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(2) DOE has the right to require delivery of all technical information or data first produced by the grantee under this grant and all conference papers of a scientific or technical nature. The grantee agrees not to include in the technical information or data, or scientific or technical conference papers delivered under the grant, any material copyrighted by the grantee or any material including scientific or technical conference papers copyrighted by others without first ob taining without cost a license therein for the benefit of the Government of the same scope as set forth in paragraph (1) above. If, nevertheless, there must be included in the technical information or data, or scientific or technical conference papers to be delivered, copyrighted material for which a license of the above scope cannot be obtained, the grantee shall obtain the written authorization of DOE to include such material prior to physical delivery to DOE.

(5) Authorization and Consent. This clause shall apply to any grant under which experimental, developmental, demonstration, or research work is to be performed within the United States, its possessions, or Puerto Rico.

AUTHORIZATION AND CONSENT The Government hereby gives its authorization and consent for all use and manufacture of any invention described in and covered by a patent of the United States in the performance of this grant or any part hereof or any amendment hereto or any contract hereunder (including all lower-tier subcontracts).

(6) Notice and assistance. This clause shall be applied to any grant in excess of $10,000 for construction, experimental, developmental, demonstration, or research work which is to be performed within the United States, its possessions, or Puerto Rico.

grantee shall furnish to the Government when requested by the Contracting Officer, all evidence and information in possession of the grantee pertaining to such suit or claim. Such evidence and information shall be furnished at the expense of the Government except where the grantee has agreed to indemnify the Government.

(c) This clause shall be included in all contracts and subgrants under the grant.

(c) Reporting of royalties. In order that DOE may be informed regarding royalty payments to be made by a grantee in connection with any grant where the amount of the royalty payments is included in the approved budget or is to be reimbursed by the Government, the applicant shall provide:

(1) Information concerning the royalty payments expected to be made under the grant, if awarded, together with the names of the licensors, and either the patent numbers involved or such other information as will permit identification of the patents and patent applications as well as the basis on which the royalties are to be paid; or

(2) A certification that the proposed budget includes no amount representing any royalty that would be paid by the grantee directly to others in connection with the performance of the award. If the information or certification specified in paragraphs (c)(1) and (c)(2) is not available at the time of award, DOE shall include the Reporting of Royalties clause in any applicable grant award.

REPORTING OF ROYALTIES If this grant is in an amount which exceeds $10,000 and if any royalty payments are directly involved in the grant or are reflected in the amount of the grant award, the grantee agrees to report in writing to the Patent Counsel (with notification by Patent Counsel to the Contracting Officer) during the performance of this grant and prior to its completion or closeout, the amount of any royalties or other payments paid or to be paid by it directly to others in connection with the performance of this grant together with the names and addresses of licensors to whom such payments are made and either the patent numbers involved or such other information as will permit the identification of the patents or other basis on which the royalties are to be paid. The approval of DOE of any individual payments or royalties shall not stop the Government at any time from contesting the enforceability, validity, or scope

NOTICE AND ASSISTANCE REGARDING PATENT

AND COPYRIGHT INFRINGEMENT The provisions of this clause shall be applicable only if the amount of this grant exceeds $10.000.

(a) The grantee shall report to the Contracting Officer, promptly and in reasonable written detail, each notice of claim of patent or copyright infringement based on the performance of this grant of which the grantee has knowledge.

(b) In the event of any claim or suit against the Government on account of any alleged patent or copyright infringement arising out of the performance of this grant or out of the use of any supplies furnished or work or services performed hereunder, the

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).

of, or title to, any patent under which a royalty or payments are made.

(d) Subgrants and contracts under grants or subgrants. The grantee shall include the applicable patent rights and rights in technical data clauses and the clauses of paragraphs (b)(5), (b)(6), and (c) of this section, as applicable, in any subgrant or contract. (Secs. 644 and 646, Pub. L. 95-91, 91 Stat. 599, (42 U.S.C. 7254 and 7256); Pub. L. 95–224, 92 Stat. 3 (41 U.S.C. 501)) (47 FR 44091, Oct. 5, 1982, as amended at 49 FR 31392, Aug. 7, 1984. Redesignated at 53 FR 8047, Mar. 11, 1988; 59 FR 53266, Oct. 21, 1994) 8600.34 New restrictions on lobbying.

Each DOE solicitation involving a new Federal commitment in excess of

of $100,000 shall provide a full text copy of the certification requirement set forth in appendix A of 10 CFR part 601 and Disclosure of Lobbying Activities Standard Form–LLL. DOE Contracting Officers shall assure that any award in excess of the $100,000 threshold shall contain, as a term and condition of award, the requirement to comply with the certification and disclo. sure provision of 10 CFR 601.110. Upon receipt, the original copy of each disclosure form shall be kept with the official award file. One copy of each form shall be forwarded to the Director or designee. (55 FR 6746, Feb. 26, 1990)

8 600.101 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 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 prop erty 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

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

8 600.100 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

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 tions. 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. ment thereto, on which DOE sponsor Intangible property and debt instruship ends.

ments means, but is not limited to, Disallowed costs means those charges trademarks, copyrights, patents and to an award that the DOE determines patent applications and such property to be unallowable, in accordance with as loans, notes and other debt instruthe applicable Federal cost principles ments, lease agreements, stock and or other terms and conditions con other instruments of property ownertained in the award.

ship, whether considered tangible or inEquipment means tangible tangible. nonexpendable personal property in Obligations means the amounts of orcluding exempt property charged di- ders placed, contracts and grants rectly to the award having a useful life awarded, services received and similar of more than one year and an acquisi transactions during a given period that tion cost of $5000 or more per unit. require payment by the recipient durHowever, consistent with recipient pol- ing the same or a future period. icy, lower limits may be established. Outlays or expenditures means charges

Ercess property means property under made to the project or program. They the control of any Federal awarding may be reported on a cash or accrual agency that, as determined by the head basis. For reports prepared on a cash thereof, is no longer required for its basis, outlays are the sum of cash disneeds or the discharge of its respon bursements for direct charges for goods sibilities.

and services, the amount of indirect exExempt property means tangible per- pense charged, the value of third party sonal property acquired in whole or in in-kind contributions applied and the part with Federal funds, where the amount of cash advances and payments Federal awarding agency has statutory made to subrecipients. For reports preauthority to vest title in the recipient pared on an accrual basis, outlays are without further obligation to the Fed- the sum of cash disbursements for dieral Government. An example of ex rect charges for goods and services, the empt property authority is contained amount of indirect expense incurred, in the Federal Grant and Cooperative the value of in-kind contributions apAgreement Act (31 U.S.C. 6306), for plied, and the net increase (or deproperty acquired under an award to crease) in the amounts owed by the re

cipient 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 ap proval 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 commodities 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 reci ents 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, colleges, and other non-profit institutions. “Research” is defined as a systematic study directed toward fuller scientific knowledge or understanding of the subject studied. “Development" is the systematic use of knowledge and understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and processes. The term research also includes activities involving the training of individuals in research techniques where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function.

Small award means a grant or cooperative agreement not exceeding the small purchase threshold fixed at 41 U.S.C. 403(11) (currently $25,000).

Subaward means an award of financial assistance in the form of money, or property in lieu of money, made under an award by a recipient to an eligible subrecipient or by a subrecipient to a lower tier subrecipient. The term includes financial assistance when provided by any legal agreement, even if the agreement is called a contract, but does not include procurement of goods and services nor does it include any the cumulative obligations from the cumulative funds authorized.

Unrecovered indirect cost means the difference between the amount awarded and the amount which could have been awarded under the recipient's approved negotiated indirect cost rate.

Working capital advance means a procedure whereby funds are advanced to the recipient to cover its estimated disbursement needs for a given initial period.

$600.102 Effect on other issuances.

For awards subject to this subpart, all administrative requirements of codified program regulations, program manuals, handbooks and other nonregulatory materials which are inconsistent with the requirements of this subpart shall be superseded, except to the extent they are required by statute, or authorized in accordance with the deviations provision in 8600.4.

form of assistance which is excluded from the definition of "award" above.

Subrecipient means the legal entity to which a subaward is made and which is accountable to the recipient for the use of the funds provided. The term may include foreign or international organizations (such as agencies of the United Nations).

Supplies means all personal property excluding equipment, intangible prop erty, and debt instruments as defined in this section, and inventions of a contractor conceived or first actually reduced to practice in the performance of work under a funding agreement ("subject inventions''), as defined in 37 CFR part 401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts, and cooperative Agreements."

Suspension means an action by DOE that temporarily withdraws DOE sponsorship under an award, pending corrective action by the recipient or pending a decision to terminate the award by the DOE. Suspension of an award is a separate action from suspension under DOE regulations implementing E.O.'s 12549 and 12689, “Debarment and Suspension" (see 10 CFR part 1036).

Termination means the cancellation of DOE sponsorship, in whole or in part, under an agreement at any time prior to the date of completion.

Third party in-kind contributions means the value of non-cash contributions provided by non-Federal third parties. Third party in-kind contributions may be in the form of real prop erty, equipment, supplies and other expendable property, and the value of goods and services directly benefiting and specifically identifiable to the project or program.

Unliquidated obligations, for financial reports prepared on a cash basis, means the amount of obligations incurred by the recipient that have not been paid. For reports prepared on an accrued expenditure basis, they represent the amount of obligations incurred by the recipient for which an outlay has not been recorded.

Unobligated balance means the portion of the funds authorized by DOE that has not been obligated by the recipient and is determined by deducting

8 600.103 Deviations.

The deviation provisions of $600.4 apply to this subpart. 8600.104 Subawards.

Unless sections of this subpart specifically exclude subrecipients from coverage, all DOE recipients, including State, local and Indian tribal governments, shall apply the provisions of this subpart to subrecipients performing work under awards if such subrecipients are institutions of higher education, hospitals, other non-profit organizations or commercial organizations. Thus, this subpart is applicable to those types of organizations regardless of the type of recipient receiving the primary award. State and local government subrecipients are subject to the provisions of 10 CFR part 600, subpart C, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments."

PRE-AWARD REQUIREMENTS

8600.110 Purpose.

Sections 600.111 through 600.117 prescribe forms and instructions and other pre-award matters to be used in applying for DOE awards.

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