Page images

amended, payment shall be withheld until a reserve of either ten percent (10%) of the amount of this contract or ten thousand dollars ($10,000), whichever is less, shall have been set aside. Final payment under the contract shall not be made before the Contractor delivers to the Contracting Officer:

(1) The final report required by paragraph (g) (6) of this section;

(2) Written disclosures for all inventions required by paragraph (b) (1) of this section which are shown to be due in accordance with interim reports delivered under paragraph (g) (5) of this section or in accordance with such final report, or are otherwise known to be unreported; and

(3) The information as to subcontracts required by paragraph (e) (2) of this section. No amount shall be withheld under this subparagraph when the amount specified by this subparagraph is being withheld under other provisions of this contract. The withholding of any amount or subsequent payment thereof to the Contractor shall not be construed as a waiver of any rights accruing to the Government under this contract. This subparagraph shall not be construed as requiring the Contractor to withhold any amounts from a subcontractor to enforce compliance with the patent provision of a subcontract. In cost-type contracts, “amount of this contract” shall mean "estimated cost of this contract".

(i) Warranties. (1) The Contractor warrants that whenever he has divested himself of the right to license any Background Patent (or any invention owned by the Contractor which could become the subject of a Background Patent) prior to the date of this contract, such divestment was not done to avoid the licensing requirements set forth in paragraph (d) of this section. After a Background Patent, or invention which could become the subject of a Background Patent, is identified, the Contractor shall take no action which shall impair the performance of his obligation to issue Background Patent Licenses pursuant to this contract.

(2) The Contractor warrants that he will take no action which will impair his obligation to assign to the Government any invention first actually reduced to practice in the course of or under the contract.

(3) The Contractor warrants that he has full authority to make obligations of this article effective, by reason of agreements with all of the personnel, including consultants (other than subcontractor personnel and consultants) who might reasonably be expected to make inventions, and who will be employed in work on the project contemplated by this contract, to assign to the Contractor all discoveries and inventions made within the scope of their employment.

Subpart 14R-9.2 Data $ 14R-9.200 Scope of subpart.

This subpart prescribes the contract clauses and instructions which define and

implement the research and development data policies of the Office of Saline Water in the Department of the Interior. 8 14R-9.201 Data requirements.

(a) All contracts which are in whole or in part for experimental, developmental or research work shall contain the data clause set forth in $ 14R-9.202 which specifies that all data developed under the contract shall be delivered to the Government without any limitation as to its use. Certain proprietary data, however, need not be delivered, as set forth in paragraph (b)(2) of R14–9.202, of the Data clause, although licensing thereof may be required under particular circumstances, as set forth in paragraph (c)(3) of R14–9.202 of the Data clause. The schedule of the contract may contain such specific provisions for the furnishing of data as may have been requested by the cognizant technical office or the contracting officer. Where additional definition of the data is required, the schedule provisions may specify

the specific data which the Government wants to have furnished.

(b) The contractor cannot be granted the right to obtain a copyright on any work produced under a contract awarded under the Saline Water Conversion Act, Public Law 87–295 as amended, 42 U.S.C. sections 1951–1958g, which requires all information, uses, products, patents or other developments resulting from research carried out under the authority of the Act to be available to the public.

(c) When computer software is to be generated under a contract, property rights of the Government therein must be suitably provided for. The Rights in Data provisions of the Data clause (14R9.202(c)) accomplishes this purpose. $ 14R-9.202 Data clause.

(a) Definitions. For the purpose of the Data clause, the following terms have the meanings set forth below:

(1) "Data" means writings, recordings, pictorial reproductions, drawings, or other graphic representations and works of any similar nature whether or not copyrighted. The term includes computer information stored on computer listings, tapes, disks, cards and the like. However, it does not include information incident to contract administration such as financial reports and cost analyses.

(2) "Proprietary Data" means data devel. oped at private expense providing information concerning the details of a contractor's secrets of manufacture, such as may be contained in, but not limited to, his manufac

turing methods or processes, treatment and chemical composition of materials, plant layout, and tooling, to the extent that such information is not readily disclosed by inspection or analysis of the product itself and to the extent that the contractor has protected such information from unrestricted use by unauthorized parties.

(3) "Subject Data" means data specified to be delivered or which in fact is delivered under this contract, other than Proprietary Data.

(4) As used in this clause "Standard Commercial Items" means supplies or services which are available commercially to the public by sale or otherwise. (5) "Contract" and

"contractor" are equivalent to "grant" and "grantee" respectively.

(6) "Specified Work Object" and "Subject Invention” are as defined in § 14R-9.1019(a) (11) and (14).

(b) Data and reporting. (1) (1) Commensurate with scope of the work and in the manner, at the times and in the number of copies specified in the schedule, the Contractor shall furnish the data required in the reports set forth herein to the extent the data are of the type which can reasonably be expected to be developed under the contract. If any of such data are in the public domain or copyrighted, it will be sufficient for the Contractor to identify the data and furnish a citation as to where they may be found. No material which is copyrighted by others shall be included in the reports furnished hereunder without written authorization of the Contracting Officer, unless such material is identified to the Contracting Officer and the Contractor secures from the copyright holder a worldwide irrevocable, royalty-free and nonexclusive license under the copyright for the Government to reproduce, translate, publish, use, dispose of and to authorize others to do the same.

(11) Reports required:

(a) Progress reports as required in sufficient detail to disclose all work accompilshed and results achieved during the period concerned, including recommendations for any modification, extension or limitation of the work to be performed;

(b) A complete final technical report summarizing the state of the art and covering all work accomplished and results achieved under this contract, and including conclusions and recommendations derived there. from. The final report shall include a complete disclosure of all materials, processes, and equipment employed, and shall be in such full, clear, concise and exact detail, including data such a mathematical, graphic and written descriptive materials and other means of disclosure appropriate in the circumstances, to enable any person skilled in the art to achieve the results of the work performed under the contract to the extent possible. The Contractor shall furnish, to the extent applicable, drawings, specifications, and necessary operating and maintenance

instructions concerning any equipment, item or process developed under the contract to enable any person skilled in the art to make and use such equipment and perform such process by application of the most advanced state of the art achieved in the performance of this contract. Where appropriate, the report shall include recommendations for further improvements which would advance the future state of the art based on knowledge acquired in the performance of this contract. If this contract is with an individual or an educational institution and the right to publish has not been reserved by the Government, the Contracting Officer may at his option accept as the final technical report a publication describing the results accomplished in the research under the contract together with a report setting forth such additional information as may be necessary to complete the information specified hereinabove; provided however, that a copy of the manuscript for such publication must have been submitted to the Contracting Officer for inrormational purposes at least 90 days prior to the date of publication or such shorter period as may be agreed to by the Contracting Officer.

(C) An intermediate complete report of all work for the period concerned, of the character required under subdivision (a) of this subparagraph, shall be furnished when required by the Contracting Officer (1) upon completion of the work in each specified phase, (2) upon completion of all work performed up to the time of each contract amendment, if any, extending the period of performance, (3) upon termination, for whatever reason, prior to expiration of the time of performance, and (4) from time to time as may be directed by the Contracting Officer, provided however, that an adjustment in the contract price or fee may be made for the furnishing of such report under this provision (4).

(2) The following data need not be furnished in the reports required in paragraph (b) (1) of this section:

(1) Data for a Standard Commercial Item which is incorporated as component part in or to be used with the product or process being developed if in lieu thereof the Contractor identifies the source and furnishes characteristics (including performance specifications, when necessary) sufficient to enable procurement of the part or an adequate substitute;

(ii) Proprietary Data which is used or to be used with the product or process being developed or used in the work performed under the contract, if in lieu thereof the Contractor shall identify such Proprietary Data to the Contracting Officer in a manner sufficient to enable use of such product or performance of such process, or the full comprehension of the work performed.

(3) The Contractor shall submit to the Contracting Officer, at his request, a report of all studies made in planning the work, and in developing background research for the

work, including citation references to all such to the Government a nonexclusive, irrevocabackground research compiled in connection ble and royalty-free license to publish, rewith the performance of this contract; pro- produce and use such report in any manner vided however, that an adjustment in the and for any purpose without limitation, and contract price or fee shall be made for the to authorize or ratify publication, reprofurnishing of such report.

duction or use by others. The Contractor (4) The complete final technical report agrees not to make Subject Data available submitted, or publication manuscript fur- to others without the written approval of nished in lieu thereof, as required in sub- the Contracting Officer prior to disclosure of paragraph (b)(ii) of this paragraph shall be such Data by the Government or the pubaccompanied by a transmittal letter advising lication thereof as set forth above, except to if the report discloses any Subject Invention (a) representatives of the Contracting Officer required to be reported under paragraph and (b) other Office of Saline Water con9.101-9(b). The Department of the Interior tractors for use solely in Office of Saline and/or Contractor case number, or other Water contracts. Any disclosures made under suitable means shall be used to identify the (b) above shall be reported pursuant to parainvention. If the report does not disclose any graph (b) (1) of $ 14R-9-202 of the Data Subject Invention, the transmittal letter clause. shall so state.

(3) If Proprietary Data as set forth in par(C) Rights in data. (1) The physical items agraph (b)(2) (11) of this section is necessary by which the data produced under this con- for the efficient practice of a Subject Inventract are presented, as for example, the re- tion or a Specified Work Object, the Consearch reports, notebooks, recordings, photo- tractor agrees to grant a license for such graphs, computer information storage means practice of the Data in conjunction with a and the like, shall become the property of Subject Invention or a Specified Work Object the Government. The Contractor shall pre- for water desalination to any responsible apserve and retain custody of the same at his plicant on his written request at reasonable own expense. The Government shall have terms and conditions, including reasonable the right to have access to them at all restrictions against disclosure of the Proreasonable times and they may be used by prietary Data: Provided, however, That such the Government for any purpose whatsoever license need not be granted if at the time without any claim for compensation by the of the request the Proprietary Data are in. Contractor. The Contractor shall furnish corporated in a Standard Commercial Item such data items or copies thereof to the in a form which can be employed in the pracContracting Officer at his request. The orig- tice of a Subject Invention or specified Work inal data items shall not be destroyed by the Object for water desalination or can be so Contractor without approval by the Con- employed with relatively minor modificatracting Officer or without giving the Gov

tions. Any disputes as to the responsibility ernment the opportunity to take over the of an applicant or the necessity of the Proretention of such originals.

prietary Data shall be determined by the (2) The Government may publish, repro- Secretary whose determination of fact in this duce, and use all Subject Data in any man- regard shall be final and binding. It is agreed ner and for any purpose, without limitation

that any responsible applicant is a third and may authorize others to do the same.

party beneficiary under this clause. The Contractor agrees that he will not assert

(4) Nothing contained in this Data Clause any copyright at common law or equity and

shall be construed to imply a license under will not establish any claim to a statutory

any patent, or be construed as altering the copyright on such Subject Data.

scope of any right of the Government in (i) A contractor who is either an educa

and to any invention whether or not tional institution or an individual in the

patented. field of education may publish a report on the results of his work performed under this

(5) All Proprietary Data furnished the

Contracting Officer shall be specifically idencontract, provided that a manuscript of such report shall be submitted to the Contracting

tified by an appropriate written legend as Officer for informational purposes at least

being Contractor confidential. Such Data ninety (90) days prior to publication on

shall not be, or shall cease to be confidential, such shorter time as may be agreed to by the

and the Government's confidentiality obliContracting Officer. Other contractors, as for

gations with respect thereto shall terminate example, profit-making not-for-profit

if the Data are or become generally available contractors, may publish such report after

to the public, or have been made or become

available to the Government (1) from other submitting the manuscript to the Contracting Officer and obtaining his written per

sources or (ii) from the Contractor without mission. All such publications shall give due

limitation as to use, or were already known credit to the Office of Saline Water unless

to the Government when furnished to it. otherwise requested by

(6) Notwithstanding any provisions of this the Contracting

contract concerning inspection and acceptOfficer. A transmittal letter as set forth in

ance, the Government shall have the right paragraph (b) (4) of this section shall ac

at any time to modify, remove, obliterate, or company the manuscript advising whether

ignore any marking not authorized by the any Subject Invention is disclosed therein. terms of this contract on any piece of SubThe Contractor agrees to and hereby grants ject Data furnished under this contract.




Part 15-1 General. 15-2 Procurement by formal advertising. 15-3 Procurement by negotiations.

PART 15-1-GENERAL Sec. 15-1.000 Scope of part.

Subpart 15-1.0—Regulation System 15-1.001 Scope of subpart. 15-1.002 Purpose. 15-1.003 Authority. 15-1.004 Applicability. 15-1.006 Issuance. 15–1.006-1 Code arrangement. 15-1.006–2 Publication. 15–1.007 Arrangement. 15-1.007-1 General. 15-1.007-2 Numbering. 15-1.007-3 Citation. 15-1.008 Agency implementation. 15-1.009 Deviation. 15-1.009-2 Procedure.

Sec. 15-1.604-1 Procedural requirements relating

to the imposiiton of debar

ment. 15-1.605 Suspension of bidders. 15-1.605-1 Causes and conditions under

which EPA may suspend con

tractors, 15-1.605–2 Notice of suspension. 15-1.606 Agency procedures.

Subpart 15-1.7—Small Business Concerns 15-1.704 Agency program direction

and operation. 15-1.704-1 Small business assistance

officer. 15-1.704-2 Small business specialist. 15-1.706-50 Procurement set-asides for

small business when an SBA representative is not

available. 15-1.706-50-1 General. 15-1.706-50-2 Review of set-aside recom

mendations initiated by

small business specialist. 15-1.706-50-3 Withdrawal or modification

of set-asides. 15-1.706-50-4 Small business set-aside for

proposed construction procurement.

Subpart 15-1.3-General Policies 15-1.318 Disputes clause. 15-1.318-1 Contracting officer's decision un

der a disputes clause. Subpart 15-1.6-Debarred, Suspended, and

Ineligible Bidders 15-1.600 Scope of subpart. 15-1.602 Establishment, maintenance, and

distribution of a list of concerns or individuals debarred, suspended, or declared ineli

gible. 15-1.602-1 Bases for entry on the debarred,

suspended, and ineligible list. 15-1.603 Treatment to be accorded firms

or individuals in debarred, sus

pended, or ineligible status. 15-1.604 Causes and conditions applicable

to determination of debarment.

Subpart 15-1.51-Novation Agreements and

Change of Name Agreements 15-1.5100 Scope of subpart. 15-1.5101 Definition. 15-1.5102 Agreement to recognize a suc

cessor in interest. 15-1.5103 Agreement to recognize change

of name of contractor. 15-1.5104 Procedures. 15-1.5105 Novation agreement formats. 15-1.5105-1 Successor in interest agreement



15–1.5105–2 Change of

agreement format. 15-1.5105-3 Administrative change format.

AUTHORITY: The provisions of this Part 15–1 issued under sec. 205(c), 63 Stat. 377, as amended; 40 U.S.C. 486(c). § 15-1.000 Scope of part.

(a) The Federal Procurement Regulations System brings together, in Title 41 of the Code of Federal Regulations, the procurement regulations applicable to the civilian agencies of the Government. This part establishes a system of Environmental Protection Agency (EPA) regulations (EPPR) for the codification and publication of policies and procedures of EPA which implement and supplement the Federal Procurement Regulations (FPR).

(b) It is the basic policy of EPA to apply Federal Procurement Regulations. Thus, as to most elements of the procurement process, substantive guidelines will be found by reference thereto. FPR is published as Chapter 1 of this Title 41. EPPR will be published as Chapter 15 of the same title. (36 F.R. 7506, Apr. 21, 1971) Subpart 15-1.0—Regulation System

SOURCE: The provisions of this Subpart 151.0 appear at 36 F.R. 7506, Apr. 21, 1971, unless otherwise noted. $ 15–1.001 Scope of subpart.

This subpart establishes EPA Procurement Regulations (EPPR) and states their relationship to FPR. § 15–1.002 Purpose.

This subpart establishes for EPA uniform policies and procedures related to the procurement of personal property and nonpersonal services (including construction) and real property by lease. $ 15-1.003 Authority,

EPPR are prescribed by the Administrator under the Federal Property and administrative Services Act of 1949, 63 Stat. 377, as amended, or other authority specifically cited. $ 15-1.004 Applicability.

EPPR apply to all offices in EPA to the extent indicated unlesss otherwise provided by law. EPPR apply to procurements made within and outside the United States unless otherwise specified.

$ 15–1.006 Issuance.
§ 15–1.006-1 Code arrangement.

EPPR are issued in the Code of Federal Regulations as Chapter 15 of Title 41, Public Contracts and Property Management. § 15–1.006-2 Publication.

All EPPR material deemed necessary for the general public to understand basic and significant EPPR procurement policies and procedures will be published in the FEDERAL REGISTER and in separate looseleaf form in a distinctive light blue color.

15–1.007 Arrangement. $ 15–1.007-1 General.

The general plan, numbering system, and nomenclature used in EPPR conform to the FEDERAL REGISTER standards approved for FPR. & 15–1.007–2 Numbering.

For ease in identification, the numbering system and part, subpart, and section titles used in EPPR generally conform with those used in FPR. § 15–1.007–3 Citation.

EPPR may be cited as indicated below. This section when referred to, should be cited as "EPPR 15–1.007-3." When referred to formally in official documents such as legal briefs, the section should be cited as “41 CFR 15-1.007-3." & 15–1.008 Agency implementation.

EPPR will implement, supplement, or deviate from the FPR when a procedure different than indicated in FPR is required. Implementing material expands upon or indicates the manner of compliance with related FPR. Supplementing material has no counterpart in FPR Deviating material is defined in g 1-1.009 of this title. Where EPPR does not implement, supplement, or deviate from the FPR, the latter shall be applicable as issued. Deviations from FPR and EPPR will be processed in accordance with $ 15–1.009–2 prior to publicat § 15–1.009 Deviation. § 15–1.009–2 Procedure.

Deviations from FPR and EPPR shall be kept to a minimum and controlled as follows:

(a) Deviations in both individual cases and classes of cases must be approved in advance by the Deputy Assistant Admin

« PreviousContinue »