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Title 32 Part 37

Title 32 → Subtitle A → Chapter I → Subchapter C → Part 37

Electronic Code of Federal Regulations e-CFR

Title 32 Part 37

Title 32Subtitle AChapter ISubchapter CPart 37


TITLE 32—National Defense

Subtitle A—DEPARTMENT OF DEFENSE

CHAPTER I—OFFICE OF THE SECRETARY OF DEFENSE

SUBCHAPTER C—DoD GRANT AND AGREEMENT REGULATIONS

PART 37—TECHNOLOGY INVESTMENT AGREEMENTS

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Subpart A—GENERAL

§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?
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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?
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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?
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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?
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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?
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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?
§37.645
Must I require periodic 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?
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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?
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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?
§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 §37.1030(b)?
§37.1040
When and how do I report information required by §37.1035?

Distributing Copies of the Award Document

§37.1045
To whom must I send copies of the award document?
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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?
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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.
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Appendix
Appendix A to Part 37—What Is the Civil-Military Integration Policy That Is the Basis for Technology Investment Agreements?
Appendix
Appendix B to Part 37—What Type of Instrument Is a TIA and What Statutory Authorities Does It Use?
Appendix
Appendix C to Part 37—What Is the Desired Coverage for Periodic Audits of For-Profit Participants To Be Audited by IPAs?
Appendix
Appendix D to Part 37—What Common National Policy Requirements May Apply and Need To Be Included in TIAs?
Appendix
Appendix E to Part 37—What Provisions May a Participant Need To Include When Purchasing Goods or Services Under a TIA?