ML20012B703
| ML20012B703 | |
| Person / Time | |
|---|---|
| Issue date: | 03/05/1990 |
| From: | Wiggins E NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Whitacare C CALIFORNIA, UNIV. OF, SANTA BARBARA, CA |
| Shared Package | |
| ML20012B700 | List: |
| References | |
| CON-FIN-L-12120, CON-NRC-04-90-046, CON-NRC-4-90-46 NUDOCS 9003160135 | |
| Download: ML20012B703 (48) | |
Text
.
i s - ge Wo4'o~ j UNITED STATES -
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. NUCLEAR REGULATORY COMMISSION.
- E-WASHINGTON. D C. 20555 -
k *...* p yAR 5 fgg -
The Regents of the University of California-
' Attn:
Carla Whitacre, Contract and Grant Officer Office of Research Development-University-of California
-7 Santa Barbara, CA 93106
Dear Ms. Whitacre:
s-
Subject:
- Contract No. NRC-04-90-046 As requested in ' our letter of February 12, 1990, I have counter-initialed y
the. change under Section H.I.a. on page 20 of the subject contract and' returned the same for your records.
.Sharon Bell: is-the~ Contracting.0fficer for this contract.
Patricia Brennan-
.of the Contract Administration Branch will be the Contract Administrator.
Ms. Brennan-may:be reached on (301) 492-4733.
Sincerely,-
s
?;
Q
. Nw
n Elois J. Wiggins, 6<>n racting Officer Division of Contracts and and Property Management s
T 9003160135 900212 3
.PDR CONTR b-NRC-04-90-046 PNV g
_Page 20-NRC-04-90-046 Section H 1
SECTION H-~- SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (JUNE 1988) a.
The following individuals are considered to :e essential to the successful performance of the work hereunder.
G. Robert Odette G.E. Lucas S.L. Che; l
,j0W.Shedherd The Contractor agrees that such personnel snail not be
-emoved from the contract work or replaced without com:liance with
.i
- aragraons b and c hereof.
i b.
If one or more of the key personnel for whatever reason
' ecomes, or is expected to become, unavailable for work uncer this
- ntract for a continuous period exceeding 30 work days, Or is p,
excettec to devote substantially less effort to the wor ( than L
inoicateo in the proposal or initially anticipated, the Contractor j
sna11 immeoiately notify the Contracting Officer and snail, subject j
l
- the concurrence of the Contracting Officer, promotiy replace such
- ersonnel'with personnel of at least substantially ecuai ability and i
- ualifications.
I c.
All requests for approval of substitutions hereunder must I
u
- e in writing and provide a detailed explanation of the l-
- :frcumstances necessitating the proposed substitutions. They'must
.l
- ::ntain a complete resume for the proposed substitute, and other l
'nformation requested by the Contracting Officer to aperove or
- isaeprove the proposed substitution. -The Contracting Officer will i
i evaluate such requests and promptly notify the Contract:r of his/her
(
a::roval or disapproval thereof in writing, d.
If the Contracting Officer determines -that:
- 1) Suitable and timely replacement of key personnel who l
nave been reassigned, terminated or have otherwise bec me i
unavailable for the contract work is not reasonaoly fortncoming; or
- 2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract, the contract may be
' terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate.
If the Contracting Offf:er finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably and adjusted downward to compensate the Government for any resultant delay, loss or damage.
f:
AWAR0/00NTRAC7 Page 1 i
- 1. *HIS CONTRACT IS A RATED ORDER UNDER OPA5_ (15:CFR 350) RATING
'2.
00NTRACT NO.-
l3. EFFECTIVE DATE
- 4. REQUISITION / PURCHASE (P-ec. Inst. Ident.) No.l l
REQUEST / PROJECT NO.
NRC-04-90-046 l
02/05/90 l
RES-90-046 4
- 5. :55UED BY Cece:
- 5. ADMINISTERED BY oce
- P-902 (Ifotner.thanitem5)
..S. Nuclear Regulatory Commission l Contract Administration Branen Civ. of Contracts & Property Mgmt.
l Div. of Contracts & Property Mgmt.
- ntract Neg. Branen No. 2; P-1042 l Mail Stoo P-902 Wasningten ?C 20555
' Wasnington, DC 20555 l
l
- 7. NAME AND ADDRESS OF CONTRACTOR
- 3. DELIVERY-he Regents of :ne University of l
()
FOB ORIG!N
!alifornia l
. (X )
OTHER (See Section F)
Jniversity of Ca'ifornia l
3anta Bar: ara. :A 93106
- E. DISCOUNT FOR ORCMPT PAYMENT l
N/A
- uns Code:
l l
- a:ility C:ce:
1 1;.5)BMIT-INVOI:E3 (a c:cies unless etnev se specifiec) ; THE ACCRE55 1
l 3HOWN IN ITEMi 5 l
L (HIP T0/
000E l;2. PAYMENT WILL ::0E MARK F0n-BE MADE BY l
c l
l U.S. Nuclear Regulatory ::mmiss :-
l Division of A:c:unting anc Fina :e l
GOV /COM Acc:unting Secti:n Washington, DC 20555
- 13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETI~ICN
( ) 10 U.S.C. 2304(c)( )
(X) 41 U.S.C. 253(c) (1) la ACCOUNTING AND APPROPRIATION DATA S&R No. 0601921010 Fin. No. L12120 l
APPN. No.
OBLIGATE: $200.000.00 l
E ITEM 155.5UPPLIE3/
15C. QUANTITY 15D. UNIT 15E. UNIT 15F.AMOUtC NO.
SERVICES PRICE Provide research in accordance with Section C.
herein, as implemented by University of California's Technical Proposal dated August 22, 1989 and revised Technical Proposal dated January 22, 1990,which are incorporated by reference herein.
15G. TOTAL AMOUNT OF CONTRACT
$747,945.00 EXCEPTION TO STANDARD FORM SF26 (REV.4-85)
Prescribec oy GSA FAR(48 CFR) 53.214(a)
b AWARD / CONTRACT
.Page 2 e.
16.
TABLE OF CONTENTS X SEC.
DESCRIPTION PAGE(S)
PART I - THE-SCHEDULE A
SOLICITATION / CONTRACT FORM B
SUPPLIES OR SERVICES AND PRICES / COSTS C
DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D
PACKAGING AND MARKING E
INSPECTION AND ACCEPTANCE F
DELIVERIES OR PERFORMANCE G-JONTRACT ADMINISTRATION DATA
.H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I
CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J
LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K
REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS L
INSTRUCTIGNS, CONDITIONS, AND NOTICES TO OFFER 0RS M
EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE 17.
(X) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return.2 copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein.
The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certif.ications, and specifications as are attached or incorporated by reference herein.
(Attachments are listed herein.)
- 18. -( ) AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number
, including the additions or changes made by you which additions or changes.are set forth'in full above, is hereby accepted c
L
-as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a)the Government's solicitation and your offer, and (b) this award / contract. No further contractual-document is necessary.
L 19A. NAME AND TITLE OF SIGNER l 20A. NAME OF CONTRACTING OFFICER
( YE' I Y rb Thitacro l
Contract & Grant Officer Elois J. Wiggins e
198. NAME OF CONTRACTOR l 208. UNIT D STATES OF ERICA l
by bNkL btLb Q_ -
by JJ N' l
(Signature-of person authorized to sign)'
(Signature of 'Contrachul Officer) 19C. DATE SIGNED
' 20C. DATE SIGNED i
, p 3993 g
EXCEPTION TO STANDARD FORM 26 (REV.4-85) l l'
i TABLE OF CONTENTS PAGE c
AWARD / CONTRACT....,,.....................
1 L
TABLE OF CONTENTS......................
3 l
PART I - THE SCHEDULE........................
5 L
SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS..........
5 B.1 PROJECT TITLE'.......................
5 i
B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) 5 B.3 CONSIDERATION AND OBLIGATION--COST REIMBURSEMENT......
5 (JUNE 1988) ALTERNATE I (JUNE 1988) 4 SECTION C - DESCRIPTION / SPECIFICATION................
6 i
/ WORK STATEMENT C.1 STATEMENT OF WORK,....................
6 C.2 TRAVEL APPROVALS (MAR 1987)................
11 SECTION D - PACKAGING AND MARKING...........
12 i
D1 PACKAGING AND MARKING (MAR 1987).,
12 SECTION E - INSPECTION AND ACCEPTANCE................
13 E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE,
13 l
SECTION F - DELIVERIES OR PERFORMANCE................
14 l
. F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.
14 F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988)........
14
-l F.3 TECHNICAL PROGRESS REPORT (JUNE 1988)...........
14 i
I (OMB CLEARANCE NUMBER 3150-0112)
F.4 FINANCIAL STATUS REPORT (JUNE 1988)............
15 l
(OMB'CLEARANCENUMBER 3150-0112) l F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988)...........
15 F. 6 DURATION OF CONTRACT PERIOD (MAR'1987)...........
16 q
L J
SECTION G - CONTRACT ADMINISTRATION DATA..............
17 s
L G. I' INDIRECT COST RATES (JUNE 1988) ALTERNATE I (JUNE 1988)..
17 G.' 2 PROJECT OFFICER AUTHORITY (JUNE 1988)...........
17 SECTION H - SPECIAL CONTRACT REQUIREMENTS..............
20 H.1 KEY PERSONNEL (JUNE 1988).
20 H.2 SAFETY, HEALTH, AND FIRE. PROTECTION (MAR 1987)..
21 H.3 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988)..
21 l
H4 ORGANIZATIONAL CONFLICTS OF' INTEREST............
21 (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) l H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED..
23 l
(JUNE 1988)
H.6 DISSEMINATION OF CONTRACT INFORMATION...........
23 H.7 ALLOCATION OF RIGHTS....................
23 l
PART II - CONTRACT CLAUSES....................
25 SECTION I CONTRACT CLAUSES...................
25 I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.
25 l
I.2 ALLOWABLE COST AND PAYMENT.................
26 L
(FAR 52.216-7) ( APR 1984)
8 4
TABLE OF CONTENTS
- PAGE-I.3 PAYMENT FOR OVERTIME PREMIUMS................
30 (FAR 52.222-2) (APR 1984)-
'I.4 DRUG-FREE ~ WORKPLACE- ( FAR 52.223-6) 31-
. 1 (MAR 1989) 1.5-PROMPT PAYMENT (FAR 52.232-25) (APR 1989)........
32.
I.6= - ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (FAR 52.232-28).
37 (APR.1989)
I.7-CLAUSES INCORPORATED BY REFERENCE
'38-(FAR 52.252-2) (JUN 1988)
I.8-NEW RESTRICTIONS ON LOBBYING.....,,,..,,.....
39 PART III - LIST OF DOCUMENTS, EXHIBITS...............
46 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS...................
46
~
J.1 ATTACHMENTS (MAR 1987)...................
46 L
F f
4 4
b*[
$m Page 5-
.NRC-04-90-046 Section.B
[-
r.-
I PART-I-;-'THE SCHEDULE SECTION B'- SUPPLIES OR SERVICES AND PRICE / COSTS B.1 PROJECT TITLE The title of:this project is-as follows:
Radiation Embrittlement Damage Analysis'and Predictions Li (End of Clause) i B.2 BRIEF DESCRIPTION OF WORK (MAR 1987)
Research to develop, verify,'and calculate physical models and correlations needed to update the calculations procedures for predicting changes i
in' toughness-of irradiated pressure vessel steel
_given-in Regulatory Guide 1.99.
(End of Clause)
B.3 CONSIDERATION AND OBLIGATION--COST REIMBURSEMENT
.(JUNE 1988) ALTERNATE I (JUNE 1988) a.
The-total estimated cost to the' Government for full performance under this-contract is $747,945.00.
b.
The amount presently obligated by the Government with
. respect to this-contract is $200,000.00.
c.
It:is estimated that the' amount currently allotted will p
cover performance through.-12/28/90.
.(EndofClause)
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h3 Page 6 NRC-04-90-046 Section'C o-SECTION C - DESCRIPTION / SPECIFICATION
/ WORK STATEMENT C.I.
STATEMENT OF WORK TITLE:
RADIATION EMBRITTLEMENT DAMAGE ANALYSIS AND PREDICTIONS 1.0 Introduction The ability of the NRC to make decisions concerning the safety of nuclear pressure vessels requires an understanding of irradiation effects on pressure vessel steels.
The loss of
~ fracture toughness and ductility during reactor operations L
must be predictable to assure that, despite degradation sufficient fracture toughness and ductility remain to preclude unstable crack propagation and to assure the integrity of the vessels.
The NRC has expended considerable effort aimed at improving the understanding of neutron radiation embrittlement of pressure vessel steels and has applied these efforts: to improve surveillance of pressure vessel embrittlement; to confirm the steps taken to resolve the pressurized thermal shock issue; and to answer other regulatory questions on reactor' vessel safety.
Regulatory Guide 1.99 and its two revisions provide guidance for predicting irradiation embrittlement of pressure vessels, and has been the basis for acceptance of licensing submittals to comply with Appendix H of 10 CFR Part 50 of the Federal-Regulations which address' l
+
this-subject. Outstanding issues on radiation embrittlement still exis., some of which need to be addressed in further revisions of Regulatory Guide 1.99. Specifically, the current Regulatory Guide 1.99 treats only the effects of copper, nickel, product form (weld versus base) and fluence.
Research sponsored by the NRC and others has clearly shown L
that a number of other variables can also affect ee:brittlement.
These variables include the neutron flux, the L
. irradiation temperature, the alloy phosphorous content and the 1 -
~ lloy heat treatment. history.
This research has also shown a
that the effects of a particular variable cannot be treated in l
isolation.
For example,_.it has been observed that the effect of flux depends on copper content, irradiation temperature and l
fluence. Because of the complexity of the phenomenon, the largely empirical. trend. curve approach previously applied is L
'not fully adequate.
Improved embrittlement predictions will l
require development of reliable physical models which treat l
all of the important variables and variable combinations.
l Development of such models will require additional experiments I
to identify embrittlement mechanisms, variables and variable interactions and to verify and calibrate the physical models.
These models can be used to correlate more reliably 1
gy
Page 7 NRC-04-90-046 Section C Charpy-v-notch upper-shelf and shift data from surveillance programs which is needed to. update the regulatory guide.
This effort requires the detailed evaluation of existing reactor surveillance data, as well as material test reactor irradiation data using physical modeling as a supplement to experimental measurements.
2.0 Objective The. objective of this' program is to develop, verify and calculate physical models and correlations needed to update the calculations procedures ~for predicting changes in toughness of irradiated pressure vessel steel given in Regulatory Guide 1.99.
3.0 Scope of Work The contractor shall furnish all personnel, materials not supplied by the Government, facilities, and services necessary to perform the technical tasks listed below.
L L
This program is directed at an evaluation of irradiation / service-induced changes for a variety of materials and conditions.
The understanding of the basic mechanisms of irradiation embrittlement is progressing rapidly. This information can be used to develop physical models that L
provide a much more reliable basis to establish correlations of engineering data than do empirical trend curve approaches I
presently used by the NRC.
l The program will perform fundamental and analytical studies i'
aimed at developing new insight into pressure vessel l
embrittlement.
It would (1) establish relationships between
' basic tensile yield stress and ductility properties and
'Charpy-V-notch upper-shelf energies and shifts (as well as fracture toughness parameters to the extent possible); (2)
~
characterize relationships between fundamental properties and service induced microstructures, and (3) relate microstructural evolution and mechanical property changes to both metallurgical and environmental variables including evaluation of the combined (interactive) effects of key variables.
Microstructural characterization would be based on
- an appropriate combination of advanced techniques [i.e., small angle neutron scattering (SANS), high resolution analytical transmission electron microscopy (HRAEM) and atom probe / field ion microscope (APFIM)]. This research is to be carried out in coordination with other NRC contractors such as Materials Engineering Associates (MEA) and Oak Ridge' National Laboratory (ORNL) as well as with international groups such as the International Group on Radiation Damage Mechanisms (IG-RDM).
Mechanical property evaluation will be based on well qualified small specimen test techniques, such as microhardness and miniaturized tensile specimens.
The experimental evaluation of the effects of the embrittlement variables and their interactions will be sufficiently comprehensive so as to
Page 8 NRC-04-90-046 Section C a' ddress all or most of the outstanding issues indicated below.
The physically-based predictive models-will be applied to the engineering data base, largely Charpy-V upper-shelf changes and transition temperature shifts from the expanding 1
surveillance data base.
The surveillance data base as well as j
any other engineering data deemed necessary will be supplied by the NRC, as needed, if requested by the contractor.
The analysis of the engineering data base will include determination of statistical uncertainties and evaluation of the sensitivity of_ the correlations to critical model assumptions and parameters within physically plausible i
limits.
This modeling coupled with the experimental studies will be used to recommend modification and/or extension of parts of Regulatory Guide 1.99.
The program will supply necessary consultation to the NRC towards this end, and with regard to other embrittlement issues as deemed necessary.
The program will include the following task elements:
-l 1
Task 1.
Irradiation of Pressure Vessel Steels This task focuses on the investigation of the separate and combined effect of environmental and metallurgical variables on embrittlement.
Irradiation induced changes shall be monitored by pre-irradiation and post-irradiation measurements of yield stress and hardness of reactor pressure vessel steels as a function of key variables.
During the period of performance of Task 1, services to irradiate the steel will be q
provided by NRC through one of its contractors (MEA).
The contractor shall develop a balanced experimental matrix which shall specifically address the fcilowing unresolved questions:
a)
The effect of flux at low and intermediate-to-high fluences b)
The effect of irradiation temperature at intermediate fluences c):
The effect of tempering and stress relief heat treatment d)
The effect of copper, with special reference to i
concentrations levels below which there is no copper effect and above which the effect of incremental increases in copper content rapidly diminishes or saturates e)
Independent effects of nickel and synergistic effects of i
this element with copper,' phosphorous, manganese and other elements ~ identified to be significant.
This should include intermediate copper high nickel materials and low copper intermediate-to-high nickel steels with varying residual content i
f)
The combined effects of flux, temperature, copper and nickel content and fluence Task 2.
Microstructural Characterization This task will include performing a combination of TEM, SANS, FIM/AP techniques to investigate microstructures of selected specimens from the irradiation experiments.
SANS experiments
F t-Page 9 NRC-04-90-046
~
Section C
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L are to be performed at National Institute of Standards and Technology (NIST) (formerly NBS) or GKSS, and, FIM/AP will be performed in collaboration with ORNL or Oxford University.
The contractor shall make all of the arrangements for these experiments, independently.
The major objective is to:
a)
Estimate the composition, number densities and size distributions of irradiation induced copper rich precipitates as influenced by key embrittlement variables.
b)
Better identify and characterize secondary embrittling micro structures (e.g., phosphides, microvoids and defectsolute complexes)
Task 3.
Thermal Aging Effects This task initiates the evaluation of long-term thermal aging effects, both as controls for the irradiation experiments and to evaluate the potential of embrittlement induced by thermal aging processes alone.
The evaluations.shall.take place at and above the nominal ambient reactor operating temperatures.
Task 4.
Post-Irradiation Annealing and Reirradiation Embrittlement This task involves limited mechanistic studies of post-irradiation annealing (PIA).
Evaluation of PIA shall be carried out to the extent needed for development of self-consistent physical models of embrittlement mechanisms.
Specifically, the work will aim at assuring the mechanisms which are implicated in the development of embrittlement are consistent with the mechanisms postulated to control embrittlement recovery at elevated temperatures.
Task 5.
Micromechanics This task involves an analytical evaluation of the relationships between changes in tensile properties coupled with the unirradiated properties of the steels and the irradiated transition temperature and upper-shelf energy.
Extension to fracture toughness shall be carried out to the extent possible.
The effort will support the development of a fluence function for changes in the upper-shelf energy and i
additional guidance in-the application of Charpy-V-notch measurements to embrittlement evaluation.
Task 6.
Development of Predictive Models and Correlations In this task the contractor shall perform the analytical studies necessary to develop physically-based predictive models and correlations needed to update Regulatory Guide 1.99.
Analysis shall include verification and calibration of the models by integrating the surveillance and test reactor data bases, results of mechanistic studies and other sources of information deemed to be relevant.
The assessment will s
Page.10-NRC-04-90-046 Section C 0-e also include evaluation of statistical measures of the-validity of the'models and statistical and physical uncertainties in embrittlement predictions based on the data
-correlations.
Priority shall be given to (1) readjusting the regulatory guide for BWR conditions (low fluence, low fluence rate), (2) providing a fluence function for predicting upper shelf decrease, (3) identifying chemistry effects in the low copper and high nickel,. medium copper range and (4) providing effects of irradiation temperature in the 500-650 F range as a function of chemistry.
Materials data and analytical support will be supplied by the NRC, through the services of ORNL.
Task 7.
Collaboration with International Groups The contractor shall coordinate and collaborate with other major research organizations doing work on mechanism determinations such as ORNL, GKSS, and UKAEA Harwell.
Included will be participation in the regular annual workshops of the IG-RDM.
The Group meets alternately in the United States and in Europe each year.
4.0 Period of Performance The work described in this scope including preparation and submission of all of the reports, shall be completed within four years.
5.0 Estimated level of Effort The total scientific, technical and clerical effort for this project ~ is estimated to take approximately nine staff years.
6.0 Travel It is anticipated that the contractor will need to travel to i
NRC headquarters, to NRC contractors, and to other organizations to perform the work for this project.
Domestic travel requires approval of the project officer.
The estimated ~ number of trips and destinations are anticipated to be those set forth in the contractor's proposal.
All foreign 4
travel must be approved in advance by the NRC.
7.0 Deliverables i
The contractor shall submit topical reports on each of tasks 1 through 6 within six months of completion of the work on each task.,However, all reports must be submitted by the expiration date of'the contract.
In addition, a final report shall be submitted, covering a summary of the results and conclusions of the individual tasks, by the expiration date of the contract.
(End of Clause)
[
Page'11 NRC-04-90-046 Section C.
'C 2 TRAVEL APPROVALS (MAR 1987)
- a. -All domestic travel requires the prior approval'of the
. Project Officer.
~
~
b.
All foreign travel must be approved in advance by the NRC on NRC' Form 445 and shall be in compliance with 52.247-63 Preference For U.S. Flag Air Carriers.
Such approval will be communicated in
. writing through the Contracting Officer.
(End of. Clause)
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g NRC-04-90-046 Secd on D L
SECTION O - PACKAGING AND MARKING D.1 PACKAGING AND MARKING (MAR 1987) l The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and safe delivery at destination.
Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable-to_the mode of transportation.
On the front of the package, the Contractor shall clearly identify the contract number under which the produact is being provided.
(End of Clause) l I
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Page 13-NRC-04-90-046 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE:
The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
NUMBER DATE TITLE 52.246-9 APR 1984 INSPECTION OF RESEARCH AND DEVELOPMENT (SHORT FORM) s
.A
.P Page.14' NRC-04-90-046 Section F
{ti SECTION F - DELIVERIES OR PERFORMANCE
[.
F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY-REFERENCE NOTICE:
The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
NUMBER DATE TITLE 52.212-13 AUG 1989 STOP-WORK ORDER ALTERNATE I ( APR 1984)
F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988) t All technical reports required by Section C and all Technical Progress Reports-required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202.
NRC Manual l
Chapter 3202 is not applicable to any Contractor Spending Plan-(CSP) and any Financial Status Report that may be-included in this-contract. (See Section J for List of Attachments).
1 L
(End of Clause)
L F. 3 TECHNICAL PROGRESS REPORT (JUNE 1988)
(OMB CLEARANCE NUMBER 3150-0112)
{
i The Contractor shall provide a monthly Technical Progress j
Report to the Project Officer and the Contracting Officer.
The report is due within 15 calendar days after the end of the report
{
period'and shall identify the title of the project, the contract j
number,. project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report shal'. include the following for each discrete task:
l a.
A-listing of the efforts completed during the period; milestones reached or, if missed, an explanation provided; i
'b.
Any problems or delays encountered or anticipated and recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer identifying the required change and estimated cost impact).
c.
A summary of progress to date; and d.
Plans for the next reporting period.
Page 15 NRC-04-90-046:
Section F 4:
C (End of Clause)
F.4 FINANCIAL STATUS REPORT (JUNE 1988)
(OMB CLEARANCE NUMBER 3150-0112)
The Contractor shall provide a monthly Financial Status Report to the Project Officer and the Contracting Officer.
The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report shall include the following for each discrete task:
a.
Provide total estimated cost (value) of the project as reflected in tha contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
- 1) Total Estimated Contract Amount.
- 2) Total Funds Obligated To Date.
- 3) Total Costs Incurred This Reporting Period.
- 4) Total Costs Incurred To Date.
- 5) Balance of Obligations Remaining.
- 6) Balance of Funds Required To Complete Contract.
L i
b.
Detail of all direct and indirect costs incurred during the reporting period for each task.
I c.
Update the approved Contractor-Spending Plan (CSP) if required under this contract.
If there have been no changes to the projections, a certification to that effect may be provided with the Financial Status Report in lieu of the CSP.
(EndofClause)
F. 5 PLACE OF DELIVERY--REPORTS (JUNE 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor,-to:
a.
Project Officer (3 copies)
Alfred Taboada U.S. Nuclear Regulatory Commission Division of Engineering Mail Stop NS217C Office of Nuclear Regulatory Research Washington, DC 20555 b.
Contracting Officer (1 copy)
U.S. Nuclear Regulatory Commission Contract Number: NRC-04-90-046 Division of Contracts and Property Management e
p-Page 16
. NRC-04-90-046
'Section F.
Contract Administration Branch Washington, D.C.
20555 (EndofClause)
F.6 DURATION OF CONTRACT PERIOD (MAR 1987)
This contract shall' commence on 02/05/90 and'will expire on 02/04/94.
(End of Clause) l 1
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~NRC-04-90-046 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT COST RATES (JUNE 1988) ALTERNATE I (JUNE 1988)
The Contractor shall be reimbursed for allowable indirect costs in accordance with the following predetermined (fixed) rates:
CATEGORY RATE COST BASE APPLICABLE PERIOD Overhead 45%
Modified Total 02/05/90 to 06/30/90 Direct Cost Overhead 46%
Modified Total-07/01/90 to 06/30/92 Direct Cost Overhead 47%
Modified Total 07/01/92 to 02/04/94 Direct Cost The above rates represent DHHS negotiated pre-determined On-Campus indirect cost rates for the periods indicated.
(End of Clause)
(End of Clause) l e
'G.2 PROJECT OFFICER AUTHORITY (JUNE 1988) a.
The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for-this contract is:
Name:
Alfred Taboada Address: U.S. Nuclear Regulatory Commission L
Division of Engineering
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Office of Nuclear Regulatory Research Washington, DC 20555 Telephone Number: exit) 492-3838 L
b.
Performance of the work under this contract shall be l
subject to the technical direction of the NRC Project Officer.
The l
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, fills in details or j
otherwise serves to accomplish the contractual statement of work.
i
Page 18 NRC-04-90-046
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Section G 2)-
Provide advice _and guidance 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 l
information to be delivered by the Con + " ctor to the Government L
under the contract.
c.
Technical direction rost be within the general statement of work stated in the contract.
The Project Officer does not have 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 " Changes" clause of this contract.
- 3) In any way causes an increase 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.
- 5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.
d 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 furnished to the Contracting Officer.
e.
The Contractor shall proceed promptly with-the performance of technical directions duly issued by the Project Officer in the-manner prescribed by this clause and within such person's authority under the provisions of this clause.-
f.
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 c 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, g.
Any unauthorized commitment or direction issued by the
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NRC-04-90-046 Section G Project Officer may result in an unnecessary delay in the Contractor's performance and may even result in the Contractor expending funds for unallowable costs under the contract.
h.
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 52.233 Disputes, i.
In addition to providing technical direction as defined above, 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) Assisting the Contractor in the resolution of technical problems encountered during performance.
- 3) Reviewing all costs requested for reimbursement by the Contractor and submitting to the Contracting Officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
(End of Clause)
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'NRC-04-90-046 Section~H J
SECTION H - SPECIAL CONTRACT REQUIREMENTS i
H.1
. KEY PERSONNEL (JUNE 1988)
- a. :The following individuals are considered to be essential to the successful performance of the work hereunder.
G. Robert Odette j
G.E. Lucas O N
- .h..h['!! m...a..
g..
The Contractor agrees that such personnel shall not be f
- emoved from the contract work or replaceo without compliance with r
caragraons b and.c hereof.
i b.
If one or more of the key personnel for whatever reason oecomes, or is expected to become, unavailable for work unoer this t
- entract-for a continuous period exceeoing 30 work days, or is expectec to devote substantially less effort to the work tnan indicateo in the proposal or initially anticipated, the Contractor i
snail immeciately notify the Contracting Officer and shall, subject to the concurrence of-the Contracting Officer, promptly replace such-cersonnel with personnel of at least substantially equal ability and
- uali ficaliions.
c.
All requests-for approval of substitutions hereunder must ce in writing and provide a detailed explanation of the
- ircumstances necessitating the proposea substitutions.
They must
- entain a-complete resume for the proposed substitute, and other information requested by the Contracting Officer to approve or
- isapprove the proposed substitution.
The Contracting Officer will evaluate suen requests'and.oremptly notify the Contractor of his/her accroval or disapproval thereof in writing, d.
If the Contracting 0fficer determines that;
- 1) Suitable and timely replacement of key person'el who n
nave been reassigned, terminated or have otherwise become
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unavailable for the contract work is not reasonably forthcoming; or
- 2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate.
If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably and adjusted downward to compensate the Government for any resultant delay, loss or damage.
Page'21' NRC-04-90-046 Section'H (End of Clause) l H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)
The Contractor shall take all reasonable 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 minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire _ protection regulations and i
requirements (including reporting requirements) of the Commission and the Department of Labor.
In the event that the Contractor fails
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to comply with these regulations or requirements, the Cont? acting 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.
(End of Clause)
H.3 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988)
Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished to the Contractor in the performance of this contract shall be used only in connection with the work under this contract.
(End of Clause)
H.4 ORGANIZATIONAL CONFLICTS OF' INTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) a.
Purpose.
The primary purpose of this clause is to aid in ensuring that the Contractor:
i 1)
Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and l
- 2) Does not obtain an unfair competitive advantage over
- other parties by virtue of its performance of this contract, i
b.
Scope.
The restrictions described apply to performance or participation by the Contracter as defined in 41 CFR 20-1.5402(f) in j
the activities covered by this clause.
c.
Work for others.
Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees'to forgo entering into 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 under this contract abide by the provision of this clause, m
c NRC-04-90-046 Section H If the Contractor believes with respect to itself or any 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.
l
- 1) The Contractor warrants to the best of its knowledge and belief, and except as otherwise set forth in this contract, that it ooes not have any organizational conflicts of interest, as defined in41CFR20-1.5402(a).
- 2) The Contractor agrees that, if after award, it discovers organizattonal conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer.
This statement must include a description of i
the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, terminate the contract if termination is in the best interest of the Government, e.
Access to and use of information.
- 1) If the Contreatne in the performance of this contract obtad.r.s access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act M 19/t (Pub, t.93-579), or data which Ls not been released to the A hlic, the Contractor agreet, not to:
(i)
Use this information for my private purpose until the informat. ion has %en telear,ed to the public; (ii) Compete for werk fer.4e Coamission baseri on the informatier, for a period of six (6) nonths after either the completion of this contract or the release of the information to the public, whiebmr is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public, or (iv) Release the information without prior written approval by the Contracting Officer unless the 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 the information in accordance with restrictions placed on use of the information.
- 3) The Contractor shall have, subject to patent and security
NRC-04-90-046
$cetion H prov;sions of this contract, the right to use technical data it produces under this contract for private purposes provided that all reovirements of this contract have been met.
f.
Subcontracts.
Except as provided in 41 CFR 20-1.5404h),
the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " Contractor,"
and " Contracting Officer " must be appropriately modified to preserve the Government's rights.
g.
Remedies.
For breach of any of the above restrictions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract.
h.
Waiver.
A request for waiver under this clause must be directed in writing throuDh the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 41 CFR 20-1.5411.
(End of Clause)
H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (JUNE 1988)
The Gevernment will not provide any equinment/ property under this contract.
(End of Clause)
H.6 DISSEMINATION 0F CONTRACT INFORMATION h
publication of the results of the research project 1ri appropriate pr?fessional journals is encouraged as an importar,t method of L
"ecnrding and reporting scientific information.
One copy cf each r
L paper planned for publication shall be submitted to the Project Officer sixty (60) days prior to its submission for publication in j
order that the NRC may identify any inadvertent disclosure of I
proprietary data furnished to the contractor by the NRC Following publication, copies of published papers shall be submitted to the Project Officer, or to other addresses in quantities as may be directed by the Contracting Officer.
(End of Clause)
H.7 ALLOCATION OF RIGHTS The Government shall have: unlimited rights in technical data first produced or specifically used in the performance of this contract; the right of the Contracting Officer or his/her representative to I
inspect at all reasonable times up to three years after the final payment under this contract all technical data first produced or
Page 24 NRC-04-90-046 Section H specifically used in the contract; and the right to have any technical data first produced or specifically used in the performance of this contract delivered to the Government as the Contracting Officer shall direct upon completion or termination of the contract.
The contractor shall have the right to use for its private purposes, i
subject to patent, security, or other provisions of this contract, technical data it first produces in the performance of this contract provided the data requirements of this contract have been met as of the date of the private use of such data.
(End of Clause) i l
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PART II - CONTRACT CLAUSES SECTION I CONTRACT CLAUSES i
I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE: The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS
[
52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.203-7 OCT 1988 ANTI-KICKBACK PROCEDURES 52.209-6 MAY 1989 PROTECTING THE GOVERNMENT'S i
INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDEU, OR PROPOSED FOR DEBARMENT
+
52.215-1 APR 1964 EWItiATION OF RECORDS BY COMPTROLLER GEI D.G.
52.215-26 APR 1987 INTEGRITY OF VNIT PRICES ALTERNATE I (APR 198/)
52.215-13 JAN 1986 ORDER OF PRECEDENCE 52.236-11 APf6 1984 COST CONTRACT -- NO FEE ALTERNATE I APR 1984 52.215-15 APR 1984 PREDETERMINED INDIRECT COST RATES 52.219-8 JUN 1985 V11LI7ATION OF ShAtL' BUSINESS l
CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-9 AUG 1989 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.219-16 AUG 1989 LIQUIDATED DAMAGES - SMALL BUSINESS SUBCONTRACTING PLAN 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM 52.222-3 APR 1984 CONVICT LABOR I
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NRC-04-90-046 Section I 52.222-26 APR 1984 E0 VAL OPPORTUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS l
52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.222-37 JAN 1988 EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS AND VETERANS 6
0F THE VIETNAM ERA i
52.223-2 APR 1984 CLEAN AIR AND WATER 52.225-13 MAY 1989 RESTRICTIONS ON CONTRACTING WITH SANCTIONED PERSONS l
52.227-1 APR 1984 AUTHORIZATION AND CONSENT ALTERNATE I (APR 1984) 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 APR 1984 IhSURANCE -- LIABILITY TO THIRD PERSONS 52.232-22 APR 1984 LIMITATION OF FUNDS 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES 52.233-3 AUG 1989. PROTEST AFTER AWARD ALTERNATE I (JUN 1985) 52.242-1 APR 1984 NOTICE OF INTENT TO i
DISALLOW COSTS 52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT ALTERNATE V (APR 1984) 52.244-2 JUL 1985 SVBCONTRACTS i
(C0ST-REIMBURSEMENT AND LETTER CONTRACTS) 52.244-5 APR 1984 COMPdTIY!h JN SUBCONTRACTING f4.249-5 APR 1984 TERMINATION FOR CONVENIENCE l
0F THf. FCVERNMENT (E00CATIONAL AND OTHER NOMPROFIT INSTITUTION 3) 1 52.249-14 APR 1984 EXCUSABLE DELAYS 57.215 2 llEC 1989 AUDIT--NEGOTIAMON 52.21t~22 APR 1988 PF.IC7 REDUCTION FOR DEFECTIVE
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COST OR PRICING DATA 52.215-24 APR 1985 SUDC6N7f. ACTOR COST OR PRICING i
DATA 52.223-3 DEC 1989 nA?ARD005 MATEAIAL IDENTIFICATION AND MATERIAL SAFETY DATA 52.227-11 JUN 1989 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM)
I.2 ALLOWABLE COST AND PAYMENT (FAR 52.216-7) (APR 1984)
(a) Invoicing.
The Government shall make payments to the Contractor when requested as work progresses, but (except for small business concerns) not more often than once every 2 weeks, in amounts determined to be allowable by the Contracting Officer in accordance with Subpart 31.3 of the Federal Acquisition Regulation (FAR) in effect on the date of this contract and the terms of this contract.
The Contractor may submit to an authorized representative
L Page 27 NRC-04-90-046 Section I of the Contracting Officer, in such form and reasonable detail as the representative may require, an invoice or voucher supported by a i
statement of the claimed allowable cost for performing this contract.
(b) Reimbursing costs.
(1) For the purpose of reimbursing allowable costs (except as provided in subparagraph (2) below, with respect to pension, deferred profit sharing, and employee stock ownership plan contributions), the term " costs" includes only--
(1) Those recorded costs that, at the time of the request for reimbursement, the Contractor has paid by cash, check, or other form of actual payment for items or services purchased directly for the contract; (ii) When the Contractor is not delinquent in paying costs of contract performance in the ordinary course of business, costs incurred, but not necessarily paid, for--
(A) Materials issued from the Contractor's inventory and placed in the production process for use on the contract; (B) Direct labor; (C) Direct travel; (D) 0ther direct in-house costs; and (E) properly allocable and allowable indirect costs, as shown in the records maintained by the Contractor for purposes of cbtaining refnbursement under Government contracts; and (iii) The arrow.t of progress payments that have been paid to the Contractor's uccontractors under similar cost standards.
r (2) Contractor contributions to any peadon, profit-sharing, or p
employee stock nwnership plan funds that ore paid c;uar%rly or more often nsy tre included in indirect ecsts for paymer,t purposes; L
provt&o, that the Cont:".ctor pays the contribution tn the fund within 30 days after the close ci the period covered.
Payments x.ade 30 days or more after the close of a period shall not be included until the Contractor actually makes the payment.
Accrued costs for such contributions that are paid less often than quarterly shall be excluded from indirect costs for payment purposes until the Contractor actually makes the payment.
(3) Notwithstanding the audit and adjustment of invoices or vouchers under paragraph (g) below, allowable indirect costs under l
this contract shall be obtained by applying indirect cost rates established in accordance with paragraph (d) below.
(4) Any statements in specifications or other documents incorporated in this contract by reference designating performance of services or furnishing of materials at the Contractor's expense or at no cost to the Government shall be disregarded for purposes of
Page 28 NRC-04-90-046 Section !
cost-reimbursement under this clause.
i (c) Small business concerns.
A small business concern may be paid i
more often than every 2 weeks and may invoice and be paid for i
recorded costs for items or services purchased directly for the contract, even though the concern has not yet paid for those items or services.
(d) Final indirect cost rates.
(1) Final annual indirect cost rates and the appropriate bases shall be established in accordance with Subpart 42.7 of the Federal Acquisition Regulation (FAR) in effect for the period covered by the indirect cost rate proposal.
(2) The Contractor shall, within 90 days after the expiration of each of its fiscal years, or by a later date approved by the Contracting Officer, submit to the cognizant Contracting Officer responsible for negotiating its final indirect cost rates and, if required by agency procedures, to the cognizant audit activity proposed final indirect cost rates for that period and supporting cost data specifying the centract and/or subcontract to which the rates apply. The proposed rates shall be based on the Contractor's actual cost experience for that period.
The appropriate Government representative and Contractor shall establish the final indirect cost rates as promptly as practical after receipt of the Contractor's proposal.
(3) The Contractor and the appropriate Government representative shall execute a written understanding setting forth the final indirect cos', tam.
The understanding shall specify (i) the agreed-upon line) amwe.1 indirect cost rates, (ii) the bases to which the rates apply, (iii) the periods for which the rates apply, t
(iv) any specif t:: fncf rect cost items treated as direct costs in the settlement,-and (v) the affected contract and/or subcontract, icentifying any with advance agreements or special terms and the applicable. rates.
The understanding shall not change any nionetary ceiling, conNM.t obligation, or spaific cost allewance or disallwwe provided for in this contract.
Tne understantiing is incorporated into this cer, tract upon execution.
(4) Fai'.ute by the port w to agree on a fine) annual indire.ct ecst rate shall be a dispute within the meaning of the Disputes claure.
l (e) Billing rates. Until final. annual indirect cost rates are i
established for any period, the Government shall reimburse the l
Contractor at billing rates established by the Contracting Officer or by an authorized representative (the cognizant auditor), subject to adjustment when the final rates are established.
These billing rates--
l (1) Shall be the anticipated final rates; and l
(2) May be prospectively or retroactively revised by mutual agreement, at either party's request, to prevent substantial overpayment or underpayment.
I Page 29 NRC-04-90-046 Section I i
(f) Quick-closeout procedures. When the Contractor and Contracting Officer agree, the quick-closeout procedures of Subpart 42.7 of the FAR may be used.
I (g) Audit. At any time or times before final payment, the l
Contracting Officer may have the Contractor's invoices or vouchers and statements of cost audited.
Any payment may be (1) reduced by amounts found by the Contracting Officer not to constitute allowable costs or (2) adjusted for prior overpayments or underpayments.
(h) Final payment.
(1) The Contractor shall submit a completion invoice or voucher, designated as such, promptly upon completion of the work, but no later than one year (or longer, as the Contracting Officer may approve in writin0) from the completion date.
Upon approval of that invoice or voucher, and upon the Contractor's compliance with all terms of this contract, the Government shall promptly pay any balance of allowable costs and that part of the fee (if any) not previously paid.
(2) The Contractor shall pay to the Government any refunds, rebates, credits, or other amounts (including interest, if any) accruing to or received by the Contractor or any assignee under this contract, to the extent that those amounts are properly allocable to costs for which the Contractor has been reimbursed by the Government.
Reasonable expenses incurred by the Contractor for securing refunds, rebates, credits, or other amounts shall be allowable costs if approved by the Contracting Officer.
Before final payment under this contract, the Contractor and each assignee whose assignment is in effect at the time of final payment shall execute and deliver--
(1) An assignment to the Government, in form and substance satisfactory to the Contractirg Off!cer, of refunds, rebates, credits, or other artounts (including interest, if any) properly allocabic to costs for which the Contractor has been reimbursed by the Government under this contract; and (ii) A release discharging the Government. its effi:ers, agents, enr' ~emplo> ens from all liabilities, obligations, and claims crising out of or under this contract, except--
(A) Specified claims stated in exact amounts, or in estimated amounts when the exact amounts are not known; (B) Claims (including reasonable incidental expenses) based upon liabilities of the Contractor to third parties arising out of the performance of this contract; provided, that the claims are not known to the Contractor on the date of the execution of the release, and that the Contractor gives notice of the claims in writing to the Contracting Officer within 6 years following the release date or notice of final payment date, whichever is earlier; and (C) Claims for reimbursement of costs, including
I Page 30 NRC-04-90-046 Section I j
reasonable incidental expenses, incurred by the Contractor under the
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patent clauses of this contract, excluding, however, any expenses arising from the Centractor's indemnification of the Government against patent liability.
(End of Clause) 1.3 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984)
(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed 50.
In addition to this dollar ceiling, overtime is permitted only for work--
(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operatione in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estluated overtime for contract completion and shall--
(1) Identify the work unit; e.g., department or section in which the requested overttne will be used, together with present worAlot.d, staffing, and other data of the affected. unit suf ficient to perrait the Contracting Officer to eval'; ate the racessity for the overtic'e; (2) Demonstrate the c:ffect '.hra denia) of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.
(End of Clause)
Page 31 NRC-04-90-046 Section I I.4 DRUG-FREE WORKPLACE (FAR 52.223-6)
(MAR 1989)
(a) Definitions.
As used in this clause, " Controlled Substances" means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as further defined in regulation at 21 CFR 1308.11-1308.15.
" Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes.
" Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession or use of any controlled substance.
" Drug-free workplace" means a site for the performance of work done in connection with a specific contract at which employees of the Contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance.
" Employee" means an employee of a Contractor directly engaged in the performance of work under a Government contract.
" Individual" means an offeror / contractor that has no more than one employee including the offeror / contractor.
(b) The Contractor, if other than an individual, shall-(1) Publish a state'nent notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be caken against employees for violations of.ruch orchibition; (2) Establish a drug-free awareness program to inform such empicyees about-(1)
Tne dangers of drug abose in the werkplace; (ii) The contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace.
(3) Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph (b)(1) of this clause;
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NRC-04-90-046 Secticn !
I (4) Notify such employees in the statement required by L
subparagraph (b)(1) of this clause, that as a condition of continued 1
employment on this contract, the employee will-i (1) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction.
(5) Notify the contracting officer within ten (10) days after
[
receiving notice under subdivision (b)(4)(ii) of this clause, from an employee or otherwise receiving actual notice of such conviction; i
(6) Within 30 days after receiving notice under subparagraph (b)(4)(ii) of this clause of a conviction, impose the following sanctions or remedial measures on any employee who is convicted of drug abuse violations occurring in the workplace:
(i) Taking appropriate personnel action against such employee, up to and including termination; or 4
(ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.
(7) Make a good faith effort to maintain a drug-free workplace through implementation of subparagraphs (b)(1) through (b)(6) of this clause.
i (c) The Contractor, if an individual,' agrees by award of the contrac or acceptance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in the performance of this contract.
(d)
In addition to other remedies available to tbc tiovernment, i-the Contractnr's failure to comply with the requirements of ungraphr (b) sod (r.) ?f this clause may, pursuant to FAR 23.506, render the rc,ntractor subject to suspeasion of contract payments, termination of the ;ontract for defeult, and suspension er debarment.
(End of Clause)
I.5 PROMPT PAYMENT (FAR 52.232-25)(APR1989) l l
Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause.
l Payment shall be considered as being made on the day a check is l
dated or an electronic funds transfer is made.
Definitions of l
pertinent terms are set forth in 32.902. All days referred to in l
l 1
l l
r.
.. - ~
Page 33 NRC-04-90-046 Sectien I P
this clause are calendar days, unless otherwise specified.
The term i
" foreign vendor" means an incorporated concern not ir.corporated in the United States, or unincorporated concern having its principal place of business outside the United States.
(a) Invoice Payments.
(1) For purposes of this clause, " invoice payment" means a Government disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Government and final cost or fee payments where amounts owed have been settled between the Government and the Contractor.
(2) Except as indicated in subparagraph (a)(3) and paragraph (e) of this clause, the due date for making invoice payments by the designated payment office shall be the later of tiie following two events:
(1) The 30th day after the designated billing office has received a proper invoice from the Contractor.
(ii) The 30th day af ter Government acceptance of supplies delivered or services performed by the Contractor.
On a final invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement.
However, if the designated billing office fails to annotate the invoice with the actual date of receipt, the invoice payment due date shall be deemed to be the 30th day after the date the Contractor's invoice is dated, provided a proper invoice is received and there is no disagreement over quantity, quality, or Contractor compliance with contract requirements.
(3)Theduedateoncontractsformeatandmeatfoodproducts, contracts for perishable agricultural commodities, contracts for I
dairy products, edible fats or oils, and food products prepared 'rnm E
edible fats or oils, and contra:ts not requiring submission of an invoice shall be as follows:
(i) The due date fcr meat and meat food products, as defined in section 2(a)(3) of the Packers and Stockystd Act of 1921 (7 U.S.C. 182(3)) and further defined in Pub. L.98-181 to include any edible fresh or frozen poultry meat, any perishable poultry meat food product, fresh eggs, and any perishable egg product, will be as close as possible to, but not later than, the 7th day after product delivery.
l (ii) The due date for perishable agricultural commodities, as I
defined in Section 1(4) of the Perishable Agricultural Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later than, the 10th day after product delivery, unless another date is specified in the contract.
l l
l l
t _.
+
g Page 34 NRC-04-90-046 Section I (iii) The due date for dairy products, as defined in Section 111(e) of the Dairy Production Stabili:ation Act of 1983 (7 U.S.C 4502(e)), edible fats or oils, will be as close as possible to, but not later than, the 10th day after the date on which a preper invoice has been received.
(4) An invoice is the Contractor's bill or written request for payment under the contract for supplies delivered or services performed. An invoice shall be prepared and submitted to the designated billing office specified in the contract. A proper invoice must include the items listed in subdivisions (a)(4)(1) through (a)(4)(viii) of the clause.
If the invoice does not comply with these requirements, then the contractor will be notified of the defect within 7 days after receipt of the invoice at the designated billing office (3 days for meat and meat food products and 5 days i
for perishable agricultural commodities, edible fats or oils, and food products prepared from edible fats or oils).
Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in subparagraph (a)(6) of this clause.
(1) Name and address of the Contractor.
(ii)Invoicedate.
(iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number).
(iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.
(v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms).
Bill of lading number and weight of shipment will be shown for shipments on Government bills of lading.
L (vi) Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contraf.t or in a proper notice of assignment).
l (vii) Name (where practicable), title, phone number and l-mailing address of person to be notified in event of a defective invoice.
l (viii) Any other information or documentation required by l
other requirements of the contract (such as evidence of shipment).
1 L
(5) An interest penalty shall be paid automatically by the Government, without request from the Contractor, if payment is not made by the due date and the conditions listed in subdivisions (a)(5)(1) through (a)(5)(iii) of this clause are met, if applicable.
An interest penalty shall not be paid on contracts awarded to foreign vendors outside the United States for work performed outside the United States.
m.
L Page 35 NRC-04-90-046 S:ction 1 (i) A proper invoice was received by the designated billing office.
(ii) A receiving report or other Government documentation authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition.
(iii) In the case of a final invoice for any balance of funds due the Contractor for supplies delivered or services performed, the smount was not subject to further contract settlement actions between the Government and the Contractor.
(6) The interest penalty shall be at the rate established by the Secretary of the Treasury under Section 12 of the Contract 01sputes Act of 1978 (41 U.S.C. 611) that is in effect on the day after the due date, except where the interest penalty is prescribed by other governmental authority.
This rate is referred to as the
" Renegotiation Board Interest Rate," and it is published in the Federal Register semiannually on or about January 1 and July 1. The interest penalty shall accrue daily on the invoice payment aniount approved by the Government and be compounded in 30-day increrrents inclusive from the first day after the due date through the payrr>ent date.
That is, interest accrned at the end of any 30-day per',o will be added to the approved invoice payment amount and be subject to interest penalties if not paid in the succeeding 30-day period.
If the designated billing office failed to notify the contractor of a defective invoice within the periodt prescribed in subparagraph (a)(4) of this clause, then the due date on the corrected invoice will be adjusted by subtracting the number of days taken beyond the l
t prescribed notification of defects period.
Any interest penalty owed the Contractor will be based on this adjusted due date.
Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor.
(i) For the sole purpose of computing an interest penalty l
that might be due the contractor, Government a;:ceptance shall be deemed to h4ve occurred constructively on the 7th day after the contractor delivered the supplies or performed the services in accordance with the terms and conditions of the contract, unless there is a disagreement over quantity quality, or contractor compliance with a contract provision.
In the event that actual acceptance occurs within the constructive acceptance period, the determination of an interest penalty shall be based on the actual l=
date of acceptance.
The constructive acceptance requirement does not, however, compel Government officials to accept supplies or services, perform contract administration functions, or make payment prior to fulfilling their responsibilities.
(ii) The following periods of time will not be included in the determination of an interest penalty:
(A) The period taken to notify the contractor of defects in invoices submitted to the Government, but this may not exceed 7 I
Page 36 NRC-04-90-046 Section 2 O
4 l
r days (3 days for meat and meat food products and 5 days for perishable agricultural commodities, dairy products, edible fit or oils, and food products prepared from edible fats or oils).
(B) The period between the defects notice and resubmission of the corrected invoice by the Contractor.
(iii) Interest penalties will not continue to accrue after the filing of a claim for such penalties under the clause at 52.233-1, Disputes, or for more than 1 year.
Interest penalties of less than $1.00 need not be paid.
(iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contract compliance or on amounts temporarily withheld or retained in accordance with the terms of the contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the clause at 52.233-1, Disputes.
(7) An interest penalty shall also be paid automatically by the designated payment office, without request from the contractor, if a discount for prompt payment is taken improperly.
The interest penalty will be calculated as described in subparagraph (a)(6) of this clause on the amount of discount taken for the period beginning with the first day after the end of the discount period through the date when the Contractor is paid.
(8) If this contract was awarded on or after October 1, 1989, a penalty amount, calculated in accordance with regulations issued by the Office of Management and Budget, shall be paid in addition to the interest penalty amount if the contractor:
(1) Is owed an interest penalty; (ii) Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and (iii) Makes a written demand, not later than 40 days after the date the invoice amount is paid, that the agency pay such a penalty.
(b) Contract Financing Payments.
(1) For purposes of this clause, " contract financing payment" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government.
Contract financing payments include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or stage of completion (32.102(e)(1)) other than those
.made under the clause at 52.232-5, Payments Under Fixed-Price Construction Contracts, or the clause at 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts.
Page 37 NRC-04-90-046 Section I o
lE (2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as specified in this contract or as directed by the Contracting i
Officer. Contract financing payments shall be made on the 30th day after receipt of a proper contract financing request by the f-designated billing office.
In the event that an audit or other review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified.
(3) For advance payments, loans, or other arrangements that do not involve recurrent submissions of contract financing requests, payment shall be made in accordance with the corresponding contract terms or as directed by the Contracting Officer.
(4) Contract financing payments shall not be assessed an interest penalty for payment delays.
(c) If this contract contains the clause at 52.213-1, Fast Payment Procedure, payments will be made within 15 days after the date of receipt of the invoice.
(End of Clause)
I.6 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (FAR 52.232-28)
(APR1989)
Payments under this contract will be made by the Government either by check or electronic funds transfer (through the Treasury Fedline Payment System (FEDLINE) or the Automated Clearing House (ACH), at the option of the Government.
After award, but no later than 14 days before an invoice or contract financing request is submitted, the Contractor shall designate a financial institution for receipt of electronic funds transfer payment, and shall submit this designation to the Contracting Officer or other Government Official, as directed.
(a) For payment through FEDLINE, the Contractor shall provide the following information:
(1) Name, address, and telegraphic abbreviation of the financial institution receiving payment.
(2) The American Bankers Association 9-digit identifying number for wire transfers of the financing institution receiving payment if the institution has access to the Federal Reserve Communications System.
(3) Payee's account number at the financial institution where funds are to be transferred.
(4) If the financial institution does not have access to the i
e
Page 38 NRC-04-90-046 Section I
+
Federal Reserve Communications System, name, address, and telegraphic abbreviation of the correspondent financial institution through.which the financial institution receiving payment obtains wire transfer activity.
Provide the telegraphic abbreviation and the American Bankers Association identifying number for the correspondent institution.
(b) For payment through ACH, the Contractor shall provide the following information:
(1) Routing transit number of the financial institution receiving payment (same as American Dankers Association identifying number used for FEDLINE).
(2) Number of account to which funds are to be deposited.
(3) Type of depositor account ("C" for checking, "S" for savings).
(4) If the Contractor is a new enrollee to the ACH system, a
" Payment Information Form," SF 3881, must be completed before payment can be processed.
(c) In the event the Contractor, during the performance of this contract, elects to designate a different financial institution for the receipt of any payment made using electronic funds transfer procedures, notification of such change and the required information specified above must be received by the appropriate Government official 30 days prior to the date such change is to become offective.
(d) The documents furnishing the information required in this clause must be dated and contain the signature, title, and telephone number of the Contractor official authoritod to provide it, as well as the Contractor's name and contract number.
(e) Contractor failure to properly designate a financial institution or to provide appropriate payee bank account information may delay payment of amounts otherwise properly due.
(EndofClause)
I.7- -CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.
(EndofClause)
Page 39 f
NRC-04-90-046 S;ction I o
1.8 NEW RESTRICTIONS ON LOBBYING I
(a) Definitions.
As used in this clause,
" Agency", as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1).
" Covered Federal action" means any of the following Federal i
actions:
l (1) The awarding of any Federal contract; (2) The making of any Federal grant; (3) The making of any Federal loan; (4) The entering into of any cooperative agreement; and,(5)The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan.
" Indian tribe" and " tribal organization" have the meaning provided in section 4 of the Indian Self-Determination and i
Education Assistance Act (25 U.S.C. 4500).
Alaskan Natives are included under the definitions of Indian tribes in that Act.
" Influencing or attempting to influence" means making, with
(
the intent to influence, any communication to or appearance before an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered Federal ection.
" Local government" means a unit of government in a Stato and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government.
'" Officer or employee of an agency" includes the following individuals who are employed by an agency:
(1) An individual who is appointed to a position in the Government under title 5; U.S. Code, including a position under a temporary appointment; (2) A member of the uniformed services as defined in section 101_(3), title 37, U.S. Code; (3) A special Government employee as defined in section 202, title 18, U.S. Code; and, (4) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act.
h' Page 40 L
NRC-04-90-046 Section I j
. +
title 5, U.S. Code appendix 2.
" Person" means an individual, corporation, company, association, authority, firm, partnership, society, State, and local government, regardless of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.
o
" Reasonable compensation" means, with respect to a regularly employed officer or employee of any person, compensation that is consistent with the normal compensation for such officer or 4
employee for work that is not furnished to, not funded by, or not furnished in cooperation with the Federal Government.
" Reasonable payment" means, with respect to professional and other technical services, a payment in an amount that is consistent With the amount normally paid for such services in the private sector.
" Recipient" includes all contractors and subcontractors at any tier in connection with a Federal contract.
The term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.
" Regularly employed" means, with respect to an officer or employee of a person requesting or receiving a Federal contract, an officer or employee who is employed by such person fcr at lea 1t 130 working days within one year immediately preceding the date of the subm'ssion that initiates agency consideration of such person for receipt of such contract. An offit.er or employa who is employed by such person for less than 130 working days within one year immediately precedir.g the date of the submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by suen i.
l person for 130 working days.
" State" means a State of the United States, the District of L
Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers.
(b) Prohibition.
l (1) Section 1352 of title 31, U.S. Code provides in part that no appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or l
employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any
Page 41 NRC-04-90-046 Section I L
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, l
or cooperative agreement.
(2) The prohibition does not apply as follows:
(1) Agency and legislative liaison by own Employees.
(A) The prohibition on the use of appropriated funds, in paragraph (b)(1) of this section, does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract if the payment is for agency and legislative liaison activities not directly related to a covered Federal action.
(8) For purposes of paragraph (b)(2)(1)(A) of this section, providing any information specifically requested by an agency or Congress is allowable at any time.
(C) For purposes of paragraph (b)(2)(1)(A) of this section, the following agency and legislative liaison activities are allowable at any time only where they are not related to a specific solicitation any covered Federal action:
(1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and, (2) Technical discussions ar,d other activities regarding the application or adaptation of the person's products or services for an agency's use.
(D) For purposes of paragraph (b)(2)(1)(A) of this section, the following agency and legislative liaison activities are allowable only where they are prior to formal solir.itation of any covered Federal action:
l (1) Providing any information not specifically l
requested but necessary for an agency to take an informed decision about initiation of a covered Federal action:
(2) Technical discussions regarding the Technical preparation of an unsolicited proposal prior to its official submission; and, --
(3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Public Law 95-507 and other subsequent amendments.
(E) Only those activities expressly authorized by paragraph (b)(2)(1) of this section are allowable under paragraph (b)(2)(i).
t
--w
Page 42 NRC-04-90-046 Section I l
(ii) Professional and technical services by Own Employees.
I' (A) The prohibition on the use of appropriated funds, in paragraph (b)(1) of this section, does not apply in the case of a payment of reasonable compensation made to an officer j
case of a payment of or employee of a person requesting or
]
receiving a Federal contract or an extension, continuation, renewal, amendment, or modification of a Federal contract if
{
payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any j
bid, proposal, or application for that Federal contract or for i
meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, (B) For purposes of paragraph (b)(2)(ii)(A) of this section, " professional and technical services" shall be limited to advice and analysis directly applying any professional or i
technical discipline.
For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable, i
Similarly, tei.hnical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable.
However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person such as a licensed accountant) are not allowable under this
+
section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or sinalysis is rendered directly and solely in the preparation, submissien or negotiation of a covered Federal action.
Thus, for r
example, communications with the intent to influence made by a l
lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one praposal over another are not allowable under this section because the lawyer is not providing t
professional legal services.
Similarly, communicationr. with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.
(C) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award ireclude those required by law or regulation, or reasonably expected to be~
required by law or regulation, and any other requirements in the actual award documents.
(0) Only those services expressly authorized by paragraph (b)(2)(ii) of this section are allowable under paragraph (b)(2).
(iii) Reporting for Own Employees.
No reporting is required with respect to payments of reasonable compensation made to regularly employed officers or employees of a A
Page 43 NRC-04-90-046 Section I e
person.
(iv) Professional and technical services by Other than Own Employees.
(A) The prohibition on the use of appropriated funds, in paragraph (b)(1) of this section, does not apply in the case of any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action, if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract.
(B) For purposes of paragraph (b)(2)(iv)(A) of this section, " professional and technical services" shall be limited to advice and analysis directly applying any professional or j
technical discipline.
For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable.
Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable.
However, communications with the intent to influence made by a professional-(such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their proiessional or technical expertise and unless the advice er, analysis is renclered directly and solely in the preparation, submission or negotiation of a covered Federal action, Thus, for example, communicaticas with the intent to inficente made by a lawyer that do not provide iegal advice or analysis directly and solely related to the legal aspvets of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services.
Similarly, communications with the l
intent to influence made by an engineer providing an engineering l
analysis prior to the preparation or submission.of a bid or I
proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.
(C) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.
L (D) Persons other than officers or employees of a l
person requesting or receiving a covered Federal action include l
consultants and trade associations.
(E) only those services expressly authorized by paragraph (b)(2)(iv) of this section are allowable under paragraph (b)(2)(iv).
Page 44 NRC-04-90-046 Section I (c) Disclosure.
(1) Each person who requests or receives from an agency a I
Federal contract shall file with that agency a certification form that the person has not made, and will not make, any payment prohibited by paragraph (b) of this clause.
P (2) Each person who requests or receives from an agency a l
Federal contract shall file with that agency a disclosure form,
" Disclosure of Lobbying Activities," a copy of which is attached, if such person has made or has agreed to make any payment using nonappropriated funds (to include profits from any covered Federal acticn), which would be prohibited under paragraph (b) of this clause if paid for with appropriated funds.
(3) Each person shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in an disclosure form previously filed by such person under paragraph (c)(2) of this section. An event that materially affects the accuracy of the information reported includes:
(1) A cumulative inctease of $25,000 o more in the amount paid or expected to be paid for fnfluencing or attempting to influence a covered Federal action; or
{li) A change in the person (s) or individual (s) influencing or ~attempttrig to influence a covered Federal action; W,
I -
(iii) A change in the officer (s), employae(s), or Member (s) contacted to influence or attempt to influence a c7vered
%deral actlen.
I (4) Any person who requests or receives from a person referred to in paragraph (c)(1) of this section a subcontract exceeding
$100,000 at any tier under a Federal contract shall file a i
certification, and a disclosure form, if required, to the next tier above.
(5) All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the person referred to in paragraph (c)(1) of this section.
That person shall forward l
all disclosure forms to the agency.
l (d) Agreement.
In accepting any contract resulting from this l
solicitation, the person submitting the offer agrees not to make l
any payment prohibited by this clause.
(e) Penalties.
(1) Any person who makes an expenditure prohibited under paragraph (b) of this clause shall be subject to a civil penalty l
l l
7 Page 45 NRC-04-90-046 Section I o.. >
)
of not less than $10,'000 and not more than $100,000 for each such expenditure.
(2) Any person who fails to file or amend the disclosure form I
to be filed or amended if required by this clause, shall be I
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
(3) Contractors may rely without liability on the representations made by their subcontractors in the certification 1
and disclosure form.
(f) Cost allowability.
Nothing in this clause is to be-interpreted to make allowable or reasonable any costs which Would be unallowable or unreasonable in accordance with Part 31 of the Federal Acquisition Regulation.
Conversely, costs made specifically unallowable by the requirements in this clause will not be made allowable under any of the provisions of Part 31 of the Federal Acquisition Regulation.
(End of Clause) l l
l i
'NRC-04-90-046 Section J
. o. c..r i
4 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS s
SECTION J - LIST OF ATTACHMENTS l
t i
t J.1 ATTACHMENTS (MAR 1987)
I Attachment Number Title i
1 1
Billing Instructions 2
NRC Contractor Organizational Conflicts of F
Interest (41 CFR Part 20).
Subcontracting Plan i
i b
f (i
)
9 l
6 6
.