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amount of cost sharing required for a particular project.

(c) Factors in addition to those specified in $ 600.123 or $600.224, which may be considered when negotiating cost sharing for research, development, and demonstration projects include the potential benefits to a recipient resulting from the project and the length of time before a project is likely to be commercially successful.

(3) Proposed costs must be analyzed in detail to ensure consistency with applicable cost principles.

(4) Budget categories are not stipulated in making an award. However, budgets are submitted by an applicant and reviewed for purposes of establishing the amount to be awarded.

(5) Payments must be made in the same manner as other financial assistance awards, except that when determined appropriate by the cognizant program official and contracting officer a lump sum payment may be made.

(6) Recipients must certify in writing to the contracting officer at the end of the project that the activity was completed or the level of effort was expended, however should the activity or effort not be carried out, the recipient would be expected to make appropriate reimbursements.

(7) Periodic reports may be established for each award so long as they are not more frequently than quarterly.

(8) Changes in principal investigator or project leader, scope of effort, or institution, must receive the prior approval of the Department.

Subpart B-Uniform Administrative

Requirements for Grants and Cooperative Agreements with Institutions of Higher Education, Hospitals, Other NonProfit Organizations and Commercial Organizations

SOURCE: 59 FR 53266, Oct. 21, 1994, unless otherwise noted.

GENERAL

$ 600.100 Purpose.

This subpart implements OMB Circular A-110 and establishes uniform administrative requirements for grants and agreements awarded to institutions of higher education, hospitals, and other non-profit and commercial organizations. It also establishes rules governing subawards to institutions of higher education, hospitals, and nonprofit and commercial organizations (including grants and cooperative agreements administered by State, local and Indian Tribal governments).

8 600.30 Cost sharing.

In addition to the requirements of $ 600.123 or $600.224, the following requirements apply to research, development, and demonstration projects:

(a) When DOE awards financial assistance for research, development, and demonstration projects where the primary purpose of the project is the ultimate commercialization and utilization of technology by the private sector and when there are reasonable expectations that the recipient will receive significant present or future economic benefits beyond the instant award as a result of the performance of the project, cost sharing shall be required. Unless the cost sharing is required by statute, a waiver of the requirement on a single-case or class basis may be approved by the cognizant Program Assistant Secretary or des ignee.

(b) Except as provided in section 3002 of the Energy Policy Act of 1992, 42 U.S.C. 13542, or program rule, DOE will decide, on a case-by-case basis, the

8600.101 Definitions.

Accrued expenditures means the charges incurred by the recipient during a given period requiring the provision of funds for:

(1) Goods and other tangible property received;

(2) Services performed by employees, contractors, subrecipients, and other payees; and,

(3) Other amounts becoming owed under programs for which no current services or performance is required.

Accrued income means the sum of:

(1) Earnings during a given period from services performed by the recipient, and goods and other tangible property delivered to purchasers, and

(2) Amounts becoming owed to the ment thereto, on which DOE sponsorrecipient for which no current services ship ends. or performance is required by the re- Disallowed costs means those charges cipient.

to an award that the DOE determines Acquisition cost of equipment means to be unallowable, in accordance with the net invoice price of the equipment, the applicable Federal cost principles including the cost of modifications, at or other terms and conditions contachments, accessories, or auxiliary tained in the award. apparatus necessary to make the prop- Equipment means tangible nonexpenderty usable for the purpose for which it able personal property including exwas acquired. Other charges, such as empt property charged directly to the the cost of installation, transportation, award having a useful life of more than taxes, duty or protective in-transit in one year and an acquisition cost of surance, shall be included or excluded $5000 or more per unit. However, confrom the unit acquisition cost in ac sistent with recipient policy, lower cordance with the recipient's regular limits may be established. accounting practices.

Ercess property means property under Advance means a payment made by the control of any Federal awarding Treasury check or other appropriate agency that, as determined by the head payment mechanism to a recipient thereof, is no longer required for its upon its request either before outlays needs or the discharge of its responare made by the recipient or through sibilities. the use of predetermined payment Exempt property means tangible perschedules.

sonal property acquired in whole or in Award means financial assistance part with Federal funds, where the that provides support or stimulation to Federal awarding agency has statutory accomplish a public purpose. Awards authority to vest title in the recipient include grants and other agreements in without further obligation to the Fedthe form of money or property in lieu eral Government. An example of exof money, by DOE to an eligible recipi- empt property authority is contained ent. The term does not include: tech in the Federal Grant and Cooperative nical assistance, which provides serv Agreement Act (31 U.S.C. 6306), for ices instead of money; other assistance property acquired under an award to in the form of loans, loan guarantees, conduct basic or applied research by a interest subsidies, or insurance; direct non-profit institution of higher edupayments of any kind to individuals; cation or non-profit organization and, contracts which are required to be whose principal purpose is conducting entered into and administered under scientific research. procurement laws and regulations.

Federal awarding agency means the Cash contributions means the recipi- Federal agency that provides an award ent's cash outlay, including the outlay to the recipient. of money contributed to the recipient Federal funds authorized means the by third parties.

total amount of Federal funds obliCloseout means the process by which gated by the Federal Government for DOE determines that all applicable ad use by the recipient. This amount may ministrative actions and all required include any authorized carryover of unwork of the award have been completed obligated funds from prior funding peby the recipient and DOE.

riods when permitted by agency regulaContract means a procurement con tions or agency implementing instructract under an award or subaward, and a procurement subcontract under a re Federal share of real property, equipcipient's or subrecipient's contract. ment, or supplies means that percent

Cost sharing or matching means that age of the property's acquisition costs portion of project or program costs not and any improvement expenditures borne by DOE.

paid with Federal funds. Date of completion means the date on Funding period or budget period means which all work under an award is com- the period of time when DOE funding is pleted or the date on the award docu- available for obligation by the recipiment, or any supplement or amend- ent.

tions.

Intangible property and debt instruments means, but is not limited to, trademarks, copyrights, patents and patent applications and such property as loans, notes and other debt instruments, lease agreements, stock and other instruments of property ownership, whether considered tangible or intangible.

Obligations means the amounts of orders placed, contracts and grants awarded, services received and similar transactions during a given period that require payment by the recipient during the same or a future period.

Outlays or expenditures means charges made to the project or program. They may be reported on a cash or accrual basis. For reports prepared on a cash basis, outlays are the sum of cash disbursements for direct charges for goods and services, the amount of indirect expense charged, the value of third party in-kind contributions applied and the amount of cash advances and payments made to subrecipients. For reports prepared on an accrual basis, outlays are the sum of cash disbursements for direct charges for goods and services, the amount of indirect expense incurred, the value of in-kind contributions applied, and the net increase (or decrease) in the amounts owed by the recipient for goods and other property received, for services performed by employees, contractors, subrecipients and other payees and other amounts becoming owed under programs for which no current services or performance are required.

Personal property means property of any kind except real property. It may be tangible, having physical existence, or intangible, having no physical existence, such as copyrights, patents, or securities.

Prior approval means written approval by a contracting officer evidencing prior consent.

Program income means gross income earned by the recipient that is directly generated by a supported activity or earned as a result of the award (see exclusions in $$ 600.124 (e) and (h)). Program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under federally-funded projects, the sale of com

modities or items fabricated under an award, license fees and royalties on patents and copyrights, and interest on loans made with award funds. Interest earned on advances of DOE funds is not program income. Except as otherwise provided in this subpart, program regulations, or the terms and conditions of the award, program income does not include the receipt of principal on loans, rebates, credits, discounts, etc., or interest earned on any of them.

Project costs means all allowable costs, as set forth in the applicable Federal cost principles, incurred by a recipient and the value of the contributions made by third parties in accomplishing the objectives of the award during the project period.

Project period means the period established in the award document during which DOE sponsorship begins and ends.

Property means, unless otherwise stated, real property, equipment, intangible property and debt instruments.

Real property means land, including land improvements, structures and appurtenances thereto, but excludes movable machinery and equipment.

Recipient means an organization receiving financial assistance directly from DOE to carry out a project or program. The term includes public and private institutions of higher education, public and private hospitals, and other quasi-public and private nonprofit organizations such as, but not limited to, community action agencies, research institutes, educational associations, and health centers. The term shall include commercial organizations which are recipients, subrecipients, or contractors or subcontractors of recipients or subrecipients. The term does not include government-owned contractor-operated facilities or research centers providing continued support for mission-oriented, large-scale programs that are government-owned or controlled, or are designated as federallyfunded research and development centers.

Research and development means all research activities, both basic and applied, and all development activities

that are supported at universities, col- rective action by the recipient or pendleges, and other non-profit institu- ing a decision to terminate the award tions. "Research" is defined as a sys- by the DOE. Suspension of an award is tematic study directed toward fuller a separate action from suspension scientific knowledge or understanding under DOE regulations implementing of the subject studied. “Development”. E.O.'s 12549 and 12689, “Debarment and is the systematic use of knowledge and Suspension” (see 10 CFR part 1036). understanding gained from research di Termination means the cancellation rected toward the production of useful of DOE sponsorship, in whole or in materials, devices, systems, or meth part, under an agreement at any time ods, including design and development

prior to the date of completion. of prototypes and processes. The term

Third party in-kind contributions research also includes activities in

means the value of non-cash contribuvolving the training of individuals in

tions provided by non-Federal third research techniques where such activi

parties. Third party in-kind contributies utilize the same facilities as other

tions may be in the form of real propresearch and development activities

erty, equipment, supplies and other exand where such activities are not in

pendable property, and the value of cluded in the instruction function.

goods and services directly benefiting Small award means a grant or cooper

and specifically identifiable to the ative agreement not exceeding the

project or program. small purchase threshold fixed at 41

Unliquidated obligations, for financial C.S.C. 403(11) (currently $25,000).

reports prepared on a cash basis, means Subaward means an award of finan

the amount of obligations incurred by cial assistance in the form of money, or

the recipient that have not been paid. property in lieu of money, made under

For reports prepared on an accrued exan award by a recipient to an eligible

penditure basis, they represent the subrecipient or by a subrecipient to a

amount of obligations incurred by the lower tier subrecipient. The term in

recipient for which an outlay has not cludes financial assistance when pro

been recorded. vided by any legal agreement, even if

Unobligated balance means the porthe agreement is called a contract, but

tion of the funds authorized by DOE does not include procurement of goods and services nor does it include any

that has not been obligated by the reform of assistance which is excluded

cipient and is determined by deducting from the definition of “award" above.

the cumulative obligations from the Subrecipient means the legal entity to

cumulative funds authorized. which a subaward is made and which is

Unrecovered indirect cost means the accountable to the recipient for the use

difference between the amount awarded of the funds provided. The term may

and the amount which could have been include foreign or international organi

awarded under the recipient's approved zations (such as agencies of the United

negotiated indirect cost rate. Nations).

Working capital advance means a proSupplies means all personal property

cedure whereby funds are advanced to excluding equipment, intangible prop

the recipient to cover its estimated erty, and debt instruments as defined

disbursement needs for a given initial in this section, and inventions of a con period. tractor conceived or first actually reduced to practice in the performance of

$ 600.102 Effect on other issuances. work under a funding agreement ("sub- For awards subject to this subpart, ject inventions"), as defined in 37 CFR all administrative requirements of part 401, “Rights to Inventions Made codified program regulations, program by Nonprofit Organizations and Small manuals, handbooks and other nonBusiness Firms Under Government regulatory materials which are inconGrants, Contracts, and Cooperative sistent with the requirements of this Agreements."

subpart shall be superseded, except to Suspension means an action by DOE the extent they are required by statthat temporarily withdraws DOE spon- ute, or authorized in accordance with sorship under an award, pending cor- the deviations provision in $ 600.4.

$ 600.103 Deviations.

direct benefit or use of the Federal The deviation provisions of $600.4

Government.

(b) Public Notice and Priority Setapply to this subpart.

ting. DOE will, whenever practical, no$ 600.104 Subawards.

tify the public of its intended funding Unless sections of this subpart spe

priorities for discretionary grant procifically exclude subrecipients from

grams, unless funding priorities are escoverage, all DOE recipients, including

tablished by Federal statute. State, local and Indian tribal governments, shall apply the provisions of

$ 600.112 Forms for applying for Fed

eral assistance. this subpart to subrecipients performing work under awards if such sub (a) General. An application for an recipients are institutions of higher award shall be on the form or in the education, hospitals, other non-profit format specified in a program rule, in organizations or commercial organiza- the solicitation, or in these regulations tions. Thus, this subpart is applicable (see $ 600.10). When the SF-424 form is to those types of organizations regard not used, DOE shall indicate whether less of the type of recipient receiving the application is subject to review by the primary award. State and local the State under E.O. 12372. DOE may government subrecipients are subject also require applicants to completeto the provisions of 10 CFR part 600,

(1) The Notice of Energy RD&D subpart C, “Uniform Administrative

Project (DOE Form 538) if the applicaRequirements for Grants and Coopera tion is for a research, development, or tive Agreements to State and Local

demonstration project; or Governments.”

(2) The Federal Assistance ManagePRE-AWARD REQUIREMENTS

ment Summary Report (DOE F 4600.5)

or the Federal Assistance Milestone $ 600.110 Purpose.

Plan (DOE F 4600.3) as a baseline plan Sections 600.111 through 600.117 pre

in accordance with the terms and con

ditions of award if required by program scribe forms and instructions and other pre-award matters to be used in apply

rule or the solicitation. If a solicitaing for DOE awards.

tion other than a program rule requires

the use of one or both of these forms, $ 600.111 Pre-award policies.

the solicitation shall contain an expla

nation of how the information to be (a) Use of Grants and Cooperative

provided relates to the objectives of Agreements, and Contracts. In each in

the program. stance, the DOE shall decide on the appropriate award instrument (i.e., grant,

(b) Budgetary information. DOE may cooperative agreement, or contract).

request and the applicant shall submit The Federal Grant and Cooperative

the minimum budgetary information Agreement Act (31 U.S.C. 6301-08) gov

necessary to evaluate the costs of the erns the use of grants, cooperative

proposed project. agreements and contracts. A grant or

(1) Applicants for research awards. cooperative agreement shall be used other than State, local, or Indian tribal only when the principal purpose of a

governments, will use DOE budget transaction is to accomplish a public forms ERF 4620.1 and ERF 4620.1A. All purpose of support or stimulation au other applicants shall use the budget thorized by Federal statute. The statu formats established in the solicitation

criterion for choosing between or program regulations. grants and cooperative agreements is (2) DOE may, subsequent to receipt of that for the latter, “substantial in an application, request additional involvement is expected between the ex formation from an applicant when nececutive agency and the State, local essary for clarification or to make ingovernment, or other recipient when formed preaward determinations. carrying out the activity contemplated (c) Continuation and renewal applicain the agreement." Contracts shall be tions. DOE may require that an appliused when the principal purpose is ac cation for a continuation or renewal quisition of property or services for the award (see $ 600.26 (b) and (c)) be made

tor

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