Document:

exv10w1

Exhibit 10.1

SIXTH AMENDMENT TO THE

AMENDED AND RESTATED AGREEMENT OF

LIMITED PARTNERSHIP OF UNITED DOMINION REALTY, L.P.

               This SIXTH AMENDMENT TO THE AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP OF UNITED
DOMINION REALTY, L.P., dated as of December 9, 2008 (this “Amendment”), is being executed by UDR,
Inc., a Maryland corporation (the “General Partner”), as the general partner of United Dominion
Realty, L.P., a Delaware limited partnership (the “Partnership”), pursuant to the authority
conferred on the General Partner pursuant to Section 11.01 of the Amended and Restated Agreement of
Limited Partnership of United Dominion Realty, L.P., dated as of February 23, 2004, as amended to
date (the “Agreement”). Capitalized terms used, but not otherwise defined herein, shall have the
respective meanings ascribed thereto in the Agreement.

               WHEREAS, the Board of Directors of the General Partner has approved this Amendment.

               NOW, THEREFORE, in consideration of the foregoing, and other good and valuable consideration,
the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows:

	1.	 	Section 8.05(f)(i) of the Agreement is hereby amended to read in its entirety as follows:

“In the event that the Company (A) declares or pays a dividend on its
outstanding REIT Shares in REIT Shares or makes a distribution to all
holders of its outstanding REIT Shares in REIT Shares, (B) subdivides its
outstanding REIT Shares, or (C) combines its outstanding REIT Shares into
a smaller number of REIT Shares, the Conversion Factor shall be adjusted
by multiplying the Conversion Factor by a fraction, the numerator of which
shall be the number of REIT Shares issued and outstanding on the record
date for such dividend, distribution, subdivision or combination (assuming
for such purposes that such dividend, distribution, subdivision or
combination has occurred as of such time), and the denominator of which
shall be the actual number of REIT Shares (determined without the above
assumption) issued and outstanding on such date; provided, however, that
notwithstanding the foregoing, if the Company declares or pays a dividend
on its outstanding REIT Shares in REIT Shares or makes a distribution to
all holders of its outstanding REIT Shares in REIT Shares (including a
dividend in which stockholders may elect to receive all or a portion of
such dividend in cash), no adjustment shall be made if, promptly
thereafter, with respect to any dividend

 

 

or distribution with respect to REIT Shares, the Partnership pays a
distribution with respect to each Partnership Unit consisting of a number
of Partnership Units (or fraction thereof) equal to the product of (i) the
quotient obtained by dividing (a) the aggregate number of REIT Shares paid
by the Company as a dividend to all stockholders, by (b) the aggregate
number of REIT Shares outstanding as of the close of business on the
record date for such dividend, and (ii) the number of REIT Shares for
which such Partnership Unit is then redeemable pursuant to Section 8.05.”

	2.	 	The definition of “Dividend Equivalent” as set forth in Section 1.01 of the Agreement is
hereby amended to read in its entirety as follows:

“DIVIDEND EQUIVALENT” as to any Partner means the amount of distributions such
Partner would have received for the quarter (or other distribution period) from
REIT Shares if such Partner owned the number of REIT Shares equal to the product of
such Partner’s Partnership Units and the Conversion Factor for the Partnership
Record Date pertaining to such quarter (or other distribution period); provided,
however, that for purposes of determining any Partner’s Dividend Equivalent for any
period for which the Company pays a dividend with respect to REIT Shares in which
holders of REIT Shares have an option to elect to receive such dividend in cash or
additional REIT Shares, the amount of distributions such Partner shall be deemed to
have received with respect to such dividend (if such Partner was deemed to own the
specified number of REIT Shares) shall be equal to the product of (i) the specified
number of REIT Shares deemed to be owned by such Partner, and (ii) the quotient
obtained by dividing (a) the aggregate amount of cash paid by the Company in such
dividend to all holders of REIT Shares, by (b) the aggregate number of REIT Shares
outstanding as of the close of business on the record date for such dividend.”

	3.	 	Except as specifically amended hereby, the terms, covenants, provisions and conditions of the
Agreement shall remain unmodified and continue in full force and effect and, except as amended
hereby, all of the terms, covenants, provisions and conditions of the Agreement are hereby
ratified and confirmed in all respects.

2

 

               IN WITNESS WHEREOF, this Amendment has been executed as of the date first written above.

	 	 	 	 	 
	 	GENERAL PARTNER:

UDR, INC.

 	 
	 	By:  	/s/ Warren L. Troupe	 
	 	 	Name:  	Warren L. Troupe 	 
	 	 	Title:  	Senior Executive Vice Presidentexv10w2

Exhibit 10.2

THIRD AMENDMENT TO THE

SECOND AMENDED AND RESTATED AGREEMENT OF

LIMITED PARTNERSHIP OF HERITAGE COMMUNITIES L.P.

This THIRD AMENDMENT TO THE SECOND AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP OF
HERITAGE COMMUNITIES L.P., dated as of December 9, 2008 (this “Amendment”), is being executed by
ASR Investments Corporation, a Maryland corporation, as the sole member of ASR of Delaware LLC, a
Delaware limited liability company (collectively the “General Partner”), the general partner of
Heritage Communities L.P., a Delaware limited partnership (the “Partnership”), pursuant to the
authority conferred on the General Partner pursuant to Section 14.2(c) of the Second Amended and
Restated Agreement of Limited Partnership of Heritage Communities L.P., dated as of September 18,
1997, as amended to date (the “Agreement”). Capitalized terms used, but not otherwise defined
herein, shall have the respective meanings ascribed thereto in the Agreement.

WHEREAS, the Board of Directors of the General Partner has approved this Amendment.

NOW, THEREFORE, in consideration of the foregoing, and other good and valuable consideration, the
receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows:

	1.	 	The definition of “Unit Adjustment Factor” in Section 1.1.80 of the Agreement is hereby
amended and restated to read in its entirety as follows:

“Unit Adjustment Factor means initially 1.0; provided that in the event
that UDR, Inc. (“UDR”) (i) declares or pays a dividend on its outstanding
Shares in Shares or makes a distribution to all holders of its outstanding
Shares in Shares, (ii) subdivides its outstanding Shares, or (iii)
combines its outstanding Shares into a smaller number of Shares, the Unit
Adjustment Factor shall be adjusted by multiplying the Unit Adjustment
Factor by a fraction, the numerator of which shall be the number of Shares
issued and outstanding on the record date (assuming for such purposes that
such dividend, distribution, subdivision or combination has occurred as of
such time), and the denominator of which shall be the actual number of
Shares (determined without the above assumption) issued and outstanding on
the record date for such dividend, distribution, subdivision or
combination; provided however, that notwithstanding the foregoing, if UDR
declares or pays a dividend on its outstanding Shares in Shares or makes a
distribution to all holders of its outstanding Shares in Shares (including
a dividend in which stockholders may elect to receive all or a portion of
such dividend in cash), no adjustments to the Unit Adjustment Factor shall
be made if, promptly thereafter, the

 

 

Partnership pays a distribution with respect to each Partnership Unit
consisting of a number of Partnership Units (or fraction thereof) equal to
the product of (i) the quotient obtained by dividing (a) the aggregate
number of Shares paid by UDR as a dividend to all stockholders, by (b) the
aggregate number of Shares outstanding as of the close of business on the
record date for such dividend, and (ii) the number of shares for which
such Partnership Unit is then exchangeable pursuant to Section 4.2.2.”

	2.	 	Section 5.1.1(c) is hereby amended to read in its entirety as follows:

“third, to each Limited Partner to the extent of and in proportion to an amount per
Limited Partner Unit held by such Limited Partner equal to the quotient obtained by
dividing (i) the aggregate amount of cash paid by UDR as a dividend to holders of
Shares for such quarter, by (ii) the aggregate number of Shares outstanding as of
the close of business on the record date for such dividend,”

	3.	 	Except as specifically amended hereby, the terms, covenants, provisions and conditions of the
Agreement shall remain unmodified and continue in full force and effect and, except as amended
hereby, all of the terms, covenants, provisions and conditions of the Agreement are hereby
ratified and confirmed in all respects.

 

 

               IN WITNESS WHEREOF, this Amendment has been executed as of the date first written above.

	 	 	 	 	 	 	 
	 	 	HERITAGE COMMUNITIES L.P.,	 	 
	 	 	a Delaware limited partnership	 	 
	 
	 	 	 	 	 	 
	 

	 	By:
	 	ASR OF DELAWARE LLC,	 	 
	 

	 	 	 	a Delaware limited liability company, its General Partner	 	 
	 
	 	 	 	 	 	 
	 

	 	By:
	 	ASR INVESTMENTS CORPORATION,	 	 
	 

	 	 	 	a Maryland corporation, its Sole Member	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	/s/ Warren L. Troupe
 

Warren L. Troupe

Senior Executive Vice PresidentEX-10.1

Exhibit 10.1

Confidential Materials omitted and filed separately with the Securities and Exchange Commission.

Asterisks denote omissions.

	DOE F 4600.1#(7/08)Exhibit 10.1

	U.S. DEPARTMENT OF ENERGY
NOTICE OF FINANCIAL ASSISTANCE AWARD
Under the authority of Public Law 109-58, Energy Policy Act (2005)

	1. PROJECT TITLE 2. INSTRUMENT TYPE
Wave Power Demonstration Project at Reedsport, Oregon            GRANT COOPERATIVE AGREEMENT
3. RECIPIENT (Name, address, zip code) 4. INSTRUMENT NO. 5. AMENDMENT NO.
Ocean Power Technologies, Inc. DE-FG36-08GO88017 A000
1590 Reed Road
Pennington, NJ 08534-5010
6. BUDGET PERIOD 7. PROJECT PERIOD
FROM: 8/1/2008 THRU: 11/30/2009 FROM: 8/1/2008 THRU: 11/30/2008
 —  —
8. RECIPIENT PROJECT DIRECTOR (Name, phone and E-mail) 10. TYPE OF AWARD
Herbert T. Nock Ph: 609-730-0400 NEW CONTINUATION RENEWAL
E-mail: hnock@oceanpowertech.com            REVISION INCREMENTAL FUNDING
9. RECIPIENT BUSINESS OFFICER (Name phone and E-mail)
Deborah Montagna Ph: 609-730-0400
E-mail: dmontagna@oceanpowertech.com
11. DOE PROJECT OFFICER (Name, address, phone and E-mail) 12. DOE AWARD ADMINISTRATOR (Name, address, phone and E-mail)
Curtis K. Framel Phone: 303-275-4872 Sara Wilson Phone: 303-275-4922
Golden Field Office            Golden Field Office
1617 Cole Blvd 1617 Cole Blvd
Golden CO. 80401-3393 Golden CO. 80401-3305
E-Mail: Curtis Framel@go.doe.gov            E-Mail: sara.wilson@go.doe.gov
13. RECIPIENT TYPE
STATE GOV’T            INDIAN TRIBUNAL GOV’T            HOSPITAL            FOR PROFIT            INDIVIDUAL
ORGANIZATION
LOCAL GOV’T            INSTITUTION OF HIGHER EDUCATION            OTHER NONPROFIT ORGANIZATION            C            P SP            OTHER (Specify):
14. ACCOUNTING AND APPROPRIATIONS DATA: 15. EMPLOYER I.D.
Fund            Year            Allottee            Reporting            SGL            Object            Project      
      Program            WFO            Local Use            Amount a. TIN: 22-2535818
Entity            Class
-
05450 2008 31 200835 61000000 41000 0000000 1005067 0000000 0000000 $1,968,000.00 b. DUNS: 181079872
-
16. BUDGET AND FUNDING INFORMATION

	a. CURRENT BUDGET PERIOD INFORMATION            b. CUMULATIVE DOE OBLIGATIONS
(1) DOE Funds Obligated This Action $1,968,000.00 (1) This Budget Period $1,968,000.00

	(2) DOE Funds Authorized for Carry Over $0.00 [Total of lines a.(1) and .(3)]
(3) DOE Funds Previously Obligated in this Budget Period $0.00

	(4) DOE Share of Total Approved Budget $1,968,000.00 (2) Prior Budget Periods $0.00

	(5) Recipient Share of Total Approved Budget $[**]
(6) Total Approved Budged $[**] (3) Project Period to Date $1,968,000.00

	[Total of lines b.(1) and b.(2)]
—
17. TOTAL ESTIMATED COST OF PROJECT, INCLUDING DOE FUNDS TO FFRDC: $[**]
(This is the current estimated cost of the project. It is not a promise to award nor an authorization to expend funds in this amount.)

	18. AWARD/AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of this form plus the following:

	a. Special terms and conditions.
b. Applicable program regulations (Specify) n/a (Date)
c. DOE Assistance Regulations, 10 CFR Part 600 at http://ecfr.gpoaccess.gov and if the award is for research and to a university or non-profit, the Research
Terms and Conditions and the DOE Agency Specific Requirements at http://www.nsf.gov/bfa/dias/policy/rtc/index.jsp.

	d. Application/proposal as approved by DOE.
e. National Policy Assurances to be incorporated as Award Terms in effect on date of award at http://www.management.energy.gov/business_doe/1374.htm.
19. REMARKS
The attached Special Terms and Conditions (Attachment #1); Intellectual Property Provisions (GSB-1003) (Attachment #2); SF-424A, Budget Information — Non
Construction Programs (Attachment #3); Federal Assistance Reporting Checklist and Instructions (Attachment #4); and Statement of Project Objectives
(Attachment #5) are added and made a part of this award.

	20. EVIDENCE OF RECEIPT ACCEPTANCE 21. AWARDED BY
/s/ Charles F. Dunleavy SEP 23 2008 /s/ Sara Wilson SEP 03 2008
(Signature of Authorized Recipient Officer) (Date) (Signature) (Date)
Charles F. Dunleavy            Sara Wilson
(Name) (Name)
C.F.O. Contracting Officer
(Title) (Title)

 

DE-FG36-08GO88017 / A000

Attachment 1

SPECIAL TERMS AND CONDITIONS
JULY 2008

Table of Contents

	 	 	 	 	 	 	 
	Number	 	Subject	 	Page	 
	 	 	 
	 	 	 	 
	1.	 	RESOLUTION OF CONFLICTING CONDITIONS
	 	 	2	 
	2.	 	PAYMENT PROCEDURES
	 	 	2	 
	3.	 	COST SHARE
	 	 	2	 
	4.	 	REBUDGETING AND RECOVERY OF INDIRECT COSTS
	 	 	3	 
	5.	 	STATEMENT OF FEDERAL STEWARDSHIP
	 	 	3	 
	6.	 	SITE VISITS
	 	 	4	 
	7.	 	REPORTING REQUIREMENTS
	 	 	4	 
	8.	 	PUBLICATIONS
	 	 	4	 
	9.	 	FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
	 	 	5	 
	10.	 	INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION
	 	 	5	 
	11.	 	LOBBYING RESTRICTIONS
	 	 	5	 
	12.	 	NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT
	 	 	5	 
	 	 	AND PRODUCTS — SENSE OF CONGRESS
	 	 	 	 
	13.	 	TRAFFICKING IN PERSONS
	 	 	5	 
	14.	 	INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP
	 	 	8	 
	15.	 	DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS
	 	 	8	 

1

 

DE-FG36-08GO88017 / A000

Attachment 1

	1.	 	RESOLUTION OF CONFLICTING CONDITIONS
	 
	 	 	Any apparent inconsistency between Federal statutes and regulations and the terms and
conditions contained in this award, as shown in Block 18 of the Notice of Financial
Assistance Award (NFAA) must be referred to the DOE Award Administrator identified in Block
12 of the NFAA for guidance.

	2.	 	PAYMENT PROCEDURES
	 
	 	 	REIMBURSEMENT THROUGH THE AUTOMATED STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM

	 	a.	 	Method of Payment. Payment will be made by reimbursement through the
Department of Treasury’s ASAP system.
	 
	 	b.	 	Requesting Reimbursement. Requests for reimbursements must be made through the
ASAP system. Requests for reimbursement should coincide with the Awardee’s normal billing
pattern, but not more frequently than every two weeks. Each request must be limited to the
amount of disbursements made for the federal share of direct project costs and the
proportionate share of allowable indirect costs incurred during that billing period.
	 
	 	c.	 	Adjusting payment requests for available cash. The Awardee must disburse any
funds that are available from repayments to and interest earned on a revolving fund,
program income, rebates, refunds, contract settlements, audit recoveries, credits,
discounts, and interest earned on any of those funds before requesting additional cash
payments from DOE.
	 
	 	d.	 	Payments. All payments are made by electronic funds transfer to the bank
account identified on the ASAP Bank Information Form that you filed with the U.S.
Department of Treasury.

	3.	 	COST SHARE

	 	a.	 	Total Estimated Project Cost is the sum of the DOE share and Awardee share of the
estimated project costs. The Awardee’s cost share must derive from non-Federal sources
unless otherwise allowed by law. By accepting federal funds under this award, the Awardee
agrees to be responsible for its percentage share of total allowable project costs, on a
budget period basis, even if the project is terminated early or is not funded to its
completion. This cost is shared as follows:

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Budget	 	Budget	 	 	 	 	 	Awardee Cost	 	 
	Period	 	Period	 	DOE Cost Share	 	Share	 	Total Estimated
	No.	 	Start Date	 	$ / %	 	$ / %	 	Costs
	1
	 	 	08/01/2008	 	 	$	1,968,000 / [**]	%	 	$	[**] / [**]	%	 	$	[**]	 
	Total Project
	 	 	 	 	 	$	1,968,000 / [**]	%	 	$	[**] / [**]	%	 	$	[**]	 

2

 

DE-FG36-08GO88017 / A000

Attachment 1

	 	b.	 	If the Awardee is unable to provide cost share of the amount identified in paragraph a
of this article, the Awardee shall notify the DOE Award Administrator identified in Block
12 of the Notice of Financial Assistance Award, indicating whether you will continue or
phase out the project. If the project will continue, the notification must describe how
replacement cost share will be secured.
	 
	 	c.	 	The Awardee must maintain records of all project costs that are claimed as cost share,
including in-kind costs, as well as records of costs to be paid by DOE. Such records are
subject to audit.
	 
	 	d.	 	Failure to provide the cost share required by this Article may result in the subsequent
recovery by DOE of some or all the funds provided under the award.

	4.	 	REBUDGETING AND RECOVERY OF INDIRECT COSTS

	 	a.	 	If actual allowable indirect charges are less than those budgeted and funded under the
award, the Awardee may use the difference to pay additional allowable direct costs during
the project period. If at the completion of the award DOE’s share of total allowable costs
(i.e., direct and indirect), is less than the total costs reimbursed, the Awardee must
refund the difference.
	 
	 	b.	 	Awardees are expected to manage their indirect costs. DOE will not amend an award
solely to provide additional funds for changes in indirect cost rates (See “Incremental
Funding and Maximum Obligation article). DOE recognizes that the inability to obtain full
reimbursement for indirect costs means the Awardee must absorb the underrecovery. Such
underrecovery may be allocated as part of the organization’s required cost share.
	 
	 	c.	 	The budget for this award includes indirect charges, but does not include fringe
benefits. Therefore, fringe benefit costs shall not be charged to nor shall reimbursement
be requested for this project nor shall the fringe benefit costs for this project be
allocated to any other federally sponsored project. In addition, fringe benefit costs
shall not be counted as cost share unless approved by the Contracting Officer. This
restriction does not apply to subawardees’ fringe benefits.

	5.	 	STATEMENT OF FEDERAL STEWARDSHIP
	 
	 	 	DOE will exercise normal Federal stewardship in overseeing the project activities performed
under this award. Stewardship activities include, but are not limited to, conducting site
visits; reviewing performance and financial reports; providing technical assistance and/or
temporary intervention in unusual circumstances to correct deficiencies which develop during
the project; assuring compliance with terms and conditions; and reviewing technical
performance after project completion to ensure that the award objectives have been
accomplished.

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DE-FG36-08GO88017 / A000

Attachment 1

	6.	 	SITE VISITS
	 
	 	 	DOE’s authorized representatives have the right to make site visits at reasonable times to
review project accomplishments and management control systems and to provide technical
assistance, if required. The Awardee must provide, and must require its subawardees to
provide, reasonable access to facilities, office space, resources, and assistance for the
safety and convenience of the government representatives in the performance of their duties.
All site visits and evaluations must be performed in a manner that does not unduly
interfere with or delay the work.

	7.	 	REPORTING REQUIREMENTS

	 	a.	 	Requirements. The reporting requirements for this award are identified on the
Federal Assistance Reporting Checklist, DOE F 4600.2, attached to this award. Failure to
comply with these reporting requirements is considered a material noncompliance with the
terms of the award. Noncompliance may result in withholding of future payments, suspension
or termination of the current award, and withholding of future awards. A willful failure
to perform, a history of failure to perform, or unsatisfactory performance of this and/or
other financial assistance awards, may also result in a debarment action to preclude future
awards by Federal agencies,
	 
	 	b.	 	Dissemination of scientific/technical reports. Scientific/technical reports
submitted under this award will be disseminated on the Internet via the DOE Information
Bridge (www.osti.gov/bridge), unless the report contains patentable material,
protected data or SBIR/STTR data. Citations for journal articles produced under the award
will appear on the DOE Energy Citations Database (www.osti.gov/energycitations).
	 
	 	c.	 	Restrictions. Reports submitted to the DOE Information Bridge must not contain
any Protected Personal Identifiable Information (PII), limited rights data (proprietary
data), classified information, information subject to export control classification, or
other information not subject to release.

	8.	 	PUBLICATIONS

	 	a.	 	The Awardee is encouraged to publish or otherwise make publicly available the results
of the work conducted under the award.
	 
	 	b.	 	An acknowledgment of DOE support and a disclaimer must appear in the publication of any
material, whether copyrighted or not, based on or developed under this project, as follows:
	 
	 	 	 	Acknowledgment: “This material is based upon work supported by the Department of Energy
[National Nuclear Security Administration] [add name(s) of other agencies, if applicable]
under Award Number(s) [enter the award number(s)].”
	 
	 	 	 	Disclaimer. “This report was prepared as an account of work sponsored by an agency of the
United States Government. Neither the United States Government nor any agency

4

 

DE-FG36-08GO88017 / A000

Attachment 1

	 	 	 	thereof, nor any of their employees, makes any warranty, express or implied, or assumes any
legal liability or responsibility for the accuracy, completeness, or usefulness of any
information, apparatus, product, or process disclosed, or represents that its use would not
infringe privately owned rights. Reference herein to any specific commercial product,
process, or service by trade name, trademark, manufacturer, or otherwise does not
necessarily constitute or imply its endorsement, recommendation, or favoring by the United
States Government or any agency thereof. The views and opinions of authors expressed herein
do not necessarily state or reflect those of the United States Government or any agency
thereof.”

	9.	 	FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
	 
	 	 	The Awardee must obtain any required permits and comply with applicable federal, state, and
municipal laws, codes, and regulations for work performed under this award.

	10.	 	INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION

	 	a.	 	The intellectual property provisions applicable to this award are provided as an
attachment to this award or are referenced in Block 19 of the Notice of Financial
Assistance Award. A list of all intellectual property provisions may be found at
http://www.gc.doe.gov/financial_assistance_awards.htm.
	 
	 	b.	 	Questions regarding intellectual property matters should be referred to the DOE Award
Administrator identified in Block 12 of the NFAA and the cognizant DOE Patent Counsel. The
Patent Counsel for the Golden Field Office is Julia Moody, who may be reached at
303-275-4867, or Julia.moody@go.doe.gov.

	11.	 	LOBBYING RESTRICTIONS
	 
	 	 	By accepting funds under this award, the Awardee agrees that none of the funds obligated on
the award shall be expended, directly or indirectly, to influence congressional action on
any legislation or appropriation matters pending before Congress, other than to communicate
to Members of Congress as described in 18 U.S.C. 1913. This restriction is in addition to
those prescribed elsewhere in statute and regulation.

	12.	 	NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS — SENSE OF CONGRESS
	 
	 	 	It is the sense of the Congress that, to the greatest extent practicable, all equipment and
products purchased with funds made available under this award should be American-made.

	13.	 	TRAFFICKING IN PERSONS

	 	a.	 	Provisions applicable to an Awardee that is a private entity:

	 	1.	 	The Awardee, your employees, subawardees under this award, and subawardees’
employees may not —

5

 

DE-FG36-08GO88017 / A000

Attachment 1

	 	i.	 	Engage in severe forms of trafficking in persons during the period of
time that the award is in effect;
	 
	 	ii.	 	Procure a commercial sex act during the period of time that the award
is in effect; or
	 
	 	iii.	 	Use forced labor in the performance of the award or subawards under the
award.

	 	2.	 	We as the Federal awarding agency may unilaterally terminate this award,
without penalty, if you or a subawardee that is a private entity—

	 	i.	 	Is determined to have violated a prohibition in paragraph a.1 of this
award term; or
	 
	 	ii.	 	Has an employee who is determined by the agency official authorized to
terminate the award to have violated a prohibition in paragraph a.1 of this award
term through conduct that is either—

	 	(a)	 	Associated with performance under this award; or
	 
	 	(b)	 	Imputed to you or the subawardee using the standards and due
process for imputing the conduct of an individual to an organization that are
provided in 2 CFR part 180, “OMB Guidelines to Agencies on Government-wide
Debarment and Suspension (Nonprocurement),” as implemented by 2 CFR part 901.

	 	b.	 	Provision applicable to an Awardee other than a private entity: We as the Federal
awarding agency may unilaterally terminate this award, without penalty, if a subawardee
that is a private entity—

	 	1.	 	Is determined to have violated an applicable prohibition in paragraph a.1 of
this award term; or
	 
	 	2.	 	Has an employee who is determined by the agency official authorized to
terminate the award to have violated an applicable prohibition in paragraph a.1 of this
award term through conduct that is either—

	 	i.	 	Associated with performance under this award; or
	 
	 	ii.	 	Imputed to the subawardee using the standards and due process for
imputing the conduct of an individual to an organization that are provided in 2 CFR
part 180, “OMB Guidelines to Agencies on Government-wide Debarment and Suspension
(Nonprocurement),” as implemented by 2 CFR part 901.

	 	c.	 	Provisions applicable to all Awardees:

	 	1.	 	The Awardee must inform DOE immediately of any information received from any
source alleging a violation of a prohibition in paragraph a.1 of this award term.

6

 

DE-FG36-08GO88017 / A000

Attachment 1

	 	2.	 	DOE’s right to terminate unilaterally that is described in paragraph a.2 or b.
of this section:

	 	i.	 	Implements section 106(g) of the Trafficking Victims Protection Act of
2000 (TVPA), as amended (22 U.S.C. 7104(g)), and
	 
	 	ii.	 	Is in addition to all other remedies for noncompliance that are
available to DOE under this award.

	 	3.	 	The Awardee must include the requirements of paragraph a.1 of this award term
in any subaward made by the Awardee to a private entity.

	 	d.	 	Definitions. For purposes of this award term:

	 	1.	 	“Employee” means either:

	 	i.	 	An individual employed by the Awardee or a subawardee who is engaged in
the performance of the project or program under this award; or
	 
	 	ii.	 	Another person engaged in the performance of the project or program
under this award and not compensated by the Awardee including, but not limited to,
a volunteer or individual whose services are contributed by a third party as an
in-kind contribution toward a cost share requirements.

	 	2.	 	“Forced labor” means labor obtained by any of the following methods: the
recruitment, harboring, transportation, provision, or obtaining of a person for labor
or services, through the use of force, fraud, or coercion for the purpose of subjection
to involuntary servitude, peonage, debt bondage, or slavery.
	 
	 	3.	 	“Private entity”:

	 	i.	 	Means any entity other than a State, local government, Indian tribe, or
foreign public entity, as those terms are defined in 2 CFR 175.25.
	 
	 	ii.	 	Includes:

	 	(a)	 	A nonprofit organization, including any nonprofit institution
of higher education, hospital, or tribal organization other than one included
in the definition of Indian tribe at 2 CFR 175.25(b).
	 
	 	(b)	 	A for-profit organization.

	 	4.	 	“Severe forms of trafficking in persons,” “commercial sex act,” and “coercion”
have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

7

 

DE-FG36-08GO88017 / A000

Attachment 1

	14.	 	INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP

	 	a.	 	The Awardee shall immediately notify the DOE Administrator identified in Block 12 of
the Notice of Financial Assistance Award of the occurrence of any of the following events:
(i) the Awardee or its parent’s filing of a voluntary case seeking liquidation or
reorganization under the Bankruptcy Act; (ii) the Awardee’s consent to the institution of
an involuntary case under the Bankruptcy Act against the Awardee or its parent; (iii) the
filing of any similar proceeding for or against the Awardee or its parent, or its consent
to the dissolution, winding-up or readjustment of its debts, appointment of a receiver,
conservator, trustee, or other officer with similar powers over the Awardee, under any
other applicable state or federal law; or (iv) the Awardee’s insolvency due to its
inability to pay debts generally as they become due.
	 
	 	b.	 	Such notification shall be in writing and shall: (i) specifically set out the details
of the occurrence of an event referenced in paragraph (a); (ii) provide the facts
surrounding that event; and (iii) provide the impact such event will have on the project
being funded by this award.
	 
	 	c.	 	Upon the occurrence of any of the four events described in the paragraph a. of this
provision, DOE reserves the right to conduct a review to determine Awardee compliance with
the required elements of the award (including such items as cost share, progress towards
technical project objectives, and submission of required reports). If a DOE review
determines that there are significant deficiencies or concerns with Awardee performance
under the award, DOE reserves the right to impose additional requirements, as needed,
including (i) a change of payment method; or (ii) institution of payment controls.
	 
	 	d.	 	Failure of the Recipient to comply with this provision may be considered a material
noncompliance of this financial assistance award by the Contracting Officer.

	15.	 	DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS
	 
	 	 	Notwithstanding, any other provisions of this award, DOE will not be responsible for or have
any obligation to the Awardee for (i) Decontamination and/or Decommissioning (D&D) of any of
the Awardee’s facilities, or (ii) any costs which may be incurred by the Awardee in
connection with the D&D of any of its facilities due to the performance of the work under
this award, whether said work was performed prior to or subsequent to the effective date of
the award.

8

 

DE-FG36-08GO88017 / A000

Attachment #2

Intellectual Property Provisions (GSB-1003)

Grant

Research, Development, or Demonstration

Domestic Small Businesses

	 	 	 	 	 	 	 
	 	01.	 	 	10 CFR 600.325
Appendix A
	 	Rights in Data — General (OCT 2003)

	 	02.	 	 	10 CFR 600.325
Appendix A
	 	Patent Rights (Small Business Firms and
Nonprofit Organizations) (OCT 2003)

	 	03.	 	 	FAR 52.227-23
	 	Rights to Proposal Data (Technical) (JUN 1987)

NOTE: In reading these provisions, any reference to “contractor” shall mean “recipient,” and any
reference to “contract” or “subcontract” shall mean “award” or “subaward.”

 

 

01. 10 CFR Part 600.325 Appendix A, Rights in Data — General (OCT 2003)

     (a) Definitions

          Computer Data Bases, as used in this clause, means a collection of data in a form capable of,
and for the purpose of, being stored in, processed, and operated on by a computer. The term does
not include computer software.

          Computer software, as used in this clause, means (i) computer programs which are data
comprising a series of instructions, rules, routines or statements, regardless of the media in
which recorded, that allow or cause a computer to perform a specific operation or series of
operations and (ii) data comprising source code listings, design details, algorithms, processes,
flow charts, formulae, and related material that would enable the computer program to be produced,
created or compiled. The term does not include computer data bases.

          Data, as used in this clause, means recorded information, regardless of form or the media on
which it may be recorded. The term includes technical data and computer software. The term does
not include information incidental to administration, such as financial, administrative, cost or
pricing, or management information.

          Form, fit, and function data, as used in this clause, means data relating to items,
components, or processes that are sufficient to enable physical and functional interchangeability,
as well as data identifying source, size, configuration, mating, and attachment characteristics,
functional characteristics, and performance requirements; except that for computer software it
means data identifying source, functional characteristics, and performance requirements but
specifically excludes the source code, algorithm, process, formulae, and flow charts of the
software.

          Limited rights, as used in this clause, means the rights of the Government in limited rights
data as set forth in the Limited Rights Notice of subparagraph (g)(2) if included in this clause.

          Limited rights data, as used in this clause, means data (other than computer software)
developed at private expense that embody trade secrets or are commercial or financial and
confidential or privileged.

          Restricted computer software, as used in this clause, means computer software developed at
private expense and that is a trade secret; is commercial or financial and is confidential or
privileged; or is published copyrighted computer software; including minor modifications of such
computer software.

          Restricted rights, as used in this clause, means the rights of the Government in restricted
computer software, as set forth in a Restricted Rights Notice of subparagraph (g)(3) if included in
this clause, or as otherwise may be provided in a collateral agreement incorporated in and made
part of this contract, including minor modifications of such computer software.

          Technical data, as used in this clause, means data (other than computer software) which are of
a scientific or technical nature. Technical data does not include computer software, but does
include manuals and instructional materials and technical data formatted as a computer data base.

          Unlimited rights, as used in this clause, means the right of the Government to use, disclose,
reproduce, prepare derivative works, distribute copies to the public, and perform
publicly and display publicly, in any manner and for any purpose, and to have or permit others
to do so.

					
	 	 	 	 	 
	 
	 	1
	 	GSB-1003

 

 

     (b) Allocations of Rights

          (1) Except as provided in paragraph (c) of this clause regarding copyright, the Government
shall have unlimited rights in—

               (i) Data first produced in the performance of this agreement;

               (ii) Form, fit, and function data delivered under this agreement;

               (iii) Data delivered under this agreement (except for restricted computer software) that
constitute manuals or instructional and training material for installation, operation, or routine
maintenance and repair of items, components, or processes delivered or furnished for use under this
agreement; and

               (iv) All other data delivered under this agreement unless provided otherwise for limited
rights data or restricted computer software in accordance with paragraph (g) of this clause.

          (2) The Recipient shall have the right to-

               (i) Use, release to others, reproduce, distribute, or publish any data first produced or
specifically used by the Recipient in the performance of this agreement, unless provided otherwise
in paragraph (d) of this clause;

               (ii) Protect from unauthorized disclosure and use those data which are limited rights data or
restricted computer software to the extent provided in paragraph (g) of this clause;

               (iii) Substantiate use of, add or correct limited rights, restricted rights, or copyright
notices and to take over appropriate action, in accordance with paragraphs (e) and (f) of this
clause; and

               (iv) Establish claim to copyright subsisting in data first produced in the performance of this
agreement to the extent provided in subparagraph (c)(1) of this clause.

     (c) Copyright

          (1) Data first produced in the performance of this agreement. Unless provided otherwise in
paragraph (d) of this clause, the Recipient may establish, without prior approval of the
Contracting Officer, claim to copyright subsisting in data first produced in the performance of
this agreement. When claim to copyright is made, the Recipient shall affix the applicable
copyright notices of 17 U.S.C. 401 or 402 and acknowledgement of Government sponsorship (including
agreement number) to the data when such data are delivered to the Government, as well as when the
data are published or deposited for registration as a published work in the U.S. Copyright Office.
For such copyrighted data, including computer software, the Recipient grants to the Government, and
others acting on its behalf, a paid-up nonexclusive, irrevocable worldwide license in such
copyrighted data to reproduce, prepare derivative works, distribute copies to the public, and
perform publicly and display publicly, by or on behalf of the Government.

          (2) Data not first produced in the performance of this agreement. The Recipient shall not,
without prior written permission of the Contracting Officer, incorporate in data delivered under
this agreement any data not first produced in the performance of this agreement and which contains
the copyright notice of 17 U.S.C. 401 or 402, unless the Recipient identifies such data and grants
to the Government, or acquires on its behalf, a license of the same scope as set forth
in subparagraph (c)(1) of this clause; provided, however, that if such data are computer
software the Government shall acquire a copyright license as set forth in subparagraph (g)(3) of
this

					
	 	 	 	 	 
	 
	 	2
	 	GSB-1003

 

 

clause if included in this agreement or as otherwise may be provided in a collateral agreement
incorporated in or made part of this agreement.

          (3) Removal of copyright notices. The Government agrees not to remove any copyright notices
placed on data pursuant to this paragraph (c), and to include such notices on all reproductions of
the data.

     (d) Release, Publication and Use of Data

          (1) The Recipient shall have the right to use, release to others, reproduce, distribute, or
publish any data first produced or specifically used by the Recipient in the performance of this
agreement, except to the extent such data may be subject to the Federal export control or national
security laws or regulations, or unless otherwise provided in this paragraph of this clause or
expressly set forth in this agreement.

          (2) The Recipient agrees that to the extent it receives or is given access to data necessary
for the performance of this award, which contain restrictive markings, the Recipient shall treat
the data in accordance with such markings unless otherwise specifically authorized in writing by
the contracting officer.

     (e) Unauthorized Marking of Data

          (1) Notwithstanding any other provisions of this agreement concerning inspection or
acceptance, if any data delivered under this agreement are marked with the notices specified in
subparagraph (g)(2) or (g)(3) of this clause and use of such is not authorized by this clause, or
if such data bears any other restrictive or limiting markings not authorized by this agreement, the
Contracting Officer may at any time either return the data to the Recipient or cancel or ignore the
markings. However, the following procedures shall apply prior to canceling or ignoring the
markings.

               (i) The Contracting Officer shall make written inquiry to the Recipient affording the
Recipient 30 days from receipt of the inquiry to provide written justification to substantiate the
propriety of the markings;

               (ii) If the Recipient fails to respond or fails to provide written justification to
substantiate the propriety of the markings within the 30-day period (or a longer time not exceeding
90 days approved in writing by the Contracting Officer for good cause shown), the Government shall
have the right to cancel or ignore the markings at any time after said period and the data will no
longer be made subject to any disclosure prohibitions.

               (iii) If the Recipient provides written justification to substantiate the propriety of the
markings within the period set in subparagraph (e)(1)(i) of this clause, the Contracting Officer
shall consider such written justification and determine whether or not the markings are to be
cancelled or ignored. If the Contracting Officer determines that the markings are authorized, the
Recipient shall be so notified in writing. If the Contracting Officer determines, with concurrence
of the head of the contracting activity, that the markings are not authorized, the Contracting
Officer shall furnish the Recipient a written determination, which determination shall become the
final agency decision regarding the appropriateness of the markings unless the Recipient files suit
in a court of competent jurisdiction within 90 days of receipt of the Contracting Officer’s
decision. The Government shall continue to abide by the markings under this subparagraph
(e)(1)(iii) until final resolution of the matter either by the Contracting Officer’s
determination becoming final (in which instance the Government shall thereafter have the right to
cancel or

					
	 	 	 	 	 
	 
	 	3
	 	GSB-1003

 

 

ignore the markings at any time and the data will no longer be made subject to any
disclosure prohibitions), or by final disposition of the matter by court decision if suit is filed.

          (2) The time limits in the procedures set forth in subparagraph (e)(1) of this clause may be
modified in accordance with agency regulations implementing the Freedom of Information Act (5
U.S.C. 552) if necessary to respond to a request thereunder.

     (f) Omitted or Incorrect Markings

          (1) Data delivered to the Government without either the limited rights or restricted rights
notice as authorized by paragraph (g) of this clause, or the copyright notice required by paragraph
(c) of this clause, shall be deemed to have been furnished with unlimited rights, and the
Government assumes no liability for the disclosure, use, or reproduction of such data. However, to
the extent the data has not been disclosed without restriction outside the Government, the
Recipient may request, within 6 months (or a longer time approved by the Contracting Officer for
good cause shown) after delivery or such data, permission to have notices placed on qualifying data
at the Recipient’s expense, and the Contracting Officer may agree to do so if the Recipient:

               (i) Identifies the data to which the omitted notice is to be applied;

               (ii) Demonstrates that the omission of the notice was inadvertent;

               (iii) Establishes that the use of the proposed notice is authorized; and

               (iv) Acknowledges that the Government has no liability with respect to the disclosure, use, or
reproduction of any such data made prior to the addition of the notice or resulting from the
omission of the notice.

          (2) The Contracting Officer may also:

               (i) Permit correction at the Recipient’s expense of incorrect notices if the Recipient
identifies the data on which correction of the notice is to be made, and demonstrates that the
correct notice is authorized, or

               (ii) Correct any incorrect notices.

     (g) Protection of Limited Rights Data and Restricted Computer Software

          When data other than that listed in subparagraphs (b)(1)(i), (ii), and (iii) of this clause
are specified to be delivered under this agreement and qualify as either limited rights data or
restricted computer software, if the Recipient desires to continue protection of such data, the
Recipient shall withhold such data and not furnish them to the Government under this agreement. As
a condition to this withholding, the Recipient shall identify the data being withheld and furnish
form, fit, and function data in lieu thereof. Limited rights data that are formatted as a computer
data base for delivery to the Government are to be treated as limited rights data and not
restricted computer software.

     (h) Subaward/Contract

          The Recipient has the responsibility to obtain from its subrecipients/contractors all data and
rights therein necessary to fulfill the Recipient’s obligations to the Government under this
agreement. If a subrecipient/contractor refuses to accept terms affording the Government such
rights, the Recipient shall promptly bring such refusal to the attention of the Contracting
Officer and not proceed with the subaward/contract award without further authorization.

					
	 	 	 	 	 
	 
	 	4
	 	GSB-1003

 

 

     (i) Additional Data Requirements

          In addition to the data specified elsewhere in this agreement to be delivered, the Contracting
Officer may, at anytime during agreement performance or within a period of 3 years after acceptance
of all items to be delivered under this agreement, order any data first produced or specifically
used in the performance of this agreement. This clause is applicable to all data ordered under
this subparagraph. Nothing contained in this subparagraph shall require the Recipient to deliver
any data the withholding of which is authorized by this clause, or data which are specifically
identified in this agreement as not subject to this clause. When data are to be delivered under
this subparagraph, the Recipient will be compensated for converting the data into the prescribed
form, for reproduction, and for delivery.

     (j) The recipient agrees, except as may be otherwise specified in this award for specific data
items listed as not subject to this paragraph, that the Contracting Officer or an authorized
representative may, up to three years after acceptance of all items to be delivered under this
award, inspect at the Recipient’s facility any data withheld pursuant to paragraph (g) of this
clause, for purposes of verifying the Recipient’s assertion pertaining to the limited rights or
restricted rights status of the data or for evaluating work performance. Where the Recipient whose
data are to be inspected demonstrates to the Contracting Officer that there would be a possible
conflict of interest if the inspection were made by a particular representative, the Contracting
Officer shall designate an alternate inspector. (End of clause)

	02.	 	10 CFR Part 600.325 Appendix A, Patent Rights (Small Business Firms and Nonprofit
Organizations (OCT 2003)

     (a) Definitions

          Invention means any invention or discovery which is or may be patentable or otherwise
protectable under title 35 of the United States Code, or any novel variety of plant which is or may
be protected under the Plant Variety Protection Act (7 U.S.C. 2321 et seq.).

          Made when used in relation to any invention means the conception or first actual reduction to
practice of such invention.

          Nonprofit organization means a 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 nonprofit scientific or educational organization qualified under a State
nonprofit organization statute.

          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.

          Small business firm means a small business concern as defined at section 2 of Public Law
85-536 (16 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 through 121.8 and 13
CFR 121.3 through 121.12, respectively, will be used.

					
	 	 	 	 	 
	 
	 	5
	 	GSB-1003

 

 

          Subject invention means any invention of the Recipient conceived or first actually reduced to
practice in the performance of work under this award, provided that in the case of a variety of
plant, the date of determination (as defined in section 41(d) of the Plant Variety Protection Act,
7 U.S.C. 2401(d) must also occur during the period of award performance.

     (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.

     (c) Invention Disclosure, Election of Title and Filing of Patent Applications by Recipient

          (1) The Recipient will disclose each subject invention to DOE within two months after the
inventor discloses it in writing to Recipient personnel responsible for the administration of
patent matters. The disclosure to DOE shall be in the form of a written report and shall identify
the award under which the invention was made and the inventor(s). It shall be sufficiently
complete in technical detail to convey a clear understanding to the extent known at the time of
disclosure, of the nature, purpose, operation, and 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 and 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 DOE, the Recipient will promptly notify DOE 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 DOE within two years of disclosure to DOE. However, in any case where publication, on
sale, or public use has initiated the oneyear statutory period wherein valid patent protection can
still be obtained in the U.S., the period for election of title may be shortened by the agency 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 DOE, election, and filing under
subparagraphs (c)(1), (2), and (3) of this clause may, at the discretion of DOE, be granted.

     (d) Conditions When the Government May Obtain Title

          The Recipient will convey to DOE, upon written request, title to any subject invention:

					
	 	 	 	 	 
	 
	 	6
	 	GSB-1003

 

 

          (1) If the Recipient fails to disclose or elect the subject invention within the times
specified in paragraph (c) of this patent rights clause, or elects not to retain title; provided
that DOE 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) of this Patent Rights clause; provided, however, that if the
Recipient has filed a patent application in a country after the times specified in paragraph (c) of
this Patent Rights clause, but prior to its receipt of the written request of DOE, the Recipient
shall continue to retain title in that country; or

          (3) 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 and Protection of the Recipient Right To File

          (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) of this Patent Rights
clause. 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 of the extent the Recipient was legally obligated to do so at the
time the award was awarded. The license is transferable only with the approval of DOE 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 DOE 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 and
the agency’s licensing regulation, if any. 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 the funding Federal agency 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, the funding Federal agency 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 DOE 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
and the agency’s licensing regulations, if any, 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 DOE all
instruments necessary to:

					
	 	 	 	 	 
	 
	 	7
	 	GSB-1003

 

 

               (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 to DOE when requested under paragraph (d) of this Patent Rights clause, and
to enable the government to obtain patent protection throughout the world in that subject
invention.

          (2) 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 award in order that the Recipient can comply with the disclosure
provisions of paragraph (c) of this Patent Rights clause, 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) of this Patent Rights clause. 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.

          (3) The Recipient will notify DOE 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.

          (4) 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 award) awarded by (identify DOE).
The Government has certain rights in this invention.”

     (g) Subaward/Contract

          (1) The Recipient will include this Patent Rights clause, suitably modified to identify the
parties, in all subawards/contracts, regardless of tier, for experimental, developmental or
research work to be performed by a small business firm or nonprofit organization. The
subrecipient/contractor 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) The Recipient will include in all other subawards/contracts, regardless of tier, for
experimental, developmental or research work, the patent rights clause required by 10 CFR
600.325(c).

          (3) In the case of subawards/contracts at any tier, DOE, the Recipient, and the
subrecipient/contractor agree that the mutual obligations of the parties created by this clause
constitute a contract between the subrecipient/contractor and DOE with respect to those matters
covered by the 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

					
	 	 	 	 	 
	 
	 	8
	 	GSB-1003

 

 

royalties received by the Recipient and such other data and information as DOE may reasonably
specify. The Recipient also agrees to provide additional reports in connection with any march-in
proceeding undertaken by DOE in accordance with paragraph (j) of this Patent Rights clause. As
required by 35 U.S.C. 202(c)(5), DOE 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 DOE upon a
showing by the Recipient or its assignee that reasonable but unsuccessful efforts have been made to
grant 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 riot commercially
feasible.

     (j) March-in-Rights

          The Recipient agrees that with respect to any subject invention in which it has acquired
title, DOE has the right in accordance with procedures at 37 CFR 401.6 and any supplemental
regulations of the Agency 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, DOE has the right to
grant such a license itself if DOE 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 Awards With Nonprofit 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 DOE,
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;

					
	 	 	 	 	 
	 
	 	9
	 	GSB-1003

 

 

          (2) The Recipient will share royalties collected on a subject invention with the inventor,
including Federal employee co-inventors (when DOE 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 should be sent to the DOE Patent
Counsel address listed in the Award Document.

     (m) Electronic Filing

          Unless otherwise Specified in the award, the information identified in paragraphs (f)(2) and
(f)(3) may be electronically filed.

[End of clause]

03. FAR 52.227-23 Rights to Proposal Data (Technical) (JUN 1987)

Except for data contained on pages (none), it is agreed that as a condition of award of this
contract, and notwithstanding the conditions of any notice appearing thereon, the Government shall
have unlimited rights (as defined in the “Rights in Data—General” clause contained in this
contract) in and to the technical data contained in the proposal dated 03/20/2008, upon which this
contract is based.

					
	 	 	 	 	 
	 
	 	10
	 	GSB-1003

 

 

	 	 	 	 	 
	Applicants Name: Ocean Power Technologies, Inc.

	 	Award Number: DE-FG36-08 GO88017 A000
	 	Attachment Number: 3

Budget Information — Non Construction Programs

OMB Approval No. 0348-0044

Section A — Budget Summary

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant Program	 	Catalog of Federal	 	Estimated Unobligated Funds	 	New or Revised Budget
	Function or Activity	 	Domestic Assistance	 	Federal	 	Non-Federal	 	Federal	 	Non-Federal	 	Total
	(a)	 	Number (b)	 	(c)	 	(d)	 	(e)	 	(f)	 	(g)
	1. A000

	 	 	81.087	 	 	$	0.00	 	 	$	0.00	 	 	$	1,968,000.00	 	 	[**]
	 	 	[**]	 
	2.

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	0.00	 
	3.

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	0.00	 
	4.

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	0.00	 
	5. Totals

	 	 	 	 	 	$	0.00	 	 	$	0.00	 	 	$	1,968,000.00	 	 	[**]
	 	 	[**]	 

Section B — Budget Categories

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Grant Program, Function or Activity	 	Total
	 	 	(1) A000	 	(2)	 	(3)	 	(4)	 	(5)
	6. Object Class Categories

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	a. Personal

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	b. Fringe Benefits

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	c. Travel

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	d. Equipment

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	e. Supplies

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	f. Contractual

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	g. Construction

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	h. Other

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	i. Total Direct Charges (sum of 6a-6h)

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	j. Indirect Charges

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	k. Totals (sum of 6i and 6j)

	 	 	[**]	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	[**]	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	7. Program Income

	 	$	0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	$	0.00	 

SF-424A (Rev. 4-92)

Prescribed by OMB Circular A-102

	 	 	 
	Previous Edition Usable

	 	Authorized for Local Reproduction

Page 1 of 1

 

Attachment 4

	DOE F 4600.2 U.S. Department of Energy
(05/06) FEDERAL ASSISTANCE REPORTING CHECKLIST
All Other Editions Are Obsolete AND INSTRUCTIONS

	1. Identification Number } 2. Program/Project Title: }
DE-FG36-08GO88017.A000 } Wave Power Demonstration Project at Reedsport, OR }
3. Recipient }
Ocean Power Technologies, Inc. }
4. Reporting Requirements: } Frequency            No. of Copies            Address

	Upload one copy of
each report to the            https://www.eere-pmc.
address identified

	A. MANAGEMENT REPORTING in the next column            energy.gov/SubmitReports.aspx

	þ Progress Report            Q
þ Special Status Report (see special instructions) A

	B. SCIENTIFIC/TECHNICAL REPORTING

	(Reports/Products must be submitted with appropriate
DOE F 241. The forms are available at www.osti.gov/elink)
Report/Product            Form
þ Final Scientific Report            DOE F 241.3 F            http://www.osti.gov/elink-2413
https://www.eere-
pmc.energy.gov/SubmitReports.aspx
http://www.osti.gov/estsc/241-4pre.jsp
þ Conference papers/proceedings* DOE F 241.3 A
 ̈ Software/Manual            DOE F 241.3
 ̈ Other (see special instructions) DOE F 241.3
* Scientific and technical conferences only
C. FINANCIAL REPORTING

	https://www.eere-pmc.
 ̈ SF-269, Financial Status Report            energy.gov/SubmitReports.aspx
þ SF-269A, Financial Status Report (short form) F Q
 ̈ SF-272, Federal Cash Transaction Report
https://www.eere-pmc.
D. CLOSEOUT REPORTING energy.gov/SubmitReports.aspx

	þ Patent Certification            F
þ Property Certification            F
 ̈ Other (see Special Instructions)
E. OTHER REPORTING

	þ Annual Indirect Cost Proposal            Y
 ̈ Annual Inventory of Federally Owned Property, If Any
 ̈ Other (see special instructions)
FREQUENCY CODES AND DUE DATES:

	A — Within 5 calendar days after events or as specified.
F — Final; 90 calendar days after expiration or termination of the award.
Y — Yearly; 90 days after the end of the reporting period.
S — Semiannually; within 30 days after end of the reporting period.
Q — Quarterly; within 30 days after end of the reporting period.
5. Special Instructions: The forms identified in the checklist are available at http://management.energy.gov/business_doe/business_forms.htm.

	(PMC-05/06/06)

 

 

Federal Assistance Reporting Instructions (05/06)

	A.	 	MANAGEMENT REPORTING
	 
	 	 	Progress Report
	 
	 	 	The Progress Report must provide a concise narrative assessment of the status of work and
include the following information and any other information identified under Special
Instructions on the Federal Assistance Reporting Checklist:

	 	1.	 	The DOE award number and name of the recipient.
	 
	 	2.	 	The project title and name of the project director/principal investigator.
	 
	 	3.	 	Date of report and period covered by the report.
	 
	 	4.	 	A comparison of the actual accomplishments with the goals and objectives established
for the period and reasons why the established goals were not met.
	 
	 	5.	 	A discussion of what was accomplished under these goals during this reporting period,
including major activities, significant results, major findings or conclusions, key
outcomes or other achievements. This section should not contain any proprietary data or
other information not subject to public release. If such information is important to
reporting progress, do not include the information, but include a note in the report
advising the reader to contact the Principal Investigator or the Project Director for
further information.
	 
	 	6.	 	Cost Status. Show approved budget by budget period and actual costs incurred. If cost
sharing is required break out by DOE share, recipient share, and total costs.
	 
	 	7.	 	Schedule Status. List milestones, anticipated completion dates and actual completion
dates. If you submitted a project management plan with your application, you must use this
plan to report schedule and budget variance. You may use your own project management
system to provide this information.
	 
	 	8.	 	Any changes in approach or aims and reasons for change. Remember significant changes
to the objectives and scope require prior approval by the contracting officer.
	 
	 	9.	 	Actual or anticipated problems or delays and actions taken or planned to resolve them.
	 
	 	10.	 	Any absence or changes of key personnel or changes in consortium/teaming arrangement.
	 
	 	11.	 	A description of any product produced or technology transfer activities accomplished
during this reporting period, such as:

	 	A.	 	Publications (list journal name, volume, issue); conference papers; or other
public releases of results. Attach or send copies of public releases to the DOE
Project Officer identified in Block 11 of the Notice of Financial Assistance Award.

2

 

	 	B.	 	Web site or other Internet sites that reflect the results of this project.
	 
	 	C.	 	Networks or collaborations fostered.
	 
	 	D.	 	Technologies/Techniques.
	 
	 	E.	 	Inventions/Patent Applications.
	 
	 	F.	 	Other products, such as data or databases, physical collections, audio or
video, software or netware, models, educational aid or curricula, instruments or
equipment.

Special Status Report

The recipient must report the following events as soon as possible after they occur. Submit
reports by e-mail to the DOE Project Officer identified in Block 11 of the Notice of Financial
Assistance Award (NFAA):

	 	1.	 	Developments that have a significant favorable impact on the project.
	 
	 	2.	 	Problems, delays, or adverse conditions which materially impair the recipient’s ability
to meet the objectives of the award or which may require DOE to respond to questions
relating to such events from the public. For example, the recipient must report any of the
following incidents and include the anticipated impact and remedial action to be taken to
correct or resolve the problem/condition:

	 	a.	 	Any single fatality or injuries requiring hospitalization of five or more
individuals.
	 
	 	b.	 	Any significant environmental permit violation.
	 
	 	c.	 	Any verbal or written Notice of Violation of any Environmental, Safety, and
Health statutes or regulations.
	 
	 	d.	 	Any incident which causes a significant process or hazard control system
failure.
	 
	 	e.	 	Any event which is anticipated to cause a significant schedule slippage or cost
increase.
	 
	 	f.	 	Any damage to Government-owned equipment valued in excess of $50,000.
	 
	 	g.	 	Any other incident that has the potential for high visibility in the media.

	B.	 	SCIENTIFIC/TECHNICAL REPORTS

Final Scientific/Technical Report

Content. The final scientific/technical report must include the following information
and any other information identified under Special Instructions on the Federal Assistance
Reporting Checklist:

3

 

	 	1.	 	Identify the DOE award number; name of recipient; project title; name of project
director/principal investigator; and consortium/teaming members.
	 
	 	2.	 	Display prominently on the cover of the report any authorized distribution limitation
notices, such as patentable material or protected data. Reports delivered without such
notices may be deemed to have been furnished with unlimited rights, and the Government
assumes no liability for the disclosure, use or reproduction of such reports.
	 
	 	3.	 	Provide an executive summary, which includes a discussion of 1) how the research adds
to the understanding of the area investigated; 2) the technical effectiveness and economic
feasibility of the methods or techniques investigated or demonstrated; or 3) how the
project is otherwise of benefit to the public. The discussion should be a minimum of one
paragraph and written in terms understandable by an educated layman.
	 
	 	4.	 	Provide a comparison of the actual accomplishments with the goals and objectives of the
project.
	 
	 	5.	 	Summarize project activities for the entire period of funding, including original
hypotheses, approaches used, problems encountered and departure from planned methodology,
and an assessment of their impact on the project results. Include, if applicable, facts,
figures, analyses, and assumptions used during the life of the project to support the
conclusions.
	 
	 	6.	 	Identify products developed under the award and technology transfer activities, such
as:

	 	a.	 	Publications (list journal name, volume, issue), conference papers, or other
public releases of results. If not provided previously, attach or send copies of any
public releases to the DOE Project Officer identified in Block 11 of the Notice of
Financial Assistance Award;
	 
	 	b.	 	Web site or other Internet sites that reflect the results of this project;
	 
	 	c.	 	Networks or collaborations fostered;
	 
	 	d.	 	Technologies/Techniques;
	 
	 	e.	 	Inventions/Patent Applications, licensing agreements; and
	 
	 	f.	 	Other products, such as data or databases, physical collections, audio or
video, software or netware, models, educational aid or curricula, instruments or
equipment.

	 	7.	 	For projects involving computer modeling, provide the following information with the
final report:

	 	a.	 	Model description, key assumptions, version, source and intended use;
	 
	 	b.	 	Performance criteria for the model related to the intended use;

4

 

	 	c.	 	Test results to demonstrate the model performance criteria were met (e.g., code
verification/validation, sensitivity analyses, history matching with lab or field data,
as appropriate);
	 
	 	d.	 	Theory behind the model, expressed in non-mathematical terms;
	 
	 	e.	 	Mathematics to be used, including formulas and calculation methods;
	 
	 	f.	 	Whether or not the theory and mathematical algorithms were peer reviewed, and,
if so, include a summary of theoretical strengths and weaknesses;
	 
	 	g.	 	Hardware requirements; and
	 
	 	h.	 	Documentation (e.g., users guide, model code).

Electronic Submission. The final scientific/technical report must be submitted
electronically via the DOE Energy Link System (E-Link) at
http://www.osti.gov/elink-2413.

Electronic Format. Reports must be submitted in the ADOBE PORTABLE DOCUMENT FORMAT
(PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs,
schematic, graphs, and charts. Materials, such as prints, videos, and books, that are essential
to the report but cannot be submitted electronically, should be sent to the DOE Award
Administrator at the address listed in Block 12 of the Notice of Financial Assistance Award.

Submittal Form. The report must be accompanied by a completed electronic version of DOE
Form 241.3, “U.S. Department of Energy (DOE), Announcement of Scientific and Technical
Information (STI).” You can complete, upload, and submit the DOE F.241.3 online via E-Link.
You are encouraged not to submit patentable material or protected data in these reports, but if
there is such material or data in the report, you must: (1) clearly identify patentable or
protected data on each page of the report; (2) identify such material on the cover of the
report; and (3) mark the appropriate block in Section K of the DOE F 241.3. Reports must not
contain any limited rights data (proprietary data), classified information, information subject
to export control classification, or other information not subject to release. Protected data
is specific technical data, first produced in the performance of the award that is protected
from public release for a period of time by the terms of the award agreement.

Conference Papers/Proceedings

Content. The recipient must submit a copy of any conference papers/proceedings, with
the following information: (1) Name of conference; (2) Location of conference; (3) Date of
conference; and (4) Conference sponsor.

Electronic Submission. Scientific/technical conference paper/proceedings must be
submitted electronically via the DOE Energy Link System (E-Link) at
http://www.osti.gov/elink-2413. Non-scientific/technical conference papers/proceedings
must be sent to the URL listed on the Reporting Checklist.

5

 

Electronic Format. Conference papers/proceedings must be submitted in the ADOBE
PORTABLE DOCUMENT FORMAT (PDF) and be one integrated PDF file that contains all text, tables,
diagrams, photographs, schematic, graphs, and charts. If the proceedings cannot be submitted
electronically, they should be sent to the DOE Award Administrator at the address listed in
Block 12 of the Notice of Financial Assistance Award.

Submittal Form. Scientific/technical conference papers/proceedings must be accompanied
by a completed DOE Form 241.3. The form and instructions are available on E-Link at
http://www.osti.gov/elink-2413. This form is not required for non-scientific or
non-technical conference papers or proceedings.

Software/Manual

Content. Unless otherwise specified in the award, the following must be delivered:
source code, the executable object code and the minimum support documentation needed by a
competent user to understand and use the software and to be able to modify the software in
subsequent development efforts.

Electronic Submission. Submissions may be submitted electronically via the DOE Energy
Link System (E-Link) at http://www.osti.gov/estsc/241-4pre.jsp

Energy Science and Technology Software Center

P.O. Box 1020

Oak Ridge, TN 37831

Submittal Form. Each software deliverable and its manual must be accompanied by a
completed DOE Form 241.4 “Announcement of U.S. Department of Energy Computer Software.” The
form and instructions are available on E-Link at
http://www.osti.gov/estsc//241-4pre.jsp.

Protected Personally Identifiable Information (PII). Management Reports or
Scientific/Technical Reports must not contain any Protected PII. PII is any information about
an individual which can be used to distinguish or trace an individual’s identity. Some
information that is considered to be PII is available in public sources such as telephone books,
public websites, university listings, etc. This type of information is considered to be Public
PII and included, for example, first and last name, address, work telephone number, e-mail
address, home telephone number, and general educational credentials. In contrast, Protected PII
is defined as an individual’s first name or first initial and last name in combination with any
one or more of types of information, including, but not limited to, social security number,
passport number, credit card numbers, clearances, bank numbers, biometrics, date and place of
birth, mother’s maiden name, criminal, medical and financial records, educational transcripts,
etc.

	C.	 	FINANCIAL REPORTING

Recipients must complete the financial reports identified on the Reporting Checklist in
accordance with the report instructions. These standard forms are available at

6

 

http://www.whitehouse.gov/omb/grants/index.html.
Fillable forms are available at http://management.energy.gov/business_doe/business_forms.htm.

	D.	 	CLOSEOUT REPORTS

Final Invention and Patent Report

The recipient must provide a DOE Form 2050.11 , “PATENT CERTIFICATION.” This form is available
at http://www.directives.doe.gov/pdfs/forms/2050-11.pdf and
http://management.energy.gov/business_doe/business_forms.htm.

Property Certification

The recipient must provide the Property Certification, including the required inventories of
non-exempt property, located at
http://management.energy.gov/business_doe/business_forms.htm.

	E.	 	OTHER REPORTING
	 
	 	 	Annual Indirect Cost Proposal and Reconciliation
	 
	 	 	Requirement. In accordance with the applicable cost principles, the recipient must
submit an annual indirect cost proposal, reconciled to its financial statements, within six
months after the close of the fiscal year, unless the award is based on a predetermined or fixed
indirect rate (s), or a fixed amount for indirect facilities and administration (F&A) costs.
	 
	 	 	Cognizant Agency. The recipient must submit its annual indirect cost proposal directly
to the cognizant agency for negotiating and approving indirect costs. If the DOE awarding
office is the cognizant agency, submit the annual indirect cost proposal to the DOE Award
Administrator identified in Block 12 of the Notice of Financial Assistance Award.
	 
	 	 	Annual Inventory of Federally Owned Property
	 
	 	 	Requirement. If at any time during the award the recipient is provided with
Government-furnished property or acquires property with project funds and the award specifies
that the property vests in the Federal Government (i.e. federally owned property), the recipient
must submit an annual inventory of this property to the DOE Award Administrator identified in
Block 12 of the Notice of Financial Assistance Award no later then October 30th of
each calendar year, to cover an annual reporting period ending on the preceding September
30th.
	 
	 	 	Content of Inventory. The inventory must include a description of property, tag number,
acquisition date, location of property, and acquisition cost, if purchased with project funds.
The report must list all federally owned property, including property located at subcontractor’s
facilities or other locations.

7

 

DE-FG36-08GO88017/A000

Attachment #5

Page 1 of 4

STATEMENT OF PROJECT OBJECTIVES

Ocean Power Technologies, Inc.

Wave Power Demonstration Project at Reedsport, Oregon

	A.	 	PROJECT OBJECTIVES

Ocean wave power can be a significant source of large-scale, renewable energy for the US electrical
grid. The goal of the Wave Power Demonstration Project at Reedsport, Oregon is to demonstrate wave
power as an attractive electricity production option for the twenty-first century by meeting the
following objectives:

	 	•	 	Construct the first utility scale wave power project in the US at Reedsport OR based on
OPT’s PowerBuoy® technology
	 
	 	•	 	Demonstrate the benefits of wave power as an innovative technology that adds diversity
to the nation’s energy supply
	 
	 	•	 	Demonstrate wave power as a cost-competitive technology
	 
	 	•	 	Demonstrate the environmental advantages of wave power over other forms of energy: no
exhaust gases, no noise, minimal visibility from shore, and safe for sea life

	B.	 	PROJECT SCOPE 

OPT’s Wave Power Demonstration Project at Reedsport, Oregon meets the objectives of the Wind &
Hydropower Technologies Program, one of the ten EERE Programs, which works to increase the use of
domestic wind and water resources for electric power generation in order to stabilize energy costs,
enhance energy security, and improve our environment.

As the first utility scale wave power project in the US, a wave power demonstration project in
Reedsport, OR (not included in the scope of this project), will consist of 1 PowerBuoy 2.5 miles
off the coast. Wave power will be converted to electricity through a buoy in the water, using the
rise and fall of waves to move the buoy up and down (mechanical stroking) which drives an electric
generator. OPT’s wave power generation system includes sophisticated techniques to automatically
tune the system for efficient conversion of random wave energy into low cost green electricity, for
disconnecting the system in large waves, and for automatically restoring operation when wave
conditions normalize.

The scope of this phase of the project encompasses out-of-water testing of the entire OPT PowerBuoy
assembly. At the end of this phase of the project and based on the results of out-of-water
testing, OPT will then decide if the buoy is suitable for in-water testing and will then carry out
that testing outside the scope of this initial phase of the project. The DOE funding will be used
to help fund the fabrication, assembly and factory testing of the first PowerBuoy for Reedsport,
OR.

 

 

DE-FG36-08GO88017/A000

Attachment #5

Page 2 of 4

	C.	 	TASKS TO BE PERFORMED

Task 1 — Design Engineering

	1.1	 	Requirements & Studies
	 
	 	 	OPT shall work with the customer, an Oregon-based utility company, to establish requirements
for the Reedsport PowerBuoy and mooring system. OPT shall prepare a document that captures
these requirements.
	 
	 	 	OPT shall perform several trade studies to determine the optimum configuration of the
PowerBuoy to meet the requirements of the Reedsport Site. These trade studies will include
the following:

	 	•	 	Electrical configuration: Power conversion, conditioning and control system
	 
	 	•	 	Mechanical configuration: PowerBuoy structure which includes the float, spar and
heave plate
	 
	 	•	 	Site Survey
	 
	 	•	 	Mooring

	1.2	 	Preliminary Design
	 
	 	 	OPT shall perform the preliminary design of the Reedsport PowerBuoy, anchor/mooring system,
electrical system, and on-shore station. The requirements set forth in the Reedsport
PowerBuoy Requirements Document developed in subtask 1.1 shall be used in the buoy design.
The auxiliary system schematics such as [**], the physical configuration is determined, the
Power Take-Off (PTO) type is specified, system sizing for energy storage and transfer is
determined, and the dimensions, weight and volume of the PowerBuoy physical structured are
also determined. A preliminary design data package shall be prepared and a preliminary
design review shall be conducted.

	1.3	 	Detailed Design
	 
	 	 	OPT shall perform the detailed design of the Reedsport PowerBuoy. The requirements set
forth in the Reedsport PowerBuoy Requirements Document developed in subtask 1.1 shall be
used in the buoy design. A detailed design data package shall be prepared and a final
design review shall be conducted. This will be the final design review prior to the release
to manufacturing.

Task 2 — PowerBuoy (Structural Steel) Procurement and Fabrication

OPT shall procure the Reedsport PowerBuoy structure from an experienced, qualified steel
Oregon-based contractor who will fabricate the PowerBuoy based on OPT’s approved, detailed design,
drawing package. The key elements of the PowerBuoy structure are [**].

 

 

DE-FG36-08GO88017/A000

Attachment #5

Page 3 of 4

Task 3 — Mooring Equipment Procurement and Fabrication

OPT shall procure the Reedsport PowerBuoy anchor/mooring system from an experienced, qualified
Oregon-based contractor who will fabricate the anchor/mooring system based on OPT’s approved,
detailed design, drawing package.

Task 4 — On-Shore Station Procurement and Assembly

The On-Shore Station will house the supervisory control and data acquisition (SCADA) system used
for data collection and control. OPT will procure and configure the SCADA system equipment for the
shore station to provide reliable data collection, monitoring and remote operation of the Reedsport
PowerBuoy system. The SCADA system will also allow for long-term storage of synchronized data and
contain a data link back to OPT’s base in Pennington, New Jersey for a continuous data stream and
ongoing control capability for monitoring system operation and control. The SCADA system will be
utilized during the land-based testing of Assemblies as described in Task 6 below.

Task 5 — Electrical and Power Take-Off System Procurement and Assembly

This task includes activities involved in procurement, fabrication, supplier and QA management for
the electrical system which includes the Power-Take-Off (PTO), conditioning and control subsystems.
Requests for quote will be distributed to multiple suppliers in order to procure at the lowest
possible cost. Long lead-time items will be identified and follow a staggered assembly and test
plan to allow the final installation and ocean test schedules to be met. The power take-off and
control systems components and sub-assemblies for the Reedsport PowerBuoy will be engineered,
assembled and pre-tested for system performance at OPT.

Task 6 — Testing of Assemblies

OPT will [**]. During the testing, efficiency measurements will be taken to insure that all
subsystems are performing as expected.

Upon successful completion of the PTO subsystem back-to-back testing, all PowerBuoy power
conversion equipment will be shipped to the Oregon-based fabricator’s site for final integration
into the PowerBuoy structure. Final system testing at that stage will be conducted to insure
mechanical system tolerances and key moving components are to design specifications. Integration
of the control system with cables and connectors to the mechanical PowerBuoy structure will be
performed. Extensive data will be recorded and analyzed.

The fully integrated PowerBuoy subsystems will be tested including [**] to insure that all
subsystems are performing as expected. Data collected during testing at the Oregon-based site will
be compared to the data collected at OPT to ensure all subsystems are operating as expected.

Task 7 — Program Management

OPT shall assign a Program Manager to the program. The Program Manager will provide the
technical direction, monitor and direct the daily technical aspects of the program and coordinate

 

 

DE-FG36-08GO88017/A000

Attachment #5

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the specialized talents of management, engineering, finance, manufacturing, and quality assurance
with the following tasks:

	•	 	Program Planning, Tracking and Technical Management — The OPT Program Manager shall be
responsible for resource assignment, technical direction, task direction and schedule
management.
	 
	•	 	Reports and Other Deliverables — The OPT Program Manager shall prepare and provide
reports and other deliverables in accordance with the Federal Assistance Reporting Checklist
following the instructions included therein.

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