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Specific Programmatic Requirements

Approvals discussed below shall be issued by a Grant Administrator in RITA's University Transportation Centers Program office.

  1. Change in Center Director
    RITA's decision to award a UTC Grant to a Grantee is based to a considerable extent upon its evaluation of the proposed Center Director's knowledge of the field of study and his/her capabilities to lead a University Transportation Center.  Should the Grantee become aware that the Center Director will: 1) devote substantially more or less effort to the Center than had previously been communicated to RITA; 2) sever his or her connection with the Grantee; or 3) otherwise relinquish active direction of the UTC, the Grantee shall promptly notify RITA.  Prior written (e-mail recommended) approval by RITA is required for any temporary or permanent replacement of the Center Director.  In the absence of an approved Center Director, RITA may choose to negotiate an appropriate modification to the Grant or to begin termination procedures.

  2. Equipment
    A written (e-mail recommended) request for prior approval from RITA is required to purchase equipment that has a unit cost of $5,000 or more.  Unless otherwise requested by the Grantee, all legal rights to equipment purchased with UTC funds shall vest in the Grantee upon acquisition; http://www.gpo.gov/fdsys/pkg/CFR-2010-title49-vol1 "Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations" (OMB Circular No. A-110) lays out requirements for use and disposition of equipment.

  3. Foreign Travel
    A written (e-mail recommended) request for prior approval from RITA is required for travel outside of the United States and its territories that is paid with either Federal or matching funds.   In order to be approved, the need for the proposed foreign travel and the value to be gained by the University Transportation Center must be clearly demonstrated.  Requests for approval shall include a written justification that states the name and relationship of the traveler to the UTC, describes how the travel will further the goals of the UTC Program, provides a detailed itinerary and breakdown of planned expenses, and carries the endorsement of the Center Director.   Requests must be submitted no less than 30 days prior to the start of travel, and no requests submitted after the travel has begun will be approved.  Inclusion of an amount for foreign-travel costs in a UTC's approved budget does not satisfy the requirement for prior approval.

  4. Citizenship of Students
    Students who receive financial support other than work-related compensation under the UTC Program (including the UTC Student of the Year Award) must be U.S. citizens or permanent residents of the United States.  There will be no exceptions to this policy.

  5. Citizenship of Students
    Grant funds may be used to provide funding to undergraduate and graduate students who participate in activities necessary to the fulfillment of the UTC's research, education, and technology transfer programs.  Funding provided to a student, which may be in the form of wages or tuition support, must be compensation for work performed within the UTC Program.  Such work shall be used to fulfill a part of the student's degree program.  This type of funding to students is considered to be compensation paid as, or in lieu of, wages for work as described in Appendix A to CFR Part 220, (J)(45) "Scholarships and student aid costs".

    In addition to the type of student funding described above, scholarships and summer internships utilizing UTC funding may be offered to undergraduate students studying within an academic program that is relevant to the UTC Program's purpose.

  6. Consultant Services
    The Grantee is expected to utilize the services of its own officers or employees to the maximum extent in managing and performing the activities supported by this Grant.  Where it is necessary for the Grantee to enter into a subaward for the services of persons who are not its officers or employees, it is expected to do so in accordance with written organizational standards which provide for consideration of the factors outlined in the government cost principles.

  7. Membership in CUTC
    DOT is a frequent collaborator with the Council of University Transportation Centers (CUTC), a private, not-for-profit organization that works to improve and enhance university research and education in transportation and related areas.  CUTC's membership includes many of the leading university-based transportation programs in the United States.  In recognition of the forum that CUTC provides to its member universities to interact with each other and to promote national interest in transportation research and education, CUTC membership dues and necessary costs for travel to CUTC membership meetings are allowable costs under this Grant.

  8. Project and Budget Changes
    The Grantee shall obtain prior written approval from RITA before making any significant changes in the scope or objectives of the Grantee's application for funding under this Grant.  The Grantee shall also obtain prior written approval from RITA for transfers of funds among direct-cost budget categories if the cumulative amount of such transfers exceeds 10 percent of the UTC's approved total budget.

  9. Meals and Coffee Breaks.
    Unless expressly forbidden by the Grantee's internal policies, the costs of modest meals and beverage services at meetings or conferences are allowable under this Grant if the meetings are attended by persons other than the Grantee's officers or employees.  Such costs shall be deemed by the Center Director to be an integral and necessary part of conducting business at that meeting and to be reasonably priced.  No funds available under this Grant may be spent on alcoholic beverages for entertainment purposes or personal consumption.

  10. Financial Management
    The Grantee's financial management systems shall provide for accurate, current, and complete disclosure of the UTC's finances.  Financial records shall identify the source and use of all funds and shall show effective control over and accountability for all funds, property, and other assets.

  11. Payments
    Federal grant and other programs involving advances to various organizations outside the Federal government constitute a significant portion of the Federal budget.  Advances of cash from the U.S. Treasury to such organizations for the purpose of financing current operations under Federal programs have a substantial impact on Treasury financing costs and the level of the public debt.   For that reason, payments to the Grantee shall reimburse expenses incurred and shall limit advances to the actual, immediate cash requirements of the Grantee in carrying out the purpose of the Grant.  The timing of payments shall be as close as is administratively feasible to actual disbursements, and the Grantee shall receive payments through electronic fund transfers by the Automated Clearing House Payment System or by another electronic system that may replace it during the life of the grant.   

    As of the date of this document, RITA requires the Grantee to request payment by submitting invoices electronically via the Delphi eInvoicing System http://www.dot.gov/cfo/delphi-einvoicing-system Information about the system, including Grant Recipient web-based training, the eAuthentication certification process, and additional training materials, can be found at, or on the UTC website http://utc.dot.gov. New grantees should contact Denise E. Dunn at RITA (denise.e.dunn@dot.gov) to set up access to the system; grantees will need Internet access to use it.  

    RITA recommends that Grantees submit requests for payment on a quarterly basis.

  12. Site Visits
    The Federal government, through its authorized representatives, has the right, at all reasonable times, to make site visits to review UTC Program accomplishments and management control systems and to provide such technical assistance as may be required.  If any site visit is made by the Federal government on the premises of the Grantee or any subgrantee, the Grantee shall ensure that all reasonable facilities and assistance are provided for the safety and convenience of the government representatives in the performance of their duties.  All site visits and evaluations shall be performed in such a manner as will not unduly delay the Grantee's work.

  13. Collaboration with DOT's Priorities
    To encourage the transfer of knowledge and a current understanding of national transportation priorities, RITA intends to promote a high level of communication and collaboration between the Grantee and DOT and its operating administrations under this Grant.  RITA expects to ask Grantees to participate in occasional meetings of UTC and/or DOT experts on high-priority topics.   Reasonable costs incurred by a Grantee to support these interactions with DOT, unless otherwise restricted by Federal grant regulations, are allowable under this Grant.

  14. Patents and Copyrights
    To comply with the Bayh-Dole Act of 1980, all UTC grantees must report inventions and patents developed with UTC funding (in whole or in part) to USDOT through the web-based Interagency Edison (iEdison) electronic system (https://s-edison.info.nih.gov/iEdison/). Most universities are already registered with iEdison through their office of technology transfer or office of technology licensing.  

    For the purposes of reporting UTC-related intellectual property in iEdison on a timely basis, you must first verify that your institution is registered.   

    • If your institution is not registered, go to https://s-edison.info.nih.gov/iEdison/RegistrationRequestForm.jsp to request registration.   

    • If your institution is registered, no further action is needed at this time.  

      1. Patent Rights

        1. Allocation of Principal Rights
          The Grantee may retain the entire right, title and interest throughout the world to each innovation, technical solution or unique increase to the general body of knowledge resulting from the work performed under this Grant subject to the provisions of this clause and 35 U.S.C. 203.  For the purpose of this clause, these innovations, technical solutions and increases in knowledge shall be deemed Inventions.  With respect to any Invention in which Grantee retains title, DOT shall have a nonexclusive, irrevocable, paid-up license to practice or have practiced for or on its behalf of the United States the Invention throughout the world.

        2. Obligation to Report Inventions, Election of Title

          2.1 Grantee will disclose each Invention to DOT within two (2) months after the inventor discloses it in writing to Grantee personnel responsible for patent matters. The disclosure to DOT shall be in the form of a written report and shall identify the Grant 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 the 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 DOT, Grantee will promptly notify DOT of the acceptance of any manuscript describing the Invention for publication or of any on sale or public use planned by Grantee or its employees.

          2.2 Grantee will elect in writing whether or not to retain title to any such Invention by notifying DOT within three (3) months of disclosure to the DOT. However, in any case where publication, on sale or public use has initiated the one year statutory period wherein valid patent protection can still be obtained in the United States, the period for election of title may be shortened by DOT to a date that is no more than ninety (90) days prior to the end of the statutory period.

        3. Conditions When DOT May Obtain Title
          Grantee will convey to DOT, upon written request, all right, title and interest to any Invention –

          3.1 If Grantee fails to disclose or elect title to an Invention within the times specified in subsection (2), above, or affirmatively elects in a writing to DOT not to retain title; provided that DOT may only request title within sixty (60) days after learning of the failure of Grantee to disclose or elect within the specified times.

          3.2 In those countries in which Grantee either fails to file or affirmatively elects in a writing to DOT not to file a patent application.

        4. Grantee License
          Grantee will retain a nonexclusive, royalty-free license throughout the world in each Invention to which DOT obtains title, except in cases where Grantee fails to disclose the Invention within the times specified in subsection (2), above. The Grantee's license is transferable only with the approval of DOT except where transfer is to the successor-in-interest of Grantee's business to which the invention pertains.

        5. Grantee Action
          For those Inventions in which Grantee has mandatorily transferred title to DOT of an Invention, Grantee hereby agrees to execute all papers necessary to file patent applications on such Inventions and to establish the government's rights in the Inventions.  Additionally, Grantee agrees to include, within the specification of any United States patent applications and any patent issuing thereon covering an Invention, the following statement, "This invention was made with government support under (identify the grant) awarded by The United States Department of Transportation. The government has certain rights in the invention."

        6. Reporting on Utilization of Inventions
          Grantee agrees to submit on request periodic reports no more frequently than annually on the utilization of an Invention or on efforts at obtaining such utilization that are being made by Grantee. Such reports shall include information regarding the status of development, date of first commercial sale or use, and such other data and information as DOT may reasonably specify. Grantee also agrees to provide additional reports as may be requested by DOT in connection with any march-in proceeding undertaken by DOT in accordance with paragraph (7) of this clause. As required by 35 U.S.C. 202(c)(5), DOT agrees it will not disclose such information to persons outside the government without permission of Grantee.

        7. March-in Rights
          Grantee agrees that with respect to any Invention in which it has acquired title, DOT has the right in accordance with the procedures in 37 CFR 401.6 and any supplemental regulations of DOT to require Grantee to grant a nonexclusive, 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 Grantee refuses such a request DOT has the right to grant such a license itself if it determines that:

          1. Such action is necessary because Grantee 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 Grantee; or

          3. Such action is necessary to meet requirements for public use specified by Federal regulations and such requirements are not reasonably satisfied by Grantee.

      2. Copyrights

        1. The author or the Grantee organization may copyright any books, publications, or other copyrightable materials developed in the course of or under this Grant, but DOT hereby reserves a royalty-free, nonexclusive and irrevocable license to reproduce, publish, or otherwise use and to authorize others to use the work for government purposes.

        2. The Grantee shall not incorporate material copyrighted by others into any work product delivered under this Grant unless it has acquired for DOT a royalty-free, nonexclusive and irrevocable license to reproduce, publish, or otherwise use and to authorize others to use the work for government purposes.

        3. The Grantee may arrange for publication of initial reports of original research, supported in whole or in part by DOT funds, in primary scientific journals and copyright by the journal unless the journal's copyright policy would preclude an individual from making or having made by any means available, without regard to the copyright of the journal and without royalty, a single copy of any such article for the individual's own use.

        4. The Grantee shall be responsible for any losses that result from or arise out of the negligent use of or breach of provisions by its employees or agents under this Grant regarding the publication, translation, reproduction, delivery, use, or disposition of any data or protected privacy information furnished under this Grant provided that this provision shall not be deemed a waiver by Grantee of any immunities to which it may be entitled under applicable Federal, State, or Tribal law.

  15. Collection of Data
    The Grantee may use funds awarded under this Grant to collect information incidental to a UTC activity, but such collection of information is not considered DOT-sponsored.  Persons collecting such information are prohibited from representing to their respondents that the information is being collected for, or in association with, the Federal government except with RITA's prior written approval and determination that the information collection complies with the OMB report clearance procedures set forth in 5 C.F.R. Part 1320, "Controlling Paperwork Burdens on the Public."

  16. Privacy
    Should the Grantee, or any subgrantee, contractor, or employee administer any system of records on behalf of DOT, the Privacy Act of 1974, 5 U.S.C. 552a, imposes information restrictions on the party administering the system of records.

  17. Civil Rights
    The Grantee shall not discriminate against any employee or other recipient of DOT funds or applicant for such positions because of race, color, creed, sex, sexual orientation, disability, age, or national heritage.  The Grantee shall take affirmative action to ensure that all applicants and employees are treated equally, without regard to their race, color, creed, sex, sexual orientation, disability, age, or national heritage.  The Grantee may target minorities and women as beneficiaries of Center programs for the purposes of achieving diversity, but they may not exclude non-minorities and men from those same programs.

    1. Subgrants and Contracts
      The Grantee shall insert the foregoing provisions, modified as necessary to identify the affected parties, in any subgrant or third-party contract implementing UTC Program activities.

    2. Compliance
      In the event of the Grantee's non-compliance with the Civil Rights provisions of this Grant or with the applicable rules, regulations, or orders, this Grant may be canceled, terminated, or suspended, in whole or in part, and the Grantee may be declared ineligible for further Federal funding.

      1. The Grantee shall furnish all information and reports required by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to its books, records, and accounts by DOT and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

      2. The Grantee shall comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d), with DOT regulations entitled, "Nondiscrimination in Federally-Assisted Programs of the Department of Transportation -- Effectuation of Title VI of the Civil Rights Act of 1964", and any other applicable regulations issued pursuant thereto.

  18. State or Territorial Law
    Anything in the Grant to the contrary notwithstanding, nothing in the Grant shall require the Grantee to observe or enforce compliance with any provision thereof, perform any other act, or do any other thing in contravention of any applicable State or territorial law; provided, that if any of the provisions of the Grant Agreement violate any applicable State or territorial law or if compliance with the provisions of the Grant would require the Grantee to violate any applicable State or territorial law, the Grantee will at once notify RITA to the end that the Grantee may proceed as soon as possible with the program.

  19. Ethics
    The Grantee shall maintain a written code or standards of conduct that shall govern the performance of its officers, employees, board members, or agents engaged in the award and administration of subgrants or contracts supported by Federal assistance.  This code shall prohibit the Grantee's officers, employees, board members, or agents from any acts that present a real or apparent conflict of interest for any person or organization participating in the UTC Program.

    1. Lobbying
      The Grantee shall comply with the provisions of 31 U.S.C. 1352 as implemented by DOT regulations in "Restrictions on Lobbying." (49 CFR Part 20) http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=cbbbe2a4999a1985b1d844c2666c29bd&rgn=div5&view=text&node=49:1.0.1.1.14&idno=49)

    2. Interest of Certain Federal Officials
      No member of, or delegate to, the Congress of the United States of America shall be admitted to any share or part hereof or to any arising benefits.

    3. Bonus or Commission.
      The Grantee affirms that it has not paid, and agrees not to pay, any bonus or commission for the purpose of obtaining approval of its application for Federal financial assistance for this Project.

  20. Certifications and Assurances
    The Grantee shall comply with all required assurances and certifications.  These shall be submitted to RITA when applying for a Grant, and then as part of the process of modifying that Grant if any additional funding is made available through the Congressional authorization and appropriations processes.

    Grantees must comply with DOT Order No.: 1050.2A, DOT Standard Title VI Assurances and Non- Discrimination Provisions.  The DOT Standard Title VI Assurances and Non-Discrimination Provisions form is included in Appendix A.  This form must be completed and signed within 30 days of receiving notification of UTC Grant award.

  21. Grant Closeout

    1. No-Cost Extensions The performance period for the Grant terminates on the date specified in the Grant Agreement.  If desired, the Grantee shall submit a request for a one-time no-cost extension to the grant administrator at minimum 90 days prior to the termination date by email with a justification and any other requested documentation.  This one-time extension may not be exercised merely for the purpose of using unobligated balances.    

    2. Closeout Procedures The following actions and documents will be required for grant closeout no later than 90 days after grant termination.

      • All grants deliverables and requirements have been submitted.

      • Final Financial Report (SF425)

      • Final Request for Reimbursement (SF-270)

      • Property Inventory Report (SF429), if applicable

      • Final Tangible Property report (SF428 B), if applicable

      • Disclosure of Invention Report (DOT 2000.1), if applicable

      • Record of Invention (DOT 2000.2), if applicable

      • Invention Rights Report (DOT 2000.3), if applicable

Additional closeout information can be found at 49 C.F.R . Sections 19.71-19.73.