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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 Officer. 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 required. Instructions for filing are con
ship agreement by the parties thereto. tained in the application kit.
No costs may be incurred prior to the
execution of the fellowship agreement by § 46.122 Evaluation of application.
the parties thereto. Periodically, fellowship applications
46.141 Fellowship agreement amendwill 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 terms of his potential for study, as evi
the fellowship agreement, executed by
the Grants Officer on behalf of the Goydenced by his academic record, letters of reference, training plans, and other
ernment and by the fellow on his available information.
own behalf, entered into after the effec
tive date of the fellowship. § 46.135 Award and duration of fellowship.
8 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 ap§ 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 ditions governing the fellowship are
Protection Agency under fellowship number
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 prodtransmitted by certified mail (return re
ucts constituto endorsement or recommen
dation for use. ceipt requested) to the applicant for execution. The fellowship agreement
$ 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.
awarded, and his records shall be subject at
all reasonable times to inspection and audit (a) Termination of studies by the fel
by the Grants Officer, the Comptroller Genlow.—A fellow must notify EPA in writ- eral of the United States, or any authorized ing when he terminates or changes his representative, until completion of the projstatus under the fellowship agreement. ect for which the EPA grant was awarded. Studies supported by an EPA fellowship
(c) The grantee shall preserve and make
his records available to the Grants Officer, may be terminated only for good cause.
the Comptroller General of the United States, If the Grants Officer finds that a fellow
or any authorized representative (1) until has terminated his studies without good expiration of 3 years from the date of final cause, then he shall annul fellowship payment under this grant, or of the time and all EPA fellowship funds previously
periods for the particular records specified in
41 CFR Part 1-20, whichever expires earlier, paid to the fellow shall be payable to the
and (2) for such longer period, if any, as is United States as final settlement. If the required by applicable statute or lawful reGrants Officer finds that there is good quirement, or by (1) or (2) below. cause for the termination of studies, he
(1) If this grant is terminated completely shall enter into a termination agreement
or partially, the records relating to the work
terminated shall be preserved and made effective with the date of termination of
available for a period of 3 years from the date studies by the fellow.
of any resulting final termination settlement. (b) Termination by EPA.—The Grants (2) Records which relate to (1) appeals Officer may terminate the fellowship under the “Disputes" clause of this grant, provided that a termination action may
(11) litigation or the settlement of claims
arising out of the performance of the project not be taken unless the fellow has re
for which this grant was awarded, or (111) ceived written notice of the basis for the costs and expenses of the project as to which proposed action and has been afforded exception has been taken by the Grants Offan opportunity to confer with appropri
cer or any of his duly authorized representaate EPA officials concerning the pro
tives, shall be retained until such appeals,
litigation, claims, or exceptions have been posed action. Any termination action
disposed of. may be appealed in accordance with the 3. Reports: The grantee shall prepare and Disputes Article of the EPA General file with the Grants Officer an acceptable Grant Conditions (appendix A to sub
final report and such progress, financial and chapter B of this title).
other reports relating to the conduct and results of the approved project as are spec
ified in the grant agreement. Failure to PART 48—[RESERVED]
timely submit reports required by the grant
agreement may result in (a) retention of Appendix A—General Grant Conditions
grant funds pursuant to EPA-GR 30.602-1, 1. Access: The Government and any per- (b) suspension of the grant pursuant to Arsons designated by the Grants Officer shall at ticle 4, EPA General Grant Conditions, (c) all reasonable times have access to the prem- termination of the grant pursuant to Article ises where any portion of the project for 5, EPA General Grant Conditions, (d) & which the grant was awarded is being per- finding of nonresponsibility for future EPA formed. Subsequent to cessation of EPA grant grant awards pursuant to EPA-GR 30.304, support EPA personnel shall at all reasonable
or (e) such other action as the Grants Oficer times have access to the project records (as
may be authorized to take. defined in Article 2, below) and to the project
4. Stop-work order: (a) The Grants Offsite, to the full extent of the Grantee's right
cer may, at any time, by written order to to access. 2. Audit and records: (a) The grantee shall
the grantee, require the grantee to stop all, maintain books, records, documents, and
or any part of the project work for a period other evidence and accounting procedures
of not more than thirty (30) days after the and practices, sufficient to reflect properly (1)
order is delivered to the grantee, and for any the amount, receipt and disposition by the further period to which the parties may grantee of all assistance received for the agree. Any such order shall be specifically project, including both Federal assistance identified as a stop-work order issued purand any matching share or cost sharing, and
suant to this clause. Upon receipt of such (2) the total cost of the project, including all
an order, the grantee shall forthwith comply direct and indirect costs of whatever nature
with its terms and take all reasonable steps incurred for the performance of the project for which the EPA grant has been awarded.
to minimize the incurrence of costs allocable The foregoing constitute "records” for the
to the work covered by the order during the purposes of this article.
period of work stoppage. Within a period of (b) The grantee's facilities, or such facill- not more than thirty (30) days after a stopties as may be engaged in the performance of work order is delivered to the grantee, or the project for which the EPA grant has been within any extension of that period to which the parties shall have agreed, the Grants Om- has terminated the project without good cer shall either
cause, then he shall annul the grant and (1) Cancel the stop-work order, or
all EPA grant funds previously paid or owing (2) Terminate the work covered by such to the grantee shall be returned to the order as provided in the "Termination" arti- United States as final settlement. cle of this grant.
6. Project changes: The grantee shall (b) If a stop-work order issued under this promptly notify the Grants Officer in writing article is canceled or the period of the order of all project changes pursuant to the provior any extension thereof expires, the grantee sions of EPA-GR 30.900. The Grants Officer shall resume work, An equitable adjustment may disapprove proposed project changes by shall be made in the grant period, the proj- written notice to the grantee within 3 weeks ect period, or grant amount, or all of these, after receipt of notice. Failure on the part and the grant instrument shall be amended of the grantee to give timely notice of proaccordingly, if:
posed project changes or disapproval by the (1) The stop-work order results in an in- Grants omcer of a project change may result crease in the time required for, or in the
in disallowance of costs incurred which are grantee's cost properly allocable to, the per
attributable to the change or in termination formance of any part of the project, and
of the grant. Neither approval nor fallure to (2) The grantee asserts a written claim disapprove a project change shall commit or for such adjustment within thirty (30) days
obligate the United States to any increase in after the end of the period of work stop
the amount of the grant or payments therepage: Provided, That if the Grants Officer under, but shall not preclude consideration decides the circumstances justity such ac
of a request for a grant amendment. A grant tion, he may receive and act upon any such
amendment may not alter the objective or claim asserted at any time prior to final
scope of a project for which the grant has payment under this grant.
been awarded. (c) If a stop-work order is not canceled 7. Disputes: (a) Except as otherwise proand the work covered by such order is ter
vided by law or any other grant provision, any minated, the reasonable costs resulting from dispute arising under this grant which is not the stop-work order shall be allowed in ar- disposed of by agreement shall be decided by riving at the termination settlement.
the Grants Oficer, who shall reduce his deci(d) Costs incurred by the grantee after a
sion to writing and mail or otherwise furnish stop-work order is delivered, or within any
a copy thereof to the grantee. The decision extension of the stop-work period to which
of the Grants Officer shall be final and conthe parties shall have agreed, which are not
clusive unless, within 30 days from the date authorized by this article or by the Grants
of receipt of such copy, the grantee mails or Oficer shall not be allowable costs.
otherwise furnishes to the Grants Officer & 5. Termination: (a) Grant Termination
written appeal address to the Administrator. by EPA. The Grants Officer, by written notice
The decision of the Administrator or his duly and after consultation with the grantee, may
authorized representative for the determinaterminate the grant, in whole or in part:
tion of such appeal, shall be final and conProvided, That such termination action has
clusive unless determined by a court of combeen authorized and approved by the ap
petent jurisdiction to have been fraudulent propriate EPA official (8) superior to the
or capricious, or arbitrary, or so grossly erroGrants Officer. Cause for termination shall
neous as necessarily to imply bad faith, or include, but not be limited to, default by
not supported by substantial evidence. In
connection with an appeal proceeding under the grantee, failure by the grantee to comply with the terms and conditions of the grant,
this clause, the grantee shall be afforded an realignment of programs, change in program
opportunity to be heard and to offer evidence requirements or priorities, lack of adequate
in support of any appeal. funding, or advancements in the state of the
(b) This "disputes" clause does not preart. Upon such termination, the grantee shall
clude consideration of questions of law in refund to the United States any unexpended
connection with decisions provided for in grant funds, except such portion thereof as
paragraph (a) above: Provided, That nothing may be required by the grantee to meet com
in this grant shall be construed as making mitments which had become firm prior to the
final the decision of any administrative offieffective date of termination and are other- cial, representative, or board, on a question wise allowable.
of law. (b) Project termination by grantee. A 8. Equal opportunity: During the performgrantee may not terminate a project for ance of the project for which this grant is which the grant has been awarded, except for awarded, the grantee agrees to comply with good cause. If the Grants Officer finds that the Civil Rights Act of 1964, 42 U.S.C. 20008 there is good cause for the termination of all et seq., as amended and all regulations proor any portion of a project for which the mulgated pursuant thereto. grant has been awarded, he shall enter into 9. Covenant against contingent fees: The a termination agreement or unilaterally ter- grantee warrants that no person or agency minate the grant, effective with the date of has been employed or retained to solicit or termination of the project by the grantee. secure this grant upon an agreement or If the Grants Oficer finds that the grantee understanding for a commission, percentage, brokerage, or contingent fee, excepting bona pendix, has been sold, offered for sale or fide employees or bona fide offices established otherwise made avallable commercially to the and maintained by the grantee for the pur- public in the regular course of business, at pose of securing grants or business. For terms reasonable in the circumstances, and breach or violation of this warranty, the (11) Any process which, at the time of a Government shall have the right to annul réquest for a license, is in commercial use, or this grant without liability or in its dis- is offered for commercial use, so the results cretion to deduct from the grant award, or of the process or the products produced otherwise recover, the full amount of such thereby are or will be accessible to the public commission, percentage, brokerage or con- at terms reasonable in the circumstances. tingent fee.
(3) "Specified Work Object" means the 10. Omcials not to benefit: No member specific process, method, machine, manuof, or delegate to Congress, or Resident Com- facture or composition of matter (including missioner, shall be permitted to any share, relatively minor modifications thereof) which or part of this grant, or to any benefit that is the subject of the experimental, developmay arise therefrom; but this provision shall mental, or research work performed under not be construed to extend to this grant it this grant. made with a corporation for its general (4) "Grantee” is the party which has acbenefit.
cepted this grant award and includes enti11. Subagreements: All subagreements in ties controlled by the grantee. The term excess of $2,500 and not identified in the "controlled" means the direct or indirect approved budget require the written approval ownership of more than 50 percent of outof the Grants Officer. All subagreements standing stock entitled to vote for the elecmust be in writing. A subagreement may tion of directors, or a directing influence not be in the nature of a grant. A copy of
over such stock: Provided, however, That foreach subagreement shall be furnished to the eign entities not wholly owned by the grantee Grants Officer upon request.
shall not be considered as “controlled." 12. Requirements pertaining to federally (5) "Subagreement” includes subagreeassisted construction: The grantee warrants ments at any tier under this grant. and represents that during the performance (6) "Domestic" and "foreign” refer, respecof work on the project for which this grant tively, (1) to the United States of America, has been awarded, it will comply, and will
including its territories and possessions, ensure that parties to subagreements will
Puerto Rico and the District of Columbia comply, with the following requirements: and (11) to countries other than the United (a) The Davis-Bacon Act, as amended, 40
States of America. U.S.C. 276a et seq., 276c, and the regulations
(7) "Government" means the Federal GovIssued thereunder, 29 CFR 5.1 et seq., re
ernment of the United States of America. specting wage rates for federally assisted (8) "Subject Invention" means any inconstruction contracts in excess of $2,000;
vention, discovery, improvement or develop(b) The Copeland (Anti-Kickback) Act,
ment (whether or not patentable) made in 18 U.S.C. 874, 40 U.S.C. 276c, and the regula
the course of or under this grant or any tions issued thereunder, 29 CFR 3.1 et seq.;
subagreement (at any tier) thereunder. (c) The Contract Work Hours and Safety (9) "Made," when used in connection with Standards Act, 40 U.S.C. 327 et seq., and the any invention, means the conception of first regulations issued thereunder;
actual reduction to
practice of such
invention. (d) The Uniform Relocation Assistance and Land Acquisition Policies Act of 1970,
(10) To "practice an invention or patent" 42 U.S.C. 4621 et seq., 4651 et seq.;
means the right of a licensee on his own be(e) Convict labor shall not be used in
half to make, have made, use or have used, such construction unless it is labor performed
sell or have sold, or otherwise dispose of acby convicts who are on work release, parole
cording to law, any machine, design, manuor probation.
facture, or composition of matter physically
embodying the invention, or to use or havo [36 FR 22724, Nov. 27, 1971, as amended at
used the process or method comprising the 37 FR 11651, June 9, 1972)
invention. Appendix B-Patents and Inventions (11) The term "to bring to the point of
practical application" means to manufacture A. Definitions: (1) "Background Patent" in the case of composition or product, to use means a foreign or domestic patent (regard
in the case of a process, or to operate in the less of its date of issue relative to the date case of a machine and under such condiof the EPA grant):
tions as to establish that the invention is (1) which the grantee, but not the Govern- being worked and that its benefits are reament, has the right to license to others, and sonably accessible to the public.
(11) Infringement of which cannot be (12) "Statement" means the President's avoided upon the practice of a Subject In- Patent Policy Statement of August 23, 1971, vention or Specified Work Object.
36 F.R. 16,889, August 26, 1971. (2) "Commercial Item" means
B. Domestic patent rights in Subject In(1) Any machine, manufacture, or compost- ventions: (1) The grantee agrees that he tion of matter which, at the time of a request will promptly disclose to the Grants Omcer lor a license pursuant to part D of this ap- in writing each Subject Invention in a
manner suficiently 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 11shall 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 determing- 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 & nonexclusive be in the public interest to acquire the 11license, 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 if 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 end 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 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
() years after a patent issued on any such primary object of this grant, the grantee
invention to bring it to the point of practical may submit a request in writing to the
application or that it has been made availGrants Officer for a determination by the
able for licensing royalty-free or on terms Administrator leaving the grantee greater
that are reasonable in the circumstances, or rights than that reserved to the grantee in
can show cause why the time period should
be extended or paragraph (2) of this section. Such request should set forth information and facts which
(6) On a nonexclusive or exclusive basis
on terms that are reasonable in the circumin the grantee's opinion, would justify a
stances to the extent that the invention determination that:
1s required for public use by Governmental (1) In the case of a subject Invention which is clearly & primary object of this
regulations or as may be necessary to fulfill
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 file 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 (ii) The Subject Invention 18 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 11 he has falled to file public interest as expressed in the State- or caused to be filed a 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