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be established and the recipient has no cies. If the equipment is owned by the
ment standards for equipment acquired
with Federal funds and federally-owned $ 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 inventory, verify the existence, current utilization, and continued need for the equipment.
(4) A control system shall be in effect to insure adequate safeguards to prevent loss, damage, or theft of the equipment. Any loss, damage, or theft of equipment shall be investigated and fully documented; if the equipment was owned by the Federal Government, the recipient shall promptly notify DOE.
(5) Adequate maintenance procedures shall be implemented to keep the equipment in good condition.
(6) Where the recipient is authorized or required to sell the equipment, proper sales procedures shall be established which provide for competition to the extent practicable and result in the highest possible return.
(g) When the recipient no longer needs the equipment, the equipment may be used for other activities in accordance with the following standards. Equipment with a current per-unit fair market value of less than $5000 may be retained, sold or otherwise disposed of with no further obligation to the awarding agency. For equipment with a current per unit fair market value of $5000 or more, the recipient may retain the equipment for other uses provided that compensation is made to the original Federal awarding agency or its successor. The amount of compensation shall be computed by applying the percentage of Federal participation in the cost of the original project or program to the current fair market value of the equipment. If the recipient has no need for the equipment, the recipient shall request disposition instructions from DOE. DOE shall determine whether the equipment can be used to meet DOE's requirements. If no requirement exists within DOE, the availability of the equipment shall be reported to the General Services Administration by DOE to determine whether a requirement for the equipment exists in other Federal agencies. DOE will issue instructions to the recipient no later than 120 calendar days after the recipient's request and the following procedures shall govern.
(1) If so instructed or if disposition instructions are not issued within 120 calendar days after the recipient's re
quest, the recipient shall sell the equipment and reimburse DOE amount computed by applying to the sales proceeds the percentage of Federal participation in the cost of the original project or program. However, the recipient shall be permitted to deduct and retain from the Federal share $500 or ten percent of the proceeds, whichever is less, for the recipient's selling and handling expenses.
(2) If the recipient is instructed to ship the equipment elsewhere, the recipient shall be reimbursed by the Federal Government by an amount which is computed by applying the percentage of the recipient's participation in the cost of the original project or program to the current fair market value of the equipment, plus any reasonable shipping or interim storage costs incurred.
(3) If the recipient is instructed to otherwise dispose of the equipment, the recipient shall be reimbursed by DOE for such costs incurred in its disposition.
(h) DOE reserves the right, at the end of a project, to transfer the title to the Federal Government or to a third party named by DOE when such third party is otherwise eligible under existing statutes. Such transfer shall be subject to the following standards.
(1) The equipment shall be appropriately identified in the award or otherwise made known to the recipient in writing.
(2) DOE shall issue disposition instructions within 120 calendar days after receipt of a final inventory. The final inventory shall list all equipment acquired with award funds and federally-owned equipment. If DOE fails to issue disposition instructions within the 120 calendar day period, the provisions of 8600.134(g)(1) apply.
(3) When DOE exercises its right to take title, the equipment shall be subject to the provisions for federallyowned equipment. $ 600.135 Supplies and other expend
able property. (a) Title to supplies and other expendable property shall vest in the recipient upon acquisition. If there is a residual inventory of unused supplies exceeding $5000 in total aggregate value upon termination or completion of the project or program and the supplies are not needed for any other federally-sponsored project or program, the recipient shall retain the supplies for use on non-Federal sponsored activities or sell them, but shall, in either case, compensate the Federal Government for its share. The amount of compensation shall be computed in the same manner as for equipment.
(b) The recipient shall not use supplies acquired with Federal funds to provide services to non-Federal outside organizations for a fee that is less than private companies charge for equivalent services, unless specifically authorized by Federal statute as long as the Federal Government retains an interest in the supplies. $ 600.136 Intangible property.
(a) Recipients that are institutions of higher education, hospitals, and other non-profit organizations may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, under an award. DOE reserves a royalty-free, nonexclusive and irrevocable right to reproduce, publish or otherwise use the work for Federal purposes and to authorize others to do so.
(b) In addition to this section, recipients must follow the requirements set forth at 10 CFR 600.27.
(c) The DOE has the right to:
(1) Obtain, reproduce, publish or otherwise use the data first produced under an award; and
(2) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes.
(d)(1) In addition, in response to a Freedom of Information Act (FOIA) request for research data relating to published research findings produced under an award that were used by the Federal Government in developing an agency action that has the force and effect of law, the DOE shall request, and the recipient shall provide, within a reasonable time, the research data so that they can be made available to the public through the procedures established under the FOIA. If the DOE obtains the research data solely in response to a FOIA request, the agency may charge the requester a reasonable fee equaling
the full incremental cost of obtaining the research data. This fee should reflect costs incurred by the agency, the recipient, and applicable subrecipients. This fee is in addition to any fees the agency may assess under the FOIA (5 U.S.C. 552(a)(4)(A)).
(2) The following definitions apply for purposes of this paragraph (d):
(i) Research data is defined as the recorded factual material commonly accepted in the scientific community as necessary to validate research findings, but not any of the following: preliminary analyses, drafts of scientific papers, plans for future research, peer reviews, or communications with colleagues. This “recorded” material excludes physical objects (e.g., laboratory samples). Research data also do not include:
(A) Trade secrets, commercial information, materials necessary to be held confidential by a researcher until they are published, or similar information which is protected under law; and
(B) Personnel and medical information and similar information the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, such as information that could be used to identify a particular person in a research study.
(ii) Published is defined as either when:
(A) Research findings are published in a peer-reviewed scientific or technical journal; or
(B) A Federal agency publicly and officially cites the research findings in support of an agency action that has the force and effect of law.
(iii) Used by the Federal Government in developing an agency action that has the force and effect of law is defined as when an agency publicly and officially cites the research findings in support of an agency action that has the force and effect of law.
(3) This paragraph (d) applies only to recipients that are institutions of higher education, hospitals, and other nonprofit organizations.
(e) For recipients that are institutions of higher education, hospitals, and other non-profit organizations, title to intangible property and debt instruments acquired under an award or subaward vests upon acquisition in
the recipient. The recipient shall use that property for the originally-authorized purpose, and the recipient shall not encumber the property without approval of DOE. When no longer needed for the originally authorized purpose, disposition of the intangible property shall occur in accordance with the provisions of $ 600.134(g). [61 FR 7165, Feb. 26, 1996, as amended at 65 FR 14407, 14408, Mar. 16, 2000] $ 600.137 Property trust relationship.
Real property, equipment, intangible property and debt instruments that are acquired or improved with Federal funds shall be held in trust by the recipient as trustee for the beneficiaries of the project or program under which the property was acquired or improved. Recipients shall record liens or other appropriate notices of record to indicate that personal or real property has been acquired or improved with Federal funds and that use and disposition conditions apply to the property.
Procurement Standards $ 600.140 Purpose of procurement
standards. Sections 600.141 through 600.148 set forth standards for use by recipients in establishing procedures for the procurement of supplies and other expendable property, equipment, real property and other services with Federal funds. These standards are furnished to ensure that such materials and services are obtained in an effective manner and in compliance with the provisions of applicable Federal statutes and executive orders. No additional procurement standards or requirements shall be imposed by DOE upon recipients, unless specifically required by Federal statute or executive order or in accordance with the deviation procedures of $600.4. $ 600.141 Recipient responsibilities.
The standards contained in this section do not relieve the recipient of the contractual responsibilities arising under its contract(s). The recipient is the responsible authority, without recourse to DOE regarding the settlement and satisfaction of all contractual and administrative issues arising
out of procurements entered into in support of an award or other agreement. This includes disputes, claims, protests of award, source evaluation or other matters of a contractual nature. Matters concerning violation of statute are to be referred to such Federal, State or local authority as may have proper jurisdiction. $ 600.142 Codes of conduct.
The recipient shall maintain written standards of conduct governing the performance of its employees engaged in the award and administration of contracts. No employee, officer, or agent shall participate in the selection, award, or administration of a contract supported by Federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in the firm selected for an award. The officers, employees, and agents of the recipient shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, or parties to subagreements. However, recipients may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct shall provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the recipient. $ 600.143 Competition.
All procurement transactions shall be conducted in a manner to provide, to the maximum extent practical, open and free competition. The recipient shall be alert to organizational conflicts of interest as well as noncompetitive practices among contractors that may restrict or eliminate competition or otherwise restrain trade. In order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, invitations for bids and/or requests for proposals shall
be excluded from competing for such (b) Positive efforts shall be made by procurements. Awards shall be made to recipients to utilize small businesses, the bidder or offeror whose bid or offer minority-owned firms, and women's is responsive to the solicitation and is business enterprises, whenever posmost advantageous to the recipient, sible. Recipients of DOE awards shall price, quality and other factors consid take all of the following steps to furered. Solicitations shall clearly set ther this goal. forth all requirements that the bidder (1) Ensure that small businesses, mior offeror shall fulfill in order for the nority-owned firms, and women's busibid or offer to be evaluated by the re ness enterprises are used to the fullest cipient. Any and all bids or offers may extent practicable. be rejected when it is in the recipient's (2) Make information on forthcoming interest to do so.
opportunities available and arrange
time frames for purchases and con$ 600.144 Procurement procedures. tracts to encourage and facilitate par
(a) All recipients shall establish writ ticipation by small businesses, minorten procurement procedures. These ity-owned firms, and women's business procedures shall provide for, at a min enterprises. imum, that paragraphs (a)(1), (2) and (3) Consider in the contract process (3) of this section apply.
whether firms competing for larger (1) Recipients avoid purchasing un contracts intend to subcontract with necessary items.
small businesses, minority-owned (2) Where appropriate, an analysis is firms, and women's business entermade of lease and purchase alter prises. natives to determine which would be (4) Encourage contracting with conthe most economical and practical pro
sortiums of small businesses, minoritycurement.
owned firms and women's business en(3) Solicitations for goods and serv terprises when a contract is too large ices provide for all of the following. for one of these firms to handle individ
(i) A clear and accurate description ually. of the technical requirements for the (5) Use the services and assistance, as material, product or service to be pro appropriate, of such organizations as cured. In competitive procurements, the Small Business Administration and such a description shall not contain the Department of Commerce's Minorfeatures which unduly restrict com ity Business Development Agency in petition.
the solicitation and utilization of (ii) Requirements which the bidder/ small businesses, minority-owned firms offeror must fulfill and all other fac and women's business enterprises. tors to be used in evaluating bids or (c) The type of procuring instruments proposals.
used (e.g., fixed price contracts, cost (iii) A description, whenever prac reimbursable contracts, purchase orticable, of technical requirements in ders, and incentive contracts) shall be terms of functions to be performed or determined by the recipient but shall performance required, including the be appropriate for the particular prorange of acceptable characteristics or curement and for promoting the best minimum acceptable standards.
interest of the program or project in(iv) The specific features of "brand volved. The "cost-plus-a-percentage-ofname or equal” descriptions that bid cost" or "percentage of construction ders are required to meet when such cost" methods of contracting shall not items are included in the solicitation. be used.
(v) The acceptance, to the extent (d) Contracts shall be made only with practicable and economically feasible, responsible contractors who possess of products and services dimensioned in the potential ability to perform sucthe metric system of measurement. cessfully under the terms and condi
(vi) Preference, to the extent prac tions of the proposed procurement. ticable and economically feasible, for Consideration shall be given to such products and services that conserve matters as contractor integrity, record natural resources and protect the envi of past performance, financial and ronment and are energy efficient.
technical resources or accessibility to