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(2) Amounts becoming owed to the recipient for which no current services or performance is required by the recipient.

Acquisition cost of equipment means the net invoice price of the equipment, including the cost of modifications, attachments, accessories, or auxiliary apparatus necessary to make the property usable for the purpose for which it was acquired. Other charges, such as the cost of installation, transportation, taxes, duty or protective in-transit insurance, shall be included or excluded from the unit acquisition cost in accordance with the recipient's regular accounting practices.

Advance means a payment made by Treasury check or other appropriate payment mechanism to a recipient upon its request either before outlays are made by the recipient or through the use of predetermined payment schedules.

Award means financial assistance that provides support or stimulation to accomplish a public purpose. Awards include grants and other agreements in the form of money or property in lieu of money, by DOE to an eligible recipient. The term does not include: technical assistance, which provides services instead of money; other assistance in the form of loans, loan guarantees, interest subsidies, or insurance; direct payments of any kind to individuals; and, contracts which are required to be entered into and administered under procurement laws and regulations.

Cash contributions means the recipient's cash outlay, including the outlay of money contributed to the recipient by third parties.

Closeout means the process by which DOE determines that all applicable administrative actions and all required work of the award have been completed by the recipient and DOE.

Contract means a procurement contract under an award or subaward, and a procurement subcontract under a recipient's or subrecipient's contract.

Cost sharing or matching means that portion of project or program costs not borne by DOE.

Date of completion means the date on which all work under an award is completed or the date on the award document, or any supplement or amend

ment thereto, on which DOE sponsorship ends.

Disallowed costs means those charges to an award that the DOE determines to be unallowable, in accordance with the applicable Federal cost principles or other terms and conditions contained in the award.

Equipment means tangible nonexpendable personal property including exempt property charged directly to the award having a useful life of more than one year and an acquisition cost of $5000 or more per unit. However, consistent with recipient policy, lower limits may be established.

Excess property means property under the control of any Federal awarding agency that, as determined by the head thereof, is no longer required for its needs or the discharge of its responsibilities.

Exempt property means tangible personal property acquired in whole or in part with Federal funds, where the Federal awarding agency has statutory authority to vest title in the recipient without further obligation to the Federal Government. An example of exempt property authority is contained in the Federal Grant and Cooperative Agreement Act (31 U.S.C. 6306), for property acquired under an award to conduct basic or applied research by a non-profit institution of higher education or non-profit organization whose principal purpose is conducting scientific research.

Federal awarding agency means the Federal agency that provides an award to the recipient.

Federal funds authorized means the total amount of Federal funds obligated by the Federal Government for use by the recipient. This amount may include any authorized carryover of unobligated funds from prior funding periods when permitted by agency regulations or agency implementing instructions.

Federal share of real property, equipment, or supplies means that percentage of the property's acquisition costs and any improvement expenditures paid with Federal funds.

Funding period or budget period means the period of time when DOE funding is available for obligation by the recipi


Intangible property and debt instru- modities or items fabricated under an ments means, but is not limited to, award, license fees and royalties on trademarks, copyrights, patents and patents and copyrights, and interest on patent applications and such property loans made with award funds. Interest as loans, notes and other debt instru earned on advances of DOE funds is not ments, lease agreements, stock and

program income. Except as otherwise other instruments of property owner provided in this subpart, program reguship, whether considered tangible or in

lations, or the terms and conditions of tangible.

the award, program income does not Obligations means the amounts of or

include the receipt of principal on ders placed, contracts and grants

loans, rebates, credits, discounts, etc., awarded, services received and similar

or interest earned on any of them. transactions during a given period that

Project costs means all allowable require payment by the recipient during the same or a future period.

costs, as set forth in the applicable Outlays or expenditures means charges

Federal cost principles, incurred by a made to the project or program. They

recipient and the value of the contribu

tions made by third parties in accommay be reported on a cash or accrual basis. For reports prepared on a cash

plishing the objectives of the award basis, outlays are the sum of cash dis

during the project period. bursements for direct charges for goods

Project period means the period estaband services, the amount of indirect ex

lished in the award document during pense charged, the value of third party

which DOE sponsorship begins and in-kind contributions applied and the ends. amount of cash advances and payments Property means, unless otherwise made to subrecipients. For reports pre stated, real property, equipment, inpared on an accrual basis, outlays are tangible property and debt instruthe sum of cash disbursements for di ments. rect charges for goods and services, the Real property means land, including amount of indirect expense incurred, land improvements, structures and apthe value of in-kind contributions ap

purtenances thereto, but excludes movplied, and the net increase (or de

able machinery and equipment. crease) in the amounts owed by the re

Recipient means an organization recipient for goods and other property re

ceiving financial assistance directly ceived, for services performed by em

from DOE to carry out a project or proployees, contractors, subrecipients and other payees and other amounts be

gram. The term includes public and

private institutions of higher educoming owed under programs for which no current services or performance are

cation, public and private hospitals,

and other quasi-public and private nonrequired. Personal property means property of

profit organizations such as, but not any kind except real property. It may

limited to, community action agencies, be tangible, having physical existence,

research institutes, educational assoor intangible, having no physical exist

ciations, and health centers. The term ence, such as copyrights, patents, or

shall include commercial organizations securities.

which are recipients, subrecipients, or Prior approval means written ap

contractors or subcontractors of recipiproval by a contracting officer evidenc ents or subrecipients. The term does ing prior consent.

not include government-owned conProgram income means gross income

tractor-operated facilities or research earned by the recipient that is directly centers providing continued support for generated by a supported activity or

mission-oriented, large-scale programs earned as a result of the award (see ex that are government-owned or conclusions in $8600.124 (e) and (h)). Pro trolled, or are designated as federallygram income includes, but is not lim funded research and development cenited to, income from fees for services ters. performed, the use or rental of real or Research and development means all personal property acquired under feder research activities, both basic and apally-funded projects, the sale of com- plied, 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
U.S.C. 403(11) (currently $25,000).
Subaward means an award of finan-

reports prepared on a cash basis, means

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 subrecipient or by à subrecipient to a

penditure basis, they represent the

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 the agreement is called a contract, but

Unobligated balance means the por

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

cumulative funds authorized. Subrecipient means the legal entity to 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.

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$ 600.103 Deviations.

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

Government. apply to this subpart.

(b) Public Notice and Priority Set

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 complete to 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 8 600.110 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

rule or the solicitation. If a solicitapre-award matters to be used in applying 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 Agreements, and Contracts. In each in

provided relates to the objectives of

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 tory 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

in the format or on the forms author- clares that the metric system is the ized by paragraphs (a) and (b) of this preferred measurement system for U.S. section.

trade and commerce. The Act requires [59 FR 53266, Oct. 21, 1994, as amended at 61

each Federal agency to establish a date FR 7165, Feb. 26, 1996]

or dates in consultation with the Sec

retary of Commerce, when the metric $ 600.113 Debarment and suspension. system of measurement will be used in

Recipients shall comply with the the agency's procurements, grants, and nonprocurement debarment and sus

other business-related activities. Metpension common rule implementing

ric implementation may take longer E.O.'s 12549 and 12689, “Debarment and where the use of the system is initially Suspension," 10 CFR part 1036. This impractical or likely to cause significommon rule restricts subawards and cant inefficiencies in the accomplishcontracts with certain parties that are ment of federally-funded activities. debarred, suspended or otherwise ex DOE will follow the provisions of E.O. cluded from or ineligible for participa- 12770, "Metric Usage in Federal Govtion in Federal assistance programs or ernment Programs." activities.

$ 600.116 Resource Conservation and $600.114 Special award conditions.

Recovery Act. (a) If an applicant or recipient has a Under the Act (Pub. L. 94-580 codified history of poor performance, is not fi at 42 U.S.C. 6962), any State agency or nancially stable, has a management agency of a political subdivision of a system that does not meet the stand

State which is using appropriated Fedards prescribed in this subpart, has not eral funds must comply with section conformed to the terms and conditions

6002. Section 6002 requires that prefof a previous award, or is not otherwise

erence be given in procurement proresponsible, DOE may impose addi

grams to the purchase of specific prodtional requirements as needed, without

ucts containing recycled materials regard to the deviation provisions of

identified in guidelines developed by $600.4. Such applicant or recipient will

the Environmental Protection Agency be notified in writing as to the nature

(EPA) (40 CFR parts 247–254). Accordof the additional requirements, the rea

ingly, State and local institutions of son why the additional requirements higher education, hospitals, and nonare being imposed, the nature of the

profit organizations that receive direct corrective action needed, and the time

Federal awards or other Federal funds allowed for completing the corrective actions. Reconsideration of the addi

shall give preference in their procuretional requirements may be requested

ment programs funded with Federal at any time. Any special conditions

funds to the purchase of recycled prodshall be promptly removed once the

ucts pursuant to the EPA guidelines. conditions that prompted them have

8 600.117 Certifications and represenbeen corrected.

tations. (b) A recipient may place a special restrictive condition, as specified in

Unless prohibited by statute or codiparagraph (a) of this section, in a fied regulation, each Federal awarding subaward. In any such case, the recipi agency is authorized and encouraged to ent must notify DOE in writing within allow recipients to submit certifi15 days of the subaward. DOE shall de cations and representations required cide whether to notify OMB and other by statute, executive order, or regulainterested parties.

tion on an annual basis, if the recipi

ents have ongoing and continuing rela8600.115 Metric system of measure tionships with the agency. Annual cerment.

tifications and representations shall be The Metric Conversion Act, signed by responsible officials with the amended by the Omnibus Trade and authority to ensure recipients' compliCompetitiveness Act (15 U.S.C. 205) de ance with the pertinent requirements.


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