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date of the notice) by which they must (4) Instructions concerning which be taken.

costs shall be allowable during the pe(3) Which of the actions authorized riod of suspension, or instructions conunder 88600.122(n), 600.162(a) or cerning allowable termination costs, $ 600.243(a) of this part DOE may take if including in either case, instructions the recipient does not achieve compli concerning any subgrants or contracts; ance within the time specified in the (5) Instructions concerning required notice, or does not provide satisfactory final reports and other closeout actions assurances that actions have been ini for terminated awards (see $$ 600.170 tiated which will achieve compliance through 600.173 and $$ 600.250 through in a timely manner.

600.252); (b) DOE may take any of the actions (6) A statement of the awardee's set forth in $ 600.122(n), 9600.162(a), or right to appeal a termination for cause $ 600.243(a) of this part concurrent with pursuant to $ 600.22; and the written notice required under para (7) The dated signature of a DOE Congraph (a) of this section or with less tracting Officer. than 30 days written notice to the re (c) Suspension. (1) Unless DOE and the cipient whenever:

awardee agree otherwise, no period of (1) There is evidence the award was suspension shall exceed 90 days. obtained by fraud;

(2) DOE may cancel the suspension at (2) The recipient ceases to exist or any time, up to and including the date becomes legally incapable of per

of expiration of the period of suspenforming its responsibilities under the sion, if the awardee takes satisfactory financial assistance award; or

corrective action before the expiration (3) There is a serious mismanagement

date of the suspension or gives DOE or misuse of financial assistance award satisfactory evidence that such correcfunds necessitating immediate action.

tive action will be taken.

(3) If the suspension has not been (61 FR 7166, Feb. 26, 1996, as amended at 64

cancelled by the expiration date of the FR 56420, Oct. 20, 1999)

period of suspension, the awardee shall 8600.25 Suspension and termination.

resume the suspended activities or

project unless, prior to the expiration (a) Suspension and termination for

date, DOE notifies the awardee in writcause. DOE may suspend or terminate

ing that the period of suspension shall an award for cause on the basis of: be extended consistent with paragraph

(1) A noncompliance determination (C)(1) of this section or that the award under $8600.24, 600.122(n), 600.162(a), or shall be terminated. $600.243(a); or

(4) As of the effective date of the sus(2) An suspension or debarment of the

pension, DOE shall withhold further awardee under $ 600.23.

payments and shall allow new obliga(b) Notification requirements. Except as tions incurred by the awardee during provided in $600.24, 600.162(a), or the period of suspension only if such $ 600.243(a) before suspending or termi costs were authorized in the notice of nating a award for cause, DOE shall suspension or in a subsequent letter. mail to the awardee (by certified mail, (5) If the suspension is cancelled or return receipt requested) a separate expires and the award is not termiwritten notice in addition to that re nated, DOE shall reimburse the awardquired by $$ 600.24(a), 600.162(a), or ee for any authorized allowable costs $ 600.243(a) at least ten days prior to the incurred during the suspension and, if effective date of the suspension or ter necessary, may amend the award to exmination. Such notice shall include, as tend the period of performance. appropriate:

(d) Termination by mutual agreement. (1) The factual and legal bases for the In addition to any situation where a suspension or termination;

termination for cause pursuant to (2) The effective date or dates of the $8 600.24, 600.160 through 600.162 DOE action;

$$ 600.243 through 600.244 is appropriate, (3) If the action does not apply to the either DOE or the awardee may inientire award, a description of the ac tiate a termination of an award (or tivities affected by the action;

portion thereof) as described in this


paragraph. If the awardee initiates a termination, the awardee must notify DOE in writing and specify the awardee's reasons for requesting the termination, the proposed effective date of the termination, and, in the case of a partial termination, a description of the activities to be terminated, and an appropriate budget revision. DOE shall terminate an award or portion thereof under this paragraph only if both parties agree to the termination and the conditions under which it shall occur. If DOE determines that the remaining activities under a partially terminated award would not accomplish the purpose for which the award was originally awarded, DOE may terminate the entire award.

(e) Effect of termination. The awardee shall incur no new obligations after the effective date of the termination of an award (or portion thereof), and shall cancel as many outstanding obligations as possible. DOE shall allow full credit to the awardee for the DOE share of noncancellable obligations properly incurred by the awardee prior to the effective date of the termination.

(f) Subgrants. Awardees shall follow the policies and procedures in this section and in $8600.24, 600.160 through 600.162 or $$ 600.243 through 600.244 for suspending and terminating subgrants. $600.26 Funding.

(a) General. The project period during which DOE expects to provide award support for an approved project shall be specified on the Notice of Financial Assistance Award (DOE Form 4600.1).

(b) Budget period and continuation awards. If the project period is 12 months or less, the budget period and the project period shall be coextensive. Multiyear awards, including formula awards, shall generally be funded annually within the approved project period. Funding for each budget period within the project period shall be contingent on DOE approval of a continuation application submitted in accordance with a schedule specified by DOE. A continuation application shall include:

(1) A statement of technical progress or status of the project to date;

(2) A detailed description of the awardee's plans for the conduct of the project during the coming year; and

(3) A detailed budget for the upcoming budget period, including an estimate of unobligated balances. A detailed budget need not be submitted if the new or renewal application contained future-year budgets sufficiently detailed to allow DOE to review and approve the categories and elements of cost. Should the award have a change in scope or significant change in the budget, DOE may request a detailed budget.

(4) DOE shall review a continuation application for the adequacy of the awardee's progress and planned conduct of the project in the subsequent budget period. DOE shall not require a continuation application to compete against any other application. The amount and award of continuation funding is subject to the availability of appropriations.

(c) Renewal awards. Discretionary renewal awards may be made either on the basis of a solicitation or on a noncompetitive basis. If DOE proposes to restrict eligibility for a discretionary renewal award to the incumbent grantee, the noncompetitive award must be justified in accordance with $ 600.6(b)(2). Renewal applications must be submitted no later than 6 months prior to the scheduled expiration of the project period unless a program rule or other published instruction establishes a different application deadline.

(d) Extensions. Unless otherwise specified in the award terms and conditions, recipients of financial assistance awards, except recipients of SBIR awards (See $ 600.181), may extend the expiration date of the final budget period of the project (thereby extending the project period) if additional time beyond the established expiration date is needed to assure adequate completion of the original scope of work within the funds already made available. A single extension, which shall not exceed twelve (12) months, may be made for this purpose, and must be made prior to the originally established expiration date. The recipient must notify the cognizant DOE Contracting Officer in the awarding office in writing within ten (10) days of making the extension.

$ 600.27 Patent and data provisions. (ii) (Long Form Patent Clause). For

awards to a large business firm or (a) General. Financial assistance shall

other organization, other than a dobe awarded and administered by DOE

mestic small business firm or nonprofit in compliance with the patent and data

organization as set forth in 48 CFR provisions of this section (See also

27.301, incorporate the clause at 48 CFR $$ 600.136 and 600.234.) To the extent not

952.227–13. otherwise provided in this part, the

(iii) The notice of Right to Request policies, procedures and clauses ref

Patent Waiver at 48 CFR 952.227-84 erenced for contracts in 48 CFR part

shall also be inserted in all solicita927 and 41 CFR part 9-9 shall normally

tions to advise applicants of their be applicable to the award and admin

rights to request in advance of, or istration of Departmental grants and

within 30 days after the award is cooperative agreements. Copies of 41 signed, a waiver of all or any part of CFR part 9-9 are available by con the rights of the United States with retacting the DOE Patent Counsel.

spect to subject inventions. For unso(b) Required clauses. In all solicita licited applications, DOE shall provide tions and awards bo for the support this notice to the applicant prior to of research, development, and dem award. onstration and for other efforts, the (2) Data clauses (includes copyright DOE Contracting Officer shall consult provisions)() Rights in data-General. the DOE Patent Counsel for applicable (A) Incorporate 48 CFR 52.227-14 with patent and data clauses from those its Alternate V and with the definilisted below and/or for modifications tional paragraph (a) and paragraph thereto. In reading each 48 CFR part 27 (d)(3) of 48 CFR 927.409(a)(1). Solicitaand 48 CFR part 952 patent and data tions shall also include the Representaclause selected for inclusion in a solici tion of Limited Rights Data and Retation or award, the term "contract" stricted Computer Software provision when referring to a prime contract at 48 CFR 52.227–15. Contracting offishall be read as "award." The term cers shall treat rights in data matters “contractor” shall be read as referring in accordance with 48 CFR 927.4. to the "awardee." The term "sub (B) In awards for grants and cooperacontract” shall be read as "subaward tive agreements with institutions of or a procurement contract under an higher education, hospitals, and other award or subaward and/or a procure non-profit organizations, the clause rement subcontract under an awardee's ferred to in paragraph (b)(2)(i)(A) of or subawardee's contract." The term this section shall be revised by deleting "Acquisition" with respect to the Long paragraph (d)(3) and inserting the folForm Patent Rights Clause shall be lowing paragraph (c) in lieu of pararead as “Retention." The terms graph (c) of that clause: "offerors” and “quoters” shall be read

(c) Copyright. (1) Data first produced in the as "applicants," and "proposal” and

performance of the award. Except as other"quotation” shall be read as "applica wise specifically provided in this award, the tion."

recipient may establish claim to copyright (1) Patent clauses-(i) (Short Form Pat subsisting in any data first produced in the ent Clause). Incorporate the clause at 48

performance of this award. When claim to CFR 952.227–11 for awards to a domestic

copyright is made, the Recipient shall affix small business firm or nonprofit orga

the applicable copyright notice of 17 U.S.C.

401 or 402 and acknowledgement of Governnization as defined at 48 CFR 27.301. In

ment sponsorship (including award number) accordance with 35 U.S.C. 202(a)(ii), the to the data when such data are delivered to DOE may issue an exceptional cir the Government, as well as when the data cumstances determination. To imple are published or deposited for registration as ment any exceptional circumstances a published work in the U.S. Copyright Ofdetermination, DOE will modify 48

fice. The recipient grants to the Government CFR 952.227-11 to retain greater rights

a royalty-free, nonexclusive and irrevocable

right to reproduce, publish, or otherwise use in subject inventions. Such modifica

the work for Federal purposes, and to autions will be only to the extent nec

thorize others to do so. The right to publish essary to implement the exceptional

includes the right to publicly distribute. The circumstances determination.

right to use the work for Federal purposes

includes the right to prepare derivative works.

(C) If programmatic needs on a particular award require the delivery to the Government of limited rights data or restricted computer software, Alternates II or III of 48 CFR 52.227-14 shall also be added.

(ii) Restriction on disclosure and use of data. Insert the Notice at $ 600.15(b)(1) in all solicitations.

(iii) Rights to application data. As discussed at $600.15(b)(5), incorporate 48 CFR 52.227-23.

(iv) Additional data requirements. Incorporate 48 CFR 52.227–16. In the event all technical data requirements are known in advance of and are set forth in the agreement or, the award is for the performance of basic or applied research and is to be performed solely by a university or college as discussed in 48 CFR 27.406(b), 48 CFR 52.227-16 does not need to be incorporated.

(3) Authorization and consent. Incorporate 48 CFR 52.227–1 or Alternates I or II, as appropriate, in accordance with the guidance in 48 CFR 927.201-1 and 48 CFR 27.201.

(4) Patent indemnity. Incorporate the clause set forth in 48 CFR 52.227-3, as appropriate, in accordance with the guidance in 48 CFR 27.203-1 and 48 CFR 27.203–3.

(5) Filing of patent applications-Classified subject matter. Incorporate the following paragraphs in any solicitation or award which covers, or is likely to cover, classified subject matter:

Classified Inventions (a) The recipient shall not file or cause to be filed on any invention or discovery conceived or first actually reduced to practice in the course of or under this award in any country other than the United States, an application or registration for a patent without first obtaining written approval of the Contracting Officer.

(b) When filing a patent application in the United States on any invention or discovery conceived of or first actually reduced to practice in the course of or under this award, the subject matter of which is classified for reasons of security, the awardee shall observe all applicable security regulations covering the transmission of classified subject matter. When transmitting the patent application to the United States Patent and Trademark Office, the awardee shall, by separate letter, identify by agency and agree

ment number the award(s) which require security classification markings to be placed on the application.

(6) Notice and assistance regarding patent and copyright infringement. Incorporate the clause at 48 CFR 52.227-2, in accordance with the guidance in 48 CFR 27.202, in all awards in excess of $100,000 for construction, research, development, and demonstration work which is to be performed within the United States, its possessions, or Puerto Rico.

(7) Royalty information. Incorporate 48 CFR 52.227-6.

(8) Refund of royalties. As discussed in 48 CFR 927.206, incorporate the clause at 48 CFR 952.227–9 in solicitations and awards where the Contracting Officer believes royalties will have to be paid by the awardees or subawardee or contractor at any tier.

(9) Subawards and contracts under award. The recipient shall include the applicable clauses of this section in any subaward contract awarded under the award and assure that the applicable clauses are also included by subrecipients in contracts. (61 FR 7166, Feb. 26, 1996, as amended at 63 FR 10503, Mar. 4, 1998; 64 FR 4029, Jan, 27, 1999]


$ 600.28 Restrictions on lobbying.

Procedures regarding restrictions on lobbying activities of applicants and recipients are contained in 10 CFR 601.110.

$ 600.29 Fixed obligation awards.

(a) General. This section contains provisions applicable to the award of financial assistance instruments on a fixed amount basis. Under a fixed obligation award, funds are issued in support of a project without a requirement for Federal monitoring of actual costs subsequently incurred.

(b) Provisions applicable to fixed obligation awards. Financial assistance awards may be made on a fixed obligation basis subject to the following requirements:

(1) Each fixed obligation award may neither exceed $100,000 nor exceed one year in length.

(2) Programs which require mandatory cost sharing are not eligible.

(3) Proposed costs must be analyzed amount of cost sharing required for a in detail to ensure consistency with ap- particular project. plicable cost principles.

(c) Factors in addition to those speci(4) Budget categories are not stipu fied in $600.123 or $600.224, which may lated in making an award. However, be considered when negotiating cost budgets are submitted by an applicant sharing for research, development, and and reviewed for purposes of estab demonstration projects include the polishing the amount to be awarded. tential benefits to a recipient resulting

(5) Payments must be made in the from the project and the length of time same manner as other financial assist before a project is likely to be commerance awards, except that when deter cially successful. mined appropriate by the cognizant program official and contracting offi- Subpart B-Uniform Administrative cer a lump sum payment may be made. Requirements for Grants and

(6) Recipients must certify in writing Cooperative Agreements with to the contracting officer at the end of Institutions of Higher Eduthe project that the activity was com cation, Hospitals, Other Nonpleted or the level of effort was ex

Profit Organizations and Compended, however should the activity or effort not be carried out, the recipient

mercial Organizations would be expected to make appropriate reimbursements.

SOURCE: 59 FR 53266, Oct. 21, 1994, unless (7) Periodic reports may be estab

otherwise noted, lished for each award so long as they

GENERAL are not more frequently than quarterly.

$ 600.100 Purpose. (8) Changes in principal investigator

This subpart implements OMB Ciror project leader, scope of effort, or in

cular A-110 and establishes uniform adstitution, must receive the prior ap

ministrative requirements for grants proval of the Department.

and agreements awarded to institu$ 600.30 Cost sharing.

tions of higher education, hospitals,

and other non-profit and commercial In addition to the requirements of organizations. It also establishes rules $ 600.123 or $ 600.224, the following re governing subawards to institutions of quirements apply to research, develop higher education, hospitals, and nonment, and demonstration projects: profit and commercial organizations

(a) When DOE awards financial as (including grants and cooperative sistance for research, development, and agreements administered by State, demonstration projects where the pri local and Indian Tribal governments). mary purpose of the project is the ultimate commercialization and utiliza

$ 600.101 Definitions. tion of technology by the private sec Accrued expenditures means the tor and when there are reasonable ex charges incurred by the recipient durpectations that the recipient will re ing a given period requiring the proviceive significant present or future eco sion of funds for: nomic benefits beyond the instant (1) Goods and other tangible property award as a result of the performance of received; the project, cost sharing shall be re (2) Services performed by employees, quired. Unless the cost sharing is re contractors, subrecipients, and other quired by statute, a waiver of the re

payees; and, quirement on a single-case or class (3) Other amounts becoming owed basis may be approved by the cognizant under programs for which no current Program Assistant Secretary or des services or performance is required. ignee.

Accrued income means the sum of: (b) Except as provided in section 3002 (1) Earnings during a given period of the Energy Policy Act of 1992, 42 from services performed by the recipiU.S.C. 13542, or program rule, DOE will ent, and goods and other tangible propdecide, on a case-by-case basis, the erty delivered to purchasers, and

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