DOE. DOE shall determine ally-owned equipment. If DOE fails to whether the equipment can be used to issue disposition instructions within meet DOE's requirements. If no re- the 120 calendar day period, the proviquirement exists within DOE, the sions of $ 600.134(g)(1) apply. availability of the equipment shall be (3) When DOE exercises its right to reported to the General Services Ad- take title, the equipment shall be subministration by DOE to determine ject to the provisions for federallywhether a requirement for the equip owned equipment. ment exists in other Federal agencies. DOE will issue instructions to the re- $ 600.135 Supplies and other expendcipient no later than 120 calendar days

able property. after the recipient's request and the (a) Title to supplies and other exfollowing procedures shall govern.

pendable property shall vest in the re(1) If so instructed or if disposition cipient upon acquisition. If there is a instructions are not issued within 120 residual inventory of unused supplies calendar days after the recipient's re- exceeding $5000 in total aggregate value upon termination or completion the full incremental cost of obtaining of the project or program and the sup- the research data. This fee should replies are not needed for any other fed- flect costs incurred by the agency, the erally-sponsored project or program, recipient, and applicable subrecipients. the recipient shall retain the supplies This fee is in addition to any fees the for use on non-Federal sponsored ac agency may assess under the FOIA (5 tivities or sell them, but shall, in ei- U.S.C. 552(a)(4)(A)). ther case, compensate the Federal Gov- (2) The following definitions apply ernment for its share. The amount of for purposes of this paragraph (d): compensation shall be computed in the (i) Research data is defined as the resame manner as for equipment.

corded factual material commonly ac(b) The recipient shall not use sup cepted in the scientific community as plies acquired with Federal funds to necessary to validate research findings. provide services to non-Federal outside but not any of the following: prelimiorganizations for a fee that is less than nary analyses, drafts of scientific paprivate companies charge for equiva pers, plans for future research, peer relent services, unless specifically au views, or communications with colthorized by Federal statute as long as leagues. This “recorded” material exthe Federal Government retains an in cludes physical objects (e.g., laboratory terest in the supplies.

samples). Research data also do not in

clude: $ 600.136 Intangible property.

(A) Trade secrets, commercial infor(a) Recipients that are institutions of mation, materials necessary to be held higher education, hospitals, and other confidential by a researcher until they non-profit organizations may copyright are published, or similar information any work that is subject to copyright which is protected under law, and and was developed, or for which owner (B) Personnel and medical informaship was purchased, under an award. tion and similar information the disDOE reserves a royalty-free, nonexclu closure of which would constitute a sive and irrevocable right to reproduce, clearly unwarranted invasion of perpublish or otherwise use the work for sonal privacy, such as information that Federal purposes and to authorize oth could be used to identify a particular ers to do so.

person in a research study. (b) In addition to this section, recipi- (ii) Published is defined as either ents must follow the requirements set when: forth at 10 CFR 600.27.

(A) Research findings are published (c) The DOE has the right to:

in a peer-reviewed scientific or tech(1) Obtain, reproduce, publish or oth- nical journal; or erwise use the data first produced (B) A Federal agency publicly and ofunder an award; and

ficially cites the research findings in (2) Authorize others to receive, repro- support of an agency action that has duce, publish, or otherwise use such the force and effect of law. data for Federal purposes.

(iii) Used by the Federal Government in (d)(1) In addition, in response to a developing an agency action that has the Freedom of Information Act (FOIA) re force and effect of law is defined as when quest for research data relating to pub an agency publicly and officially cites lished research findings produced under the research findings in support of an an award that were used by the Federal agency action that has the force and Government in developing an agency effect of law. action that has the force and effect of (3) This paragraph (d) applies only to law, the DOE shall request, and the re recipients that are institutions of highcipient shall provide, within a reason er education, hospitals, and other nonable time, the research data so that profit organizations. they can be made available to the pub (e) For recipients that are institulic through the procedures established tions of higher education, hospitals, under the FOIA. If the DOE obtains the and other non-profit organizations. research data solely in response to a title to intangible property and debt FOIA request, the agency may charge instruments acquired under an award the requester a reasonable fee equaling or subaward vests upon acquisition in

the recipient. The recipient shall use out of procurements entered into in that property for the originally-au- support of an award or other agreethorized purpose, and the recipient ment. This includes disputes, claims, shall not encumber the property with protests of award, source evaluation or out approval of DOE. When no longer other matters of a contractual nature. needed for the originally authorized Matters concerning violation of statute purpose, disposition of the intangible are to be referred to such Federal, property shall occur in accordance State or local authority as may have with the provisions of 8 600.134(g).

proper jurisdiction. [61 FR 7165, Feb. 26, 1996, as amended at 65

$ 600.142 Codes of conduct. FR 14407, 14408, Mar. 16, 2000)

The recipient shall maintain written $600.137 Property trust relationship. standards of conduct governing the Real property, equipment, intangible

performance of its employees engaged property and debt instruments that are

in the award and administration of acquired or improved with Federal

contracts. No employee, officer, or funds shall be held in trust by the re

agent shall participate in the selection, cipient as trustee for the beneficiaries

award, or administration of a contract of the project or program under which

supported by Federal funds if a real or the property was acquired or improved.

apparent conflict of interest would be Recipients shall record liens or other

involved. Such a conflict would arise appropriate notices of record to indi

when the employee, officer, or agent, cate that personal or real property has

any member of his or her immediate been acquired or improved with Fed

family, his or her partner, or an orgaeral funds and that use and disposition

nization which employs or is about to conditions apply to the property.

employ any of the parties indicated

herein, has a financial or other interest Procurement Standards

in the firm selected for an award. The

officers, employees, and agents of the $600.140 Purpose of procurement recipient shall neither solicit nor acstandards.

cept gratuities, favors, or anything of Sections 600.141 through 600.148 set monetary value from contractors, or forth standards for use by recipients in parties to subagreements. However, reestablishing procedures for the pro- cipients may set standards for situacurement of supplies and other expend- tions in which the financial interest is able property, equipment, real property not substantial or the gift is an unsoand other services with Federal funds. licited item of nominal value. The These standards are furnished to en- standards of conduct shall provide for sure that such materials and services disciplinary actions to be applied for are obtained in an effective manner violations of such standards by offiand in compliance with the provisions cers, employees, or agents of the reof applicable Federal statutes and ex- cipient. ecutive orders. No additional procurement standards or requirements shall $ 600.143 Competition. be imposed by DOE upon recipients, All procurement transactions shall unless specifically required by Federal be conducted in a manner to provide, statute or executive order or in accord- to the maximum extent practical, open ance with the deviation procedures of and free competition. The recipient $600.4.

shall be alert to organizational con

flicts of interest as well as noncompeti$600.141 Recipient responsibilities.

tive practices among contractors that The standards contained in this sec- may restrict or eliminate competition tion do not relieve the recipient of the or otherwise restrain trade. In order to contractual responsibilities arising ensure objective contractor performunder its contract(s). The recipient is ance and eliminate unfair competitive the responsible authority, without re- advantage, contractors that develop or course to DOE regarding the settle draft specifications, requirements, ment and satisfaction of all contrac- statements of work, invitations for tual and administrative issues arising bids and/or requests for proposals shall

« PreviousContinue »