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of transcripts of undergraduate and sion of such time that may be permitted graduate courses, as appropriate. The ap- by the Grants Oficer. The fellowship plicant must arrange for the submission shall constitute an obligation of Federal of supporting documents which substan

funds in the amount and for the purtiate his eligibility under $ 46.115. In

poses stated in the fellowship instruaddition, the applicant shall submit

ment only upon execution of the fellowsuch further information as may be re

ship agreement by the parties thereto. quired. Instructions for filing are con

No costs may be incurred prior to the tained in the application kit.

execution of the fellowship agreement by § 46.122 Evaluation of application.

the parties thereto. Periodically, fellowship applications

8 46.141 Fellowship agreement amend. will be evaluated for program relevance,

ment. and will compete for available funds according to priorities established by EPA.

Approved changes to a fellowship Evaluations shall be conducted by EPA which do not substantially alter the obstaff, with advisory assistance as appro jective or scope of the fellowship may priate. Consideration will be given to the give rise to fellowship amendments to following criteria:

increase or decrease the dollar amount, (a) Appropriateness of the fellow's the term, or other provisions of a fellowproposed course of study to the objec

ship. A fellowship amendment shall be tives and mission of the Agency.

effected only by a written amendment to (b) Evaluation of the applicant in

the fellowship agreement, executed by terms of his potential for study, as evidenced by his academic record, letters

the Grants Officer on behalf of the Govof reference, training plans, and other

ernment and by the fellow on his available information.

own behalf, entered into after the effec$ 46.135 Award and duration of fellow

tive date of the fellowship. ship.

46.145 Payment. Notification of approval of a fellow (a) Stipend allowance will be paid diship application shall be by transmittal rectly to the fellow on a monthly basis of the fellowship agreement for execu commencing with initiation of studies; tion by the applicant pursuant to (b) Book allowance will be paid di$ 46.140. Notification of disapproval shall rectly to the fellow upon initiation of be prompt and in writing. Disapproval

studies. of an application shall not preclude re

(c) Tuition and fees will be paid diapplication, Fellowships will not exceed rectly to the sponsoring institution. 1 year.

$ 46.150 Publications and thesis. § 46.136 Initiation of studies.

A copy of any publication (including Study must be initiated pursuant to

any thesis) developed as a result of supan approved fellowship within 6 months

port under the EPA fellowship shall be following the date of the award notice

submitted to the Grants Officer upon or the fellowship will be terminated.

submission for publication. No prior ap8 46.140 Fellowship agreement.

proval by EPA is required for publicaThe fellowship agreement is the

tion. Any written publications shall acwritten agreement, and amendments

knowledge as follows: thereto, between EPA and a fellowship This publication has been financed in part applicant in which the terms and con

with Federal funds from the Environmental

Protection Agency under fellowship number ditions governing the fellowship are

--------. The contents do not necessarstated and agreed to by both parties. lly reflect the views and policies of the En.

Upon approval of a fellowship for vironmental Protection Agency, nor does award, the fellowship agreement will be

mention of trade names or commercial prod

ucts constitute endorsement or recommentransmitted by certified mail (return re

dation for use. ceipt requested) to the applicant for execution. The fellowship agreement

ment. $ 46.155 Deviations. must be executed by the applicant and Procedures of $ 30.1001 of the EPA returned to the Grants Officer within 3 general grant regulations of this chapter weeks after receipt, or within any exten- be applicable to fellowships.



$ 46.165 Termination.

(a) Termination of studies by the fellow.—A fellow must notify EPA in writing when he terminates or changes his status under the fellowship agreement. Studies supported by an EPA fellowship may be terminated only for good cause. If the Grants Officer finds that a fellow has terminated his studies without good cause, then he shall annul fellowship and all EPA fellowship funds previously paid to the fellow shall be payable to the

ne fellow shall be payable to the United States as final settlement. If the Grants Officer finds that there is good cause for the termination of studies, he shall enter into a termination agreement effective with the date of termination of studies by the fellow.

(b) Termination by EPA.—The Grants Officer may terminate the fellowship provided that a termination action may not be taken unless the fellow has received written notice of the basis for the proposed action and has been afforded an opportunity to confer with appropriate EPA oficials concerning the proposed action. Any termination action may be appealed in accordance with the Disputes Article of the EPA General Grant Conditions (appendix A to subchapter B of this title).

awarded, and his records shall be subject at all reasonable times to inspection and audit by the Grants Officer, the Comptroller General of the United States, or any authorized representative, until completion of the project for which the EPA grant was awarded.

(c) The grantee shall preserve and make his records available to the Grants Officer, the Comptroller General of the United States, or any authorized representative (1) until expiration of 3 years from the date of final payment under this grant, or of the time periods for the particular records specified in 41 CFR Part 1-20, whichever expires earlier, and (2) for such longer period, if any, as is required by applicable statute or lawful re

elow. (1) If this grant is terminated completely or partially, the records relating to the work terminated shall be preserved and made available for a period of 3 years from the date of any resulting final termination settlement.

(2) Records which relate to (1) appeals under the “Disputes" clause of this grant, (11) litigation or the settlement of claims arising out of the performance of the project for which this grant was awarded, or (111) costs and expenses of the project as to which exception has been taken by the Grants Omcer or any of his duly authorized representatives, shall be retained until such appeals, litigation, claims, or exceptions have been disposed of.

3. Reports: The grantee shall prepare and file with the Grants Officer an acceptable final report and such progress, financial and other reports relating to the conduct and results of the approved project as are specified in the grant agreement. Failure to timely submit reports required by the grant agreement may result in (a) retention of grant funds pursuant to EPA-GR 30.602-1, (b) suspension of the grant pursuant to Article 4, EPA General Grant Conditions, (c) termination of the grant pursuant to Article 5, EPA General Grant Conditions, (d) & finding of nonresponsibility for future EPA grant awards pursuant to EPA-GR 30.304, or (e) such other action as the Grants Officer may be authorized to take.

4. Stop-work order: (a) The Grants Offcer may, at any time, by written order to the grantee, require the grantee to stop all, or any part of the project work for a period of not more than thirty (30) days after the order is delivered to the grantee, and for any further period to which the parties may agree. Any such order shall be specifically identified as a stop-work order issued pursuant to this clause. Upon receipt of such an order, the grantee shall forthwith comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage. Within a period of not more than thirty (30) days after a stopwork order is delivered to the grantee, or within any extension of that period to which

PART 48—[RESERVED] Appendix A—General Grant Conditions

1. Access: The Government and any persons designated by the Grants Officer shall at all reasonable times have access to the prem1ses where any portion of the project for which the grant was awarded is being performed. Subsequent to cessation of EPA grant support EPA personnel shall at all reasonable times have access to the project records (as defined in Article 2, below) and to the project site, to the full extent of the Grantee's right to access.

2. Audit and records: (a) The grantee shall maintain books, records, documents, and other evidence and accounting procedures and practices, suficient to reflect properly (1) the amount, receipt and disposition by the

antee of all assistance received for the project, including both Federal assistance and any matching share or cost sharing, and (2) the total cost of the project, including all direct and indirect costs of whatever nature incurred for the performance of the project for which the EPA grant has been awarded. The foregoing constitute "records" for the purposes of this article.

(b) The grantee's facilities, or such facillties as may be engaged in the performance of the project for which the EPA grant has been

the parties shall have agreed, the Grants Om cer shall either

(1) Cancel the stop-work order, or

(2) Terminate the work covered by such order as provided in the “Termination" article of this grant.

(b) If a stop-work order issued under this article is canceled or the period of the order or any extension thereof expires, the grantee shall resume work. An equitable adjustment shall be made in the grant period, the project period, or grant amount, or all of these, and the grant instrument shall be amended accordingly, if:

(1) The stop-work order results in an increase in the time required for, or in the grantee's cost properly allocable to, the performance of any part of the project, and

(2) The grantee asserts a written claim for such adjustment within thirty (30) days after the end of the period of work stoppage: Provided, That if the Grants Officer decides the circumstances justify such action, he may receive and act upon any such claim asserted at any time prior to final payment under this grant.

(c) If & stop-work order is not canceled and the work covered by such order is terminated, the reasonable costs resulting from the stop-work order shall be allowed in arriving at the termination settlement.

(d) Costs incurred by the grantee after a stop-work order is delivered, or within any extension of the stop-work period to which the parties shall have agreed, which are not authorized by this article or by the Grants Officer shall not be allowable costs.

5. Termination: (a) Grant Termination by EPA. The Grants Oficer, by written notice and after consultation with the grantee, may terminate the grant, in whole or in part: Provided, That such termination action has been authorized and approved by the appropriate EPA official(s) superior to the Grants Officer. Cause for termination shall include, but not be limited to, default by the grantee, failure by the grantee to comply with the terms and conditions of the grant, realignment of programs, change in program requirements or priorities, lack of adequate funding, or advancements in the state of the art. Upon such termination, the grantee shall refund to the United States any unexpended grant funds, except such portion thereof as may be required by the grantee to meet commitments which had become firm prior to the effective date of termination and are otherwise allowable.

(b) Project termination by grantee. A grantee may not terminate a project for which the grant has been awarded, except for good cause. If the Grants Officer finds that there is good cause for the termination of all or any portion of a project for which the grant has been awarded, he shall enter into a termination agreement or unilaterally terminate the grant, effective with the date of termination of the project by the grantee. If the Grants Officer finds that the grantee

has terminated the project without good cause, then he shall annul the grant and all EPA grant funds previously paid or owing to the grantee shall be returned to the United States as final settlement.

6. Project changes: The grantee shall promptly notify the Grants Officer in writing of all project changes pursuant to the provisions of EPA-GR 30.900. The Grants Oficer may disapprove proposed project changes by written notice to the grantee within 3 weeks after receipt of notice. Failure on the part of the grantee to give timely notice of proposed project changes or disapproval by the Grants Officer of a project change may result in disallowance of costs incurred which are attributable to the change or in termination of the grant. Neither approval nor failure to disapprove a protect change shall commit or obligate the United States to any increase in the amount of the grant or payments thereunder, but shall not preclude consideration of a request for a grant amendment. A grant amendment may not alter the objective or scope of a project for which the grant has been awarded.

7. Disputes: (a) Except as otherwise provided by law or any other grant provision, any dispute arising under this grant which is not disposed of by agreement shall be decided by the Grants Officer, who shall reduce his deci. sion to writing and mail or otherwise furnish a copy thereof to the grantee. The decision of the Grants Officer shall be final and conclusive unless, within 30 days from the date of receipt of such copy, the grantee malls or otherwise furnishes to the Grants Officer & written appeal address to the Administrator. The decision of the Administrator or his duly authorized representative for the determina. tion of such appeal, shall be final and conclusive unless determined by a court of competent jurisdiction to have been fraudulent or capricious, or arbitrary, or so grossly erroneous as necessarily to imply bad faith, or not supported by substantial evidence. In connection with an appeal proceeding under this clause, the grantee shall be afforded an opportunity to be heard and to offer evidence in support of any appeal.

(b) This "disputes" clause does not preclude consideration of questions of law in connection with decisions provided for in paragraph (a) above: Provided, That nothing in this grant shall be construed as making final the decision of any administrative of clal, representative, or board, on a question of law.

8. Equal opportunity: During the performance of the project for which this grant is awarded, the grantee agrees to comply with the Civil Rights Act of 1964, 42 U.S.C. 2000a et seq., as amended and all regulations promulgated pursuant thereto.

9. Covenant against contingent fees: The grantee warrants that no person or agency has been employed or retained to solicit or secure this grant upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide ernployees or bona fide omces established and maintained by the grantee for the pur pose of securing grants or business. For breach or violation of this warranty, the Government shall have the right to annul this grant without liability or in its discretion to deduct from the grant award, or otherwise recover, the full amount of such commission, percentage, brokerage or contingent fee.

10. Officials not to benefit: No member of, or delegate to Congress, or Resident Commissioner, shall be permitted to any share, or part of this grant, or to any benefit that may arise therefrom; but this provision shall not be construed to extend to this grant if made with a corporation for its general benefit.

11. Subagreements: All subagreements in excess of $2,500 and not identified in the approved budget require the written approval of the Grants Officer. All subagreements must be in writing. A subagreement may not be in the nature of a grant. A copy of each subagreement shall be furnished to the Grants Officer upon request.

12. Requirements pertaining to federally assisted construction: The grantee warrants and represents that during the performance of work on the project for which this grant has been awarded, it will comply, and will ensure that parties to subagreements will comply, with the following requirements:

(a) The Davis-Bacon Act, as amended, 40 U.S.C. 2768 et seq., 276c, and the regulations issued thereunder, 29 CFR 5.1 et seq., respecting wage rates for federally assisted construction contracts in excess of $2.000:

(b) The Copeland (Anti-Kickback) Act, 18 U.S.C. 874, 40 U.S.C. 2760, and the regulations issued thereunder, 29 CFR 3.1 et seq.;

(C) The Contract Work Hours and Safety Standards Act, 40 U.S.C. 327 et seq., and the regulations issued thereunder;

(d) The Uniform Relocation Assistance and Land Acquisition Policies Act of 1970, 42 U.S.C. 4621 et seq., 4651 et seq.;

(e) Convict labor shall not be used in such construction unless it is labor performed by convicts who are on work release, parole or probation. [36 FR 22724, Nov. 27, 1971, as amended at 37 FR 11651, June 9, 1972) Appendix B-Patents and Inventions

A. Definitions: (1) "Background Patent" means & foreign or domestic patent (regardless of its date of issue relative to the date of the EPA grant):

(1) Which the grantee, but not the Government, has the right to license to others, and

(11) Infringement of which cannot be avoided upon the practice of & Subject Invention or specified Work Object.

(2) "Commercial Item" means

(1) Any machine, manufacture, or composition of matter which, at the time of a request for a license pursuant to part D of this ap

pendix, has been sold, offered for sale or otherwise made available commercially to the public in the regular course of business, at terms reasonable in the circumstances, and

(11) Any process which, at the time of a request for a license, is in commercial use, or is offered for commercial use, so the results of the process or the products produced thereby are or will be accessible to the public at terms reasonable in the circumstances.

(3) "Specified Work Object" means the specific process, method, machine, manufacture or composition of matter (including relatively minor modifications thereof) which is the subject of the experimental, developmental, or research work performed under this grant.

(4) "Grantee" is the party which has accepted this grant award and includes entities controlled by the grantee. The term "controlled" means the direct or indirect ownership of more than 50 percent of outstanding stock entitled to vote for the election of directors, or a directing influence over such stock: Provided, however, That foreign entities not wholly owned by the grantee shall not be considered as "controlled.”

(5) "Subagreement" includes subagreements at any tier under this grant.

(6) "Domestic" and "foreign" refer, respectively, (1) to the United States of America, including its territories and possessions, Puerto Rico and the District of Columbia and (11) to countries other than the United States of America.

(7) "Government" means the Federal Government of the United States of America.

(8) "Subject Invention" means any invention, discovery, improvement or development (whether or not patentable) made in the course of or under this grant or any subagreement (at any tier) thereunder.

(9) "Made," when used in connection with any invention, means the conception of first actual reduction to practice of such invention.

(10) To "practice an invention or patent" means the right of a licensee on his own behalf to make, have made, use or have used, sell or have sold, or otherwise dispose of according to law, any machine, design, manufacture, or composition of matter physically embodying the invention, or to use or have used the process or method comprising the invention.

(11) The term "to bring to the point of practical application" means to manufacture in the case of composition or product, to use in the case of a process, or to operate in the case of a machine and under such conditions as to establish that the invention is being worked and that its benefits are reasonably accessible to the public.

(12) "Statement" means the President's Patent Policy Statement of August 23, 1971, 36 F.R. 16,889, August 26, 1971,

B. Domestic patent rights in Subject Inventions: (1) The grantee agrees that he will promptly disclose to the Grants Omcer in writing each Subject Invention in a

manner sufficiently complete as to tech- determination, either granting the request nical details to convey to one skilled in the in whole or in part, or denying the request in art to which the invention pertains clear its entirety. The grantee will be notified understanding of the nature, purpose, opera of such determination. tion and, as the case may be, the physical, (4) In the event greater rights in any Subchemical, biological, or electrical character Ject Invention are vested in or granted to istics of the invention. However, if any Sub the grantee pursuant to paragraph (3) of ject Invention is obviously unpatentable this section: under the patent laws of the United States, (1) The grantee's rights in such invensuch disclosure need not be made thereon. tions shall, as a minimum, be subject to a On request of the Grants Officer, the grantee nonexclusive, nontransferable, paid-up 1shall comment respecting the differences or cense to the Government to practice the similarities between the invention and the invention throughout the world by or on closest prior art drawn to his attention. behalf of the Government (including any

(2) Except in the instance of a determina Government agency) and States and dotion, pursuant to paragraph (3) of this sec mestic municipal governments, unless the tion, by the Administrator to leave to the Administrator determines that it would not grantee, rights greater than a nonexclusive be in the public interest to acquire the ulicense, the grantee agrees to grant and does cense for the States and domestic municipal hereby grant to the Government the full governments; and said license shall include and entire domestic right, title, and interest the right to sublicense any foreign governin the subject Invention, The Government ment pursuant to any existing or future may upon written request, grant to the treaty or agreement 1 the Administrator grantee & revocable or irrevocable, as determines it would be in the national indeemed appropriate, royalty-free and non terest to acquire this right; and exclusive license to practice the subject (u) The grantee further agrees to and Invention. Any such license granted shall ex does hereby grant to the Government the tend to any existing and future companies, right to require the granting of a license controlled by, controlling or under com to a responsible applicant(s) under any such mon control with the grantee and shall

and shall invention: be assignable to the successor of the part of (a) On a nonexclusive or exclusive basis the grantee's business to which such inven.

on terms that are reasonable under the cirtion pertains.

cumstances, unless the grantee, its licensees (3) Not later than (3) months after the

or its assignees demonstrate to the Governdisclosure of a Subject Invention pursuant

ment, at the Government's request, that to paragraph (1) of this section, and with

effective steps have been taken within three out regard to whether the invention is a

(8) years after a patent issued on any such primary object of this grant, the grantee

invention to bring it to the point of practical

application or that it has been made availmay submit a request in writing to the

able for licensing royalty-free or on terms Grants Officer for & determination by the

that are reasonable in the circumstances, or Administrator leaving the grantee greater

can show cause why the time period should rights than that reserved to the grantee in

be extended or paragraph (2) of this section. Such request

(6) On & nonexclusive or exclusive basis should set forth information and facts which

on terms that are reasonable in the circumin the grantee's opinion, would justity &

stances to the extent that the invention determination that:

is required for public use by Governmental (1) In the case of a Subject Invention

regulations or as may be necessary to fulfill which is clearly a primary object of this

health or safety needs or for such other pubgrant, the acquisition of such greater rights

lic purposes as are stipulated in this grant by the grantee is both consistent with the

and intent of section 1(a) of the Statement and

(111) The grantee shall fille in due form is either, a necessary incentive to call forth

and within six (6) months of the granting private risk capital and expense to bring

of such greater rights a U.S. patent applicathe invention to the point of practical ap

tion claiming the Subject Invention and plication or is justified because the Gov

shall furnish, as soon as practicable, the inernment's contribution to such invention is

formation and materials required under small compared to that of the grantee; or

paragraph (2) of section F. As to each Subthat

ject Invention in which the grantee has (11) The Subject Invention is not a pri been given greater rights, the grantee shall mary object of this grant, and that the ac notify the Grants Officer at the end of six quisition of such greater rights will serve the (6) months period if he has falled to file public interest as expressed in the State or caused to be filled & patent application ment, particularly when taking into account covering such invention. If the grantee has the scope and nature of the grantee's stated filed or caused to be filled such an applicaintentions to bring the invention to the tion within six (6) month period but elects point of commercial application and the not to continue prosecution of such applicaguidelines of section 1(a) of the Statement. tion, he shall so notify the Grants Officer The Administrator will review the grantee's not less than sixty (60) days before the exrequest for greater rights and will make a piration of the response period. In either of

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