[Code of Federal Regulations] [Title 32, Volume 1] [Revised as of January 1, 2008] From the U.S. Government Printing Office via GPO Access [CITE: 32CFR37.100] [Page 200-203] TITLE 32--NATIONAL DEFENSE CHAPTER I--OFFICE OF THE SECRETARY OF DEFENSE PART 37_TECHNOLOGY INVESTMENT AGREEMENTS--Table of Contents Subpart A_General Sec. 37.100 What does this part do? Subpart A_General Sec. 37.100 What does this part do? 37.105 Does this part cover all types of instruments that 10 U.S.C. 2371 authorizes? 37.110 What type of instruments are technology investment agreements (TIAs)? 37.115 For what purposes are TIAs used? 37.120 Can my organization award or administer TIAs? 37.125 May I award or administer TIAs if I am authorized to award or administer other assistance instruments? 37.130 Which other parts of the DoD Grant and Agreement Regulations apply to TIAs? [[Page 201]] Subpart B_Appropriate Use of Technology Investment Agreements 37.200 What are my responsibilities as an agreements officer for ensuring the appropriate use of TIAs? 37.205 What judgments must I make about the nature of the project? 37.210 To what types of recipients may I award a TIA? 37.215 What must I conclude about the recipient's commitment and cost sharing? 37.220 How involved should the Government program official be in the project? 37.225 What judgment must I make about the benefits of using a TIA? 37.230 May I use a TIA if a participant is to receive fee or profit? Subpart C_Expenditure-Based and Fixed-Support Technology Investment Agreements 37.300 What is the difference between an expenditure-based and fixed- support TIA? 37.305 When may I use a fixed-support TIA? 37.310 When would I use an expenditure-based TIA? 37.315 What are the advantages of using a fixed-support TIA? Subpart D_Competition Phase 37.400 Must I use competitive procedures to award TIAs? 37.405 What must my announcement or solicitation include? 37.410 Should my announcement or solicitation state that TIAs may be awarded? 37.415 Should I address cost sharing in the announcement or solicitation? 37.420 Should I tell proposers that we will not disclose information that they submit? Subpart E_Pre-Award Business Evaluation 37.500 What must my pre-award business evaluation address? 37.505 What resources are available to assist me during the pre-award business evaluation? Recipient Qualification 37.510 What are my responsibilities for determining that a recipient is qualified? 37.515 Must I do anything additional to determine the qualification of a consortium? Total Funding 37.520 What is my responsibility for determining that the total project funding is reasonable? Cost Sharing 37.525 What is my responsibility for determining the value and reasonableness of the recipient's cost sharing contribution? 37.530 What criteria do I use in deciding whether to accept a recipient's cost sharing? 37.535 How do I value cost sharing related to real property or equipment? 37.540 May I accept fully depreciated real property or equipment as cost sharing? 37.545 May I accept costs of prior research as cost sharing? 37.550 May I accept intellectual property as cost sharing? 37.555 How do I value a recipient's other contributions? Fixed-Support or Expenditure-Based Approach 37.560 Must I be able to estimate project expenditures precisely in order to justify use of a fixed-support TIA? 37.565 May I use a hybrid instrument that provides fixed support for only a portion of a project? Accounting, Payments, and Recovery of Funds 37.570 What must I do if a CAS-covered participant accounts differently for its own and the Federal Government shares of project costs? 37.575 What are my responsibilities for determining milestone payment amounts? 37.580 What is recovery of funds and when should I consider including it in my TIA? Subpart F_Award Terms Affecting Participants' Financial, Property, and Purchasing Systems 37.600 Which administrative matters are covered in this subpart? 37.605 What is the general policy on participants' financial, property, and purchasing systems? 37.610 Must I tell participants what requirements they are to flow down for subrecipients' systems? Financial Matters 37.615 What standards do I include for financial systems of for-profit firms? 37.620 What financial management standards do I include for nonprofit participants? 37.625 What cost principles or standards do I require for for-profit participants? 37.630 Must I require a for-profit firm to use Federally approved indirect cost rates? 37.635 What cost principles do I require a nonprofit participant to use? 37.640 Must I include a provision for audits of for-profit participants? [[Page 202]] 37.645 Must I require periodic system audits, as well as award-specific audits, of for-profit participants? 37.650 Who must I identify as the auditor for a for-profit participant? 37.655 Must I specify the frequency of IPAs' periodic audits of for- profit participants? 37.660 What else must I specify concerning audits of for-profit participants by IPAs? 37.665 Must I require nonprofit participants to have periodic audits? 37.670 Must I require participants to flow down audit requirements to subrecipients? 37.675 Must I report when I enter into a TIA allowing a for-profit firm to use an IPA? 37.680 Must I require a participant to report when it enters into a subaward allowing a for-profit firm to use an IPA? Property 37.685 May I allow for-profit firms to purchase real property and equipment with project funds? 37.690 How are nonprofit participants to manage real property and equipment? 37.695 What are the requirements for Federally owned property? 37.700 What are the requirements for supplies? Purchasing 37.705 What standards do I include for purchasing systems of for-profit firms? 37.710 What standards do I include for purchasing systems of nonprofit organizations? Subpart G_Award Terms Related to Other Administrative Matters 37.800 Which administrative matters are covered in this subpart? Payments 37.805 If I am awarding a TIA, what payment methods may I specify? 37.810 What should my TIA's provisions specify for the method and frequency of recipients' payment requests? 37.815 May the Government withhold payments? 37.820 Must I require a recipient to return interest on advance payments? Revision of Budget and Program Plans 37.825 Must I require the recipient to obtain prior approval from the Government for changes in plans? 37.830 May I let a recipient charge pre-award costs to the agreement? Program Income 37.835 What requirements do I include for program income? Intellectual Property 37.840 What general approach should I take in negotiating data and patent rights? 37.845 What data rights should I obtain? 37.850 Should I require recipients to mark data? 37.855 How should I handle protected data? 37.860 What rights should I obtain for inventions? 37.865 Should my patent provision include march-in rights? 37.870 Should I require recipients to mark documents related to inventions? 37.875 Should my TIA include a provision concerning foreign access to technology? Financial and Programmatic Reporting 37.880 What requirements must I include for periodic reports on program and business status? 37.885 May I require updated program plans? 37.890 Must I require a final performance report? 37.895 How is the final performance report to be sent to the Defense Technical Information Center? 37.900 May I tell a participant that information in financial and programmatic reports will not be publicly disclosed? 37.905 Must I make receipt of the final performance report a condition for final payment? Records Retention and Access Requirements 37.910 How long must I require participants to keep records related to the TIA? 37.915 What requirement for access to a for-profit participant's records do I include in a TIA? 37.920 What requirement for access to a nonprofit participant's records do I include in a TIA? Termination and Enforcement 37.925 What requirements do I include for termination and enforcement? Subpart H_Executing the Award 37.1000 What are my responsibilities at the time of award? The Award Document 37.1005 What are my general responsibilities concerning the award document? 37.1010 What substantive issues should my award document address? 37.1015 How do I decide who must sign the TIA if the recipient is an unincorporated consortium? Reporting Information About the Award 37.1020 What must I document in my award file? [[Page 203]] 37.1025 Must I report information to the Defense Assistance Awards Data System? 37.1030 What information must I report to the Defense Technical Information Center? 37.1035 How do I know if my TIA uses the 10 U.S.C. 2371 authority and I must report additional data under Sec. 37.1030(b)? 37.1040 When and how do I report information required by Sec. 37.1035? Distributing Copies of the Award Document 37.1045 To whom must I send copies of the award document? Subpart I_Post-Award Administration 37.1100 What are my responsibilities generally as an administrative agreements officer for a TIA? 37.1105 What additional duties do I have as the administrator of a TIA with advance payments or payable milestones? 37.1110 What other responsibilities related to payments do I have? 37.1115 What are my responsibilities related to participants' single audits? 37.1120 When and how may I request an award-specific audit? Subpart J_Definitions of Terms Used in this Part 37.1205 Advance. 37.1210 Advanced research. 37.1215 Agreements officer. 37.1220 Applied research. 37.1225 Articles of collaboration. 37.1230 Assistance. 37.1235 Award-specific audit. 37.1240 Basic research. 37.1245 Cash contributions. 37.1250 Commercial firm. 37.1255 Consortium. 37.1260 Cooperative agreement. 37.1265 Cost sharing. 37.1270 Data. 37.1275 DoD Component. 37.1280 Equipment. 37.1285 Expenditure-based award. 37.1290 Expenditures or outlays. 37.1295 Grant. 37.1300 In-kind contributions. 37.1305 Institution of higher education. 37.1310 Intellectual property. 37.1315 Nonprofit organization. 37.1320 Participant. 37.1325 Periodic audit. 37.1330 Procurement contract. 37.1335 Program income. 37.1340 Program official. 37.1345 Property. 37.1350 Real property. 37.1355 Recipient. 37.1360 Research. 37.1365 Supplies. 37.1370 Termination. 37.1375 Technology investment agreements. Appendix A to Part 37--What Is the Civil-Military Integration Policy That Is the Basis for Technology Investment Agreements? Appendix B to Part 37--What Type of Instrument Is a TIA and What Statutory Authorities Does It Use? Appendix C to Part 37--What Is the Desired Coverage for Periodic Audits of For-Profit Participants To Be Audited by IPAs? Appendix D to Part 37--What Common National Policy Requirements May Apply and Need To Be Included in TIAs? Appendix E to Part 37--What Provisions May a Participant Need To Include When Purchasing Goods or Services Under a TIA? Authority: 5 U.S.C. 301 and 10 U.S.C. 113. Source: 68 FR 47160, Aug. 7, 2003, unless otherwise noted. This part establishes uniform policies and procedures for the DoD Components' award and administration of technology investment agreements (TIAs).