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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. II, 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. 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 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

of, or title to, any patent under which a roy- organizations. It also establishes rules alty or payments are made.

governing subawards to institutions of (d) Subgrants and contracts under higher education, hospitals, and nongrants or subgrants. The grantee shall profit and commercial organizations include the applicable patent rights (including grants and cooperative and rights in technical data clauses agreements administered by State, and the clauses of paragraphs (b)(5),

local and Indian Tribal governments). (b)(6), and (c) of this section, as applicable, in any subgrant or contract.

$ 600.101 Definitions.

Accrued (Secs. 644 and 646, Pub. L. 95-91, 91 Stat. 599,

erpenditures means the (42 U.S.C. 7254 and 7256); Pub. L. 95–224, 92

charges incurred by the recipient durStat. 3 (41 U.S.C. 501))

ing a given period requiring the provi

sion of funds for: (47 FR 44091, Oct. 5, 1982, as amended at 49 FR 31392, Aug. 7, 1984. Redesignated at 53 FR

(1) Goods and other tangible property 8047, Mar. 11, 1988; 59 FR 53266, Oct. 21, 1994)


(2) Services performed by employees, 8 600.34 New restrictions on lobbying. contractors, subrecipients, and other Each DOE solicitation involving a

payees; and, new Federal commitment in excess of

(3) Other amounts becoming owed $100,000 shall provide a full text copy of

under programs for which no current the certification requirement set forth

services or performance is required. in appendix A of 10 CFR part 601 and

Accrued income means the sum of: Disclosure of Lobbying Activities

(1) Earnings during a given period Standard Form-LLL. DOE Contract

from services performed by the recipiing Officers shall assure that any

ent, and goods and other tangible propaward in excess of the $100,000 thresh

erty delivered to purchasers, and old shall contain, as a term and condi

(2) Amounts becoming owed to the tion of award, the requirement to com

recipient for which no current services ply with the certification and disclo- or performance is required by the resure provision of 10 CFR 601.110. Upon

cipient. receipt, the original copy of each dis

Acquisition cost of equipment means closure form shall be kept with the of

the net invoice price of the equipment, ficial award file. One copy of each form

including the cost of modifications, atshall be forwarded to the Director or

tachments, accessories, or auxiliary designee.

apparatus necessary to make the prop

erty usable for the purpose for which it (55 FR 6746, Feb. 26, 1990)

was acquired. Other charges, such as

the cost of installation, transportation, Subpart B-Uniform Administrative taxes, duty or protective in-transit in

Requirements for Grants and surance, shall be included or excluded
Cooperative Agreements with from the unit acquisition cost in ac-
Institutions of Higher Edu- cordance with the recipient's regular
cation, Hospitals, Other Non- accounting practices.
Profit Organizations and Com-

Advance means a payment made by mercial Organizations.

Treasury check or other appropriate payment mechanism to a recipient

upon its request either before outlays SOURCE: 59 FR 53266, Oct. 21, 1994, unless are made by the recipient or through otherwise noted.

the use of predetermined payment

schedules. GENERAL

Award means financial assistance

that provides support or stimulation to 8600.100 Purpose.

accomplish a public purpose. Awards This subpart implements OMB Cir- include grants and other agreements in cular A-110 and establishes uniform ad- the form of money or property in lieu ministrative requirements for grants of money, by DOE to an eligible recipiand agreements awarded to institu- ent. The term does not include: techtions of higher education, hospitals, nical assistance, which provides servand other non-profit and commercial ices instead of money; other assistance 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 subrecipients contract. ment, or supplies means that percent

Cost sharing of 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 exErempt 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 recipient for goods and other property re- from DOE to carry out a project or proceived, for services performed by em- gram. The term includes public and ployees, contractors, subrecipients and private institutions of higher eduother payees and other amounts be- cation, public and private hospitals, coming owed under programs for which and other quasi-public and private nonno current services or performance are profit organizations such as, but not required.

limited to, community action agencies, Personal property means property of research institutes, educational assoany kind except real property. It may ciations, and health centers. The term be tangible, having physical existence, shall include commercial organizations or intangible, having no physical exist

which are recipients, subrecipients, or ence, such as copyrights, patents, or contractors or subcontractors of recipisecurities.

ents or subrecipients. The term does Prior approval means written ap

not include government-owned conproval by a contracting officer evidenc

tractor-operated facilities or research ing prior consent.

centers providing continued support for Program income means gross income

mission-oriented, large-scale programs earned by the recipient that is directly

that are government-owned or congenerated by a supported activity or

trolled, or are designated as federallyearned as a result of the award (see ex

funded research and development cenclusions in $$ 600.124 (e) and (h)). Pro

ters. gram income includes, but is not lim

Research and development means all ited to, income from fees for services

research activities, both basic and apperformed, the use or rental of real or personal property acquired under feder

plied, and all development activities ally-funded projects, the sale of com

that are supported at universities, colmodities or items fabricated under an

leges, and other non-profit institu

tions. “Research” is defined as a sysaward, license fees and royalties on patents and copyrights, and interest on

tematic study directed toward fuller loans made with award funds. Interest

scientific knowledge or understanding earned on advances of DOE funds is not

of the subject studied. “Development" program income. Except as otherwise

is the systematic use of knowledge and provided in this subpart, program regu

understanding gained from research dilations, or the terms and conditions of

rected toward the production of useful the award, program income does not

materials, devices, systems, or methinclude the receipt of principal on

ods, including design and development loans, rebates, credits, discounts, etc.,

of prototypes and processes. The term

research also includes activities inor interest earned on any of them. Project costs means all allowable

volving the training of individuals in costs, as set forth in the applicable

research techniques where such activiFederal cost principles, incurred by a

ties utilize the same facilities as other recipient and the value of the contribu

research and development activities tions made by third parties in accom

and where such activities are not in

cluded in the instruction function. plishing the objectives of the award during the project period.

Small award means a grant or cooperProject period means the period estab- ative agreement not exceeding the lished in the award document during small purchase threshold fixed at 41 which DOE sponsorship begins and

U.S.C. 403(11) (currently $25,000). ends.

Subaward means an award of finanProperty means, unless otherwise cial assistance in the form of money, or stated, real property, equipment, in- property in lieu of money, made under tangible property and debt instru- an award by a recipient to an eligible ments.

subrecipient or by a subrecipient to a Real property means land, including lower tier subrecipient. The term inland improvements, structures and ap- cludes financial assistance when propurtenances thereto, but excludes mov- vided by any legal agreement, even if able machinery and equipment.

the agreement is called a contract, but Recipient means an organization re- does not include procurement of goods ceiving financial assistance directly 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 $ 600.4. 8 600.103 Deviations.

The deviation provisions of $600.4 apply to this subpart.

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 property, 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 property, 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

8 600.104 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."


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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