This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of which

are keyed to and codified in the Code of

Federal Regulations, which is published under

50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by

the Superintendent of Documents.

Rules and Regulations Federal Register

189 

Vol. 90, No. 2 

Friday, January 3, 2025 

1 10 U.S.C. 2371 was transferred to 10 U.S.C. 4021 

in 2021 (Pub. L. 116–283, as amended by Pub. L. 

117–81). 

DEPARTMENT OF ENERGY 

2 CFR Part 930 

10 CFR Part 603 

RIN 1991–AC19 

Update and Relocation of the 

Department of Energy Technology 

Investment Agreement Regulations 

AGENCY: U.S. Department of Energy. 

ACTION: Interim final rule; request for 

comments. 

SUMMARY: The Department of Energy 

(DOE or the Department) is issuing this 

interim final rule (IFR) to update, 

streamline, and relocate the policies, 

procedures, and provisions that are 

applicable to the award and 

administration of certain other 

transaction (OT) agreements awarded 

under DOE’s OT authority provided in 

the Energy Policy Act of 2005’s 

amendments to the Department of 

Energy Organization Act. DOE expects 

that the simplification of the 

implementing regulations will enable 

improved use OT Agreements beyond 

the Technology Investment Agreements 

(TIAs) contemplated in the original 

regulations. This IFR will promote more 

uniform application of this authority 

and the policies and provisions for the 

award and administration of it. 

DATES: Effective January 3, 2025. DOE 

will accept comments, data, and 

information regarding this IFR no later 

than March 4, 2025. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

www.regulations.gov. Follow the 

instructions in section III of this 

document, Public Participation, for 

submitting comments. Alternatively, 

interested persons may submit 

comments, identified by ‘‘RIN 1991– 

AC19—2024 Other Transaction 

Agreements’’, by any of the following 

methods: 

D Email: OTArulemaking@hq.doe.gov. 

Include ‘‘RIN 1991–AC19—2024 Other 

Transaction Agreements’’ in the subject 

line of the message. 

D Postal Mail: U.S. Department of 

Energy, Office of Acquisition 

Management, MA–611, 1000 

Independence Avenue SW, Washington, 

DC 20585. Include the markings ‘‘RIN 

1991–AC19 2024 Other Transaction 

Agreements’’. However, comments by 

email are encouraged. 

Docket: The docket, which includes 

Federal Register notices, comments, 

and other supporting documents/ 

materials, is available for review at 

www.regulations.gov. All documents in 

the docket are listed in the 

www.regulations.gov index. However, 

some documents listed in the index, 

such as those containing information 

that is exempt from public disclosure, 

may not be publicly available. 

The docket web page can be found at 

the www.regulations.gov web page 

associated with RIN 1991–AC19. The 

docket web page contains simple 

instructions on how to access all 

documents, including public comments, 

in the docket. See section III of this 

document, Public Participation, for 

information on how to submit 

comments through 

www.regulations.gov. Please put ‘‘RIN 

1991–AC19 2024 Other Transaction 

Agreements’’ in the subject line when 

sending an email. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Richard Bonnell, U.S. Department of 

Energy, Office of Acquisition 

Management by email at 

richard.bonnell@hq.doe.gov or (301) 

922–7101. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Background 

II. Discussion 

III. Section by Section Analysis 

IV. Public Participation 

V. Procedural Requirements 

A. Executive Orders 12866, 13563 and 

14094 

B. Administrative Procedure Act 

C. Regulatory Flexibility Act 

D. Paperwork Reduction Act 

E. National Environmental Policy Act of 

1969 (NEPA) 

F. Executive Order 13132 

G. Executive Order 12988 

H. Executive Order 13175 

I. Unfunded Mandates Reform Act of 1995 

J. Treasury and General Government 

Appropriations Act, 2001 

K. Executive Order 13211 

L. Congressional Notification 

VI. Approval by the Office of the Secretary 

of Energy 

I. Background 

DOE’s OT authority is provided in 

sections 646(a) and (g) of the 

Department of Energy Organization Act 

(Pub L. 95–91, as amended) (42 U.S.C. 

7101 et seq.). Section 646(a) (42 U.S.C. 

7256(a)) is a general authority for DOE 

to enter into contracts, leases, 

cooperative agreements or ‘‘other 

similar transactions,’’ and to make 

payments to public or private entities as 

the Secretary ‘‘may deem to be 

necessary or appropriate to carry out 

functions now or hereafter vested in the 

Secretary.’’ Section 646(g) (42 U.S.C. 

7256(g)) was added to the DOE 

Organization Act by the Energy Policy 

Act of 2005 (Pub. L. 109–58) as an OT 

authority directed specifically to 

research, development, and 

demonstration (RD&D). 

The authority provided under 42 

U.S.C. 7256(g) provides that the 

Secretary of Energy has the same 

authority to enter into transactions as 

the Secretary of Defense under 10 U.S.C. 

2371 in carrying out RD&D projects.1

This authority includes statutory limits 

on its use, but also authorizes increased 

flexibilities not available under 

subsection (a) ‘‘General Authority’’ 

related to intellectual property and data 

protection. 

Section 646(g)(6) of the Energy Policy 

Act (42 U.S.C. 7256(g)(6)) required DOE 

to publish guidelines for transactions 

under subsection (g) not later than 90 

days after the enactment of the statute. 

DOE published an interim final rule (70 

FR 69250) on November 15, 2005, and 

a final rule on May 9, 2006 (71 FR 

27158). At least in part because of this 

limited statutory timeframe, the original 

regulations at 10 CFR part 603 were 

largely modeled on the applicable DOD 

Technology Investment Agreements 

(TIAs) and established TIAs as the 

mechanism for awarding OT agreements 

under section 7256(g). The purposes of 

a TIA are to reduce barriers that prevent 

some entities from participating in 

DOE’s RD&D programs and broaden the 

technology base available to meet DOE 

mission requirements. However, TIAs 


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are just one implementation of OTs 

available under 42 U.S.C. 7256(g). 

OT agreements broadly, including 

TIAs, are more flexible than standard 

procurement and financial assistance 

instruments. They allow the DOE to 

negotiate commercial terms that would 

be otherwise unavailable in a 

procurement or financial assistance 

instrument in a manner that is more 

familiar to many commercial entities. 

Thus, unless otherwise noted in this 

regulation, the laws and regulations 

applicable to procurement and financial 

assistance instruments do not apply. 

This increased flexibility is used to: (1) 

strengthen our nation’s economic and 

energy security; (2) promote scientific 

and technological innovation; (3) reduce 

barriers to participation in RD&D 

programs by nontraditional government 

performers and entities, including small 

businesses and disadvantaged entities; 

(4) promote new relationships among 

performers in the U.S. technology base; 

(5) stimulate performers to develop and 

use new business practices and 

disseminate best practices throughout 

the U.S. technology base; or (6) 

stimulate RD&D of energy-related 

technologies, systems, and processes for 

use by Federal agencies and the public. 

In this IFR, DOE is removing 

miscellaneous references to outdated 

regulations from the provisions 

governing the use of OT agreements. 

DOE is aligning the revised provisions 

with the authorizing statute and 

improves the clarity, structure, 

organization, and administrative 

efficiency of the provisions to make 

them applicable to 42 U.S.C. 7256(g) OT 

agreements beyond the TIAs 

contemplated in the original 

regulations. In conjunction with the 

revisions under this IFR, DOE published 

a policy guide, ‘‘Department of Energy 

Guide to Other Transactions’’ that 

includes the internal DOE processes and 

specific functions and responsibilities of 

DOE staff from the provisions removed 

from 10 CFR part 603. 

II. Discussion 

While some mechanisms 

(procurement and financial assistance) 

can meet many of the Department’s 

missions, certain programs require more 

innovation for successful 

implementation and would benefit from 

the flexibility that OT agreements can 

provide. To provide the efficiencies in 

the award and administration of OT 

agreements needed to achieve DOE’s 

mission, there is a need to remove 

references to outdated regulations, 

internal processes, and obsolete and 

unnecessarily restrictive language from 

the provisions governing the use of OT 

agreements. This IFR revises existing 

OTA regulatory provisions and aligns 

them with the authorizing statute to 

improve the clarity, structure, 

organization, and administrative 

efficiency and to make them applicable 

to all OT agreements awarded under 

DOE’s authority at 42 U.S.C. 7256(g), 

not just TIAs. DOE is removing in its 

entirety and reserving 10 CFR part 603, 

relocating it in 2 CFR part 930, and 

renaming it ‘‘Other Transaction 

Agreements.’’ DOE is removing the 

provisions of 10 CFR part 603 that are: 

specific to internal DOE processes or 

procedures; specific to the functions 

and responsibilities of DOE staff; and 

unnecessarily restrictive for use in all 

OT agreements. 

DOE is relocating and revising the 

remaining provisions of 10 CFR part 603 

and adding a deviation provision to 2 

CFR part 930 that, consistent with other 

regulations and policies, provides DOE 

the authority to deviate from the 

issuance or use of any policy, 

procedure, solicitation provision, 

article, method, or practice of 

conducting actions of any kind at any 

stage of the OT award process or 

administration period that is 

inconsistent with the OT regulations. 

III. Section by Section Analysis 

The following discussion details 

specific revisions made in this IFR by 

listing sections from current 10 CFR part 

603 that were not included in the new 

2 CFR part 930, discussing entirely new 

additions to 2 CFR part 930, and 

explaining changes to sections of the 

current 10 CFR part 603 that were 

retained in new 2 CFR part 930. 

§ 930.115 Deviation Authority 

DOE is adding a new provision at 2 

CFR 930.115 that is substantially similar 

to provisions already present and 

widely used in other DOE regulations to 

address agency deviations from the 

regulations. The new provision entitled 

‘‘Deviation authority’’ gives authority to 

the cognizant Senior Procurement 

Executive (SPE), as defined by 41 U.S.C. 

1702(c), for DOE or National Nuclear 

Security Administration to approve the 

issuance or use of a policy, procedure, 

provision, article, method, or practice of 

conducting actions of any kind at any 

stage of the award process or 

administration period that is 

inconsistent with part 930. The new 

language also requires a program office 

seeking a deviation to submit a request 

to the SPE justifying the deviation, and 

creates a process whereby a deviation 

from the policy, procedure, provision, 

article, method, or practice may be 

requested and approved by the 

cognizant DOE official. 

Sections Removed 

DOE is removing provisions from 10 

CFR part 603 that pertain to internal 

processes and procedures or that 

describe the function or responsibility 

of DOE in its decisions to award and 

administer OT agreements, including 

TIAs. The information provided in the 

following provisions has been included 

in internal guidance and training 

materials created for DOE personnel 

including DOE’s Guide to Other 

Transactions. 

• § 603.200: Contracting Officer 

Responsibilities 

• § 603.225: Benefits of Using a TIA 

• § 603.300: Difference Between an 

Expenditure-Based and a FixedSupport TIA 

• § 603.305: Use of a Fixed-Support TIA 

• § 603.310: Use of an ExpenditureBased TIA 

• § 603.315: Advantages of a FixedSupport TIA 

• § 603.405: Announcement Format 

• § 603.410: Announcement Content 

• § 603.500: Pre-Award Business 

Evaluation 

• § 603.505: Program Resources 

• § 603.510: Recipient Qualifications 

• § 603.515: Qualification of a 

Consortium 

• § 603.520: Reasonableness of a Total 

Project Funding 

• § 603.540: Acceptability of Fully 

Depreciated Real Property or 

Equipment 

• § 603.545: Acceptability of Costs of 

Prior RD&D 

• § 603.550: Acceptability of 

Intellectual Property 

• § 603.555: Value of Other 

Contributions 

• § 603.560: Estimate of Project 

Expenditures 

• § 603.565: Use of a Hybrid Instrument 

• § 603.570: Determining Milestone 

Payment Amounts 

• § 603.575: Repayment of Federal Cost 

Share 

• § 603.600: Administrative Matters 

• § 603.605: General Policy 

• § 603.610: Flow Down Requirements 

• § 603.630: Use Federally Approved 

Indirect Cost Rates for For-Profit 

Firms 

• § 603.635: Cost Principles for 

Nonprofit Participants 

• § 603.650: Designation of Auditor for 

For-Profit Participants 

• § 603.670: Flow Down Audit 

Requirements to Subrecipients 

• § 603.675: Reporting Use of IPA for 

Subawards 

• § 603.685: Management of Real 

Property and Equipment by Nonprofit 

Firms 


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Federal Register / Vol. 90, No. 2 / Friday, January 3, 2025 / Rules and Regulations 191 

• § 603.690: Requirements for 

Federally-Owned Property 

• § 603.695: Requirements for Supplies 

• § 603.800: Scope 

• § 603.810: Method and Frequency of 

Payment Requests 

• § 603.815: Withholding Payments 

• § 603.820: Interest on Advance 

Payments 

• § 603.835: Program Income 

Requirements 

• § 603.850: Marking of Data 

• § 603.855: Protected Data 

• § 603.870: Marking of Documents 

Related to Inventions 

• § 603.880: Reports Requirements 

• § 603.885: Updated Program Plans 

and Budgets 

• § 603.890: Final Performance Report 

• § 603.895: Protection of Information 

in Programmatic Reports 

• § 603.900: Receipt of Final 

Performance Report 

• § 603.910: Access to a For-Profit 

Participant’s Records 

• § 603.1000: Contracting Officer’s 

Responsibilities at Time of Award 

• § 603.1005: General Responsibilities 

• § 603.1010: Substantive Issues 

• § 603.1015: Execution 

• § 603.1020: File Documents 

• § 603.1100: Contracting Officer’s PostAward Responsibilities 

• § 603.1105: Advance Payments or 

Payable Milestones 

• § 603.1110: Other Payment 

Responsibilities 

• § 603.1120: Award-Specific Audits 

• § 603.1200–1340: Definitions and 

Following Terms 

• Appendix A Applicable Federal 

Statutes, Executive Orders, and 

Government-wide Regulations 

• Appendix B Flow Down 

Requirements for Purchases of Goods 

and Services 

Sections Revised and Renumbered 

DOE is revising the following 

provisions to update, clarify, streamline, 

or eliminate coverage that is unclear, 

obsolete, or unnecessarily duplicates the 

internal guidance and roles and 

responsibilities of DOE staff where 

appropriate. The revisions do not 

substantially change the existing 

requirements or how DOE and DOE 

performers adhere to the OT regulations. 

• § 603.100 Purpose has been 

revised and renumbered to § 930.100

Purpose. 

• § 603.105 Description has been 

revised and renumbered to § 930.400

Use of Technology Investment 

Agreements (TIAs). 

• § 603.110 Use of TIAs has been 

revised and renumbered to § 930.400

Use of Technology Investment 

Agreements (TIAs). 

• § 603.115 Approval Requirements 

has been revised and renumbered to 

§ 930.110 Approval Requirements. 

• § 603.120 Contracting Officer 

Warrant Requirements has been revised 

and included in § 930.110 Approval 

Requirements. 

• § 603.125 Applicability of Other 

Parts of the DOE Assistance Regulations 

has been revised and renumbered to 

§ 930.120 Nonprocurement debarment 

and suspension. 

• § 603.205 Nature of the Project has 

been revised and renumbered to 

§ 930.105 Other transaction (OT) 

agreements. 

• § 603.210 Recipients has been 

revised and renumbered to § 930.405

TIA awardees. 

• § 603.215 Recipient’s 

Commitment and Cost Sharing has been 

revised and renumbered to § 930. 125

Cost Sharing. 

• § 603.220 Government 

Participation has been revised and 

renumbered to § 930.415 Government 

Participation. 

• § 603.230 Fee or Profit has been 

revised and renumbered to § 930. 130

Fee or Profit. 

• § 603.400 Competitive Procedures 

has been revised and renumbered to 

§ 930.135 Competition. 

• § 603.415 Cost Sharing has been 

revised and included in § 930.125 Cost 

Sharing. 

• § 603.420 Disclosure of 

Information has been revised and 

renumbered to § 930.140 Disclosure of 

Information. 

• § 603.525 Value & Reasonableness 

of the Recipient’s Cost Sharing 

Contribution has been revised and 

included in § 930.125 Cost Sharing. 

• § 603.530 Acceptable Cost Sharing 

has been revised and included in 

§ 930.125 Cost Sharing. 

• § 603.535 Value of Proposed Real 

Property or Equipment has been revised 

and renumbered to § 930.220 Real 

property and equipment. 

• § 603.615 Financial Management 

Standards for For-Profit Firms has been 

revised and renumbered to § 930.205

Financial Management Standards. 

• § 603.620 Financial Management 

Standards for Nonprofit Participants has 

been revised and renumbered to 

§ 930.205 Financial Management 

Standards. 

• § 603.625 Cost Principles or 

Standards Applicable to For-Profit 

Firms has been revised and renumbered 

to § 930.210 Cost Principles and 

Standards. 

• § 603.640 Audits of For-Profit 

Firms has been revised and included in 

§ 930.215 Audit requirements. 

• § 603.645 Periodic Audits and 

Award-Specific Audits of For-Profit 

Participants has been revised and 

included in § 930.215 Audit 

requirements. 

• § 603.655 Frequency of Periodic 

Audits of For-Profit Participants has 

been revised and included in § 930.215

Audit requirements. 

• § 603.660 Other Audit 

Requirements has been revised and 

included in § 930.215 Audit 

requirements. 

• § 603.665 Periodic Audits of 

Nonprofit Participants has been revised 

and included in § 930.215 Audit 

requirements. 

• § 603.680 Purchase of real 

property and equipment by for-profit 

firms has been revised and included in 

§ 930.410. 

• § 603.700 Standards for 

Purchasing Systems of For-Profit Firms 

and § 603.705 Standards for 

Purchasing Systems of Nonprofit 

Organizations have been revised and 

included in § 930.225 Purchasing 

system standards. 

• § 603.805 Payment Methods has 

been revised and renumbered to 

§ 930.300 Payment Methods. 

• § 603.825 Government Approval 

of Change in Plans has been revised and 

renumbered to § 930.305 Government 

Approval of Change in Plans. 

• § 603.830 Pre-Award Costs has 

been revised and renumbered to 

§ 930.310 Pre-Award Costs. 

• § 603.840 Data and Intellectual 

Property Rights has been revised and 

renumbered to § 930.315 Negotiating 

Data and Patent Rights. 

• § 603.845 Data Rights 

Requirements has been revised and 

renumbered to § 930.320 Data Rights. 

• § 603.860 Rights to Inventions has 

been revised and renumbered to 

§ 930.325 Rights in Inventions. 

• § 603.865 March-In Rights has 

been revised and included in § 930.325

Rights in Inventions. 

• § 603.875 Foreign Access to 

Technology and U.S. Competitiveness 

Provisions has been revised and 

renumbered to § 930.330 Research 

Technology and Security and U.S. 

Competitiveness Provisions. 

• § 603.905 Record Retention 

Requirements has been revised and 

renumbered to § 930.335: Record 

Retention Requirements. 

• § 603.915 Access to a Nonprofit 

Participant’s Records has been revised 

and renumbered to § 930.340: Access to 

Records. 

• § 603.920 Termination and 

Enforcement Requirements has been 

revised and renumbered to § 930.345

Noncompliance and Termination 

Requirements. 


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192 Federal Register / Vol. 90, No. 2 / Friday, January 3, 2025 / Rules and Regulations 

• § 603.1115 Single Audits has been 

revised and included in § 930.215

Audit requirements. 

IV. Public Participation 

DOE will accept comments, data, and 

information regarding this IFR on or 

before the date provided in the DATES

section at the beginning of this IFR. 

Interested parties may submit 

comments, data, and other information 

using any of the methods described in 

the ADDRESSES section at the beginning 

of this document. 

Submitting comments via 

www.regulations.gov. The 

www.regulations.gov web page will 

require you to provide your name and 

contact information. Your contact 

information will not be publicly 

viewable except for your first and last 

names, organization name (if any), and 

submitter representative name (if any). 

If your comment is not processed 

properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment itself or in any 

documents attached to your comment. 

Any information that you do not want 

to be publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Otherwise, persons viewing comments 

will see only first and last names, 

organization names, correspondence 

containing comments, and any 

documents submitted with the 

comments. 

Do not submit to www.regulations.gov 

information the disclosure of which is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereinafter referred to as 

Confidential Business Information 

(‘‘CBI’’)). Comments submitted through 

www.regulations.gov cannot be claimed 

as CBI. Comments received through the 

website will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section below. 

DOE processes submissions made 

through www.regulations.gov before 

posting. Normally, comments will be 

posted within a few days of being 

submitted. However, if large volumes of 

comments are being processed 

simultaneously, your comment may not 

be viewable for up to several weeks. 

Please keep the comment tracking 

number that www.regulations.gov 

provides after you have successfully 

uploaded your comment. 

Submitting comments via email or 

postal mail. Comments and documents 

submitted via email or postal mail also 

will be posted to www.regulations.gov. 

If you do not want your personal contact 

information to be publicly viewable, do 

not include it in your comment or any 

accompanying documents. Instead, 

provide your contact information in a 

cover letter. Include your first and last 

names, email address, telephone 

number, and optional mailing address. 

The cover letter will not be publicly 

viewable as long as it does not include 

any comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. If you 

submit via postal mail, please provide 

all items on a CD, if feasible, in which 

case it is not necessary to submit 

printed copies. No telefacsimiles (faxes) 

will be accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are 

written in English, and that are free of 

any defects or viruses. Documents 

should not contain special characters or 

any form of encryption and, if possible, 

they should carry the electronic 

signature of the author. 

Confidential Business Information. 

Pursuant to 10 CFR 1004.11, any person 

submitting information that he or she 

believes to be confidential and exempt 

by law from public disclosure should 

submit via email or postal mail two 

well-marked copies: One copy of the 

document marked ‘‘confidential’’ 

including all the information believed to 

be confidential, and one copy of the 

document marked ‘‘non-confidential’’ 

that deletes the information believed to 

be confidential. Submit these 

documents via email or on a CD, if 

feasible. DOE will make its own 

determination about the confidential 

status of the information and will treat 

it according to its determination. It is 

DOE’s policy that all comments, 

including any personal information 

provided in the comments, may be 

included in the public docket, without 

change and as received, except for 

information deemed to be exempt from 

public disclosure. 

V. Procedural Requirements 

A. Executive Orders 12866, 13563, and 

14094 

Executive Order (E.O.) 12866, 

‘‘Regulatory Planning and Review,’’ 58 

FR 51735 (Oct. 4, 1993), as 

supplemented and reaffirmed by E.O. 

13563, ‘‘Improving Regulation and 

Regulatory Review,’’ 76 FR 3821 (Jan. 

21, 2011) and amended by E.O. 14094, 

‘‘Modernizing Regulatory Review,’’ 88 

FR 21879 (April 11, 2023), requires 

agencies, to the extent permitted by law, 

to (1) propose or adopt a regulation only 

upon a reasoned determination that its 

benefits justify its costs (recognizing 

that some benefits and costs are difficult 

to quantify); (2) tailor regulations to 

impose the least burden on society, 

consistent with obtaining regulatory 

objectives, taking into account, among 

other things, and to the extent 

practicable, the costs of cumulative 

regulations; (3) select, in choosing 

among alternative regulatory 

approaches, those approaches that 

maximize net benefits (including 

potential economic, environmental, 

public health and safety, and other 

advantages; distributive impacts; and 

equity); (4) to the extent feasible, specify 

performance objectives, rather than 

specifying the behavior or manner of 

compliance that regulated entities must 

adopt; and (5) identify and assess 

available alternatives to direct 

regulation, including providing 

economic incentives to encourage the 

desired behavior, such as user fees or 

marketable permits, or providing 

information upon which choices can be 

made by the public. 

DOE emphasizes as well that 

Executive Order 13563 requires agencies 

to use the best available techniques to 

quantify anticipated present and future 

benefits and costs as accurately as 

possible. In its guidance, the Office of 

Information and Regulatory Affairs 

(OIRA) has emphasized that such 

techniques may include identifying 

changing future compliance costs that 

might result from technological 

innovation or anticipated behavioral 

changes. For the reasons stated in the 

preamble, this regulatory action is 

consistent with these principles. 

Section 6(a) of E.O. 12866 also 

requires agencies to submit ‘‘significant 

regulatory actions’’’ to OIRA for review. 

OIRA has determined that this 

regulatory action does not constitute a 

‘‘significant regulatory action’’ under 

Executive Order 12866. Accordingly, 

this action is not subject to review 

under that Executive Order by OIRA. 

Consistent with Executive Orders 

12866, 13563 and 14094, DOE issues 

this IFR only on a reasoned 

determination that the benefits of the 

rule justify its costs, and, in choosing 

among alternative regulatory 

approaches, DOE has selected those 

approaches that maximize net benefits. 


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In this IFR, DOE made a broad but 

largely procedural revision of its other 

transaction regulation to update and 

streamline the policies, procedures, and 

provisions that are currently applicable 

to its other transaction agreements. 

The IFR updates, clarifies, or 

eliminates coverage that is unclear, 

obsolete, or unnecessarily duplicates the 

internal guidance and roles and 

responsibilities of Federal staff; 

streamlines the coverage’s policies and 

performer procedures where 

appropriate; and adds a new provision 

in order to provide the standard 

departmental deviation authority 

provision language. The IFR includes 

several minor provision revisions, none 

of which are substantial and in total will 

have negligible impact on DOE’s 

operations, its performers, or the 

economy. The revisions do not in any 

specific case, or in total, substantially 

change the existing requirements under 

the existing OT regulations or how DOE 

and DOE performers adhere to the OT 

regulations. The IFR does not generate 

any additional costs. 

Finally, the IFR results in benefits to 

the public. Because the OT regulation 

has not had a comprehensive update in 

years, it contains outdated and 

duplicative content. Additionally, it has 

citations to outdated regulations and 

contains sections that are more 

appropriate for internal procedures and 

policies. The IFR streamlines the OT 

regulations, make it easier to read, and 

reflects current practice and 

requirements. 

B. Administrative Procedure Act 

The Administrative Procedure Act 

(APA), 5 U.S.C. 551 et seq., generally 

requires public notice and an 

opportunity for comment before a rule 

becomes effective. Section 553(b) of the 

APA, however, exempts from the APA’s 

notice and comment procedures 

rulemakings that involve ‘‘rules of 

agency organization, procedure, or 

practice.’’ This exemption is applicable 

for rules that are primarily directed 

toward improving the efficient and 

effective operations of an agency. 

Mendoza v. Perez, 754 F.3d 1002, 1023 

(D.C. Cir. 2014) (internal citations and 

quotations omitted). As a rulemaking 

relating to policies, procedures, and 

provisions that are applicable to the 

award and administration of certain OT 

agreements awarded under DOE’s OT 

authority, DOE has determined that this 

rulemaking is procedural and satisfies 

the exemption. Therefore, notice of 

proposed rulemaking (and comment 

thereon) is not required for the removal 

and reservation of 10 CFR part 603 and 

issuance of new 2 CFR part 930 in this 

IFR. 

Although this interim final rule is 

effective immediately, comments are 

solicited from interested members of the 

public on all aspects of the interim final 

rule. The Department intends to issue a 

final rule following receipt and review 

of comments in response to the interim 

final rule. 

C. Regulatory Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis for any rule that by law must 

be proposed for public comment. As 

discussed previously, DOE has 

determined that prior notice and 

opportunity for public comment is 

unnecessary under the APA. Because a 

notice of proposed rulemaking is not 

required for this action pursuant to 5 

U.S.C. 553, or any other law, no 

regulatory flexibility analysis has been 

prepared for this interim final rule. See 

5 U.S.C. 601(2), 603(a). 

D. Paperwork Reduction Act of 1995 

This regulatory action does not 

impose any additional reporting or 

recordkeeping requirements subject to 

approval under the Paperwork 

Reduction Act, 44 U.S.C. 3501 et seq. 

E. National Environmental Policy Act of 

1969 

DOE has analyzed this final rule in 

accordance with NEPA and DOE’s 

NEPA implementing regulations (10 

CFR part 1021). DOE has determined 

that this final rule is covered under the 

categorical exclusion located at 10 CFR 

part 1021, subpart D, appendix A, 

Categorical Exclusion A5 because this 

final rule revises existing regulations at 

10 CFR part 603. The changes update 

and clarify OT regulations. DOE has 

considered whether this action would 

result in extraordinary circumstances 

that would warrant preparation of an 

Environmental Assessment or EIS and 

has determined that no such 

extraordinary circumstances exist. 

Therefore, DOE has determined that this 

rulemaking does not require an 

Environmental Assessment or an EIS. 

F. Executive Order 13132 

Executive Order 13132, ‘‘Federalism’’, 

64 FR 43255 (August 4, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt state law or 

that have federalism implications. 

Agencies are required to examine the 

constitutional and statutory authority 

supporting any action that would limit 

the policymaking discretion of the 

States and carefully assess the necessity 

for such actions. DOE has examined the 

IFR and has determined that it does not 

preempt State law and does not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. No further action 

is required by Executive Order 13132. 

G. Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (February 7, 1996), 

imposes on executive agencies the 

general duty to adhere to the following 

requirements: (1) eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the United States 

Attorney General. Section 3(c) of 

Executive Order 12988 requires 

executive agencies to review regulations 

in light of applicable standards in 

sections 3(a) and 3(b) to determine 

whether they are met or if it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, this IFR meets 

the relevant standards of Executive 

Order 12988. 

H. Executive Order 13175 

Under Executive Order 13175, 

‘‘Consultation and Coordination with 

Indian Tribal Governments,’’ 65 FR 

67249 (Nov. 6, 2000), DOE may not 

issue a discretionary rule that has Tribal 

implications or that imposes substantial 

direct compliance costs on Indian Tribal 

governments. DOE has determined that 

this IFR will not have such effects and 

has concluded that Executive Order 

13175 does not apply to this IFR. 


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194 Federal Register / Vol. 90, No. 2 / Friday, January 3, 2025 / Rules and Regulations 

I. Unfunded Mandates Reform Act of 

1995 

The Unfunded Mandates Reform Act 

of 1995 (Pub. L. 104–4) generally 

requires Federal agencies to examine 

closely the impacts of regulatory actions 

on State, local, Tribal governments. 

Subsection 101(5) of title I of that law 

defines a Federal intergovernmental 

mandate to include a regulation that 

would impose upon State, local, or 

Tribal governments an enforceable duty, 

except a condition of Federal assistance 

or a duty arising from participating in a 

voluntary Federal program. Title II of 

that law requires each Federal agency to 

assess the effects of Federal regulatory 

actions on State, local, and Tribal 

governments, in the aggregate, or the 

private sector, other than to the extent 

such actions merely incorporate 

requirements specifically set forth in a 

statute. Section 202 of the title requires 

a Federal agency to perform a detailed 

assessment of the anticipated costs and 

benefits of any rule that includes a 

Federal mandate which may result in 

costs to State, local, or Tribal 

governments, or the private sector, of 

$100 million or more in any one year 

(adjusted annually for inflation). 2 

U.S.C. 1532(a) and (b). Section 204 of 

that title requires each agency that 

proposed a rule containing a significant 

Federal intergovernmental mandate to 

develop an effective process for 

obtaining meaningful and timely input 

from elected officers of State, local, and 

Tribal governments. 2 U.S.C. 1534. This 

IFR amends the TIA regulations to 

provide the guidance and procedures to 

awarding and administering Other 

Transaction agreements. The IFR does 

not result in the expenditure by State, 

local, and Tribal governments, in 

aggregate, or by the private sector of 

$100 million or more in any one year. 

Accordingly, no assessment or analysis 

is required under the Unfunded 

Mandates Reform Act of 1995. 

J. Treasury and General Government 

Appropriations Act, 2001 

The Treasury and General 

Government Appropriations Act, 2001, 

44 U.S.C. 3516 note, provides for 

Federal agencies to review most 

disseminations of information to the 

public under implementing guidelines 

established by each agency pursuant to 

general guidelines issued by OMB. 

OMB’s guidelines were published at 67 

FR 8452 (February 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (October 7, 2002). 

DOE has reviewed the IFR under the 

OMB and DOE guidelines and has 

concluded that it is consistent with 

applicable policies in those guidelines. 

K. Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to the OMB a 

Statement of Energy Effects for any 

proposed significant energy action. A 

‘‘significant energy action’’ is defined as 

any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that: 

(1) is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy; or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

This IFR does not have a significant 

adverse effect on the supply, 

distribution, or use of energy and is 

therefore not a significant energy action. 

Accordingly, DOE has not prepared a 

Statement of Energy Effects. 

L. Congressional Notification 

As required by 5 U.S.C. 801, DOE will 

submit to Congress a report regarding 

the issuance of this interim final rule 

prior to the effective date set forth at the 

outset of this interim final rule. The 

report will state that it has been 

determined that this interim final rule is 

not a ‘‘major rule’’ as defined by 5 

U.S.C. 804(2). 

IV. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this Interim final rule; 

request for comments. 

List of Subjects 

2 CFR Part 930 

Accounting, Administrative practice 

and procedure, Federal financial 

assistance, Grant programs, Reporting 

and recordkeeping requirements, 

Technology investments. 

10 CFR Part 603 

Accounting, Administrative practice 

and procedure, Federal financial 

assistance, Grant programs, Reporting 

and recordkeeping requirements, 

Technology investments. 

Signing Authority 

This document of the Department of 

Energy was signed on December 16, 

2024, by William J. Quigley, Deputy 

Associate Administrator, Partnership 

and Acquisition Services, National 

Nuclear Security Administration, 

pursuant to delegated authority from the 

Administrator, National Nuclear 

Security Administration, and Berta L. 

Schreiber, Director, Office of 

Acquisition Management, Department of 

Energy, pursuant to delegated authority 

from the Secretary of Energy. These 

documents with the original signature 

and date are maintained by DOE/NNSA. 

For administrative purposes only, and 

in compliance with requirements of the 

Office of the Federal Register, the 

undersigned DOE Federal Register 

Liaison Officer has been authorized to 

sign and submit the document in 

electronic format for publication, as an 

official document of the Department of 

Energy. This administrative process in 

no way alters the legal effect of this 

document upon publication in the 

Federal Register. 

Signed in Washington, DC, on December 

18, 2024. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

For the reasons stated in the 

preamble, DOE amends 2 CFR chapter 

IX and 10 CFR chapter II as follows: 

Title 2 

■ 1. Part 930 is added to read as follows: 

PART 930—OTHER TRANSACTION 

AGREEMENTS 

Subpart A—General 

Sec. 

930.100 Purpose. 

930.105 Other transaction (OT) agreements. 

930.110 Approval requirements. 

930.115 Deviation authority. 

930.120 Nonprocurement debarment and 

suspension. 

930.125 Cost sharing. 

930.130 Fee or profit. 

930.135 Competition. 

930.140 Disclosure of information. 

Subpart B—Pre-Award Business Evaluation 

930.200 Scope. 

930.205 Financial management standards. 

930.210 Cost principles and standards. 

930.215 Audit requirements. 

930.220 Real property and equipment. 

930.225 Purchasing systems standards. 

Subpart C—Award Terms Related to Other 

Administrative Matters 

930.300 Payment methods. 

930.305 Government approval of changes in 

plans. 

930.310 Pre-award costs. 


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930.315 Negotiating data and patent rights. 

930.320 Data rights. 

930.325 Rights in inventions. 

930.330 Research and technology security 

and U.S. manufacturing and competitive 

requirements. 

930.335 Record retention requirements. 

930.340 Access to records. 

930.345 Noncompliance and termination 

requirements. 

Subpart D—Appropriate Use of Technology 

Investment Agreements 

930.400 Use of Technology Investment 

Agreements (TIAs). 

930.405 TIA awardees. 

930.410 Purchase of real property and 

equipment by for-profit firms. 

930.415 Government participation. 

Authority: 42 U.S.C. 7256(g). 

Subpart A—General 

§ 930.100 Purpose. 

This part establishes uniform policies 

for the award and administration of 

other transaction agreements for 

research, development, and 

demonstration projects awarded under 

the Department of Energy’s ‘‘Additional 

Authorities’’ at section 646(g) of the 

Department of Energy Organization Act, 

Public Law 95–91, as amended (42 

U.S.C. 7256(g)). 

§ 930.105 Other transaction (OT) 

agreements. 

For purposes of this part, An other 

transaction (OT) agreement means any 

agreement, including technology 

investment agreement (TIA) between the 

Department of Energy and/or the 

National Nuclear Security 

Administration and a non-Federal entity 

for the principal purpose of carrying out 

an research, development, and 

demonstration project for which the use 

of a Federal procurement contract, 

grant, or cooperative agreement is not 

feasible or appropriate. The OT 

agreement must comply with the 

regulations set forth in this part. 

Additional requirements for TIAs are set 

forth in subpart D of this part. 

§ 930.110 Approval requirements. 

(a)(1) An officer of the Department of 

Energy (DOE) who has been appointed 

by the President with the advice and 

consent of the Senate and who has been 

delegated the authority from the 

Secretary must approve the use of other 

transaction (OT) authority and may 

perform other functions of the Secretary 

as set forth under 42 U.S.C. 7256(g). 

This delegated authority may not be 

redelegated. 

(2) In addition, the cognizant Senior 

Procurement Executive (SPE), as 

defined by 41 U.S.C. 1702(c), (or 

designee) must concur on the award of 

any OT agreement. 

(3) The Agreements Officer (AO) is 

the cognizant warranted DOE or 

National Nuclear Security 

Administration official authorized to 

execute and administer OT agreements. 

(b) Deviation from the requirements in 

paragraph (a) of this section is not 

permitted. 

§ 930.115 Deviation authority. 

(a) Deviation. A deviation from this 

part is defined as the issuance or use of 

a policy, procedure, solicitation 

provision, article, method, or practice of 

conducting actions of any kind at any 

stage of the award process or 

administration period that is 

inconsistent with this part. Deviations 

may affect one or more than one other 

transaction (OT) agreements. 

(b) Request for deviation. Requests for 

deviation(s) shall be submitted by the 

Agreements Officer, meaning the 

cognizant warranted Department of 

Energy or National Nuclear Security 

Administration official authorized to 

execute and administer OT agreements, 

to the cognizant Senior Procurement 

Executive, as defined by 41 U.S.C. 

1702(c), for approval. Requests shall cite 

the specific section from which it is 

desired to deviate, shall set forth the 

nature of the proposed deviation(s), and 

shall give the reasons for the action 

requested. 

§ 930.120 Nonprocurement debarment and 

suspension. 

The Nonprocurement debarment and 

suspension requirements in 2 CFR part 

180, as adopted and supplemented by 2 

CFR part 901, are applicable to all other 

transaction agreements. 

§ 930.125 Cost sharing. 

(a) Cost share is required as follows: 

(1) In accordance with 42 U.S.C. 

7256(g)(1), to the maximum extent 

practicable, the awardee must provide at 

least half of the costs of the project; 

(2) In accordance with cost share 

requirements in section 988 of Energy 

Policy Act of 2005 (EPAct 2005), Public 

Law 109–58, as amended (42 U.S.C. 

16352), for funded research, 

development, demonstration, or 

commercial application activities; and 

(3) In accordance with any other 

applicable statutory cost share 

requirements. 

(b) All awardee cost share or 

contributions, including cash and thirdparty in-kind contributions, must meet 

all of the following criteria: 

(1) Are verifiable from the awardee’s 

records; 

(2) Are not included as contributions 

for any other Federal award; 

(3) Are necessary and reasonable for 

accomplishment of the award or project 

objectives; 

(4) Are allowable under the 

appropriate cost principles; 

(5) Are not paid or provided by the 

Federal Government under another 

Federal award (Federal funds or 

property), except where the Federal 

statute authorizing a program 

specifically provides that Federal funds 

or property made available for such 

program can be applied to cost sharing 

requirements of other Federal programs 

or awards; 

(6) Are not revenues or royalties from 

the prospective operation of an activity 

beyond the time considered in the 

award; 

(7) Are not proceeds from the 

prospective sale of an asset of an 

activity; 

(8) Are valued: 

(i) In accordance with the appropriate 

cost principles; 

(ii) Using the usual accounting 

policies of the awardee; and 

(iii) Not to exceed the fair market 

value (of donated property, equipment, 

or other capital assets) or the fair rental 

charge (of leased land, space, or 

equipment); 

(9) Are provided for in the budget 

approved by Department of Energy 

(DOE); and 

(10) Conform to other provisions of 

this part, as applicable. 

(c) DOE may reduce or eliminate the 

cost share requirement imposed by 42 

U.S.C. 7256(g)(1) where the Agreements 

Officer (AO), meaning the cognizant 

warranted DOE or National Nuclear 

Security Administration official 

authorized to execute and administer 

other transaction agreements, 

determines the cost sharing is 

impracticable in a given case, unless 

there is a statutory requirement for cost 

sharing that applies to the particular 

award. When section 988 of EPAct 2005 

applies to an award, the AO must obtain 

the required approval of the elimination 

or reduction of the required cost share 

in accordance with the section 988 of 

EPAct 2005. 

§ 930.130 Fee or profit. 

The Agreements Officer, meaning the 

cognizant warranted Department of 

Energy or National Nuclear Security 

Administration official authorized to 

execute and administer other 

transaction (OT) agreements, may not 

issue an OT agreement if any awardee, 

subawardees or participant is to receive 

fee or profit for the research, 

development, and demonstration 

(RD&D) efforts. This requirement 

extends to all awardees and performers 


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funded under the project, including any 

subawards for substantive program 

performance, but it does not preclude 

participants’ or subawardees’ payment 

of reasonable fee or profit when making 

purchases from suppliers of goods (e.g., 

supplies and equipment) or services 

needed to carry out the RD&D. 

§ 930.135 Competition. 

(a) Department of Energy (DOE) 

awards other transaction (OT) 

agreements using non-procurement, 

non-Federal financial assistance 

competitive processes in a merit-based 

selection process: 

(1) In every case where required by 

statute; and 

(2) To the maximum extent feasible, 

in all other cases. If it is not feasible to 

use competitive process, the reason for 

not using a competitive process must be 

documented by the Agreements Officer 

(AO), meaning the cognizant warranted 

DOE or National Nuclear Security 

Administration official authorized to 

execute and administer OT agreements. 

(b) The AO must document any 

restrictions on awardee eligibility. 

§ 930.140 Disclosure of information. 

(a) For all other transaction (OT) 

agreements, trade secrets and 

commercial or financial information 

that would be protected from disclosure 

requirements of the Freedom of 

Information Act (FOIA) (codified at 5 

U.S.C. 552) if obtained from a person 

other than a Federal agency: 

(1) For a period of five years after the 

date on which the information is 

developed; or 

(2) For up to thirty years after the date 

on which the information is developed, 

if the Secretary or delegee of the 

Secretary determines that the nature of 

the technology under the transaction, 

including nuclear technology, could 

reasonably require an extended period 

of protection from disclosure to reach 

commercialization. 

(b) As provided in 42 U.S.C. 

7256(g)(1) incorporating certain 

provisions of 10 U.S.C. 4021, disclosure 

is not required, and may not be 

compelled, under FOIA during that 

period if: 

(1) A proposer submits the 

information in a competitive or 

noncompetitive process that could 

result in the award of an OT agreement; 

and 

(2) The type of information is among 

the following types that are exempt: 

(i) Proposals, proposal abstracts, and 

supporting documents; and 

(ii) Business plans and technical 

information submitted on a confidential 

basis. 

(c) If proposers desire to protect 

business plans and technical 

information for five years from FOIA 

disclosure requirements, they must 

mark them with a legend identifying 

them as documents submitted on a 

confidential basis. After the five-year 

period, information may be protected 

for longer periods if it meets any of the 

criteria in 5 U.S.C. 552(b) (as 

implemented by the DOE in 10 CFR part 

1004) for exemption from FOIA 

disclosure requirements. 

Subpart B—Pre-Award Business 

Evaluation 

§ 930.200 Scope. 

This subpart addresses administrative 

matters that do not impose organizationwide requirements on an awardee’s 

business (financial management, 

property management, or purchasing) 

systems. An organization does not have 

to redesign its business systems to 

accommodate variations in these 

requirements. Agreements may differ in 

the requirements that they specify based 

on the awardee and the specific 

circumstances of the research, 

development, and demonstration 

project. 

§ 930.205 Financial management 

standards. 

(a) Any awardees that currently 

perform under other expenditure-based 

Federal procurement contracts or 

assistance awards are subject to the 

same standards for financial 

management systems that apply to those 

other Federal awards. 

(b) Any awardees that do not 

currently perform under expenditurebased Federal procurement contracts or 

assistance awards should be allowed to 

use their existing financial management 

system as long as the system, at a 

minimum, effectively controls all 

project funds, including Federal funds 

and any required cost share. The system 

must have complete, accurate, and 

current records that document the 

sources of funds and the purposes for 

which they are disbursed. Awardees 

also must have procedures for ensuring 

that project funds are used only for 

purposes permitted by the agreement. 

§ 930.210 Cost principles and standards. 

(a) For-profit awardees. The cost 

principles in 48 CFR part 31 will 

generally apply to for-profit awardees. 

(b) Other than For-profit awardees. 

The cost principles in 2 CFR part 200 

will generally apply to states, local 

governments, Indian Tribes, institutes of 

higher education and other nonprofit 

entities. 

(c) Cost standards. The Agreements 

Officer, meaning the cognizant 

warranted Department of Energy (DOE) 

or National Nuclear Security 

Administration official authorized to 

execute and administer other 

transaction agreements, may establish 

alternative standards in the agreement 

as long as that alternative provides, as 

a minimum, that: 

(1) Federal funds and funds counted 

as awardees’ cost sharing will be used 

only for costs that a reasonable and 

prudent person would incur in carrying 

out the research, development, and 

demonstration (RD&D) project 

contemplated by the agreement. 

(2) Costs must be allocated to DOE 

and other projects in accordance with 

the relative benefits the projects receive. 

(3) Costs allocated to DOE projects 

must be given consistent treatment with 

costs allocated to the participants’ other 

RD&D activities (e.g., activities 

supported by the participants 

themselves or by non-Federal sponsors). 

(4) The standards must also state that 

the Federal funds and funds counted as 

participants’ cost sharing will be used 

only for costs that are consistent with 

the purposes stated in the governing 

Congressional authorizations and 

appropriations. 

§ 930.215 Audit requirements. 

(a) For-profit awardees. If an 

expenditure-based other transaction 

(OT) agreement provides for audits of a 

for-profit participant, the Agreements 

Officer, meaning the cognizant 

warranted Department of Energy or 

National Nuclear Security 

Administration official authorized to 

execute and administer OT agreements, 

also must specify: 

(1) Whether the Defense Contract 

Auditing Agency or an Independent 

Public Accountant will perform the 

required audits. 

(2) What the audits are to cover. 

(3) Who will pay for the audits. 

(4) The auditing standards that the 

auditor will use. 

(5) The available remedies for 

noncompliance. 

(6) Where the auditor is to send audit 

reports. 

(7) The retention period for the 

auditor’s working papers. 

(8) Who will have access to the 

auditor’s working papers. 

(b) Other than For-profit awardees. 

Expenditure-based OT agreements are 

subject to the Single Audit Act (31 

U.S.C. 7501–7507). State, local 

government, Indian Tribes, institutes of 

higher education, and nonprofit 

participants are subject to the 

requirements under that Act. Additional 


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Federal Register / Vol. 90, No. 2 / Friday, January 3, 2025 / Rules and Regulations 197 

information may be found at 2 CFR part 

200, subpart F. 

§ 930.220 Real property and equipment. 

(a) The participant must include the 

cost of the real property or equipment 

as part of the proposed cost of the 

project. The Agreements Officer (AO), 

meaning the cognizant warranted 

Department of Energy (DOE) or National 

Nuclear Security Administration official 

authorized to execute and administer 

other transaction (OT) agreements, must 

approve the use of project funds 

(Federal or cost share) to purchase real 

property or equipment. The AO should 

specify the use, management, vesting of 

title, and disposition requirements in 

the award. 

(b) The AO may include an alternative 

property provision where DOE is 

authorized to grant title to property or 

equipment acquired under an OT 

agreement when determined such a 

grant is appropriate. 

§ 930.225 Purchasing systems standards. 

(a) Any awardees that currently 

perform under other expenditure-based 

Federal procurement contracts or 

assistance awards are subject to the 

same standards for purchasing systems 

that apply to those other Federal 

awards. 

(b) Any awardees that do not 

currently perform under expenditurebased Federal procurement contracts or 

assistance awards should be allowed to 

use its existing purchasing system as 

long as the system, at a minimum, is 

able to flow down the applicable 

requirements in Federal statutes, 

Executive orders, or Governmentwide 

regulations. 

Subpart C—Award Terms Related to 

Other Administrative Matters 

§ 930.300 Payment methods. 

Available payment methods include: 

(a) Reimbursement. Under this 

method, participants request 

reimbursement for costs incurred during 

a particular time period. The 

Department of Energy (DOE) reimburses 

the participant by electronic funds 

transfer after approval of the request by 

the Agreements Officer, meaning the 

cognizant warranted DOE or National 

Nuclear Security Administration official 

authorized to execute and administer 

other transaction agreements, or 

designee. This payment method is used 

for expenditure-based awards. 

(b) Advance payments. Under this 

method, participants request advance 

payment based upon projections of the 

cash needs for the project, or for large 

purchases. Predetermined payment 

schedules may be used when the timing 

of the participant’s needs to disburse 

funds can be predicted in advance with 

sufficient accuracy to ensure the funds 

are used in accordance with project 

objectives and schedules. 

(c) Payments based on payable 

milestones. Under this method 

payments made according to a schedule 

established for the award that is based 

on accomplishment of predetermined, 

well-defined, observable, and verifiable 

measures of technical progress, 

outcomes, or other payable milestones. 

A fixed-support award must use this 

payment method; however, this does 

not preclude the use of an initial 

advance payment if there is no 

alternative to meeting immediate cash 

needs. Payments based on payable 

milestones is the preferred method of 

payment for an expenditure-based 

award if well-defined outcomes can be 

identified. 

§ 930.305 Government approval of 

changes in plans. 

Department of Energy must approve 

any changes in project plans that may 

result in a need for additional Federal 

funding to be provided to the other 

transaction agreement. 

§ 930.310 Pre-award costs. 

Pre-award costs may be reimbursed 

only with the specific approval of the 

Agreements Officer (AO), meaning the 

cognizant warranted Department of 

Energy (DOE) or National Nuclear 

Security Administration official 

authorized to execute and administer 

other transaction agreements. All preaward costs are incurred at the 

applicant’s and/or awardee’s risk. DOE 

is not obligated to reimburse the costs 

if, for any reason, the applicant does not 

receive an award, the award is less than 

anticipated and inadequate to cover the 

costs, or the AO did not provide prior 

approval for the reimbursement of the 

pre-award costs. 

§ 930.315 Negotiating data and patent 

rights. 

The Agreements Officer, meaning the 

cognizant warranted Department of 

Energy (DOE) or National Nuclear 

Security Administration official 

authorized to execute and administer 

other transaction agreements, must 

confer with program officials and 

assigned intellectual property counsel to 

develop an overall strategy for 

intellectual property taking into account 

inventions and data that may result 

from the project and future needs the 

Government may have for rights in 

them. The strategy should address 

program mission requirements and any 

special circumstances that would 

support modification of standard 

intellectual property provisions, and 

should include considerations such as 

the extent of the awardee’s contribution 

to the development of the technology; 

expected Government or commercial 

use of the technology; the need to 

provide equitable treatment among 

consortium or team members; and the 

need for DOE to engage non-traditional 

Government contractors with unique 

capabilities. 

§ 930.320 Data rights. 

(a) For provisions regarding data 

rights for any awardee entity type, the 

data rights requirements at 2 CFR 

910.362(d), Rights in data-general rule, 

normally apply when the Government is 

to be provided with unlimited rights in 

data and should be used as a starting 

point for such other transaction (OT) 

agreements. Here, the ‘‘Rights in Data— 

General’’ provision in appendix A to 

subpart D of 10 CFR part 910 typically 

applies. However, if the awardee is to 

receive special data protection, the data 

requirements at 2 CFR 910.362(e), 

Rights in data—programs covered under 

special protected data statutes normally 

apply and should be used as a starting 

point for such OT agreements. Here, the 

‘‘Rights in Data—Programs Covered 

Under Special Protected Data Statutes’’ 

provision in appendix A to subpart D of 

10 CFR part 910 typically applies. 

Consistent with 42 U.S.C. 7256(g)(5), 

data protection can be provided 

typically for a period of up to 5 years 

but may be extended up to a total of 30 

years in particular circumstances. 

(b) However, while maintaining 

compliance with 42 U.S.C. 7256(g), the 

Agreements Officer, meaning the 

cognizant warranted Department of 

Energy (DOE) or National Nuclear 

Security Administration official 

authorized to execute and administer 

OT agreements, may negotiate data 

rights requirements that vary from those 

listed above. Use of or modifications to 

the standard rights in data provisions 

must be approved by cognizant DOE 

intellectual property counsel. 

§ 930.325 Rights in inventions. 

(a) When negotiating rights in 

inventions, the Agreements Officer 

(AO), meaning the cognizant warranted 

Department of Energy (DOE) or National 

Nuclear Security Administration official 

authorized to execute and administer 

other transaction (OT) agreements, 

should negotiate terms that represent an 

appropriate balance between the 

Government’s interests and the 

awardee’s interests. Bayh-Dole (35 

U.S.C. 200–212) patent rights provisions 


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implemented via 37 CFR 401.14 as 

modified by the DOE (see e.g., U.S. 

Competitiveness provision and 

Department of Energy Determination of 

Exceptional Circumstances Under the 

Bayh-Dole Act to Further Promote 

Domestic Manufacture of DOE Science 

and Energy Technologies) should be 

used as a starting point for all awardee 

entity types. However, the AO may 

negotiate rights that vary from those in 

modified 37 CFR 401.14. For example, 

Bayh-Dole March-in-Rights found in 

modified 37 CFR 401.14 and concerning 

actions that the Government may take to 

obtain the right to use subject 

inventions if the awardee fails to take 

effective steps to achieve practical 

application of the subject inventions 

within a reasonable time, may be 

modified or removed entirely. Use of or 

modifications to the standard rights 

provisions must be approved by 

cognizant DOE intellectual property 

counsel. 

(b) For subawards, the OT should 

typically indicate that sub-awardees 

will get title to inventions they make but 

alternative terms could be included 

such as those specifying that subawardees’ invention rights are to be 

negotiated between awardee and subawardee or some other disposition of 

invention rights. 

§ 930.330 Research and technology 

security and U.S. manufacturing and 

competitiveness requirements. 

(a) Foreign access to technology. 

Consistent with the objective of 

enhancing national security and United 

States competitiveness by increasing the 

public’s reliance on United States 

commercial technology, the Agreements 

Officer, meaning the cognizant 

warranted Department of Energy (DOE) 

or National Nuclear Security 

Administration official authorized to 

execute and administer other 

transaction (OT) agreements, must 

include provisions in an OT agreement 

that addresses foreign access to 

technology developed under the OT 

agreement. Provisions must be included 

in an OT that provide, at a minimum, 

that any transfer of the technology must 

be consistent with the U.S. export 

control laws, regulations and the 

Department of Commerce Export 

Regulation at Chapter VII, Subchapter C, 

Title 15 of the CFR (15 CFR parts 730– 

774), as applicable. 

(b) DOE research and technology 

security policies. All DOE research and 

technology security policies apply to 

OTs unless the activities being funded 

are outside the scope of the policies or 

otherwise exempted from the policies. 

(c) U.S. manufacturing and 

competitiveness. Notice should be 

included in the OT indicating that 

products embodying any invention or 

produced through the use of any 

invention are subject to the U.S. 

Competitiveness terms outlined in 

modified 37 CFR 401.14. These terms 

may not be modified or waived without 

approval from cognizant DOE 

intellectual property counsel. 

§ 930.335 Record retention requirements. 

(a) Awardees must keep records 

related to the agreement for a period of 

three years after submission of the final 

financial status report for an 

expenditure-based award or final 

program performance report for a fixedsupport award, with the following 

exceptions: 

(1) The awardees must keep records 

longer than three years after submission 

of the final financial status report if the 

records relate to an audit, claim, or 

dispute that begins but does not reach 

its conclusion within the 3-year period. 

In that case, the awardees must keep the 

records until the matter is resolved and 

final action taken. 

(2) Records for any real property or 

equipment acquired with project funds 

under the agreement must be kept for 

three years after final disposition. 

(b) [Reserved] 

§ 930.340 Access to records. 

(a) The Department of Energy (DOE), 

through the Agreements Officer (AO), 

meaning the cognizant warranted DOE 

or National Nuclear Security 

Administration official authorized to 

execute and administer other 

transaction agreements, has an 

unfettered right of timely access to any 

documents, papers, or other records of 

the awardee which are pertinent to the 

Federal award, in order to inspect and 

make copies, audits, examinations, 

excerpts, and/or transcripts. The right 

also includes timely and reasonable 

access to the awardee’s personnel for 

the purpose of interview and discussion 

related to such documents. The exercise 

of this authority is at the discretion of 

the AO. 

(b) Inspectors General and the 

Comptroller General of the United 

States may have independent legal 

authority to access to records or 

personnel related to the Federal award. 

Consistent with the independent legal 

authority, recipients should follow the 

laws and regulations applicable to 

requests for access to records or 

personnel from Inspectors General and 

the Comptroller General of the United 

States. 

§ 930.345 Noncompliance and termination 

requirements. 

(a) Noncompliance. If an awardee 

materially fails to comply with the 

articles or terms and conditions of an 

agreement, whether stated in a Federal 

statute, regulation, assurance, 

application, plan, or the notice of 

award, the Agreements Officer (AO), 

meaning the cognizant warranted 

Department of Energy (DOE) or National 

Nuclear Security Administration official 

authorized to execute and administer 

other transaction (OT) agreements, may 

take one or more of the following 

actions, as appropriate: 

(1) Temporarily withhold cash 

payments pending correction of the 

deficiency by the awardee or more 

severe enforcement action by the AO. 

(2) Disallow or deny both the use of 

funds and any applicable cost share for 

all or part of the cost of the activity or 

action not in compliance. 

(3) Wholly or partly suspend or 

terminate the current award. 

(4) Withhold further awards for the 

project or program. 

(5) Apply other remedies that may be 

legally available. 

(b) Termination. The OT agreement 

must include an article that indicates 

that the Government may terminate the 

agreement in whole or in part if the 

awardee materially fails to comply with 

the articles or terms and conditions of 

an agreement, whether stated in a 

Federal statute, regulation, assurance, 

application, plan, or the notice of award 

fails to comply with the articles and 

requirements of the award. An 

agreement may include an article 

providing for the termination of the 

agreement, in whole or in part, by 

mutual agreement or as negotiated by 

the parties. In the case of proposed 

partial termination of the agreement, if 

the remaining portion of the award will 

not accomplish the purposes for which 

the agreement was made, the award may 

be terminated in its entirety. 

(1) Unless otherwise negotiated, for 

terminations of an expenditure-based 

award, DOE’s maximum liability is the 

lesser of: 

(i) DOE’s share of allowable costs 

incurred up to the date of termination, 

or 

(ii) The amount of DOE funds 

obligated to the award. 

(2) Unless otherwise negotiated, for 

terminations of a fixed-support based 

award, DOE shall pay the awardee for 

the last fully completed milestone. 

(3) Notwithstanding paragraphs (b)(1) 

and (2) of this section, if the awardee 

initiates termination and the award 

includes milestone payments, the 

Government has no obligation to pay the 


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Federal Register / Vol. 90, No. 2 / Friday, January 3, 2025 / Rules and Regulations 199 

awardee beyond the last completed and 

paid milestone. 

(c) Right to appeal. (1) The awardee 

has the right to appeal to the cognizant 

Senior Procurement Executive (SPE), as 

defined by 41 U.S.C. 1702(c), to review 

only the following actions: 

(i) A DOE determination that the 

awardee has failed to comply with the 

applicable requirements of the award; 

(ii) Termination of an award, in whole 

or in part, by DOE; 

(iii) The application by DOE of an 

indirect cost rate; and 

(iv) DOE disallowance of costs. 

(2) In reviewing appeals authorized 

under paragraph (c)(1) of this section, 

the SPE is bound by the applicable law, 

statutes, and rules, including the 

requirements of this part, and by the 

articles or terms and conditions of the 

award. 

(3) The decision of the SPE shall be 

the final decision of DOE. 

Subpart D—Appropriate Use of 

Technology Investment Agreements 

§ 930.400 Use of Technology Investment 

Agreements (TIAs). 

For purposes of this part, a 

Technology Investment Agreements 

(TIA) is a special type of other 

transaction (OT) agreement that is an 

assistance instrument used to increase 

involvement of a for-profit entity or 

segment of a for-profit entity (e.g., a 

division or other business unit) that 

does a substantial portion of its business 

in the commercial marketplace in 

Department of Energy’s (DOE) research, 

development, and demonstration 

(RD&D) programs. A TIA requires 

substantial Federal involvement in the 

technical or management aspects of the 

project. The goal for using a TIA is to 

broaden the technology base available to 

meet DOE mission requirements and 

foster within the technology base new 

relationships and practices to advance 

the national economic and energy 

security of the United States, to promote 

scientific and technological innovation 

in support of that mission, and to ensure 

the environmental cleanup of the 

national nuclear weapons complex. A 

TIA therefore is designed to reduce 

barriers to participation in RD&D 

programs by for-profit entities that deal 

primarily in the commercial 

marketplace. A TIA allows Agreements 

Officers (AO), meaning the cognizant 

warranted DOE or National Nuclear 

Security Administration official 

authorized to execute and administer 

OT agreements, to tailor Government 

requirements and lower or remove 

barriers if it can be done with proper 

stewardship of Federal funds. A TIA 

may also promote new relationships 

among performers in the technology 

base. Collaborations among for-profit 

entities that deal primarily in the 

commercial marketplace, firms that 

regularly perform on the DOE RD&D 

programs and nonprofit organizations 

can enhance overall quality and 

productivity. 

§ 930.405 TIA awardees. 

(a) A Technology Investment 

Agreements (TIA) may be awarded to a 

single entity or multiple entities (e.g., a 

teaming arrangement) in prime awardsubaward relationships. 

(b) A TIA requires one or more forprofit entities, not acting in their 

capacity as the contractor operating a 

Federally Funded Research and 

Development Center (FFRDC), to be 

involved either in the: 

(1) Performance of the research, 

development, and demonstration 

(RD&D) project; or 

(2) The commercial application of the 

results of the RD&D project. 

(c)(1) In those cases where there is 

only a non-profit awardee or a 

consortium of non-profit entities or nonprofit entities and FFRDC contractors 

(as sub-awardees), if and as authorized, 

the awardees must have at least a 

tentative agreement with a specific forprofit entity or entities that plan on 

being involved in the commercial 

application of the results. 

(2) In consultation with legal counsel, 

the Agreements Officer, meaning the 

cognizant warranted Department of 

Energy or National Nuclear Security 

Administration official authorized to 

execute and administer OT agreements, 

must review the agreement between the 

parties to ensure that the for-profit 

entity is committed to being involved in 

the commercial application of the 

results. 

§ 930.410 Purchase of real property and 

equipment by for-profit firms. 

Federal funds provided under another 

transaction (OT) agreement to for-profit 

entities must not be used to purchase 

real property or equipment. If the OT 

agreement requires the purchase of real 

property or equipment, the for-profit 

entity must use its own funds that are 

separate from the research, 

development, and demonstration 

project. The Agreements Officer, 

meaning the cognizant warranted 

Department of Energy or National 

Nuclear Security Administration official 

authorized to execute and administer 

OT agreements, should allow the forprofit participant to charge to an 

expenditure-based award or include in 

the cost estimate for fixed-support 

award, only depreciation or use charges 

for the real property or equipment. Note 

that the for-profit must charge 

depreciation consistently with its usual 

accounting practices and policies. Many 

for-profits treat depreciation as an 

indirect cost. Any for-profit that usually 

charges depreciation indirectly for a 

particular type of property must not 

charge depreciation for that property as 

a direct cost to the OT agreement. 

§ 930.415 Government participation. 

A Technology Investment Agreements 

is used to carry out cooperative 

relationships between the Federal 

Government and the awardee(s) which 

require substantial involvement of the 

Government in the technical and/or 

management aspects of the research, 

development, and demonstration 

(RD&D) project. 

Title 10 

PART 603—[REMOVED AND 

RESERVED] 

■ 2. Under the authority of 42 U.S.C. 

7101 et seq.; 31 U.S.C. 6301–6308; 50 

U.S.C. 2401 et seq., part 603 is removed 

and reserved. 

[FR Doc. 2024–30636 Filed 1–2–25; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF AGRICULTURE 

Rural Housing Service 

7 CFR Parts 3550 and 3555 

[Docket No. RHS–24–SFH–0034] 

RIN 0575–AD32 

Updating Manufactured Housing 

Provisions 

AGENCY: Rural Housing Service, 

Department of Agriculture (USDA). 

ACTION: Final rule. 

SUMMARY: The Rural Housing Service 

(RHS or the Agency), a Rural 

Development (RD) agency of the United 

States Department of Agriculture 

(USDA), is amending the current 

regulations for the Single Family 

Housing (SFH) Direct Loan Program and 

the SFH Guaranteed Loan Program. The 

intent of this final rule is to allow the 

Agency to give borrowers increased 

purchase options within a competitive 

market and increase adequate housing 

along with an enhanced customer 

experience with the SFH programs. 

DATES: This final rule is effective March 

4, 2025. 

FOR FURTHER INFORMATION CONTACT: 

Sonya Evans, Finance & Loan Analyst, 


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