Award Terms and Conditions

FUNDING OPPORTUNTITY ANNOUNCEMENT G23AS00160
ATTACHMENT D
2023 Mineral Resources Program Earth MRI Mine Waste
Award Terms and Conditions
Acceptance of a Federal Financial Assistance award from the Department of the Interior (DOI) carries with
it the responsibility to be aware of and comply with the terms and conditions of award. Acceptance is
defined as the start of work, drawing down funds, or accepting the award by signature or electronic means.
Awards are based on the application submitted to and approved by DOI and are subject to the terms and
conditions incorporated either directly or by reference below.
1. Method of Payment
Payments under financial assistance awards must be made using the Department of the Treasury
Automated Standard Application for Payments (ASAP) system (www.asap.gov).
(a) The Recipient agrees that it has established or will establish an account with ASAP. USGS will
initiate enrollment in ASAP. If the Recipient does not currently have an ASAP account, they must
designate an individual (name, title, address, phone and e-mail) who will serve as the Point of Contact
(POC).
(b) With the award of each grant/cooperative agreement, a sub-account will be set up from which the
Recipient can draw down funds. After Recipients complete enrollment in ASAP and link their
banking information to the USGS ALC (14080001), it may take up to 10 days for sub-accounts to be
activated and for funds to be authorized for drawdown in ASAP.
(c) Inquiries regarding payment should be directed to ASAP at 855-868-0151.
(d) Payments may be drawn in advance only as needed to meet immediate cash disbursement needs.
Payment for Foreign Recipients
A waiver has been granted by the Associate Director for Administrative Policy and Services because this
award involves payments to a foreign Recipient.
(a) Payment will be made by wire transfer utilizing the International Treasury Services through Treasury
upon receipt of a properly prepared SF 270, Request for Advance or Reimbursement. Foreign
recipients are required to provide bank wiring instructions in order to facilitate payments. Submit the
SF 270 form to the address specified in D.1. Requests should be submitted on a quarterly basis.
Request for the entire award amount will be denied.
(b) Payments may be drawn in advance only as needed to meet immediate cash disbursement needs.

2. Assistance Administrative Information
(a) Contracting Officer
This Assistance Award will be administered by:
U.S. Geological Survey
Office of Acquisition and Grants
12201 Sunrise Valley Drive, MS205
Reston, VA 20192
Margaret Eastman, Contracting Officer
Phone: (703) 648-7366
E-mail: mrussell@usgs.gov
The Contracting Officers are individuals who have been delegated in writing by the USGS Office of
Acquisition and Grants as the sole authority designated to obligate Federal funds and create terms and
conditions of awards. They are the only individuals who have authority to negotiate, enter into, and
administer awards resulting for this program. Contracting officers have responsibility to ensure the
effective use of Federal funds.

Written communications shall make reference to the Assistance Award number and shall be mailed
(or emailed) to the above address.
(b) Cooperative Agreement Program Manager
The Cooperative Agreements Program Manager will work closely with the Principal
Investigator to ensure that all technical requirements are being met. Cooperative Agreement
Program Manager responsibilities include, but are not limited to, providing technical advice on
the accomplishment of the proposal's goals; reviewing the technical content of reports and the
other information delivered to the USGS; determining the adequacy of technical reports; and
conducting site visits, in coordination with the Contracting Officer, as frequently as practicable.
The Cooperative Agreement Program Manager is Darcy McPhee, U.S. Geological Survey, Mail
Stop 913, Reston, VA, 20192.

(c) Minerals Resources Program Coordinator
The acting Mineral Resources Program Coordinator is Colin Williams, U.S. Geological Survey,
US Geological Survey, Building 19, 350 N. Akron Rd., P.O. Box 158, Moffett Field, CA 94035.
The Program Coordinator does not have the authority to issue any technical direction which
constitutes an assignment of additional work outside the scope of the award; in any manner cause
a change in the total cost or the time required for performance of the award; or change any of the
terms, conditions, or general provisions of the award.

3. Reporting Requirements
(a) Requirement reports/documents
The Principal Investigator or Director, Sponsored Research Office is required to submit the following reports or
documents:

Report/Document
(1) Priority 1:
National Mine Waste
Inventory Records

(2) Priority 2:
Mine Waste
Characterization
(3) Semi-Annual
Progress Report
(4) Final Technical
Report

(5) Publications*

(6) Annual SF-425
Financial Status
Report
(7) Final SF-425
*

Method of
Transmittal
See Section 3(b)(1)
below.

Submit To

When Due

See Section 3(b)(1)
below.

90 calendar day after
the end of the
performance period.
See Section 3(b)(1)
below.
See Section 3(b)(2)
below.

See Section 3(b)(2)
below.

See Section 3(b)(2)
below.

See Section 3(b)(3)
below.
Adobe Acrobat PDF
file as an email
attachment to
minerals@usgs.gov,
Program Officer, and
copy of transmittal to
the CO
See Section 3(b)(5)
below.

See Section 3(b)(3)
below.
minerals@usgs.gov.
and Program Office,
and copy of
transmittal to CO

See Section 3(b)(3)
below.
90 calendar day after
the end of the
performance period.

Submit an Adobe
Acrobat PDF file of
publications to:
Program Officer

Immediately
following
publication.

Electronic
Submission
Electronic
Submission

See Section 3(b)(5)
below.
USGS Contracting
Officer at email in
address at 2(a) above
USGS Contracting
Officer at email in
address at 2(a) above

See Section 3(b)(4)
below.

See Section 3(b)(5)
below.
See Section 3(b)(6)
See Section 3(b)(7)

Publication means any book, report, photograph, map, chart, or recording published or
disseminated to the scientific community. Preprints of articles accepted for publications will be
accepted as final reports.

(b) Report Preparation Instructions

The recipient shall prepare the reports/documents listed above in accordance with the following
instructions:
(1) Priority 1: National Mine Waste Inventory: The USGS’ mineral deposit database project
(USMIN) provides a template of the ArcGIS database, documentation, and training material, and
then meets with state agencies to provide training on how to populate records. Based on this
information:

(A)

States populate records for 5 mine waste features. USMIN then checks those
5 records, and then provides feedback to the states on those records, noting
which fields are populated correctly, and which fields need to be corrected.

(B)

Based on that feedback, states then populate records for 20 additional mine
waste features. USMIN then checks those 20 records, and then provides
feedback to the states on those records, noting which fields are populated
correctly, and which fields need to be corrected.

(C)

States incorporate that feedback to populate records for additional mine waste
features.

(D)

A brief (1-2 pages) report describing the process and summarizing what was
submitted is required upon project completion. This information can be
incorporated in the Final Technical Report (see section 3(b)(4) below).

(E)

All records are submitted as a single ArcGIS database to
USMIN@usgs.gov within 90 days after the end of the period of
performance.

(2) Priority 2: Mine Waste Characterization:

(A)

(B)

Final interpretive report, including methods and data sets used for calculating
volume and resource estimates. Report must be provided as a peer-reviewed
state publication. Note: Published final interpretive report is separate and in
addition to the Final Technical Report (see Section 3(b)(4) below).
Digital archive of field sheets submitted to Program Manager.

(3) Semi-Annual Progress Reports: The recipient shall submit semi-annual progress reports via email
to the USGS Program Officer. Semi-annual progress reports should be submitted at six month
increments from the start of the period of performance. A semi-annual progress report is not
required for the final 6-month period, unless the Recipient requests an extension to the project
period.
(4) Final Technical Report: The final technical report must document and summarize the results of
the work and is limited to no more than five pages. This report must summarize Priority 1
and/or Priority 2 work. This report must contain a comparison of actual accomplishments to
the goals established for the period; reasons why established goals were not met, if applicable;
and other pertinent information. The final report must be submitted within 90 calendar days
after the end of the performance period as follows:

(A) Submit the final technical report electronically as an Adobe Acrobat PDF file email
attachment to minerals@usgs.gov and the Program Officer, with a copy of the
transmittal sent to the Contracting Officer at mrussell@usgs.gov;
(B) Final technical report shall consist of the following sections:
(i) Cover page with the following information:
a.
Award Number;
b.
Title;
c.
Author and affiliation with address and zip code;
d.
Author’s telephone number and email address;
e.
Term covered by the award (start and end dates);
f.
Submittal date of the final technical report; and
g.
Abstract.
(ii) Main body of the report with the
following information:

a.
b.
c.

Comparison of actual accomplishments
to the goals established for the period;
If established goals were not met,
explanation of circumstances and
impediments;
Required: 500-word summary with
specific examples of user success stories
and/or other societal benefits that
highlight accomplishments in this
project. A png image, 300 DPI or
greater, is required to capture the essence
of the project. Please note the summary
and image may be shared in new
releases, communications, or websites as
examples of success stories and project
types.

The final technical report is limited to no more than five pages. The final technical report must be
submitted with 90 days after the end of the cooperative agreement period of performance. Failure to
submit a final technical report may hinder receipt of future MRP funds. Final technical reports shall be
submitted electronically to the MRP email box: minerals@usgs.gov. A courtesy copy shall be
submitted to the Contracting Officer at mrussell@usgs.gov.
(5) Publications:2
(A) Acknowledgment of Support
Recipient is responsible for assuring that an acknowledgment of USGS support:
1. is made in the Final Technical Report and in any publication (including World Wide Web pages) of
any material based on or developed under this Agreement, in the following terms:
“This material is based upon work supported by the U.S. Geological Survey under Grant No. (insert

award number).”
2. is orally acknowledged during all news media interviews, including popular media such as radio,
television and newsmagazines.

(B) Disclaimer
Recipient is responsible for assuring that every Final Technical report and also every
publication of material (including World Wide Web pages) based on or developed under this
grant, contains the following disclaimer:
“The views and conclusions contained in this document are those of the authors
and should not be interpreted as representing the opinions or policies of the U.S.
Geological Survey. Mention of trade names or commercial products does not
constitute their endorsement by the U.S. Geological Survey.”
(C) USGS Logo
Use of the USGS logo (also known as "visual identity" or "identifier") constitutes the recipient’s
agreement to and acceptance of the following terms:
The USGS identifier is trademarked and not in the public domain.
Use of the trademarked USGS identifier is authorized by USGS for use only by recipients of
USGS funding.
• Use is authorized on information products that result from research funded by the financial
assistance award.
• Use the USGS identifier for any other purpose without written permission from
USGS is prohibited; doing so constitutes trademark infringement.
• Recipient will adhere to the design requirements, which are as follows:
o The USGS identifier must appear in black, white, or green only.
o The USGS identifier cannot be modified in any way except for proportional sizing.
o The USGS identifier should appear at the same size as logos of other agencies, if
any.
o If used on a digital product, the USGS identifier should link to www.usgs.gov
Publication
•
•

(D)

Publication of the results of any project carried out under this assistance award is authorized in
professional journals, trade magazines, or may be made by the USGS. Such manuscripts or publications
submitted to journals or professional publications for publication shall be accompanied by the
following notation:
“This manuscript is submitted for publication with the understanding that the United States
Government is authorized to reproduce and distribute reprints for Governmental purposes.”
(E) Copies for USGS
One copy of each article planned for publication shall be submitted to the USGS Project Officer

simultaneously with its submission for publication. One reprint of each published article shall be
submitted to the USGS Project Office immediately following publication.
Submit an Adobe Acrobat PDF file of publications to: gd-erp-coordinator@usgs.gov

(F) Department of the Interior Requirements
Two copies of each publication produced under a Grant or Cooperative Agreement shall be sent to the
Natural Resources Library with a transmittal that identifies the sender and the publication. The address
of the library is:
U.S. Department of the Interior
Natural Resources Library
Division of Information and Library Services
Gifts and Exchange Section
18th and C Streets, NW
Washington, DC 20240
(6) Annual Financial Reports
The recipient will submit annual STANDARD FORM 425, FEDERAL FINANCIAL REPORT(S) for
each individual USGS award. The SF-425 is available at - https://www.grants.gov/web/grants/forms/postaward-reporting-forms.html. The SF-425 will be due ninety (90) calendar days after the grant year (i.e.,
12 months after the approved effective date of the grant agreement and every 12 months thereafter until
the expiration date of the grant agreement). USGS acknowledges that this annual reporting schedule may
not always correspond with a specific budget period. The SF-425 must be submitted electronically to the
Contracting Officer at the address in Section 2.A above. If after 90 days, the recipient has not submitted a
report, the recipient’s account in ASAP will be placed in a manual review status until the report is
submitted.
(7) Final Financial Report.
(a) The recipient will liquidate all obligations incurred under the award and submit a final
STANDARD FORM 425, FEDERAL FINANCIAL REPORT to the Contracting Officer at the
email address in 2.A above no later than 90 calendar days after the grant completion date. The
SF-425 is available at - https://www.grants.gov/web/grants/forms/post-award-reportingforms.html. Recipient will promptly return any unexpended federal cash advances or will
complete a final draw from ASAP to obtain any remaining amounts due. Once 120 days has
passed since the grant completion date, the ASAP subaccount for this award may be closed by
USGS at any time.
(b) Subsequent revision to the final SF 425 will be considered only as follows
(i) When the revision results in a balance due to the Government, the recipient must
submit a revised final Federal Financial Report (SF 425) and refund the excess
payment whenever the overcharge is discovered, no matter how long the lapse of time
since the original due date of the report.

(ii) When the revision represents additional reimbursable costs claimed by the recipient,
a revised final SF 425 may be submitted to the Contracting Officer with an
explanation. If approved, the USGS will either request and pay a final invoice or
reestablish the ASAP subaccount to permit the recipient to make a revised final draw.
Any revised final report representing additional reimbursable amounts must be
submitted no later than 1 year from the due date of the original report, i.e., 15 months
following the agreement completion date. USGS will not accept any revised SF 425
covering additional expenditures after that date and will return any late request for
additional payment to the recipient.
4. Adherence to Reporting Requirement.
A Recipient's failure to submit the required Final Technical Report and/or final financial report by
the due dates noted above will likely result in delay or non-issuance of new awards. Failure to
submit a Progress Report for multi-year awards will likely result in delayed renewal of funds.
5. Revision and Prior Approvals
(a) Any commitments or expenditures incurred by the Recipient in excess of the funds provided by this
award shall be the responsibility of the Recipient. Expenditures incurred prior to the effective date of this
award cannot be charged against award funds.
(b) Modifications to this Agreement shall generally be executed by mutual written consent of the
parties, with the exception of certain purely administrative changes that may be executed
unilaterally by the USGS. Recipients may make certain limited budgetary and programmatic
changes without prior USGS approval as outlined in 2 CFR 200.308 and 200.407. Any proposed
change which requires prior written approval of the USGS shall be submitted in writing to the
mrussell@usgs.gov (see 2(a) above) at least thirty (30) days prior to the requested effective date
of the proposed change. The USGS will respond to the change request within thirty (30) days of
receipt. The following requests for change require advance written approval by the Contracting Officer:

i) Extensions. Recipients are specifically advised that requests for extension or other change to
the budget or project period(s) require prior written approval. Such requests must be
submitted as outlined above and be accompanied by a statement supporting the extension and
a revised budget indicating the planned use of all unexpended funds during the proposed
extension period.
ii) Transfer of Funds. Recipients are specifically advised that prior written approval of the
USGS Grants Management Official is not required for transfer of funds between direct cost
categories when the cumulative amount of the transfer during the performance period does
not exceed ten percent (10%) of the total USGS award. Prior written approval is required
from the USGS Grants Management Official for transfers of funds in excess of the ten
percent limitation.
iii) Carry Forward of Funds. Recipients are specifically advised that prior written approval by
the USGS Grants Management Official is required to carry forward unobligated balances to
subsequent budget periods. It is expected that funds be expended during the budget period

for which they are obligated. The request must include the amount of funds to be carried
over, why the carry-over of funds is necessary, and for how long the funds should be carried
over.

6. Preagreement Costs
The Recipient is not authorized to incur costs prior to the award of this Agreement. Costs incurred
prior to the award of this agreement are not allowable.
7. Government Furnished Equipment or Equipment Authorized for Purchase
Title to equipment acquired wholly or in part with Federal funds shall be vested in the Recipient unless
otherwise specified in the award document. The Recipient shall retain control and maintain an
inventory of such equipment as long as there is a need for such equipment to accomplish the purpose of
the project, whether or not the project continues to be supported by Federal funds. When there is no
longer a need for such equipment to accomplish the purpose of the project, the Recipient shall use the
equipment in connection with other Federal awards the Recipient has received. Disposal of equipment
shall be in accordance with 2 CFR 200.313.
The following equipment will be vested with the Recipient: Handheld sensors such as X-ray
Fluorescence (XRF) Analyzers and other meters (including but not limited to multi-parameter pH,
conductivity, and field water quality meters). Also, other equipment, as specified and detailed by the
Recipient, may be required to accomplish the purpose of the project.
(8) General Provisions
(a) Administrative Requirements
The Recipient shall be subject to the following regulations, which are incorporated herein by reference.
Copies of these regulations can be obtained from the Internet at: https://www.ecfr.gov/
2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for
Federal Awards, as implemented by the Department of the Interior in 2 CFR Part 1402 and 43 CFR
Part 12.
(b) Department of the Interior Standard Terms and Conditions
The Recipient shall be subject to the Department of the Interior Standard Terms and Conditions which are
incorporated herein by reference and available on the Internet at: https://www.doi.gov/grants/doistandard-terms-and-conditions
(c) Additional Terms and Conditions
(i) Research Integrity
(A) USGS requires that all grant or cooperative agreement Recipient organizations adhere to the
Federal Policy on Research Misconduct, Office of Science and Technology Policy, December

6, 2000, 65 Federal Register (FR) 76260. The Federal Policy on Research Misconduct outlines
requirements for addressing allegations of research misconduct, including the investigation,
adjudication, and appeal of allegations of research misconduct and the implementation of
appropriate administrative actions.
(B) The Recipient must promptly notify the USGS Project Office when research misconduct that
warrants an investigation pursuant to the Federal Policy on Research Misconduct is alleged.
(ii) Data Availability
(A) Applicability. The Department of the Interior is committed to basing its decisions on the best
available science and providing the American people with enough information to thoughtfully
and substantively evaluate the data, methodology, and analysis used by the Department to
inform its decisions.
(B) Use of Data. The regulations at 2 CFR 200.315 apply to data produced under a Federal award,
including the provision that the Federal Government has the right to obtain, reproduce, publish,
or otherwise use the data produced under a Federal award as well as authorize others to receive,
reproduce, publish, or otherwise use such data for Federal purposes.
(C) Availability of Data. The recipient shall make the data produced under this award and any
subaward(s) available to the Government for public release, consistent with applicable law, to
allow meaningful third party evaluation and reproduction of the following:
a. The scientific data relied upon;
b. The analysis replied upon; and
c. The methodology, including models, use to gather and analyze the data.
(iii) Conflict of Interest
(A) Applicability.
a. This section intends to ensure that non-Federal entities and their employees take
appropriate steps to avoid conflicts of interest in their responsibilities under or with
respect to Federal financial assistance agreements.
b. In the procurement of supplies, equipment, construction, and services by recipients and
by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.
(B) Requirements.
a. Non-Federal entities must avoid prohibited conflicts of interest, including any
significant financial interests that could cause a reasonable person to question the
recipient’s ability to provide impartial, technically sound, and objective performance
under or with respect to a Federal financial assistance agreement.
b. In addition to any other probations that may apply with respect to conflicts of interest,
no key official of an actual or proposed recipient or subrecipient, who is substantially
involved in the proposal or project, may have been a former Federal employee who,
within the last one (1) year, participated personally and substantially in the evaluation,
award, or administration of an award with respect to that recipient or subrecipient or in
development of the requirement leading to the funding announcement.

c. No actual or prospective recipient or subrecipient may solicit, obtain, or use non-public
information regarding the evaluation, award, or administration of an award to that
recipient or subrecipient or the development of a Federal financial assistance
opportunity that may be of competitive interest to that recipient or subrecipient.

(C) Notification.
a. Non-Federal entities, including applicants for financial assistance awards, must disclose
in writing any conflict of interest to the DOI awarding agency or pass-through entity in
accordance with 2 CFR 200.112, Conflicts of Interest.
b. Recipients must establish internal controls that include, at a minimum, procedures to
identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient
is responsible for notifying the USGS Grants Management Official in writing of any
conflicts of interest that may arise during the life of the award, including those that have
been reported by subrecipients.

(D) Restrictions on Lobbying. Non-Federal entities are strictly prohibited from using funds under
this grant or cooperative agreement for lobbying activities and must provide the required
certifications and disclosures pursuant to 43 CFR Part 18 and 31 USC 1352.
(E) Review Procedures. The USGS Grants Management Official will examine each conflict
of interest disclosure on the basis of its particular facts and the nature of the proposed
grant or cooperative agreement, and will determine whether a significant potential
conflict exists and, if it does, develop and appropriate means for resolving it.
(F) Enforcement. Failure to resolve conflicts of interest in a matter that satisfies the
Government may be cause for termination of the award. Failure to make required
disclosures may result in any of remedies described in 2 CFR 200.338, Remedies for
Noncompliance, including suspension or debarment (see also 2 CFR Part 180).
(iv) Program Income
(A) If the Recipient is an educational institution or nonprofit research organization, any other
program income will be added to funds committed to the project by the Federal awarding
agency and Recipient and be used to further eligible project or program objectives, as described
in 2 CFR 200.307(e)(2).
(B) For all other types of Recipients, any other program income will be deducted from total
allowable costs to determine the net allowable costs before calculating the Government's share
of reimbursable costs, as provided in 2 CFR 200.307(e)(1).
The following award term applies if the recipient is an individual, small business, non-profit organization,
university or other institution of higher education. This award term does not apply to State, Local or
Tribal governments or foreign entities.
(v) Patent Rights (37 CFR § 401.14)

Unless otherwise provided in the Agreement, if this Agreement is for experimental, developmental, or
research work, the following clause (implementing the Bayh-Dole Act, [35 U.S.C. § 200 et seq.])
shall apply. The recipient shall include this clause in all subawards for experimental, developmental,
or research activities.

a. Definitions
1. INVENTION means any invention or discovery which is or may be patentable or otherwise
protectable under Title 35 of the USC, to any novel variety of plant which is or may be
protected under the Plant Variety Protection Act (7 U.S.C. § 2321 et seq.).
2. SUBJECT INVENTION means any invention of the recipient conceived or first actually
reduced to practice in the performance of work under this Agreement, provided that in the
case of a variety of plant, the date of determination (as defined in section 41(d)) must also
occur during the period of performance.
3. PRACTICAL APPLICATION means to manufacture in the case of a composition or product,
to practice in the case of a process or method, or to operate in the case of a machine or
system; and, in each case, under such conditions as to establish that the invention is being
utilized and that its benefits are to the extent permitted by law or Government regulations
available to the public on reasonable terms.
4. MADE when used in relation to any invention means the conception or first actual reduction
to practice of such invention.
5. SMALL BUSINESS FIRM means a small business concern as defined at section 2 of Pub. L.
85–536 (15 U.S.C. 632) and implementing regulations of the Administrator of the Small
Business Administration. For the purpose of this clause, the size standards for small business
concerns involved in government procurement and subcontracting at 13 CFR 121.3–8 and 13
CFR 121.3–12, respectively, will be used.
6. NON-PROFIT ORGANIZATION means a domestic university or other institution of higher
education or an organization of the type described in Section 501(c)(3) of the Internal
Revenue Code of 1954 (26 U.S.C. § 501(c)) and exempt from taxation under Section 501(a)
of the Internal Revenue Code (26 U.S.C. § 501(a)) or any domestic non-profit scientific or
educational organization qualified under a State non-profit organization statute. b. Allocation
of Principal Rights The recipient may retain the entire right, title, and interest throughout the
world to each subject invention subject to the provisions of this Patent Rights clause and 35
U.S.C. § 203. With respect to any subject invention in which the recipient retains title, the
Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license
to practice or have practiced for or on behalf of the U.S. the subject invention throughout the
world. If the Agreement indicates it is subject to an identified international agreement or
treaty, the U.S. Geological Survey (USGS) also has the right to direct the recipient to convey
to any foreign participant such patent rights to subject inventions as are required to comply
with that agreement or treaty.
b. Allocation of Principal Rights
1. The recipient may retain the entire right, title, and interest throughout the world to each
subject invention solely made by recipient subject to the provisions of this Patent Rights
clause, including (2) below, 35 U.S.C. §§ 202, 203 and 37 CFR § 401.14. Inventions made
under this Agreement jointly by USGS and recipient will be jointly owned by both parties.
However, where a USGS employee is a coinventor, the USGS may, for the purpose of
consolidating rights in the invention and if it finds that it would expedite the development of
the invention:

(a) license or assign whatever rights it may acquire in the subject invention to the nonprofit
organization, small business firm, or non-Federal inventor in accordance with the
provisions of this chapter; or
(b) acquire any rights in the subject invention from the nonprofit organization, small business
firm, or non-Federal inventor, but only to the extent the party from whom the rights are
acquired voluntarily enters into the transaction and no other transaction under this chapter
is conditioned on such acquisition.
With respect to any subject invention in which the recipient retains title, the Federal
Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to
practice or have practiced for or on behalf of the U.S. the subject invention throughout the
world. If the Agreement indicates it is subject to an identified international agreement or
treaty, the U.S. Geological Survey (USGS) also has the right to direct the recipient to convey
to any foreign participant such patent rights to subject inventions as are required to comply
with that agreement or treaty.
2. If the recipient performs services at a Government owned and operated laboratory or at a
Government owned and recipient operated laboratory directed by the Government to fulfill
the Government's obligations under a Cooperative Research and Development Agreement
(CRADA) authorized by 15 U.S.C. 3710a, the Government may require the recipient to
negotiate an agreement with the CRADA collaborating party or parties regarding the
allocation of rights to any subject invention the recipient makes, solely or jointly, under the
CRADA. The agreement shall be negotiated prior to the recipient undertaking the CRADA
work or, with the permission of the Government, upon the identification of a subject
invention. In the absence of such an agreement, the recipient agrees to grant the collaborating
party or parties an option for a license in its inventions of the same scope and terms set forth
in the CRADA for inventions made by the Government.
c. Invention Disclosure, Election of Title and Filing of Patent Applications by Recipient
1. The recipient will disclose each subject invention to USGS within two months after the
inventor discloses it in writing to recipient personnel responsible for the administration of
patent matters. The disclosure to USGS shall be in the form of a written report and shall
identify the Agreement under which the invention was made and the inventor(s). It shall be
sufficiently complete in technical detail to convey a clear understanding of the nature,
purpose, operation, and, to the extent known, the physical, chemical, biological or electrical
characteristics of the invention. The disclosure shall also identify any publication, on sale or
public use of the invention, whether a manuscript describing the invention has been submitted
for publication and, if so, whether it has been accepted for publication, at the time of
disclosure. In addition, after disclosure to USGS, the recipient will promptly notify USGS of
the acceptance of any manuscript describing the invention for publication, or of any on sale
or public use planned by the recipient.
2. The recipient will elect in writing whether or not to retain title to any such invention by
notifying USGS within two years of disclosure to USGS. However, in any case where
publication, on sale, or public use has initiated the one-year statutory period wherein valid
patent protection can still be obtained in the U.S., the period for election of title may be
shortened by USGS to a date that is no more than 60 days prior to the end of the statutory
period.
3. The recipient will file its initial patent application on an invention to which it elects to retain
title within one year after election of title or, if earlier, prior to the end of any statutory period
wherein valid patent protection can be obtained in the U.S. after a publication, on sale, or
public use. The recipient will file patent applications in additional countries or international

patent offices within either ten months of the corresponding initial patent application, or six
months from the date when permission is granted by the Commissioner of Patents and
Trademarks to file foreign patent applications when such filing has been prohibited by a
Secrecy Order.
4. Requests for extension of the time for disclosure to USGS, election, and filing under
subparagraphs 1., 2., and 3. may, at the discretion of USGS, be granted.
d. Conditions When the Government May Obtain Title
The recipient will convey to USGS, upon written request, title to any subject invention:
1. if the recipient fails to disclose or elect the subject invention within the times specified in
paragraph c. above, or elects not to retain title, provided that USGS may only request title
within 60 days after learning of the failure of the recipient to disclose or elect within the
specified times;
2. in those countries in which the recipient fails to file patent applications within the times
specified in paragraph c. above, but prior to its receipt of the written request of USGS, the
recipient shall continue to retain title in that country; or in any country in which the recipient
decides not to continue the prosecution of any application for, to pay the maintenance fees on,
or defend in a reexamination or opposition proceeding on, a patent on a subject invention.
e. Minimum Rights to Recipient
1. The recipient will retain a non-exclusive royalty-free license throughout the world in each
subject invention to which the Government obtains title, except if the recipient fails to
disclose the subject invention within the times specified in paragraph c. above. The
recipient’s license extends to its domestic subsidiaries and affiliates, if any, within the
corporate structure of which the recipient is a party and includes the right to grant sublicenses
of the same scope to the extent the recipient was legally obligated to do so at the time the
Agreement was made. The license is transferable only with the approval of USGS except
when transferred to the successor of that part of the recipient’s business to which the
invention pertains.
2. The recipient’s domestic license may be revoked or modified by USGS to the extent
necessary to achieve expeditious practical application of the subject invention pursuant to an
application for an exclusive license submitted in accordance with applicable provisions at 37
CFR Part 404. This license will not be revoked in that field of use or the geographical areas in
which the recipient has achieved practical application and continues to make the benefits of
the invention reasonably accessible to the public. The license in any foreign country may be
revoked or modified at discretion of USGS to the extent the recipient, its licensees, or its
domestic subsidiaries or affiliates have failed to achieve practical application in that foreign
country.
3. Before revocation or modification of the license, USGS will furnish the recipient a written
notice of its intention to revoke or modify the license, and the recipient will be allowed thirty
days (or such other time as may be authorized by USGS for good cause shown by the
recipient) after the notice to show cause why the license should not be revoked or modified.
The recipient has the right to appeal, in accordance with applicable regulations in 37 CFR
Part 404 concerning the licensing of Government-owned inventions, any decision concerning
the revocation or modification of its license.
f.

Recipient Action to Protect Government’s Interest
1. The recipient agrees to execute or to have executed and promptly deliver to USGS all
instruments necessary to: (i) establish or confirm the rights the Government has throughout
the world in those subject inventions for which the recipient retains title; and (ii) convey title

2.

3.

4.

5.

to USGS when requested under paragraph d. above, and to enable the Government to obtain
patent protection throughout the world in that subject invention.
The recipient agrees to require, by written agreement, its employees, other than clerical and
non-technical employees, to disclose promptly in writing to personnel identified as
responsible for the administration of patent matters and in a format suggested by the recipient
each subject invention made under this Agreement in order that the recipient can comply with
the disclosure provisions of paragraph c. above, and to execute all papers necessary to file
patent applications on subject inventions and to establish the Government’s rights in the
subject inventions. The disclosure format should require, as a minimum, the information
requested by paragraph c.1 above. The recipient shall instruct such employees through the
employee agreements or other suitable educational programs on the importance of reporting
inventions in sufficient time to permit the filing of patent applications prior to U.S. or foreign
statutory bars.
The recipient will notify USGS of any decision not to continue prosecution of a patent
application, pay maintenance fees, or defend in a reexamination or opposition proceeding on
a patent, in any country, not less than 30 days before the expiration of the response period
required by the relevant patent office.
The recipient agrees to include, within the specification of any U.S. patent application and
any patent issuing thereon covering a subject invention, the following statement: “This
invention was made with Government support under (identify the Agreement) awarded by the
U.S. Geological Survey. The Government has certain rights in this invention.”
The recipient or its representative will complete, execute and forward to USGS a
confirmation of a License to the U.S. Government and the page of a United States patent
application that contains the Federal support clause within two months of filing any domestic
or foreign patent application.

g. Subcontracts
1. The recipient will include this Patent Rights clause, suitably modified to identify the parties,
in all subcontracts, regardless of tier, for experimental, developmental or research work. The
subcontractor will retain all rights provided for the recipient in this Patent Rights clause, and
the recipient will not, as part of the consideration for awarding the subcontract, obtain rights
in the subcontractors’ subject inventions.
2. In the case of subcontracts, at any tier, when the prime award by USGS was a contract (but
not a cooperative agreement), USGS, subcontractor, and contractor agree that the mutual
obligations of the parties created by this Patent Rights clause constitute a contract between
the subcontractor and the Foundation with respect to those matters covered by this Patent
Rights clause.
h. Reporting on Utilization of Subject Inventions
The recipient agrees to submit on request periodic reports no more frequently than annually on
the utilization of a subject invention or on efforts at obtaining such utilization that are being made
by the recipient or its licensees or assignees. Such reports shall include information regarding the
status of development, date of first commercial sale or use, gross royalties received by the
recipient and such other data and information as USGS may reasonably specify. The recipient
also agrees to provide additional reports in connection with any march-in proceeding undertaken
by USGS in accordance with paragraph j. of this Patent Rights clause. As required by 35 U.S.C. §
202(c)(5), USGS agrees it will not disclose such information to persons outside the Government
without the permission of the recipient.
i.

Preference for United States Industry

Notwithstanding any other provision of this Patent Rights clause, the recipient agrees that neither
it nor any assignee will grant to any person the exclusive right to use or sell any subject invention
in the U.S. unless such person agrees that any products embodying the subject invention or
produced through the use of the subject invention will be manufactured substantially in the U.S.
However, in individual cases, the requirement for such an agreement may be waived by USGS
upon a showing by the recipient or its assignee that reasonable but unsuccessful efforts have been
made to award licenses on similar terms to potential licensees that would be likely to manufacture
substantially in the U.S. or that under the circumstances domestic manufacture is not
commercially feasible.
j.

March-in Rights
The recipient agrees that with respect to any subject invention in which it has acquired title,
USGS has the right in accordance with procedures at 37 CFR § 401.6 and USGS regulations at 45
CFR § 650.13 to require the recipient, an assignee or exclusive licensee of a subject invention to
grant a non-exclusive, partially exclusive, or exclusive license in any field of use to a responsible
applicant or applicants, upon terms that are reasonable under the circumstances and if the
recipient, assignee, or exclusive licensee refuses such a request, USGS has the right to grant such
a license itself if USGS determines that:
1. such action is necessary because the recipient or assignee has not taken or is not expected to
take within a reasonable time, effective steps to achieve practical application of the subject
invention in such field of use;
2. such action is necessary to alleviate health or safety needs which are not reasonably satisfied
by the recipient, assignee, or their licensees;
3. such action is necessary to meet requirements for public use specified by Federal regulations
and such requirements are not reasonably satisfied by the recipient, assignee, or licensee; or
4. such action is necessary because the agreement required by paragraph i. of this Patent Rights
clause has not been obtained or waived or because a licensee of the exclusive right to use or
sell any subject invention in the U.S. is in breach of such agreement.

k. Special Provisions for Agreements with Non-profit Organizations
If the recipient is a nonprofit organization, it agrees that:
1. rights to a subject invention in the U.S. may not be assigned without the approval of USGS,
except where such assignment is made to an organization which has as one of its primary
functions the management of inventions, provided that such assignee will be subject to the
same provisions as the recipient;
2. the recipient will share royalties collected on a subject invention with the inventor, including
Federal employee co-inventors (when USGS deems it appropriate) when the subject
invention is assigned in accordance with 35 U.S.C. § 202(e) and 37 CFR § 401.10;
3. the balance of any royalties or income earned by the recipient with respect to subject
inventions, after payment of expenses (including payments to inventors) incidental to the
administration of subject inventions, will be utilized for the support of scientific or
engineering research or education; and
4. it will make efforts that are reasonable under the circumstances to attract licensees of subject
inventions that are small business firms and that it will give preference to a small business
firm if the recipient determines that the small business firm has a plan or proposal for
marketing the invention which, if executed, is equally likely to bring the invention to
practical application as any plans or proposals from applicants that are not small business
firms; provided that the recipient is also satisfied that the small business firm has the
capability and resources to carry out its plan or proposal. The decision whether to give a
preference in any specific case will be at the discretion of the recipient. However, the
recipient agrees that the Secretary of Commerce may review the recipient’s licensing

program and decisions regarding small business applicants, and the recipient will negotiate
changes to its licensing policies, procedures or practices with the Secretary when the
Secretary’s review discloses that the recipient could take reasonable steps to implement more
effectively the requirements of this paragraph k.4.
l.

Communications
All communications required by this Patent Rights clause must be submitted through the Office
of Policy and Analysis (OPA), U.S. Geological Survey, Reston, VA
20192, gs_usgs_patents@usgs.gov.

(9) Special Provisions
(A) Geospatial Requirements
Geospatial Data Act of 2018, Pub. L. 115-254, Subtitle F – Geospatial Data §§ 751-759C codified at 43
U.S.C. §§ 2801– 2811 – Federal recipient collection of geospatial data through the use of the
Department of the Interior financial assistance funds requires a due diligence search at the
GeoPlatform.gov list of datasets to discover whether the needed geospatial-related data, products, or
services already exist. If the required data set already exists, the recipient must use it. If the required
data is not already available, the recipient must produce the proposed geospatial data, products, or
services in compliance with applicable proposed guidance and standards established by the Federal
Geospatial Data Committee (FGDC) posted to www.fgdc.gov.
2 CFR 1402.315 Availability of Data
(a) All data, methodology, factual inputs, models, analyses, technical information, reports, conclusions,
valuation products or other scientific assessments in any medium or form, including textual, numerical,
graphic, cartographic, narrative, or audiovisual, resulting from a financial assistance agreement is
available for use by the Department of the Interior, including being available in a manner that is
sufficient for independent verification.
(b) The Federal Government has the right to:
(1) Obtain, reproduce, publish, or otherwise use the data, methodology, factual inputs, models,
analyses, technical information, reports, conclusions, or other scientific assessments, produced under a
Federal award; and
(2) Authorize others to receive, reproduce, publish, or otherwise use such data, methodology, factual
inputs, models, analyses, technical information, reports, conclusions, or other scientific assessments, for
Federal purposes, including to allow for meaningful third-party evaluation.
(c) Bureaus and offices of the Department of the Interior must include the language in paragraphs (a)
and (b) of this section in full text in all NOFOs and financial assistance agreements.
(B) Buy America Domestic Procurement Preference
As required by Section 70914 of the Bipartisan Infrastructure Law (also known as the Infrastructure
Investment and Jobs Act), P.L. 117-58, on or after May 14, 2022, none of the funds under a federal
award that are part of Federal financial assistance program for infrastructure may be obligated for a
project unless all of the iron, steel, manufactured products, and construction materials used in the
project are produced in the United States, unless subject to an approved waiver. The requirements of
this section must be included in all subawards, including all contracts and purchase orders for work or

products under this program. Recipients of an award of Federal financial assistance are hereby notified
that none of the funds provided under this award may be used for a project for infrastructure unless:
1. all iron and steel used in the project are produced in the United States--this means all manufacturing
processes, from the initial melting stage through the application of coatings, occurred in the United
States;
2. all manufactured products used in the project are produced in the United States—this means the
manufactured product was manufactured in the United States; and the cost of the components of the
manufactured product that are mined, produced, or manufactured in the United States is greater than 55
percent of the total cost of all components of the manufactured product, unless another standard for
determining the minimum amount of domestic content of the manufactured product has been
established under applicable law or regulation; and
3. all construction materials are manufactured in the United States—this means that all manufacturing
processes for the construction material occurred in the United States.
The Buy America preference only applies to articles, materials, and supplies that are consumed in,
incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment,
and supplies, such as temporary scaffolding, brought to the construction site and removed at or before
the completion of the infrastructure project. Nor does a Buy America preference apply to equipment
and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or
within the finished infrastructure project, but are not an integral part of the structure or permanently
affixed to the infrastructure project.
For further information on the Buy America preference, please visit www.doi.gov/grants/BuyAmerica.
Additional information can also be found at the White House Made in America Office website:
www.whitehouse.gov/omb/management/made-in-america/.
Waivers
When necessary, recipients may apply for, and the Department of the Interior (DOI) may grant, a
waiver from these requirements, subject to review by the Made in America Office. The DOI may waive
the application of the domestic content procurement preference in any case in which it is determined
that one of the below circumstances applies:
1. Non-availability Waiver: the types of iron, steel, manufactured products, or construction materials
are not produced in the United States in sufficient and reasonably available quantities or of a
satisfactory quality;
2. Unreasonable Cost Waiver: the inclusion of iron, steel, manufactured products, or construction
materials produced in the United States will increase the cost of the overall project by more than 25
percent; or
3. Public Interest Waiver: applying the domestic content procurement preference would be inconsistent
with the public interest.
There may be instances where an award qualifies, in whole or in part, for an existing DOI general
applicability waiver as described at: www.doi.gov/grants/BuyAmerica/GeneralApplicabilityWaivers. If
the specific financial assistance agreement, infrastructure project, or non-domestic materials meets the

criteria of an existing general applicability waiver within the limitations defined within the waiver, the
recipient is not required to request a separate waiver for non-domestic materials.
If a general applicability waiver does not already apply, and a recipient believes that one of the above
circumstances applies to an award, a request to waive the application of the domestic content
procurement preference may be submitted to the financial assistance awarding officer in writing.
Waiver requests shall include the below information. The waiver shall not include any Privacy Act
information, sensitive data, or proprietary information within their waiver request. Waiver requests will
be posted to www.doi.gov/grants/buyamerica and are subject to public comment periods of no less than
15 days. Waiver requests will also be reviewed by the Made in America Office.
1. Type of waiver requested (non-availability, unreasonable cost, or public interest).
2. Requesting entity and Unique Entity Identifier (UEI) submitting the request.
3. Department of Interior Bureau or Office who issued the award.
4. Federal financial assistance listing name and number (reference block 2 on DOI Notice of Award)
5. Financial assistance title of project (reference block 8 on DOI Notice of Award).
6. Federal Award Identification Number (FAIN).
7. Federal funding amount (reference block 11.m. on DO Notice of Award).
8. Total cost of Infrastructure expenditures (includes federal and non-federal funds to the extent
known).
9. Infrastructure project description(s) and location(s) (to the extent known).
10. List of iron or steel item(s), manufactured goods, and construction material(s) the recipient seeks to
waive from Buy America requirements. Include the name, cost, countries of origin (if known), and
relevant PSC or NAICS code for each.
11. A certification that the recipient made a good faith effort to solicit bids for domestic products
supported by terms included in requests for proposals, contracts, and nonproprietary communications
with the prime contractor.
12. A statement of waiver justification, including a description of efforts made (e.g., market research,
industry outreach) by the recipient, in an attempt to avoid the need for a waiver. Such a justification
may cite, if applicable, the absence of any Buy America-compliant bids received in response to a
solicitation.
13. Anticipated impact if no waiver is issued. Approved waivers will be posted at
www.doi.gov/grants/BuyAmerica/ApprovedWaivers; recipients requesting a waiver will be notified of
their waiver request determination by an awarding officer.
Questions pertaining to waivers should be directed to the financial assistance awarding officer.

Definitions
“Construction materials” includes an article, material, or supply that is or consists primarily of:
· non-ferrous metals;
· plastic and polymer-based products (including polyvinylchloride, composite building materials,
and polymers used in fiber optic cables);
· glass (including optic glass);
· lumber; or
· drywall.
“Construction Materials” does not include cement and cementitious materials, aggregates such as
stone, sand, or gravel, or aggregate binding agents or additives.
“Domestic content procurement preference’’ means all iron and steel used in the project are
produced in the United States; the manufactured products used in the project are produced in the
United States; or the construction materials used in the project are produced in the United States.
“Infrastructure” includes, at a minimum, the structures, facilities, and equipment for, in the
United States, roads, highways, and bridges; public transportation; dams, ports, harbors, and
other maritime facilities; intercity passenger and freight railroads; freight and intermodal
facilities; airports; water systems, including drinking water and wastewater systems; electrical
transmission facilities and systems; utilities; broadband infrastructure; and buildings and real
property. Infrastructure includes facilities that generate, transport, and distribute energy.
‘‘Project’’ means the construction, alteration, maintenance, or repair of infrastructure in the
United States.

– END OF 20232 MRP EARTH MRI MINE WASTE AWARD TERMS AND CONDITIONS –