ML19344F354
| ML19344F354 | |
| Person / Time | |
|---|---|
| Issue date: | 08/22/1980 |
| From: | Cracraft T, Mcpherson H, Morton K NRC OFFICE OF ADMINISTRATION (ADM), SMALL BUSINESS ADMINISTRATION, ZERO ONE SYSTEMS, INC. (FORMERLY TECHNOLOGY DEVELOPME |
| To: | |
| Shared Package | |
| ML19344F352 | List: |
| References | |
| CON-FIN-B-7077, CON-NRC-04-80-215, CON-NRC-4-80-215 NUDOCS 8009150178 | |
| Download: ML19344F354 (64) | |
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- 12. TH!5 PROCUREMENT WAS ADvtRTi$fD, [ NEGOTtAffD, PUr5UANT 70-
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SPECI AL CLAUSES FOR SUBCONTRACTS 1
1.
The Small Business Administration (hereinafter called SBA) has entered into
~ NRC-04-80-215__
Contract No.
(hereinafter called the Prime Contract) with the Nuclear Reculatory Commission
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(hereinafter called Nkg for the performance of requirements as more specifically described therein.
A copy of said Prime Contract is attached hereto and made a part hereof.
2.
The parties to the Prime Contract have agreed that SBA may subcontract all requirements for the fulfillment and performance of the Prime Contract pursuant to Provisions of Section 8(a) of the Small Business Act,1S USC 637(a)(2) as amended. The parties hereto agree that Technolog" Development of California, Inc.
(hereinafter called Contractor) shall for and
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and perform all of the requirements of the Prime Contract for the consider-ation stated therein.
The Contractor acknowledges that he has read and is familiar with each and every part of the Prime Contract.
3.
It is expressly understood and agreed that.the General Provisions and Supplemental Provisions as contained in the Prime Contract are applicable to the Contractor.
4.
The Contractor further understands and agrees that the responsibility for administering this Subcontract has been delegated to __
NRC and that he will honor directions of and requests for chacges by that activity in like manner'as if issued by SBA.
5.
Payment (s) will be made directly to the Contractor by NRC 6.
In the light of the purpose for which award is herein authorized, i.e., to assist the Contractor toward achievement of viability, the Contractor hereby agrees not to further subcontract any of the performance of this Subcontract not already provided for in his proposal at the time of accep-tance without prior written consent of the SBA Contracting Officer.
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CUANTITY UNIT UNIT FRICE AM OUNT Development of a Nuclear Reactor Plant Data Bank
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- 29. DATE $'GNED Hamid McPherson 3 e y 393 Contmoting Officcr D_\\ kOJD Kelloqq V. Morton o i
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Centract No. liRC-04-80-215 4
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ARTICLE I'- STATEMENT OF WORK
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A.
INTRODUCTION At the present~ time, there exists no centralized, computer based,' repository of nuclear power plant descriptions. -The-lack of such a data bank requires-additional cost, time, and effort to prepare the input.to power plant performance computer programs, safety analysis programs and containment programs.
It also increases the probability of input errors and inconsistencies to anaifsis programs, and introduces significant time lags into the analyr4 orocess.
B.-
PURp0SE The purpose of this project is to develop a data bank structure that can accommodate all of the information required for safety analysis of' light water reactor systems and containments' and to provide computer programs to supply data from the data bank-as input to NRC safety analysis computer programs executed on CDC and IBM scientific computers.
Access to the data bank is required for tabular and graphics display via remote CRT terminals.. Access
-to the data bank via remote job entry equipment is required to achieve bulk data transfer.
C.
CONTRACT OBJECTIVES The objectives of this work are to:
-1.
Design a data base organization within the framework of the DATATRAN system to accommodato descriptions of existing and future light water reactor systems and containments.
2.
Provide a thorough demonstration of the flexibility, ease of use, and-the ability-to convert the stored information to the appropriate input for selected safety co.A Emphasis is to be placed on data entry for a single plant demonstration and a more labor-intensive approach to be
.used in. lieu of the originally proposed Optical Character Recognition (0CR) method.
3.
Design and develop DATATRAN application modules that will facilitate the storage and the display of nuclear _ plant data.
4.
Design interface programs that will generate the bulk of the input data for selected LOCA, plant analysis, and containment analysis computer programs, thereby expediting model prcparation and ensuring model consistency.
~
.D.
S_ COPE OF TECHNICAL WORK The contractor shall furnish all personnel, materials, equipment,
. facilities, and services necessary to perform, and shall therewith perform the ~ technical tasks listed below.
Task 1
.The DATATRAN sysem will be the basis for this data bank.
DATATRAN is a data bas'e management and executive system that has been developed and applied
=
Contract No. NRC-04-80-215 Pag: 3 of 19 to the solution of scientific / engineering problems.
Extensive experience has been obtained using DATATRAN for similar data within the Naval Reactors Program.. Specifications will be prepared for a hierarchic data base structure within the DATATRAN framework that is efficient on computers, easy to under-stand, and easy to use.
Each level in the hierarchy will refer to a more detailed ' component of a system.
Emphasis will be placed on organizing the data for each plant system at a level as close to physical reality and construction practices as possbile.
Data will be ente ad so that it is not dependent on any particular systems or computer program or any particular nodalization scheme.
Priority will be given to the types of information currently required by NRC analysis program.
The data structure will be designed to accommodate summaries of data at several-levels, parameters describing components, and instructions that will generate those drawings of system components required by the NRC.
For example, a summary of the data for the core of the TMI-2 reactor would be kept in data set TMI-2. PRIMARY.C0RE.INF0.
Similarly, summary data for the fuel bundles in the TMI-2 reactor would be kept in TMI-2. PRIMARY. CORE. BUNDLE.
INF0.. Forms will be prepared to facilitate the entry of data into the data bank.
Specifications for programs that will perform consistency checking of the data base will be prepared under this task, implemented under Task 2, and applied in Task 3.
The data bank structure will be developed for:
I Reactor core geometry, composition, and assembly.
Preliminary review of data available at BNL indicates that it will be possible to electronically copy segments of the data available on fuel reload and burn-up status into the proposed plant data bank.
Once copied into the plant data bank, it could be formatted for input to safety codes through programs developed as part of objective 4.
Technology Development of California, Inc. will use the BNL data rather than duplicate the data collection effort ~.
Sufficient data would be entered to reconstruct drawings of planar slices of the whole reactor vessel, steam generatoc and the containment. The information contained in these slices is important for establishing the appropriate "noding" or spatial discretization as part of code input preparation.
Although this data is planned to be accurate enough for physics Monte Carlo programs, its basic use would be for codes such as SASS and COBRA.
The plant data bank will provide for reactor kinetics data.
Target codes for this data will be TRAC-PD3 and RAMONA-III.
II Primary system (other than the reactor core).
The main thrust will be to design a structure to accommodate all parameters required by NRC safety analysis programs.
Some of these parameters will be entered at more than one level of modeling.
Provisions will also be made for computer program input decks.
Data bank structure will be developed to accommodate the data necessary to'approximately describe the geometry of all primary system components.
Data for trips and controls will be
- included, e_
y Contract No. NRC-04-80-215 Pag 3 4 cf 19 III Secondary system. Accommodation of all parameters required by existing and planned NRC safety analysis programs will receive the most emphasis.
IV. Emergency core cooling system.
Emphasis will be placed on parameters describing flow paths, controls, and instrument locations.
V Makeup system.
Parameters describing the characteristics of the makeup system will be accommodated.
VI Containment "tructure and shielding.
Compromises between accurate and " equivalent" representations of these components are contemplated.
Sufficient data will be stored to compute the data needed by a contemporary NRC. analysis program.
Specification of the acceptable levels of detail for items I through VI will be established with the NRC project monitor within 60 days of contract execution.
Data will be organized by subsystem in the data bank.
System components shared by other plants need to be entered only once.
The data bank will contain history information relative to the source of the data.
Forms developed under this task will be the mechanism for obtaining the data from reactor vendors, architect-engineers, and utility companies.
Derived data such as flow areas, heat transfer areas, volumes, etc., will be included in the data bank since many current analysis programs require such data.
Performance data such as pump characteristics will also be included.
Schematic data will also be entered into the data bank.
provision will be made for certain geometric. data for the reactor core.
Although provision will be made for moderately detailed geometric descriptions of some other components, only a very limited amount of such data is expected to be entered under Task 3.
The basic and derived thermohydraulic information would include all the information needed by fuel behavior codes such as FRAP.
A very limited amount of information for electrical systems is expected to be entered into the data bank.
However, all of the data related to reactor controls and trips will be placed in the data bank.
No data regarding operating procedures, fuel holding facilities, radioactive waste management systems, or plant siting is expected to be entered into the data bank at this time.
In particular, requirements of physics codes that go beyond the reactor kinetics information will receive minimal consideration.
This will not preclude factoring such codes in at a later date. Although the data bank structure is flexible and the design can be extended to additional classes of data when desired, a strong focus on plant performance and safety is planned at the start of this project.
The DOR /BNL core physics data bank activity as well as other NRC-sponsored data base activities will be reviewed in order to prevent duplication of software and/or data collection efforts.
The specifications prepared under this task will be circulated to NRC code developers for comment.
- However, the contractor development activities must proceed without waiting for response.on specifications if the schedule is to be satisfied. The contractor assures that comments will not hrve a major impact on the development plan and can be incorporated as required.
Ncrity will be assigned to obtain a useful data base within the scope of this proposal.
NRC will provide the contractor's Santa Clara site with all relevant do umentation on the currently'
F Contract No. hRC-04-80-216 1
6 Page 5 of 19 l
available analysis programs within two weeks from project startup.
The contractor will utilize its Washington Staff to collect the relevant docu-mentation from liRC end expedite its delivery to Santa Clara.
Task 2 Software will be required for quality assurance checking of the data bank for input errors, completeness, and consistency.
As much as possible will be taken of existing DOE and NRC programs since it is normally easy to incorporate existing programs into the DATATRAN framework.
Estimates made in this section are based on experience obtained in the Naval Reactors Program. Much of the programming involved in this task can be performed in parallel. A serious attempt will be made to generai,e CDC/IBt1 compatible DATATRAN programs.. Results of the subtasks are expected to become available in a number of stages so that practicable use can begin at an early date.
Although this plan calls for the bulk of the data to be supplied on typed ferms, consideration will be given to accommodating vendor data that may already be available on cards and/or magnetic tape.
The contractor will establish an effective method for obtaining raw data from vendors, utilities, and architect engineers which minimizes ' costs and schedules in the long term.
Computer software will be developed to:
1.
Test the data in the data bank for completeness, consistency and reasonableness. This is a necessary step to identify data input and transcription errors.
It provides a level of quality assurance for the data bank. Some level of automation of this function is important since the data bank contents for a single plant will be "large" by human standards and the data for all plants will be overwhalming.
Procedures for applying the quality assurance computer software will be developed.
2.
Provide graphic and tabular display of the data bank contents. All tables will be labeled and displays will optionally be in SI or British units. The capability to recreate drawings from the data bank is also required.
Piping ciagrarrs, control system diagrams, and certain cross-sections of system components containments will be displayed on CRT screens showing impartant dimensions.
The capability to locate data of interest quickly from the somewhat complex structure of the data bank is required for users who are not FORTRAN programmers.
Special attention will be given to remote site andlinteractive users.
Programs that reduce the level of user training to that expected of a competent high school graduate are planned. Most of this software will be' developed as DATATRAN modules. Currently available software from the Naval Reactors Program from work sponsored by the Electric Power Research Institute will be the the basis of program development.
The extent of t' e isometric graphics capability will depend upon the availability of additional DATATRAN modules from the Naval Reactors Program which must be requested by NRC.
These will be made availabic 6 months after execution of contract to satisfy the proposed schedule.
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[-Page-6of19 Task 3 A.
The contractor shall provide a thorough demonstration of the plant data bank flexibility, its ease of use, and the ability to convert the stored information to the appropriate input for selected saftey codes.
Emphasis shall be placed on data m try for a single plant demonstration and a more labor-intensive approach shall be used in lieu of the optical character recognition methodology originally proposed by the contractor.
The contractor shall determine an effective methodology for obtaining raw data from vendors, utilities, and architect engineers which minimizes osts and schedules in the long-term.
B.
Upon completion of and approval by the Commission of the work set forth in Subtask 3.A above, which includes entering a full set of data for the demonstration plant, the contractor (TDC) shall submit a plan for entering a full set of data for' the additional six representative plants.
This plan will address the influence of data availability and data entry method on schedule and cost; it will specify the extent to which data entry can be completed under the funding avaiiable under this contract.
After an approval of the plan, the contractor is to proceed with th'e data entry in the most expedient manner possible based upon the availability of data from the Commission, vendors, architect-engineers, and utility sites.
This data is to be entered to provide an additional test of the data bank design but, more importantly, to provide useful data within the
. data bank, as part of its original mission.
The experience gained under this task with the methods of entry of data selected in Task 3.A, whether they include the use of Optical character recognition hardware as proposed by the contractor or otherwise, are to be studied from the point of view of practicality, efficiency, and cost.
Altogether, seven specific plants are to be selected by the NRC Project Officer.
These are to consist of one plant each provided by Babcock and Wilcox, General' Electric Company, and Co'bustion Engineering.
Four primary m
loop configurations will be entered for a Westinghouse plant.
Task 4 Requirements for rapid access to the data bank via remote CRT equipment and requirements for data portability will require selective upgrading of the DATATRAN system. Under this task DATATRAN 2.2, developed under the sponsor-ship of the Electric Power Research Institute (EPRI) for nuclear utility applications, will be modified.
These modifications are required for pro-duction use and will not interfere with a rapid project startap.
The contractor will develop and install versions of the MTATRAN system to:
1.
Provide the full capability of DATATRAN 2.2 at Argonne National Laboratory (IBM site proposed for project startup).
2.
Provide the full capability of DATATRAN 2.2 at Brookhaven National Laboratory (proposed CDC site).
9
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Contract No. NRC-04-80-215 f_.
Pagn 7 of 19 3.
.Accommoda'te remote CRT batch interactive capability using an approach similar to that (eveloped at Knolls Atomic Power Laboratory (KAPL) for DATATRAN 2.0.
This mode of operation frees computer resources on the host camputer and provides reasonable response.
Implementation will be designed to minimize hardware requirements at the remote site. -Interactive response-time will be dependent on the management policy of the host site; however, no problem is anticipated at this
' time.
4.
Minimize permanent storage requirements when magnetic tapes are used as a final storage media, intermediate storage med'a, or media for
< change between sites.
5.
Install a two-level password system to protect proprietary data.
Consideration will _ be given to only enter data from one secured terminal using the appropriate passwords.
Once the remote CRT capability is in place, the contractor encourages use of selected capabilities by NRC staff as a mechanism for assuring that these capabilities satisfy operating requirements.
The feasibility of starting an NRC. users' group in June 1981 will be studied.
Analyses modules and data will be available at both sites.
Task 5 Design interface programs that will extract data from the data bank in a form suitable for immediate use by LOCA, plant analysis, and containment analysis computer codes selected by the NRC project monitor.
Once implemented, such programs can be used to ascertain if the data bank contains the information required to analyze a specific plant.
Two classes of interface programs are anticipated. The first class of interface program will be applicable to several analysis programs (e.g, nodalization and mesh generation). The second class of interface program will be specific t'o a particular analysis program. Accomplishments under this task for the first class of programs will be enhanced if the computer programs developed by DOE (specifically, Naval Reactors) are made available for this program.
A formal request by NRC to Naval Reactors will to obtain the applicable software.
Nodalization-approaches using CRT. screens with light pens will be studied.
Design of interface programs _ to extract data from the data bank in a form suitable for immediate use by computer codes selected by the NRC project monitor will not however depend upon the availability of computer programs developed by DOE / Naval ~ Reactors. However, the implementation of the design will be accelerated if such programs become available.
The contingency plan would be to search for alternate public domain codes that could be modified to accomplish the input generation mission..The contractor that sufficient capability can be developed, based on available software to demonstrate the-plant data bank. Proposals for specific ~ software development will be submitted
-by the contractor if the DOE / Naval Reactors programs are not made available.
- A review of alternatives would be completed approximately four months after contract execution.
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~ Lentract !!c. inic-04-81 215 Page 8 of 19 e
It should be noted that other NRC contractors who wish to perform this type of work can implement such programs once the data bank structure has been defined. An experienced FORTRAN programmer normally requires only eight contact hours of training to become an effective DATATRAN programmer.
The contractor has-training manuals and experience in teaching the required course.
However, it is recommended that the contractor be involved in the design of the interfaces in order to assure that the longer-term evolution of all interfaces will be satisfactory.
Priorities for Task 5 need to be established with the NRC Project-Monitor within the first three months of project startup.
Selection of one or two target thermohydraulic analysis programs such as TRAC and FRAP also needs to be made in that time frame. This task will define the direction for future efforts as well as providing some of the basic general-purpose interfoce programs.
Fifteen person-months are allocated to this task.
It should be noted that a very substantial amount of effort could ultimately be applied to this task and that the effort proposed herein is in terms of design and a
proptotype step. The scope of this activity will not only be limited by the resou. ces available, but by the need for careful planning of future interface activi ty.
E.
REPORTS, DOCUMENTATION, AND OTHER DELIVERABLE END ITEMS The technical reports listed below (where applicable) n.: to be documented, produced, and disseminated in accordance with NRC Manual Chapter 3202 which is part of this contract.
1.
Technical Reports Each task will generate the following deliverable documentation:
The Contractor shall provide the Commission a delivery schedule for the technical reports and deliverables listed below within thirty (30) days of contract execution.
Task 1 a.
Core specifications b.
Primary system specifications c.
Secondary system specifications d.
Emergency cooling system specifications e.
Makeup system specifications f.
Containment and shielding system specifications Task 2 a.
User manuals for input checking programs b.
Training manuals for new users c.
Sample input / output writeups d.
Programmer _ implementation documents m
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CuiiLiuct' Ro. RC-04-UC Paga 9 of 19 Task 3 a.
Progress reports b.
Specification for data bank completeness report Task 4 a.
DATATRAN Installation Newsletter (updated as required) b.
Manual for batch interactive usa c.
Specification of CRT terminal requirement to support the data bank Task 5 a.
User manuals for developed interface modules e.
Long-range technical plan for development of proposed interface modules 2.
Monthly Prog egd Reports Technology Development of California, Inc. shall submit to the NRC project manager, on a conthly basis, letter progress reports descrit,ing the activity, accomplishments, plans for the next reporting period, problems encountered on each task, and cost data, lE
g_
-Contract'Ho. URC-04-80-215 Pag 10 of 19 ARTICLE 11 - PERIOD OF PERFORMANCE The performance of work described in ARTICLE I hereof shall commence as of the effective date of this' contract and shall continue to completion thereof, esti-mated to occur within 24 montns after said contract is effective.
ARTICLE III - CONSIDERATION AND PAYMENT (Incrementally Funded CPFF)
A.
Estimated Cost, Fixed Fee and Oblicaticn 1.-
It is estimated that tha total cost to the Government for full perform-ance of this contract will be SB15,490.00 of which the sum of 5741,355.00 represents the estimated reimbursable costs, and of which 574,135.00 represents the fixed fee.
2.
Total funds currently available for payment and allotted to this cor.-
tract are $100,000.00 of which S 90,000.00 represents the estimated reimbursable costs, and of which S 10,000.00 represents the fixed fee.
3.
Obligation of Funds. The amount presently obligated by the Government with respect to this contract is $100,000.00.
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B.
Payment The Government shall render payment to the contractor in approximately thirty (30) days after submission of proper and correct invoices or vouchers.
Additional provisions relating to payment are contained in Clause 5.1-3 of the General Provisions hereto.
ARTICF.E IV - OVERHEAD / GENERAL AND ADMINISTRATIVE RATES c
A..
Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs, the contractor shall be reimbursed for allowable-indirect costs hereunder at the provisional rate of 55.4 percent of direct labor.
B.
Pending the establishment of final general and administrative rates which shall be negotiated based on audit of actual costs, the contractor shall be reimbursed for. allowable indirect costs hereunder at tne provi-sional. rate of 15.4 percent of total direct cost and overhead.
C.
Notwithstanding A. and B. of this Article, said provisional overhead and G&A rates may be adjusted as appropriate during the term of the contract
-upon the acceptance of such revised rates by the Contracting Officer.
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Contract No. hitC-04-P.0-215 Page 11 of 19 ARTICLE V
- PRIVATE USE AND PROTECTION OF UNCLASSIFIED GOVERNMENT INFORMATIC.'l A.
Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, records or other information, documents and material furnished by the Commission to the contractor in the performance of this contract,'or information developed by the contractor in the course of the work hereunder, shall be used only in connection with the work perforced under this contract.
The contractor shall, upon completion or termination of this contract, transmit to the Commission all records or other information, documents and material, and any copies thereof, furnished by the Commission to the contractor or developed by the contractor in the performance of this contract.
B.
The contractor shall be responsible for safeguarding from unauthorized dis-closure any information or other documents and material exempt from public disclosure by the Commission's regulations and made ayailable to the con-tractor in connection with the performance of work under this contract.
The contractor agrees to conform to all regulations, requirements, and directions, of the Commission with respect to such material.
C The contractor's duties under this clause shall not be construed to limit or affect in any way the contractor's obligation to conform to all security regulations and requirements of the Commission pertaining to classified information and material.
ARTICLE VI
- XEY PERSONNEL Pursuant to this ARTICLE (Key Personnel), the following individuals are considered to be essential to the successful performance of the work hereunder and shall not be replaced without the prior approval of the Contracting Officer.
In such event, the contractor agrees to substitute persons possessing substantially equal abilities and qualificrtions satisfactory to the Contracting Officer.
Dr. Harold Kopp ARTICLE VII
- TECHNICAL DIRECTION A.
Performance of the work under this contract shall be subject to the tech-nical direction of the NRC Project Officer named in ARTICLE VIII of this contract.
The term " Technical Direction" is defined to include the following:
1.
Technical direction to the contractor which shifts work emphasis between areas of work or tasks, requires pursuit of certain lines of inquiry, fills in details or otherwise serves to accomplish the con-tractual scope of work.
2.
Providing assistance to the contractor in the preparation of drawings, specifications or technical portions of the work description.
3.
Review and where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the contractor to the Government under the contract.
2
f Contract No. URC-04-80-215 Page 12 of 19 8.
Technical direction must be within th eral scope of work stated in the con trac t.
The Project Officer does not ve the authority to and may not issue any technical direction which:
1.
Constitutes an assignment of additional work outside the general scope of the contract.
2.
Constitutes a change as defined in the clause of the General Provisions, entitled " Changes."
3.
In any way causes an itcrease or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.
4.
Changes any of the expressed terms, conditions or specifications of the contract.
C.
ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERBAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer.
The contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article.
If, in the opinion of the contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in B(1) through (4) above, the contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly.
Upon receiving such notification from the contractor, the Contracting Officer shall issue an appropriate contract modification or advise the contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.
D.
Any unaut'horized commitment or direction issued by the Project Officer may result in an unnecessary delay in the contractor's performance, and may dven result in the contractor expending funds for unallowable costs under the contract.
E.
A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to the provisions of the contract clause entitled " Disputes."
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Th Contract No. NRC104-80-215 Page 13 of 19 L
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ARTICLfL VIII-PROJECT OFFICER
'Dr. 'Stanislav FabicLis hereby designated as the Contracting Officer's authorized
- representative (hereinafter called Project Officer) for technical aspects of this contract. The Project Officer is not authorized to aporove or request any action which results in or could result in an increase in contract cost; or terminate,
- settle any claim or dispute arising under the contract; or issue any unilateral, directive whatever.
The Project Officer is responsible for:
(1) monitoring the -contractor's technical progress,-including surveillance and assessment of performance, and recommending to the Contracting Officer changes in' requirements; (2) interpreting the scope of -
- work; -(3) performing technical. evaluation as required; (4) performing technical inspections and accepta'nces required by this contract; and (S) assisting the contractoriin the resolution of technical problems encountered during performance.
Within the purview of this authority, the Project Officer is authorized to review all costs reauested for reimbursement by contractors and submit recommendations for approval,' disapproval, or suspension for supplies, services required under the contract.
The Contracting Officer is responsible for directing or negotiating.
any changes in terms ~, conditions, or amounts cited in the contract.
For guidance from the Project Officer to the contractor to be valid, it must:
(1) be consistent with the description of work set forth in the contract; -(2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of performance or contract delivery schedule; and, as stated above (4) not constitute a basis for any increase in the contract cost.
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~ Contract Oo. NRC-04-s0-215 Page 14 of 19 ARTICLE IX - TRAVEL REIMSURSEMENT 1.
The contractor will be reimbursed for reasonable domestic travel costs
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incurred directly and specifically in the performance of this contract and accepted by the Contracting Officer, in accordance with the contractor's approved travel policy on file with the NRC.
2.
The cost of travel by privately caned automobile shall be reimbursed at the mileage rate prescribed by the contractor's established, generally applicable travel policy; orovided, however, that such reimbursement shall not exceed the cost of less than first-class travel by common carrier.
- 3.. The cost of trav.el by rented automobile shall be reimbursed on a reasonable actual expense basis that does not exceed the rates, prescribed by the contractor's established, generally applicable travel policy.
4.
All common carriar travel reimbursable hereunder shall be via economy class rates when available.
If not available, reimbursement vouchers will be annotated that economy class accommodations were not available.
First-class air travel is not authorized.
5.
Reasonable actua' costs of lodging and subsistence, or per diem in lieu of actual costs, shall be allowable to the extent that such actual costs or per diem amounts do not excaed the amounts or per diem rates prescribed by the contractor's established, generally applicable travel policy.
6.-
Receipts are -recuired for common carrier transportation, lodging and
- miscellaneous items in excess of 515.00.
7.
Any revision to the contractor's established, generally applicable travel policy approved by the cognizant audit agency during the period of per-formance of this contract shall be effective, without formal modification to this contract, upon delivery to the Contracting Officer of a copy of such revised policy together with evidence of cognizant audit agency approval thereof.
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- CONFLICT OF INTEREST.
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.'(a)1 Purpose. : The primary purpose of this article is to aid in ensuring
- that' the l contractor:
- (1)ris not.placed in a' conflicting role because of carrent or planned
. interest.-(financial,- contractual, organizational, or otherwise) which relates to the work under this contract, and-o
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(2) -does not obtain an unfair competitiveL advantage over other parties
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-(b) ' Scope.
The restrictions described herein shall apply to performance Lor participation by the contractor as defined in 41 CFR 820-1.-5402(f) in the activities covered by this article.
(c)N Work for others.. Notwithstanding any other provision of this-contract,
.during the term of. this contract, the contractor agrees to forego entering into i
consulting or other contractual arrangements with any firm or organization, the result of which may give rise. to a conflict of interest with respect to the work being performed under this contract.
The contractor shall ensure that all
. employees who are employed full time under this contract and employees designated
- ~
as key: personnel, if any, under this contract ~ abide by the provision of this article.
If the contractor believ~es with respect to itself or 'any such employee-that 'any proposed consultant'or. other contractual arrangement with any firm or organization may-involve a potential conflict of interest, the contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual' arrangement.
(d' Disclosure.after award.
(1)- The contractor warrants that to the best-of its knowledge and belief and except as othemise set forth in this contract, it does not have any organizational conflicts of interest, as defined _in 41. CFR. 620-1.5402(a)..
(2) The contractor agrees that if after award it discovers organiza-tional: conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a description
,G' of.the action.which the contractor has taken or proposes to take -
to avoid or. mitigate such conflicts.
The NRC may, however, terminate 1the' contract for convenience if it deems 'such termina-tion to be in the best-interests of the government.
- (e) Access to and use of information.
[(1)
If the Contractor;in the performance o? this contract obtains.
access to information, such as NRC'plars, policies, reports. -
.i studies, financial plans,-internal-. data. protected by the Privacy' Act of 1974. (Pub.. L.93-579), or data which 'has.not been
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-Page 16 of 19 released to the public, the contractor agrees not to:
(1) use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such infor-mation to the public, or (iv) release the information without prior written approval by the Contracting Officer unless such information has previously been released to the public by the NRC.
(2)
In addition, the contractor agrees that to the extent it receives or'is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged tachnical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information..
(3)
The centractor shall have, subject to patent and security provi-sions of this contract, the right to use technical data it produces under this contract for private purposes provided that all require-ments of this contract have been met.
(f) Subcontracts.
Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this article, including this paragraph, in subcontracts of any tier.
The terms " contract," " contractor," and " Contracting Officer,"
shall be appropriately modified to preserve the government's rights.
(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the governmert may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as ray be permitted by law or this contract.
(h) Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 920-1.5411.
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I Contract No. MC-d&-60-215 Page 17 of 19 SPECIAL CLAUSES F_0R PRIME CONTRACTS ARTICLE XI 1.
The parties agree that the Technology Development of California. I t (hereinafter call " Contractor") shall for and in the stead of the Small
[
Business Administration fulfill and perform,all of the requirements of this Prime Contract for the consideration stated herein.
2.
By subcontracting, pursuant to the provisions of Section 8(a) of the Small Business Act,15 USC 637(a)(1), as amended, the Small Business Administration (hereinafter called SBA) agrees to furnish the services set forth in this contract according to the specifications hereof.
3.
It is understood and agreed that in~ the event SBA does not award subcontracts for the performance of all or part of the work hereunder, this contract may be tenninated in whole or in part without cost to either party.
4.
The general provisions of this contract are not operative *uetween SBA and the Nuclear Regulatory Commission but they are applicable to SBA's sub-contractor.
5.
SBA has delegated to the Nuclear Regulatory Commission (hereinafter called NRC the responsibility for administering its subcontract here-.
under.
This includes issuance of orders, inspection, and acceptance by NRC Representatives and direct payment by NRC 6.
For the purposes of this contract the reference to "his duly authorized representative" in the " Disputes" clauses of this contract shall be deemed to refer to th,e Board of Contract Appeals 7.
It is further agreed that SBA will be continuously apprised by the Contracting Officer administering the subcontract as to the progress and performance of its contractar. No action that could possibly lead to the termination of the contract for " Default" or for " Convenience of the Government" shall be taken by said Contracting Officer or his authorized Representative without prior consultation with the SBA.
8.
It is understood and agreed that SBA's contractor shall have the right of appealing decisions of the Procurement Contracting Officer, or his authorized j
Representative, as cognizable under the " Disputes" clause of this contract.
9.
Insurance and/or bonding requirements, if any, do not apply to SBA, but SBA will ' require bonds from its contractor as required to protect the interests of the Government.
~
10.
It is agreed that the provisions of the "Tennination for Convenience "
" Changes," " Disputes,"" Default and Price Reduction" clauses which are in-cluded in -the contract between the SBA and its contractor shall be invoked in appropriate cases when requested by the Procurement Contracting Officer or his authorized Representative. If the SBA does not agree with the request of the Procurement Contracting Officer or his authorized Representative, the case shall be referred to the Board of Contract Appeals _ for decision.
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j-ARTICLE.XII
- APPENDICES.
L 1.
Appendix A, General Provi:; ions, entitled " Cost Type Research and Development'
' Contracts With Commercial Organizations," dated 2/6/80.
NOTE:
AVAILABILITY OF TEXT-0F CLAUSES _- The complete text of clauses,
. incorporated by reference, is available, for a nominal fee, in the
.-publication entitled " Code of Federal' Regulations - 41 CFR 1-1.000, Chapter:1 to 2, Federal Procurement ' Regulations' (Chapter 1)" which may be obtained from the Superintendent of Documents, U. S. Government Printing Office, Washington, D.C.
20402.
Copies of the complete text of specific clauses are available from the Nuclear Regulatory Commis-sion, Division of Contracts, Washington, D.C.
20555 and will be furnished upon request.
Provisions deleted in their entirety:
Provision 1.8 Provisions deleted and superseded by the following:
Frovision FPR No.
Reference' Title Date 1.1 1-7.402-1 Definitions" Aug 4,1975 1.10 1-7.102.12 Disputes" Feb 5, 1980 1.13 1-7.103-3 Examination of Records Sep 25, 1975 by Comptroller General" 3.5 l-1.323-2
" Preference for U.S. Flag Dec 8,1976 Air Carriers" and "Certifi-cation of Unavailability of U.S. Flag Air Carriers"
~
3.9 FPR~ Temp.
" Utilization of Small May 23,1980 Reg. No. 50
- Business Concerns and Small Business Concerns Owned and Controlled by Socially and Economically Disadyantaged Individuals" Provisions added:
3.13 0FPP* Policy
-" Utilization of Women-0wned Apr 29,1980 Letter 80-4 Business Concerns"
" Women-Owned Business Concern Apr 29, 1980 3.14'
'0FPP* Policy.
. Subcontracting Program" Letter 80-4 (Applicable-to contracts over
$500,000 or $1,000,000 for cois-struction of any public facility)~
- 0FPP (Office of' Federal Procurement Policy)'
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Appendix B, f1RC Contractor Organizational Conflicts of Interest (41 CFR Part 20).
3.
Appendix C, NRC Organization Chart 4.
Appendix D, Billing Instructions for I4RC Cost-Type Contracts 5.
Appendix E,11RC I4anual Chapter 3202-m 9
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GENERAL PROVISIONS CONTENTS APPENDIX A - COST TYPE RESEARCH AND DEVELOPMENT CONTRACTS WITH COMMERCIAL ORGANIZATIONS
<s GENERAL PROVISIONS NO.1.0 1.1 Definitions................................................
1.2 Assignment.................................................
1.3 Assignment of C1 aims.......
1.4 Of fici al s Not to Bene fi t...................................
1.5 Standards of Work..........................................
1.6 Notice Regarding Late Delivery.............................
1.7 Covenant Against Contingent Fees...........................
l 1.8 Payment of Interest on Contractors' Cl aims.................
1.9 Inte re st Due the Government................................
1.10 Disputes...................................................
1.11 Notice to the Government of Labor Di sputes.................
1.17 Audit and Records..........................................
1.13 Examination of Records by Comptroller General..............
1.14 Orde r o f P recedence........................................
1.15 Stop Work 0rder............................................
1.16 Contractor Organizational Conflicts of Interest............
1.17 Publ ication of Contract Work...............................
1.13 Private Use of Contract Information and Data...............
1.19 Drawings, Desi gns, Speci ficati ons..........................
1.20 Proprietary Data and Confidential Information..............
1.21 Privacy Act................................................
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PERFORMANCE PROVISIONS i40. 2.0 2.1 P e rm i t s....................................................
2.2 Safety. Health, and Fi re Protection........................
2.3 Key Personne1..............................................
2.4.
Security...................................................
2.5 Subcontracts...............................................
2.6 Consultant or Other Comparable Employment Services o f Con tracto r Empl oyees...................................
2.7 Litigation and C1 aims.....................................
2.8 Exc u s a bl e De l ay s..........................................
2.9 Changes.........................<..........................
2.10 Inspection and Correction of Dettets,........ s..
i 2,11 Procurement of Items Using Jewel Betrinos..................
2.12 Go ve rnme n t P ro pe rty........................................
l' 2/6/80
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o SOCIO-ECONOMIC PROVISIONS NO. 3.0 3.1 Employment of the Handicapped..............................
3.2 Disabled Veterans and Veterans of the Vietnam Era..........
3.3 Convict Labor..............................................
3.4 Equal Opportunity..........................................
3.5 Preference for U. S. Fl ag Ai r Carriers.....................
3.6 Use of Privately Owned U. S. Flag Connercial Vessels.......
3.7 B uy Ame ri c a n Ac t...........................................
3.8 Contract Work Hours and Safety Standards Act...............
3.9 Utilization of Small Business Concerns and Small Business Concerns Owned and,Cpntrolled by Socially and Economically Disadvantaged Individuals......
3.10 Utilization of Labor Surplus Area Concerns.................
3.11 Labor Surplus Area Subcontracting Program..................
3.12 Clean Air and Water......
PATENT AND COPYRIGHT PROVISION. NO. 4.0 4.1 Patent R1ghts..............................................
4.2 Patent Indemnification of Government by Contractor.........
4.3 Rights in Copyrightable Material Under Contracts...........
4.4 Copyright Indemnification of Government....................
4.5 Notice and Assistance Regarding Patent and Co pyri g h t In f ri ngement.....................................
FINANCIAL AND TERMINATION PROVISIONS NO. 5.0 5.1 Limi tation of Co st or Funds................................
5.2 Al'.owable Cost, Fee, and Dayment...........................
5.3 Negotiated Overhead Rates..................................
5.4 State and Local Taxes......................................
5.5 Termination for Default or for Convenience of t h e Go v e rn me n t...........................................
APPENDIX B 9
g, APPENDIX A GENERAL PROVISIONS COST TYPE RESEARCH AND DEVELOPMENT CONTRACTS WITH COMERCIAL ORGANIZATIONS
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ARTICLE
- GENERAL PROVISIONS - APPLICATION I
All of the GENERAL PROVISIONS which apply to this contract are identified by reference or set forth in this Appendix A except as specified in Appendix B, attached hereto, or as otherwise set forth in ARTICLE
- GENERAL PROVISIONS ALTERATIONS. The provisions which are identified by reference apply with the same force and effect as if set forth in full.
Numerical references which precede the names of the provisions and ccmmence with the number 1 are to the Federal Procurement Regulations, Title 41, Code of Federal Regulations.
GENERAL PROVISIONS NO.1.0 Provision FPR No.
Reference Title Date 1.1
,1-7.102-1
" Definitions" Mar 12,1973 Add:
(d) The tenn "Comission" means the U. S. Nuclear Regulatory
'Comission or any duly authorized i
representative thereof, including the Contracting Officer, except for the purpose of deciding an appeal i
under the article entitled " Disputes."
" Assignment" 1.2 Except as stated in Provision No.
1.3, neither this contract nor any interest therein nor claim there-under shall be assigned or trans-J ferred by the contractor except as i
expressly authorized in. writing by the Contracting Officer.
i 1.3 1-30.703
" Assignment of Claims" May 12, 1976 1.4 1-7.102-17
" Officials Not to Benefit" Mar 12,1973 1.5 1-7.302-3
" Standards of Work" Apr 21,1975 1.6
~ 1-7.204 " Notice Regarding Late Delivery" Jan 14, 1974 1.7 1-1.503
" Covenant Against Contingent Fees" Apr 16, 1966 t
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1.3 1-1.322
" Payment of Interest on Contractors' Jul T.8,1972 Claims" (Applies except as otherwise provided in the Contracts Disputes Act of 1978 (41 U.S.C. 601 et seq.))
1.9 1-7.203-17
" Interest" Jan 14, 1974 1.10 1-7.102-12
" Disputes" (As in the Federal Register, Mar 1,1979 Vol. 44, No. 46 - Wednesday, liar. 7, 1979) 1.11 1-7.203-3
" Notice to the Government of Labor Jan 14, 1974 Disputes" 1.12 1-3.814-2
" Audit" May 12,1976 1.'3 1-7.103-3
" Exam.iation of Re:ords by Comptroller Sep 25, 1979 General" 1.14
" Order of Precedence" In the event of an inconsistency between provisions of this contract, the inconsistency shall be resolved by giving precedence in the-following order:
(a) the Schedule; (b) the Statement of Work; (c) the Genera Provisions; (d) other provisions of the contract, whether incorporated by reference or otherwise; and (e) the contractor's technical proposal, if incorporated in the contract by refer-ence or otherwise.
"Stop Work Order" 1.15 (a) The Contracting Officer may, at any time, by written order to the con-tractor, require the contractor to stop all, or any part, of the work called for by this contract for a period of ninety (90) days after the order is delivered to the con-tractor, and for any further period to which the parties may agree.
Any such order shall be specifically identified as a Stop Work Order issued pursuant to this clause.
Upon receipt of such an.rder, the contractor shall forthwith' comply l
with its terms and take all reason-able steps to minimize the incurrence i
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'a of costs allocable to the work covered by the order during the period of work stoppage. Within a period of ninety (90) days after a Stop Work Order is delivered to the contractor, or within any extension of that period to which the parties shall have agreed, the Contracting Officer shall either:
(i) cancel the Stop Work Order, or (ii) terminate the work covered by such order as provided in the
" Default" or the " Termination for Convenience" clause of this contract.
(b)
If a Stop Work Order issued under this clause is cancelled or the T
period of the order or any extension thereof expires, the contractor shall resume work. An equitable adjustment shall be made in the delivery schedule or contract price, or both, and the contract shall be modified in writing accordingly, if:
(i) the Stop Work Order results in an increase in the time required for, or in the con-tractor's cost properly allocable to, the performance of any part of this contract, and (ii) the contractor asserts a claim for such adjustment within thirty (30) days after the end of the period of work stoppage; provided that, if the Contracting Officer decides the facts justify such action, he may receive and act upon any such claim asserted at any time prior to final payment under this contract.
3
(c)
If a Stop Work Order is not can-celled and the work covered by such order is terminated for the convenience of the Governnent, the reasonable costs resulting from the Stop Work Order shall be allowed in arriving at the termination settlement.
(d)
If a Stop Wcrk Order is not can-celled at the work covered by such order is terminated for default, the reasonable costs resulting from the Stop Work Order shall be allowed by equitable adjustment or otherwise.
1.16 20-1.5402 Definitions (Contractor Organizational Apr 2, 1979 Conflicts of Interest) 1.16-1 20-1.5405-1 General Contract Clause (Contractor Apr 2, 1979 Organizational Conflicts of Interest) 1.17
" publication of Contract Work" Clause A The contractor is encouraged to publish and make ava'lable to the public infor-mation concern 'ng its work under this contract. The contractor shall submit a copy of the information proposed to be published to the Contracting Officer prior to publication or dissemination to the public.
If the information is subsequently changed, the Contracting Officer will be furnished a.opy of the revised information prior to publica-tion or dissemination. The contractor shall acknowledge the source of the information by including in the publica-tion an acknowledgment substantially as follows:
"The work upon which this publication is based was performed pursuant to Con-tract No. (insert number) with (insert name of office or division), U. S. Nuclear Regulatory Comission."
4 i
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Clause B The contractor shall not publish, permit to be published, or disseminate to the public any information, oral or written, concerning the work per-formed under this contract without the prior written consent of the Contracting Officer. Two copies of any information proposed to be published or disseminated shall be submitted to the Contracting Officer.
Failure to comply with this clause shall be grounds for termination of this contract.
1.18
" Private Use of Contract Information and Data" Except as otherwise specifically author-ized by Provision No.1.17, Clause A, of-this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the contractor in the per-formance of this contract, shall be used only in connection with the work under this contract.
" Drawings, Designs, and Specifications" 1.19 All drawings, sketches, designs, design data, specifications, notebooks, tech-nical and scientific data, and all photographs, negatives, reports, find-ings, recomendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Comission by the contractor and its subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the contractor to retain a copy of said 5
material for its own use, be delivered to the Government, or otherwise disposed of by the contractor either as the Con-tracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or tennination of this contract. The con-tractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.
" Proprietary Data and Confidential Infor-1.20 mation" In connection with the performance of the work under this contract, the con-tractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or privileged technical, business, or financial information, including Com-mission plans, policies, reports, financial plans, internal data pro-tected by the Privacy Act of 1974 (P.L.93-579), or other information which has not been released to the public or has been determined by the Comission to be otherwise exempt from disclosure to the public.
Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate, disseminate, or disclose such information in whole or in part to any other person or organiza-tion except as may be necessary to per-form the work under this contract.
Contractor agrees to return such infor-mation to the Commission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the pr6gress of the work or in any event as the Contracting Officer shall direct upon completion or termina-tion of this contract.
Failure to comply with this clause shall be grounds for termination of this contract.
1.21-1 1-1.327-5(b)
" Privacy Act Notification" Sep 26,1975 1.21-2 1-1.327-5(c)
" Privacy Act" Sep 26, 1975 6
PERFORMANCE PROVISIONS NO. 2.0 Provision FPR No.
Reference Title Date 2.1 "Pe rmi ts" Except as otherwise directed by the Contracting Officer, the contractor shall procure all necessary permits or licenses and abide by all appli-cable laws, regulations, and ordinances of the United States and of the State, territory, and political subdivision in which the work under this contract is performed.
" Safety, Health, and Fire Protection"
-2.2 The contractor shall take all reason-able precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to mini-mize danger from all hazards to life and property and shall comply with all health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commis-sion and the Department of Labor.
In the event that the contractor fails to comply with said regulations or require-ments, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for. resumption of work may be issued at the discretion of the Contracting Officer.
The contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
2.3 1-7.304-6
" Key Personnel" Apr 21, 1975
" Security" 2.4 (a) Contractor's duty to safeguard Restricted Data, Formerly 7
l
a Restricted Data, and other classi-ffed information. The contractor shall, in ace dance with the Connission's se;'arity regulations and requirements, be responsible for safeguarding Restricted Data, Formerly Restricted Data, and other classified information and protect-ing against sabotage, espionage, loss and theft, the classified documents and material in the con-tractor's possession 'in connection with the performance of work under this contract.
Except as otherwise expressly provided in this contract, the contractor shall, upon comple-tion or termination of this contract, transmit to the Connission any classi-fied matter in the possession of the contractor or any person under the contractor's control in connection with performance of this contract.
If retention by the contractor of any classified matter is required after the completion or termination of the contract and such retention is approved by the Contracting Officer, the contractor will com-plete a certificate of possession to be furnished to tt! Commission specifying the classified matter to be retained. The certification shall identify the items and types or categories of matter retained, the conditions governing the reten-tion of jhe matter and their period of retention, if known.
If the retention is approved by the Con-tracting Officer, the security provi-sions of the contract will continue to be applicable to the matter rc:ained.
(b) Regulations. The contractor agrees to conform to all security regula-tions and requirements of the Com-2 mission.
(c) Definition of Restricted Data. The term " Restricted Data," as used in this clause, means all data concern-ing (1) design, manufacture, or 8
2
.n.
utilizationofatomicweapons;(2) the production of special nuclear mat.erial; or (3) the use of ~ special
. nuclear material in the production r
of energy, but shall not include data declassified or removed from the Restricted Data category pur-suant to section 142 of the Atomic Energy Act of 1954.
(d) Definition of Formerly Restricted Data. The term "Formerly Restricted Data," as used in this clause, means all data removed from the Re tricted Data. category under section 142 d. of the Atomic Energy Act of 1954, as amended.
(e) Security Clearance Personnel. The contractor shall not pemit any individual to have access to Restricted Data, Formerly Restricted Data, or other classified informa-tion, except in accordance with the Atomic Energy Act of 1954, as amended, and the Comission's regulations or requirements applicable to the par-ticular type or category of classi-fied information to which access is required.
(f) Criminal Liability.
It is understood that disclosure of Restricted Data, Formerly Restricted Data, or. other classified information relating to the work or services ordered hereunder to any person not entitled to receive it, er failure to safeguard any Restricted Data, Fonnerly Restricted Data, or any other classified matter that may come to the contractor or any person under the contractor's control in connection with work under this contract, may subject the contractor, its agents, employees, or subcontractors to crim-inal liability under the laws of the United States.
(See the Atomic Energy Act of 1954, as amended, 42 U.S.C.
2011 et seq. ; 18 U.S.C. 793 and 794; and Executive Order 11652.)
A 9
l c
l
~
no (g) Subcontracts and Purchase Orders.
Except as otherwise authorized in writing by the Contr?c. ting Officer, the contractor shall insert provi-sions similar to the foregoing in all subcontracts r2 purchase orders under this contrr.ct.
(h)
In performing f.he contract work, the contractor shall assign classifica-tions to all documents, material, and equipment originated or generated by the contractor in accordance w'ch classification guidance by the Commis-sion. Every subcontract and purchase order issued hereunder involving the origination or generation of classi-fied documents, material, or equipment shall provide that the subcontractor or supplier shall assign classifica-tions to all such documents, material, and equipment in accordance with clas-sification guidance furnished by the Contr7,4to r.
2.5 1-7.402-8
" Subcontracts" Apr 21,1975 (Including Paragraph (J.))
2.6
" Consultant or Other Comparable Employ-ment Services of Contractor Employees" The contractor shall require all employees who are employed full-time (an individual who performs work under the cost-type contract on a full-time annual basis) or part-time (50 percent or more of regular annual compensation received under terms of a contract with the Comission) on the contract work to disclose to the contractor all consultant or other comparable employ-ment services which the employees proposed to undertake for others. The contractor shall transmit to the Contracting Officer
. all information obtained from such disclo-sures. The contractor will require any employee who will be employed full-time on the contract to agree, as a condition of his participation in such work, that he will not perform consultant or other comparable employment services for 10
.'h ' '
'//
another Comission~ cost-type contra tar under its contract with the Comission except with the prior approval of the
(>'
contracter.
f 2.7
" Litigation and Claims" (a)
Initiation of litigatien. The con-tractor may, with the prior written authorization of the Contracting Officer, and shall, upon the request of.the Comission, initiate litiga-tion against third parties, includ-ing proceedings before administrative agencies, in connection ~with this contra:t. The contractor shall proceed with such litigation in good faith and as directed from time to time by the Contracting Officer.
(b) Defense and settlement of claims.
The contractor shall give tne Contracting (Officer imediate notice 1) of.any action in writing ing any proceeding before an admin-istrative agency, filed against the contractor arising out of the perform-ance of this contract, and (2) of any claim against the contractor, the cost and expense of which is allow-able under 05a clause entitled
" Allowable Costs." Except as other-wise directed by the Contracting Officer, in writing, the contractor shall furnish imediately to the Contracting Officer copies of all pertinent papers received by the contractor with respect to such action or claim. To the extent not in conflict with any appli-cable policy of insurance, thi. con-tractor may with the Contracting Officer's approval settle any such action or claim, shall effect at the Contracting Officer's request an_ assignment and subrogation in favor of the Government of all the contractor's rights and claims (except those against the Govern-ment) arising out of any sucn action 11
_j
or claim against the contractor, and,-if required by the Contracting Officer, shall authorize representa-tives of the Governmerit to settle or defend any such action or claim and to represent the contractor in, or to take charge of, any action.
If the settlement or defense of an action or claim against the contractor is undertaken by the Government, t he con-tractor shall furnish all reasonable assistance in effecting a settlement or asserting a defense. Where an action against the contractor is not covered by a policy of insurance, the contractor shall, with the approval of the Contracting Officer, proceed with the defense of the action in good faith at the expense of the Government: Provided, however, the Government shall not be liable for such expense to the extent that it would have been compensated for by insurance which was required by law or by the written direction of the Contracting Officer, but which the contractor failed to secure through its own fault or negligence.
2.8 1-8.708
" Excusable Delays" Jul 9,1969 2.9
" Changes" (a) The Contracting Officer may at any time by a written order, and without notice to the sureties, if any, make changes, within the general scope of this contract, in the definition of serviceu and tasks to be performed, and the time (i.e., hours of the day, dys of the week, etc.) and place of perfonnance thereof.
(b)
If any such changes cause an increase or decrease in the es.timat.ed cost of, or the time requiAd for, the performance of any pad of the work under this contract,.4hether changed or not changed by any such order, or othemise affects any other provi-sion of this contract, an equitable adjustment shall be made:
12
~[
(i) in the estimated cost or delivery schedule, or both; (ii) in the amount of any fixed fee to be paid to the con-tractor; and (iii) in such other provi: ions of the contract as may be so affected, and the contract shall be modified in writing accordingly.
Any claim by the contractor for adjustment under this clause must be asserted within thirty (30) days from the date of receipt by the contractor of the notification of change:
provided, however, that the Contract-ing Officer, if ne decides that facts justify such action, may receive and act upon any such claim asserted at any time prior to final payment under this contract.
Failure to agree to any adjustment shall be a dispute concerning a question of fact within the meaning of the clause of this contract entitled " Disputes."
However, except as provided in para-graph (c) below, nothina in this clause shall excuse the contractor from proceeding with the contract as changed.
(c)
Notwithstanding(b) above, the esti-the provisions of para-graphs (a) and mated cost of this contract and, if this contract is incrementally funded, the funds allotted for the performance thereof, shall not be increased or deemed to L1 increased except by specific written modification of the contract indicating the new contract estimated cost and, if this contract is incrementally funded, the new amount allotted to the contract.
Until such modification is made, the contractor shall not be obligated to continue performance or incur costs beyond the point established in the clause of this contract entitled " Limitation of Cost" or " Limitation of Funds."
(ASPRi7-1909.2) a
.y-p w,
J l
2.10 1-7.402-5
" Inspection and Correction of Defects" Apr 21,1975 See Appendix "B" hereof as to whether Clause 2.10-1 or Clause 2.10-2 applies 2.10-1 1-7.402-5(a)
" Inspection and Correction of Defects" Ap r.21, 1975 2.10-2 1-7.402-5(c)
" Inspection" Apr 21, 1975 2.11 1-1.319
" Required Source for Jewel Bearing" Apr 30,1975 2.12 1-7.203-21
" Government Property" Jan 14, 1974 O
i 4
5 4
14 m
O
r SOCIO-ECONOMIC PROVISIONS NO. 3.0 Provision FPR llo.
Reference
-Title Date 3.1
.FPR Temp.
" Employment of the Handicapoed" May 26, 1976 Reg.~'No. 38 3.2 FPR Temp.
" Disabled Veterans and Veterans Jul 30, 1976 Reg. No. 39 of the Vietnam Era" 3.3 1-12.204
" Convict Labor" Jun 28, 1974 3.4 1-12.303-2
" Equal Opportunity" Jul 27, 1963 3.5 1-1.323-2
" Preference for U. S. Flag Air Dec 31, 1975 Carriers," and " Certification of Unavailability of U. S. Flag Air Carriers" 3.6 1-19.108-2 "Use of U. S. Flag Commercial Nov 30, 1976 Vessels" 3.7 1-6.104-5
" Buy American Act Supply and Mar 12,1973 Service Contracts" 3.8 1-12.302 Applicability-(Contract Work Hours Mar 26,1969 and Safety Standards Act) 3.8-1 1-12.303
" Contract Work Hours and Safety Mar 12,1973 Standards Act - Overtime Compensation" (Applies except as excluded by 3.8 above) 3.9 FPR Temp.
" Utilization of Small Business Jun 20, 1979 Reg. No. 50 Concerns and Small Business Concerns Owned and Controlled by Socially and Economically Disadvantaged Individuals" 3.10 1-1.305-3(a)
" Utilization of Labor Surplus Area Jun 16, 1978 Concerns" 3.11 1-1.805-3(b)
" Labor Surplus Area Subcontracting Jun 16, 1973 Program"
( Applicdble to contracts which may exceed $500,000) 3.12 1-1.2302-2
" Clean Air and Water
Aug 20, 1975 b
b 15 1
""'"p gyy.-
PATENT AND CORYRIGHT PROVISIONS NO. 4.0 Provision FPR No.
Reference Title Date l
4.1 1-9.107-5
" Patents Rights - Acquisition by Jul 3,1975 the Government."
Add to this clause the following sections (j) and (k):
"(j) No claim for pecuniary award or compensation under the provisions of the Atomic Energy Act of 1954, as amended, shall be asserted by the contractor or its employees, with respect to any invention or discovery made or conceived in the course of or under this con-tract."
"(k) With respect to any U. S.
Patent Application filed by the contractor on any con-tract invention or discovery made or conceived in the course of the contract, the contractor will incorporate in the first paragraph of the U. S. Patent Application the following statement:
'The invention described herein was made in the course of, or under, a contract (if desired, may substitute contract with identifying number) with the Commission.'"
4.2
" Patent Indemnification of Government by Contractor" The contractor agrees to indemnify the Government, its officars, agents, servants, and employnes against liability of any kind (including costs and expenses incurred) for the use of any invention or discovery and for the infringemen. of any Letters Patent (not including liability, arising pursuant to'sec.183, Title 35 (1952) U.S,C., prior to the issuance of 16
p Letters Patent) occurring in the perform-ance of this contract or arising by reason of the use or disposal by o* for the account'of the Government of items manu-factured or supplied under this contract.
" Rights in Copyrightable Material Under 4.3 Contracts" (a) The contractor (i) agrees that the Commission shall determine the dispo-1 sition of the title to and the rights under any copyright secured by the contractor or fils employees on copy-rightable material first produced or composed under this contract and (ii) hereby grants to the Government a royalty-free, nonexclusive, irrevo-cable license to reproduce, translate, publish, use and dispose of, and to authorize others so to do, all copy -
righted or copyrightable work not first produced or composed by the contractor in the performance of this contract but which is incorporated in the material furnished under the con-tract, provided that such license shall be only to the extent the contractor now has, or prior to the completion or final settlement of the contract may acquire the right to grant such license without becoming liable to pay compensation to others solely because of such grant.
(b) The contractor agrees that it will not include any copyrighted material in any written or copyrightable material furnished or delivered under this contract, without a license as provided for in para-graph (a) (ii) hereof, or without the consent of the copyright owner, unless specific written approval of the Contracting Officer to the inclusion of such copyrighted material is secured.
I 17
(
3 L
(c) Tha'2ontractor agrees to report in
[
writing to the Commission, promptly l
ar.d in reasonable detail, any notice or claim of copyright-infringe-ment ~ received by.the contractor with respect to any material delivered under this cu. tract.
4.4
" Copyright Indemnification of Government" Except as otherwise provided, the con-tractor agrees to. indemnify the Govern-ment, its officers, agents, servants, and employees against liability, includ-i ing costs.and expenses, for the infringe-ment of any. copyright in any work e
protected under the copyright laws of the United States arising out of the performance of this contract, including the reproduction, translation, publica-tion or use of any such copyrighted material.
4.5 1-7.103-4 "flotice and Assistance Regarding Patent Mar 12,1973 and Copyright Infringement" I
P 1
. I '.
18 G
o FINANCIAL AllD TERMINATION PROVISIONS NO. 5.0 Provision FPR No.
Reference Title Date 5.1-1 1-7.202-3(a)
" Limitation of Cost" Jul 14,1974
( Applies to fully funded cost-reimbursement type research and development contracts which do not provide for cost sharing, and to contracts not providing for the payment of a fee.
Delete the words
" exclusive of fee" for contracts not providing for a fee.)
5.1-2 1-7.402-2(b)
" Limitation of Cost (Cost-Sharing)"
Apr 21,1975 (Applies to fully funded cost reim-bursement type research and develop-ment contracts which provide for cost sharing. )
5.1-3 1-7.202-3(b)
" Limitation of Funds" Jul 14,1974 (Applies to cost-reimbursement type research and development contracts which are to be incrementally funded and which do not provide for cost sharing.)
5.1-4 1-7.402-2(d)
" Limitation of Funds (Cost-Sharing)"
Apr 21,1975 (Applies to cost-reimbursement type research and development contrccts which are to be incrementally funded and which provide for cost-sharing.)
5.2-1 1-7.402-3(a)
" Allowable Cost, Fixed Fee and Payment" Apr 21, 1975 (Applies to cost-reimbursement type contracts which provide for payment of a fixed fee.)
5.2-2 1-7.402-3(b)
" Allowable Cost and Payment" Apr 21,1975 (Applies to contracts, includina cost-sharing contracts, without fee.)
5.3 1-3.704-1
" Negotiated Overhead Rates" Dec 15,1966 (Applies to contracts with concerns other than educational institutions where negotiated overhead rates are to be used pursuant to this subpart.)
Add the.following to paragraph (c) of the clause:
19 I' N
i "Subpart 1-15.2 of the Federal Procurement Regula-tions (41 CFR 1-15.2) as in effect on the date of this contract.
Subparts 1-15.3 and 1-15.7 of said Regula-tions apply in contracts with educational institutions or with State and local govern-ments, respectively."
" State and Local Taxes" 5.4 (a) The contractor agrees to notify the Commission of any State or local tax, fee, or charge levicd or purported to be levied on or collected from the contractor with respect to the contract work, any transaction thereunder, or property in the custody or control of the contractor and constituting an allowable item of cost if due and payable, but which the contractor has reason to believe, or the Connission had advised the con-tractor, is or may be inaoplicable l
or invalid; and the cor+ractor further agrees to refrain from paying any such tax, fee, or charge unless authorized in writing by the Commission. Any State or local tax, fee, or charge paid with the approval, of the Commis-sion or on the basis of advice from the Commission that such tax, fee, or charge is applicable and valid, and which would otherwise be an allowable item of cest, shall not be disallowed as an item of cost by reason of any subsequent ruling or determination that such tax, fee, or charge was in fact inapplicable or invalid.
(b) The contractor agrees to take such action as may be required or i
approved by the Commission to cause l
any State or local tax, fee, or charge which would be an allowable L
20 w
cost to be paid under protest; and to take such action as may be required or approved by the Commis-sion to seek recovery of any pay-ments made, including assignment to the Government or its designee of all rights to an abatement or refund thereof, and granting permission for the Government to join with the con-tractor in any proceedings for the recovery thereof or to sue for recovery in the name of the con-tractor.
If the Commission directs the contractor to institute litiga-tion to enjoin the collection of or to recover payment of any such tax, fee, or charge referred to above, or if a claim or suit is filed against the contractor for a tax, fee, or charge it has refrained from paying in accordance with this article, the procedures and requirements of the article entitled " Litigation and Claims" shall apply and the costs and expenses incurred by the con-tractor shall be allowable items of cost, as provided in this contract, together with the amount of any judg-ment rendered against the contractor.
(c) The Government shall save the con-tractor harmless from penalties and interest incurred through compliance with this article.
All recoveries or credits in respect of the foregoing taxes, fees, and charges (including interest) shall inure to be for the sole benefit of the Government.
5.5 1-8.702
" Termination for Default or for Convenience Apr 26,197 of the Government" 21
APPENDIX B - APPLICATION OF GENERAL PROVISIONS IN APPENDIX A TO THIS COST-TYPE RESEARCH AND DEVELOPMENT CONTRACT WITH COMMERCIAL ORGANIZATIONS N0. 1.0 - GENERAL PROVISIONS:
Unless specifically deleted as stated at the end of this Appendix B, all of the General Provisions in the number i series apply to this contract.
No. 1.17: Publication of Contract Work. Clause A / / B / X/
applies to this contract.
N0. 2.0 - PERFORMANCE PROVISIONS:
Unless specifically deleted as stated at the end of this Appendix B, all of the General Provisions in the number 2 series apply to this contract.
No. 2.10:
Inspection. 2.10-1 / / 2.10-2 / X / applies to ;hi:
contract.
NO. 3.0 - SOCIO-ECONOMIC PROVISIONS:
No. 3.1: Employment of the Handicapped. Applies to this contract or purchase order if the amount is $2,500.00 or more.
No. 3.2:
Disabled Veterans and Veterans of the Vietnam Era.
Aoplies to this contract or purchase order if the amount is $10,000.00 or more.
No. 3.3:
Convict Labor. Applies to this contract.
No. 3.4:
Equal Opportunity. Applies to this contract unless it is exempt under the rules, regulations, and relevant orders of the Secretary of Labor (41 CFR, Ch. 60).
No. 3.5: Preference for U. S. Flag Air Carriers.
Applies to this contract.
No. 3.6: Use of Privately Owned U. S. Flag Commercial Vessels.
Applies to this contract if equipment, material, or commodities may be transported by ocean vessel as further stated in Provision No. 3.6.
No. 3.7:
Buy American Act. Applies if this contract is for supplies or is a contract for services involving furnishing supplies, except as otherwise stated in Provision No. 3.7.
No. 3.8: Contract Work Hours and Safety Standards Act. Applies if this contract requires or involves the employment of laborers or mechanics by a prime contractor or subcontractor.
(See Provision No. 3.3 for a description of contracts to which the provision does not apply.)
No. 3.9: Utilization of Small Business and Small Disadvantaged Business Concerns. Applies to all contracts over $10,000.00 except:
(1) contracts for services which are personal in nature and (2) contracts which will be performed entirely (including all subcontracts) outside any State, territory, or possession of the United States, the District of Columbia, or the Common-wealth of Puerto Rico.
22
r
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No. 3.10: Utilization of Labor Surplus Arna Concerns. Applies if the amount of this contract may exceed $10,000.00, except as stated in Provision No. 3.10.
No. 3.11: Labor Surplus Area Subcontracting Program. Applies if the amount of this contract may exceed $500:0n0.00.
No. 3.12: Clean Air and Water. Applies if the amount of this contract exceeds $100,000.00 and as stated in Provision No. 3.12. The Contracting Officer has determined that orders under an indefinite cuantity contract in any one year will / /
will not / x / exceed $100,000.00.
NO. 4.0 - PATENT AND COPYRIGHT PROVISIONS:
Unless specifically deleted as stated at the end of this aroendix B, all of the General Provisions in the number 4 series apply to this contract.
NO. 5.0 - FINANCIAL AND TERMINATION PROVISIONS:
Unless specifically deleted as stated at the end of this Appendix B, all of the General Provisions in the number 5 series apply to this contract.
NOTWITHSTANDING THE FOREGOING, THE FOLLOWING NUMBERED PROVISIONS ARE HEREBY DELETED AND 00 NOT APPLY TO THIS CONTRACT.
o 23
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APPENDIX B PART 20-l'-- GENERAL Subpart 20-1.54--Contractor Organizational-Conflicts of Interest r
Sec.
20-1.5401 Scope.and policy.-
20-1.5402 Definitions.-
20-1.5403 Criteria.for recognizing contractor organizational ronflicts of interest.
i-20-1.5404 Representation.
! 1.5405 Contract clauses.
20-1.5405 General contract clause.
i 20-1.5405 2 Special contract provisions.
20-1.5406 Evaluation, findings, and contract award..
20-1.5407-Conflicts identified after award.
'20-1.5408
-(Reserved) 20-1.5409 (Reserved).
_20-1.5410 Subcontractors.
t 20-1.5411 Waiver.
20-1.5412 Remedies..
1 i
AUTHORITY:. Sec. 8. Pub. L. '95-601, adding Sec.170A to Pub..L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14)
^
520-1.5401 Scope and Policy
. (a) It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to avoid, eliminate or_ neutralize contractor organizational conflicts of interest.
The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with
. organizations-or persons (including those regulated by NRC) which may give rise to actual. or potential conflicts of interest in the event of
. contract award.
1
-(b)
Contractor conflict of interest determinations cannot be made automatically or routinely; the. application of sound judgment on virtually a case-by-case basis is necessary if the policy.is to be applied so as to satisfy the overall public interest. - It is not possible to prescribe in advance a specific method-or set of criteria'which would serve to
~
identify and resolve all of theicontractor conflict of interest situations which might arise; however, examples are provided in these regulations
-to guide application of the_ policy.
NRC contracting and program officials
- must be alert to other situations which may warrant application of this 1
policy guidance.
The ultimate test -is:
Might the contractor, if awarded
~
. the contract,'be placed in a position where its judgnent may be biased,,
or.where it.may. have an unfair competitive advantage?
(c)
The conflict of interest rule contained in this subpart applies
'to contractors and offerors only.
Individuals or firms who have other relat'ionships'with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation.
This rule does not apply to'the acquisition of' consulting services:through the personnel-appointment process, NRC -
-l--
3... =
7590-01 (j)
" Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situatiors which merit investigation prior to contract award in order to ascertain wnether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance.
5 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questiens will be asked in detennining whather actual or potential organizational conflicts of interest exist:
(1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?
The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of,omon sense and good business judgment based upon the relevant facts disclosed and the work to be perfonned. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.
(b) Situations or relationships which may give rise to organizational conflicts of interest.
(1) The offeror or contractor shall disclose infonnation concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:
(i) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same arec to any organization regulated by the NRC.
(ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing.
(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. _
t 7590-01 (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances:
(1) Where the offeror or contractor prepares specifications which are to be used in competitive procurements of products or services covered oy such specifications.
(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.
(iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement actior..
(iv) Where the offeror or contractor is granted access to proprietary linformation of its competitors.
(v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.
(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1) Example.
The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently performing similar analfses for the reactor manufacturer.
Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp, projects have-any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the' work outlined in the RFP.
t 4
)
7590-01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in thc contract to' preclude the ABC Corp. from_ subsequently contracting. for
. work during the performance of the NRC contract with the private sector which could create a conflict. 'For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
(3) Example. As a _ result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various operational assects of that type of plant so as to assure adequate safety protection of the public.
Only one manufacturer has extensive experience with that type of plant.
Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in
- which its judgment could be biased in relationship to its work for NRC.
Since the nature of the work required is vitally important in tems of NRC's responsibilities and no reasonable alternative exists, a waiver of -
the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms
-to guard against biar.
(4)
Example. The iBC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co.
has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated.
Other companies in this business are using older systems for evaluation of the specific reactor component.
Guidance. A contract could be awarded ta the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is' reported to NRC by contractors will normally be disseminated by NRC to others so_as to preclude an unfair-competitive advantage that might otherwise accrue. When NRC furnishes information' to the contractor for the perfomance of contract
- work, it shall not be used in the contractor's private activities unless
~such information is generally available to others.
Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract-is proposed to be used. -
h. 3 7590-01 4
b (5). Example..The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian l
fold belt.. In accordance with the representation in the RFP and 120-1'.5403(b)(1)(1), A8C Corp. informs the NRC that it is presently doing seismological studies for several utilities'in-the Eastern United States-but none of the sites are within the geographic area contemplated 7x by the NRC study.
-Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in.a conflicting role where its judgment might be biased. The work for others clause of 5 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.
(d) Other considerations.
(1) The fact that the NRC can identify
(
.and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a determination of the' existence of such conflicts prior to the award of a contract.
(2)
It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
520-l'.5404' Representatica (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a
. particular offaror or contractor.
(b) Representation procedure. The following organi:ational
- onflicts of interest representation provision 'shall be included in all solicitations and unsolicited proposals for:
(1) Evaluation services or activities; (2) technical consulting and management support services; (3) research;;and (4) other contractual. situations where special organizational conflicts of interest provisions are noted in the solicitation and would -
be included in toe resulting. contract. This representation requirement shall-also apply to all modifications for addi.tional effort under the
- contract except those issued under the " @ h ges" clause.
Where, however,
.a statement of the type. required by & vganizational conflicts of interest representation provision hr; rwiously been submitted with regard to the. contract being mo:M M
- shall be required.
ily an updating of such statement -
]
7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1).
(c)
Instructions to offerors.
The following shall be included in all NRC solicitations:
(1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant-facts bearing on his representation to the contracting officer.
If the contracting officer determines that organizational conflicts exist, the following actions may be taken:
(i) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) detennine-that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 5 20-1.5411.
(2) The refusal to provide the representation required by 5 20-1.54/A(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified Som subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.
(d) The offeror may, because of actual or potential organizatioral conflicts of. interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror-
)
will be considerca by the NRC in the evaluation c' proposals.
If the-l NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.
(e) The offeror's failure ~to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to-be a minor informality, and the offeror will be permitted to correct the omission.
1 20-1.5405 Contract ciauses 5 20-1.5405-1 General contract clause 1
~
7590-01 All_ contracts of the types set forth in 520-1.5404(b) shall include the following clauses:-
(a) Purpose. The primary purpose of this clause is to aid in
~
ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by
_ virtue of its performance of this contract.
(b) Scope.
The restrictions described herein shall apply to l
performance or participation by the contractor as defined in 41 CFR s 20-1.5402(f) in the actitities covered by this clause.
-(c) Work for others. Notwithstanding any other provision of this i
contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with i
any firm or organization, the result of which may give rise to a conflict
~
of interest with respect to the work being performed under this contract.
The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if j
any, under this contract abide by the provision of this clause.
If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor
^
shall obtain the written approval of the contracting officer prior to execution of such gontractual arrangement.
-(d) Disclosure after award.. (1)-The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).
(2) The contractor agrees that if after. award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.
This statement shalii include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, tenninate the contract for convenience if it deems such termination to be in the best interests of the government.
(e) Access to and use of information.
(1) If the contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports,' studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the contractor agrees not to: (1) Use 1
such information for any private purpose until the information has been released to the public; (ii) compete for work for the Commission based - - - - - - - -
l
y 7590-01
-on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the gove-nment based on such information until one year after the release of su:
information to the public, or (iv) release the information without priur written approval by the contracting officer unless such information has previously been released to the public by the NRC.
(2)
In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial 'information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.
(3) The contractor shall have, subject to patent and security provisions of.this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
(f) Subcontracts. Except as provided in 41 CFR 5 20-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms " contract," " contractor," and
" contracting officer," shall be appropriately modified to preserve the government's rights.
1 (g) Remedies.
For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of-any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily i~ :ly bad faith, die government may terminate the contract for defat ' t, disqualify 1he contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
-(h) Waiver. A request for waiver under this clause shall be l
directed in writing through -the contracting officer to the Executive l
Director for Operations (EDO) in accordance with the procedures outlined in 520-1.5411.
520-1.5405-2 Special contract provisions.
(a)
If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver.in accordance with 120-1.5411, neutralized through the use of an appropriate special contract provision.
If appropriate, the offeror may negotiate the' terms and canditions of these clauses, including the extent and time period of any such restriction. These provisions incluce but are not limited to:
e 7590-01
- (1) L ardware exclusion clauses which prohibit the acceptance of H
. production contracts following a related nonproduction contract previously performed by the contractor; L
(2) Software exclusion clauses;
.(3) Clauses which require the contractor (and certain of his key personnel)~ to avoid certain organizational-conflicts of interest; and (4) Clauses which provide for protection of confidential data and
' guard against its unauthorized use.
- (b) The following additional contract clause ~may be included as.
section (i) in the clause set forth in s 20-1.5405-1 when it is determined that award of. a follow-on contract would constitute an organizational conflict of interest.
__(i) Follow-on effort..(1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or ' unsolicited) which stem directly from the contractor's performance of work.under this contract.
Furthermore,. unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract.on any of its products or services or the products or: services-of another firm if the contractor has been substantially involved in.the development or marketing of such products or services.
(2)
If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor
-shall' be ineligible to perform or participate in the initial contractual effort which is based on such-statement of work or specifications.
The contractor shall not incorporate.its-products or services in such statement of work or-specifications unless so ' directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply.
(3) Nothing in this paragraph shall preclude the contractor frw offering or selling its' standard commercial items to the government.
5 20-1.5406 Evaluation, findings, and contract award The contracting' officer will evaluate all relevant facts submitted by an offeror pursuant to the representation.recuirements of 120-1.5a04(b) and other relevant information.
After evaluating this information against the criteria ~of ! 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to.a particular offeror.
If it has been determined that conflicts of interest exist, tnen tne contracting officer shall eitner:
(a) Disqualify the offeror from award,
, w
..~
7590-01 (b)' Avoid or eliminate such conflicts by appropriate measures; or -
(c) Award the contract under the waiver provision of f20-1.5411.
520-1.5407 Conflicts. identified after award.
If _ potential organizational conflicts of interest are identified after award.with respect to a particular contractor, the' contracting officer determines that such conflicts do, in fact, exist and that it would'not be in the best interests of the government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, elimidate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.
520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with ! 20-1.5404(b) from subcontractors and consultants.
The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 l
in consultant agreements or subcontracts. involving performance of work under. a prime contract covered by this subsection.
I20-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and. concurrence of the program office director and the Office of Executive Legal Director.
Upon the recommendation of the contracting officer, and after consultation with the Office of the General, Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United' States to do l,
so.
Such action'shall be strictly limited to those situations in which:
(1) The work to be performed under contract is vital to the NRC program; y
(2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict.
For any such waivers, the
' justification and approval cocuments shall be placed in the Public Document Room. m
- j. -
7590-01 120-1. 5412
, Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this'subpart or for any intentional misrepresentati_on or intentional nondisclosure of any relevant: interest required to be provided.for this section, the NRC may: debar the contractor from subsequent NRC contracts.
Dated.at Washinoton. ' O.C this 27th-day of March 1979.
For the Nuclear Regulatory ^cmmission T
/
CEtauWCm &
Samuel U. Chilk Secretary ofl the Commission e
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M L:;01X D BILLING INSTRUCTICNS FOR NRC COST-TYPE CCNTRACTS-l General.
The contractor shall submit vouchers for cost-reimbursement in the-manner and format described herein and as illustrated in the sample vcucher.
Fo rm.
Claims shall be submitted en the payee's letterhead, invoice or on the Government Standard Form 1034, "Public Voucher for Purchases and Services Other Than Perscnal," and " Standard Form 1035, Public Voucher for Purchases Other Than Personal - Continuatien Sheet." These forms are available frem the Government Printing Office, 710 North Capi +,ol Street, Washingten, DC 20801.
Number of Cooies.
An original and six copies should be mailed to the NRC offices icentified belcw.
Frecuen cy.
The contractor shall submit claims for reimbursement ence eacn month unless otherwise authorized by the Contracting Officer.
Silling of Costs After Excication of Contract.
If cost-reimbursements are incurreo during the contract per1od and claimed after the contract has expired, the period during which these costs were incurred must be ci ted.
Currency.
Billings may be expressed in the currency normally used by tne contractor in maintaining his accounting records; payments will be made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract.
Sucersessicn.
These instructicns supersede all previcus billing instructions.
Precaratien and Itemi:stion of the Vcucher.
The centractor shall furnish tne informat1-cn set fortn in tne explanatory notes belcw.
These notes are keyed to the entries on the sample vcucher.
(a)
Payor's Name and Address.
(i) Address the original voucher (with 4 coples) to:
U.S. Nuclear Regulatory. Ccanission, Division of Acccunting, Office of the. Controller, ATTN: GOV /CCM Accounts Section, Washingten, DC 20555.-
(11) Address 2 copies to:
U.S. Nuclear Regulatory Ccmmissicn, ATTM:
E.L. Halman, Director, Divisen of Contracts, Washingten, DC 20555.
(iii) The original cooy of the voucher c
should indicate that (2) cocies nave ceen forwarced to tne Centractino Officer.
4 (b)
Vcucher Number.
Insert the appropriate serial number of the vcucher.
i
.t.,,
N 2
- )
Date of Voucher.
Insert the date the voucher is prepared.
c (d) Contract Number and Date.
Insert the centract number arid the date of tne contract.
(e)
Payee's Name and Address.
Shcw the name of the centractor as it appears in ene contract and its correct address; except when an approved assignment has been made by the centractor, or a different payee has been dasignated, then insert the name and address of the payee.
(f)
Centract Amount.
Insert the total estimated cost of the centract, exclusive of fixed-fee.
For incrementally funded centracts enter the amount currently cbligated and available for payment.
(g)
Fixed Fee.
Insert total fixed-fee (where applicable).
(h)
Billing Pericd.
Insert the beginning and ending dates (day, month, anc year) of tne pericd in which costs were incurred and for which reimbursement is claimed.
(f)
Direct Costs.
Insert the major cost element.5 (i)(1) Direct Labor.
Tnis censists of salaries and wages paid (or accrued) for direct performance of the contract.
(i)(2) Fringe Sene#its.
Tnis represents fringe benefits acplicable to direct lacor and billed as a direct cost.
Fringe benefits included in direct costs shculd not be identified here.
(f)(3) Caoitalized Nonexcendable Ecuicment.
For educational institutions list eacn item cost 1ng 51,000. or more; for contractors other than educaticnal institutiens list each item costing $200. or more and having a life expectancy of more than ene year.
List cnly these items of equipment for which reimbursement is requested.
A reference shall be made to the fellcwing (as applicable): -(l) the item number for the specific piece of equipment listed in the Prcperty Schedule; (2) the Contracting Officer's Approval Letter, if the equipment covered by the Preperty Schedule; or (3) be preceded by an asterisk (*) if the equipment is Micw the approval level.
Further itemization of vouchers shall only be required for items having specific limitatiens set forth in the centract.
(f)(4) Materials. Sucolies, and Nonesoitalized Ecuicment.
This is consumable matarials and supplies and equipment otner tnan that described in (f)(3) above.
(i)(5) Premium Pay.
This is remuneration in excess of the basic hourly rate.
(i)(6) Consultants' Fee.
These are fees paid to censultants.
(t)(7) Travel.
Ocmestic travel is travel within the United States, its tarritarles, possessiens, and Canada; it should be billed
<> 7
. separately from foreign travel.
(i)(8) Other.
List all other direct costs in total unless significant in amount.
If significant, list cost elements and dollar amcunt separately, e.g., subcontracts.
(j)
Indirect Costs--Overhead.
Cite the formula (rate and base) in effect during tne time the cost was incurred and for which reimburse-mer.t is claimed.
(k)
Fixed-Fee.
If the centract provides for a fixed-fee, it must be claimed as provided for by the centract.
Cite the formula or method of ccmputation.
(1) Amount Billed for Current Period.
Insert the amount billed for the major cost elements, adjustment, and adjusted amounts. for the period.
(m)
Cumulative 1.T.cwit frem Inceotion to Date of this Billine.
Insert tne cumulative amounts sillec for tne major ccst elements and adjusted amounts claimed during this centract.
(n)
Total Amcunts Claimed.
Insert the total amounts claimed for the current and cumulative periods.
(o) Adjus tmen ts.
This includes amounts conceded by the centractor, outstanalng suspensicns, and disapprovals subject to appeal.
(p)
Grand Totals.
t e
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Tj D**D D
ew c
..t 3,
SX'P2 7CC (a) ?ayc 's Name r.d 16iress (b) 7cucce: No.
The U. S. Nuclear Regulatory Censni ssion Division of Acc unting, CCN (c) Da:* 7ecccer ?: spared Attantion: Gov /Ccm Accts Se: tion C" :Sc. 3c 2:d 22:*
Washington, DC 20555 (4)
(e) ?ayee's Na=e and liirass (f) Total Ist h :ad Cos: of Cent: sos 13C CCEPC21?ICN 100 Main Street
%m care, U.S.A.
"c="
l The Natic=al 2 ark; A=;reim s, 7.S.1.
(g) Total ?imed-?ee Assi nee fc 12C Cc:;cratics 6
it;r<here, 7.5.1.
('Tcen Pav=ents ars Assi m ed)
I(h) T.is 7cuccer :s; esen.a :e:.=:ursea' le ecs:s f:cs July 1 1 c77 -J.cC6: JC
'1 c
Ic7Q f
f (1)1 cu== J4 i ' ed (s)C-h:17e
!c: Cu::sc:
Amcuat ?::n Fe:1cd I:ceptics to Data of this (i) Direct Costs 31111:.s 1
01:ect Lahcr
$ 3,4CO 3 6,cCO
?:1=ge 3e etita 600 1,2CD Capitall:ad Ncnaz;erdable Iqui;= ant (1)(h)
Mats-' mS, Sc; plies and Ncncapitalised Eqci;= ant
'2,C00 h,000 i
P:smi.=a ?ay 100 150 i
censultan:'s ?se 100 100 1
0:27=1 - Je=estic 200 200 7cais 200 200 I
' (1)(3) Cths:.0-Total Direct Ccsta
$11,6C0
$20,650 I
.(J) rc.u s:T CCS:s
% of Direct labor c: Cther sa.. (re - >)
4,cco s,cco l
(k) NFIZ EA2' TID (?c:mula)
'TCO 1,L00
() To*al 1=cu=ta Clai=ed
$16,74
$28,C50 (o) 1 & sects On sta-d' g Suspensic=a (1,7Co l
(?) 3:s=d Totals
$16.:co
$26. :9
V u
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BILLING INSTRUCTICNS FCR FIXEE PRICE CCNTRACTS AND PURCHASE CRCERS, General., The contractor shall submit vcuchers or invoices as prescribed herein.
Form.
Claims shall be sucmitted on the payee's letterhead, invoice or on tne Government's Standard Form 1034 "Puolic roucher for Purchases and Services Other Than Personal," and Standard Form 1035 "Public Voucher for Purchases Other Than Personal -- Continuation Sheet." These forms are available frem the Government Printing Office, 710 North Capitol Street, Washington, DC 20801.
Number of Cocies and Mailinc Address.
An original and six ccpies shall-be sumnitted to NRC offices identified belcw.
Frecuency.
Tha contractor shall submit an invoice or vcucher only after NRC's finci acceptance for services rendered or products delivered in performance of the centract unless otherwise specified in the contract.
Precaration and Itemization of the Voucher.
The voucher shall be prepared in ink or typewriter (witnout str1keovers) and corrections or erasures must ce initialed.
It must include the folicwing:
(a)
Payor's name and address.
(i)
Address the original vcucher (with 4 copies) to:
U.S. Nuclear Regulatory Commissicn, Division of Accounting, Office of the Centroller, ATTN: GOV /CCM Acccunts Sections, Washington, DC 20555.
(ii)
Address 2 copies to:
U.S. Nuclear Regulatory Ccmmissicn, ATTN: E. L.
Halman, Director, Division of Centracts, Washington, DC 4
20555.
(iii) The original cecy of the voucher should ~ fndicate that (2) cooies have teen forwarcec to tne Centracting Officer.
(b)
Youcher number.
(c)
Date of voucher.
(d) Contract number and date.
(e)
Payee's name and address.
(Shcw the name of the centractor and its correct address, except when an assignment has been made oy the contractor or a different payee has been designated,
_ then insert the name and address of the payee.)
(f)
Description of articles or services, quantity, unit price, and total amount.
~
2-(g)
Weight and zone of shipment, if shipped by parcel post.
(h)
Charges' for freight or express shipments, and attached prepaid bill, if shipped by freight or express.
/
(i)
Instructions to censignee to notify Centracting Officer of receipt of shipment.
(j) Final invoice marked:
" FINAL INVOICE" Currency.
Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be made in that currency. Mcwever, the U.S. dollar' equivalent for all invoices paid.under the centract may not exceed the total U.S. dollars authorized in the contract.
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