(1) Obtain patent agreements to effectuate the provisions of the Patent clause from all persons who perform any part of the work under this grant except nontechnical personnel, such as clerical employees and manual laborers.

(2) The grantee shall include this clause or the Patent Rights clause of 41 CFR 99.107-5(a) or the clause of § 600.118(b)(1), as appropriate, modified to identify the parties in any contract or subgrant hereunder having as a purpose the conduct of experimental, research, development, or demonstration work; and

(3) Promptly notify the Contracting Officer in writing upon the award of any contract or subgrant containing a Patent Rights clause by identifying the contractor or subgrantee, the work to be performed under the contract or subgrant, and dates of award and estimated completion. Upon the request of the Contracting Officer, the grantee shall furnish a copy of the contract or subgrant to such requestor.

(f) Atomic energy. (1) No claim for pecuniary award or compensation under the provisions of the Atomic Energy Act of 1954, as amended, shall be asserted by the grantee or its employees with respect to any inventions or discovery made or conceived in the course of or under this grant.

(2) Except as otherwise authorized in writing by the Contracting Officer, the grantee will obtain patent agreements to effectuate the provisions of paragraph (f)(1) of the clause from all persons who perform any part of the work under this grant except nontechnical personnel, such as clerical employees and manual laborers.

(g) Publication. In order that information concerning scientific or technical developments conceived or first actually reduced to practice in the course of or under the grant is not prematurely published so as to adversely affect patent interest of DOE, the grantee agrees to submit to the Patent Counsel for patent review a copy of each paper 60 days prior to its intended publication date. The grantee may publish such information after expiration of a 60-day period following such submission or prior thereto if specifically approved by the Patent Counsel, unless the grantee is informed (in writing within the 60-day period) that in order to protect patentable subject matter, publication must further be delayed. In this event, publication shall be delayed up to 100 days beyond the 60-day period or such longer period as mutually agreed to.

(3) Rights in Technical Data (Short Form). This clause shall apply to all grants other than those having as a purpose the conduct of a conference, symposium, or training. However, this clause does not provide protection for

proprietary data. If proprietary data may be utilized under a grant, other appropriate technical data clauses (as provided in 48 CFR 952.227) may be included in the award.

RIGHTS IN TECHNICAL DATA (Short Form)

(a) Definitions. The definitions of terms set forth in DEAR 927.401 apply to the extent these terms are used herein.

(b) Allocation of rights. (1) The Government shall have:

(i) Unlimited rights in technical data first produced or specifically used in the performance of this grant.

(ii) The right of the Contracting Officer or his representatives to inspect at all reasonable times up to three years after final payment under this grant all technical data first produced or specifically used in the grant (for which inspection the grantee or its contractor or subgrantee shall afford proper facilities to DOE), and

(iii) The right to have any technical data first produced or specifically used in the performance of this grant delivered to the Government as the Contracting Officer may from time-to-time direct during the progress of the work, or in any event as the Contracting Officer shall direct upon completion or termination of this grant.

(2) The grantee shall have: The right to use for its private purposes, subject to patent, security or other provisions of this grant, technical data it first produces in the performance of this grant provided the date requirements of this grant have been met as of the date of the private use of such data. The grantee agrees that the to extent it receives or is give access to proprietary data or other technical, business of financial data in the form of recorded information from DOE or a DOE contractor or subcontractor, the grantee shall treat such data in accordance with any restrictive legend contained thereon, unless use is specifically authority by prior written approval of the Contracting Officer.

(c) Copyrighted material. (1) The grantee agrees to and does hereby grant to the Government and to others acting on its behalf:

(i) A royalty-free, nonexclusive, irrevocable, world-wide license for Governmental purposes to reproduce, distribute, display, and perform all copyrightable material first produced or composed in the performance of this grant by the grantee, its employees or any individual or concern specifically employed or assigned to originate and prepare such material and to prepare derivative works based thereon,

(ii) A license as aforesaid under any and all copyrighted or copyrightable work not first produced or composed by the grantee in the performance of this grant but which

is incorporated in the material furnished under the grant, provided that such license shall be only to the extent the grantee now has, or prior to completion or close-out of the grant, may acquire the right to grant such license without becoming liable to pay compensation to others solely because of such grant.

(2) The grantee agrees that it will not knowingly include any material copyrighted by others in any written or copyrightable material furnished or delivered under this grant without a license as provided for in paragraph (c)(1)(ii) of this section, or without the consent of the copyright owner, unless it obtains specific written approval of the Contracting Officer for the inclusion of such copyright material.

(4) Rights in Technical Data (Modified Short Form). This clause shall apply to any grant having as a purpose the conduct of a conference, a symposium, or training.

RIGHTS IN TECHNICAL DATA-MODIFIED
SHORT FORM

(1) The grantee grants to the Government a worldwide, royalty-free, non-exclusive, irrevocable license to publish, duplicate, translate, perform, exhibit and dispose of and to have others to do so, technical information or data including copyrightable material first produced by the grantee, under the grant.

(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 obtaining 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 manufac ture 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. 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 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 pro

vide:

(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 1 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 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. 95224, 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]

Subpart B-Grants

SOURCE: 47 FR 44091, Oct. 5, 1982, unless otherwise noted.

§ 600.100 Scope and applicability.

(a) This subpart establishes administrative rules for grants and coopera

tive agreements and subawards to other than State, local, and Indian tribal governments. This subpart implements OMB Circular A-110 and the Federal cost principles. Administrative rules for grants and cooperative agreements and subawards to State, local and Indian tribal governments are prescribed in Subpart E.

(b) The requirements of this subpart shall apply as indicated in § 600.2. In addition, the noncompliance procedures of §§ 600.121 and 600.29 and the closeout procedures of § 600.123 shall apply to any active grant and, in the case of the closeout procedures, to any terminated or expired grant which has not been closed out prior to the effective date of this part, provided, however, that any noncompliance determination involving an active grant is initiated on or after the effective date of this part. With the concurrence of the affected party or parties, DOE may follow the procedures set forth in § 600.29 in any suspension or termination action initiated before the effective date of this part.

[47 FR 44091, Oct. 5, 1982, as amended at 50 FR 42356, Oct. 18, 1985; 51 FR 4297, Feb. 4, 1986; 53 FR 8046, Mar. 11, 1988]

ing salaries, travel, equipment and supplies directly benefiting the project or activity.

"Formula grant" means a grant DOE is required to make to any one or more eligible applicants who meet statutory prerequisites for award. The amount of a formula grant award is determined in accordance with a formula specified either in the authorizing statute or in implementing program rules.

"Grant" means an award of financial assistance, including cooperative agreements, in the form of money or property in lieu of money, by the Federal Government to an eligible recipient.

"Grantee" means the government, nonprofit corporation, individual, or other entity to whom DOE awards a grant and who is financially accountable to DOE for the use of the funds awarded and legally responsible for the performance of the project or activity(ies). An organizational grantee shall be the entire organization even if the activity or project is performed by a component part of the organization.

"Indirect cost" means a cost incurred by an organization for common or joint objectives and which cannot be identified specifically with a particular project or activity.

"Indirect cost rate" means the ratio, expressed as a percentage, of an organization's total indirect costs to its direct cost base as specified in the applicable cost principles.

"In-kind contribution" means property, services, or other noncash contribution, made by the grantee, subgrantee, or non-Federal third party, which directly benefits and can be specifically identified with a project or activity, and to which a value is assigned for purposes of cost sharing.

"Small entity" means a "small business" (as defined in § 600.3), "small governmental jurisdiction," or "small organization."

"Small governmental jurisdiction" means a government of a city, county, town, township, village, school district, or special district with a population of less than fifty thousand.

“Small organization” means any notfor-profit enterprise which is inde

pendently owned and operated and is not dominant in its field.

"Subgrant" means an award of funds or other type of financial assistance authorized by statute by a grantee to an eligible subrecipient.

[47 FR 44091, Oct. 5, 1982, as amended at 53 FR 8046, Mar. 11, 1988]

§ 600.102 Grant applications.

(a) General. An application for a grant shall be on the form or in the format specified in a program rule, in the solicitation, or in this part (see § 600.10). DOE may also require applicants to complete

(1) The Notice of Energy RD&D Project (DOE Form 538) if the application is for a research, development, or demonstration project; or

(2) The Management Summary Report (EIA-459E) or the Milestone Plan (EIA-459B) as a baseline plan in accordance with the Uniform Reporting System for Federal Assistance (Grants and Cooperative Agreements) (DOE/MA-0001) if required by program rule or the solicitation. If a solicitation other than a program rule requires the use of one or both of these forms, the solicitation shall contain an explanation of how the information to be provided relates to the objectives of the program.

(b) Budgetary information. DOE may request and the applicant shall submit the minimum budgetary information necessary to evaluate the costs of the proposed project.

(1) Applicants for research grants, other than State, local, or Indian tribal governments, will employ DOE budget forms ERF 4620.1 and ERF 4620.1A. All other applicants shall use the budget formats contained in OMB Circular A-102, as duplicated in the DOE Uniform Reporting System for Federal Assistance.

(2) DOE may, subsequent to receipt of an application, request additional information from an applicant when necessary for clarification or to make informed preaward determinations under § 600.103.

(c) Continuation and renewal applications. DOE may require that an application for a continuation or renewal award (see § 600.31 (b) and (c)) be

made in the format or on the forms authorized by paragraphs (a) and (b) of this section. However, when applying for a continuation award, grantees that are State governments, local governments, or Indian tribal governments are required to submit only those pages of the application form that contain information different from that provided in the original application.

(Approved by the Office of Management and Budget under control numbers 03480005-0348-0009)

[47 FR 44091, Oct. 5, 1982, as amended at 51 FR 39366, Oct. 28, 1986; 53 FR 8046, Mar. 11, 1988]

§ 600.103 Cost determinations.

(a) General. Except as otherwise specified by the governing program statute, program rule, or other terms and conditions of an award, costs allowable under DOE grant awards shall be determined in accordance with the applicable cost principles cited in paragraph (b) of this section. As part of an acceptable financial management system under § 600.109(b), grantees and subgrantees must have procedures for determining the reasonableness, allowability, and allocability of costs in accordance with the applicable Federal cost principles and the terms and conditions of the award.

(b) Cost principles. The following cost principles shall apply to grants as specified.

(1) OMB Circular A-21-Cost Principles Applicable to Grants, Contracts and Other Agreements with Institutions of Higher Education.

(2) OMB Circular A-87-Cost Principles Applicable to Grants, Contracts and Other Agreements with State and Local Governments. These cost principles shall also apply to grants to Indian tribal governments and to foreign governments to the extent appropriate.

(3) OMB Circular A-122-Cost Principles Applicable to Grants, Contracts and Other Agreements with Nonprofit Organizations. Nonprofit organization in this context refers to a private, nonprofit organization other than a nonprofit institution of higher education or hospital. However, a few nonprofit organizations, as specifically listed in

Attachment C to OMB Circular A-122, are subject to the commercial cost principles as specified in paragraph (b)(5) of this section. OMB Circular A122 shall also apply to grants to individuals.

(4) 45 CFR Part 74, Appendix E, Cost Principles for Hospitals.

(5) 48 CFR 31.2 (Federal Acquisition Regulation) as modified by 48 CFR 931.2 (DOE Acquisition Regulations) for grants to for-profit organizations (other than for-profit hospitals) including corporations, partnerships,

and sole proprietorships.

(6) Notwithstanding the provisions of paragraphs (b)(2) through (b)(5) of this section, the recipient of a research grant shall obtain the prior written approval of the Contracting Officer before undertaking any of the following:

(i) Acquisition of an item of equipment, or other capital asset not specifically contained in an approved budget, the cost of which is $500 or more, and in the case of special-purpose equipment, $1000 or more.

(ii) Foreign travel (for each separate trip), unless funds for each trip are specifically identified by destination and amount and are included in the approved budget. Foreign travel is any travel outside Canada and the United States and its territories and possessions or, for grantees located in another country, travel outside that country. Foreign travel will be approved only if it is directly related to the project objectives.

(iii) Expenditures for domestic travel exceeding the amount contained in an approved budget by 25 percent or $500, whichever is greater.

(c) Subgrantees and contractors. For subgrants, the grantee shall use the cost principles cited in this section that apply to the subgrantee. The grantee or subgrantee shall specify in any cost-reimbursement contract the applicable cost principles, which shall be the cost principles cited in this section that apply to the contractor.

(d) Deviations. Unless required by program statute, the awarding party may deviate from the requirements of the cost principles only after obtaining approval in accordance with § 600.4.

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