Text

Request for OMB Review & Supporting Statement Re Grant/ Cooperative Agreement Provisions.Estimated Respondent Burden 1,069 H
	ML20137R820
Person / Time
Issue date:	05/18/1999
From:	Michael Scott; NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
To:	;
Shared Package
ML20137R818	List: ML20137R813; ML20137R820;
References
	OMB-3150-0107, OMB-3150-107, NUDOCS 9905280102
	Download: ML20137R820 (24)
	v • d • e

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PAPERWORK REDUCTION ACT SUCMISSION I

Please read the instructions befor3 completin v:ur cgency's Paperwork C'4arance Omcerg this form. For additional forms or essist:nce in completing this form, contact S:nd two copies of this form the coll ction instrument to be r viIw-d, the

- Supporting Statement and cny additional documentation to: Ofnce of informabon and Roeulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 72517th Street NW, Washington, DC 20603.

1. Agency /Sube,ency ongmatmg request

2. OMB control number U.S. Nuclear Regulatory Commission y

a.

3150-0107 b.None 1 Type of informaten collecten (check one) 1 Type of revow requested (check one)

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a. New collochon g

a. Regular -

c. Delegated

b. Revision of a currently approved collection

b. Emergency. Approval requested by (date):

V

c. Extension of a currently approved conocbon

6. gth f

co lection ve a a Yes

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d. Reinstatement. without change, of a previously approved substantel number of sman entstes?

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collecten for which approval has expired Y

b. N*

- A*$sgnggppygg agusly appW c

V

a. Three years from approval date gn e

6' Requested

f. Existing conection in use without an OM8 control number

- E""" d*"

b. Other(Specify):

7. Title Grant / Cooperative Agreement Provisions

8. Agency form number (s) (dapphcabde)

Nrt applicable

g. Keywords Grant Administration Agreements

10. Abstract The NRC Ditleion of Contracts uses provisions required to obtain or retain a benefit in its awards and cooperative agreements to ensure adherence to Public Laws, that the Government's rights are protected, work proceeds on schedule, and that disputet between the Government and the recipient are settled.

11. Affected public ruwep=nwy e vwesomw meraperyme v;

12. Obligauon to respond sure anmery== w e=r w omes mer em* m r;

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s. Individuals or households

d. Farms

a. Voluntary

b. Business or other for profit

e. Federal Govemment T

b. Required to obtain or retain benefits T

c. Not-for profit institutions T

f. State. Local or Tribal Govemment

c. Mandatory

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13. Annual reporung and recordkeeping hour burden

14. Annual reporting and recordkeepmg cost burden (m mene armaero a.- Number of respondents 60

a. Total annualized capital /startup costs

b. Total annual responses 91

b. Total annual costs (O&M)

1. Percentage of these responses

c. Total annuahzed cost requested conected electromcany 0.0

d. current Oue inventory

c. Totalannualhours requested 1,069 t D erence

d. Current OM8 inventory 1,069

f. Explanahn of derence

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-t Dhrena 0

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f. Explansten of drfference

1. Program change

1. Program change 2 Adjustment

2. Adjustment

15. Purpose of 6nformation conochon

16. Frequency of recordkeeping or reportmg fenece es met appry)

(Merk pwnery we *r and s# omers met apW we *x')

e. Recordkeeping

b. Third-party declosure T

a. Application for benefits

e. Program planning or management ]

c. Reportmg

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b. Program ovaluation

f. Research

1. On occasion

2. Weekly

3. Monthly

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c. General purpose statistus

g. Regulatory or comphance

4. Quartetty

5. Semi-annually

6. Annually

d. Audit

7. Benniany 7

8.Other(describe) AUompletion 17,3tatstical methods

18. Agency contact ison who con aoar enswer guescons regereng me y

Does this information conection employ statistical methods?

[ ;

m-Mary Lynn Scott Yes

% No b

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pn no:

301-415-6179 9

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I( A CF SUBJ BAF-4A CF

19 C:rtificati:n f;r Paperwork Reducti:n Act Submisel:na On behalf of this Federal agency,I certify that the collection ofinformation encompassed by this request complies with 5 CFR 1320.9, NOTT: ne text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8 (b)(3), appear at the end of the instructions. The certification is to be made with reference 10 those regulatoryprovisions as setforth in the instructions.

De fol'owing is a summt.ry of the topics, regarding the proposed collection ofinfonnation, that the certification covers:

(a) It is necessary for the proper performance of agency' functions; (b) It avoids unnecessary duplication; (c) It reduces burden on small entities; (d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents; (c) Its implementation will be consistent and compatible with current reporting and recordkeeping practices; (f) It indicates the retention periods for recordkeeping requirements; (g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3):

(i)

Why the information is being collected; (ii) Use ofinformation;

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(iii) Burden estimate; (iv) Nature of response (voluntary, required for a benefit, or studatory);

(v) Nature of extent of confidentiality; and (vi) Need to display currently valid OMB control number; (h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected (see note in item 19 of the instructions);

(i) It uses effective and efficient statistical survey methodology; and

0) It makes appropriate use ofinformation technology.

If'you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in item 18 of the Supporting Statement.

Sagnature of Authorned Agency Omael Date f

Signet of Senor Omost er designee j J Date S

dv the Chief Information Otheer

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9 M 83-4 10/95

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SUPPORTING STATEMENT FOR GRANT / COOPERATIVE AGREEMENT PROVISIONS (3150-0107)

Extension Request Qgagtiption of information Collection The information collected ensures that the Division of Contracts and Property Management (DCPM) uses these provisions to adhere to Public Laws, that the Govemment's rights are protected, that work proceeds on schedule, and that disputes between the Govemment and the recipient are settled.

A. JUSTIFICATION l

l 1.

Need for and Practical Utility of the Collection of Information The Nuclear Rgulatory Commission provides funds for financial assistance for research as won as to support professional meetings, symposia, conferences, j

national and intomational commissions and publications to stimulate research.

DCPM is responsible for the awarding of grants and cooperative agreements for the Agency. These financial assistance instruments fund these programs for a public purpose, incorporation of the grant / cooperative agreement provisions in NRC's awards L

ensures that public laws are adhered to, that the Govemment's rights are protected, that work proceeds on schedule, and that disputes between the Govemment and the recipient are settled.

l 2,

Aaency use of Information e

Dispute Review Procedure This provision clearly establishes the mechanism to be used by the NRC should the recipient / cooperator request a review of an adverse action taken by the Commission against the recipient or cooperator. Seeking faimess and equity, the provision calls for a committee to review the facts and, where appropriate, provide a forum for the recipient / cooperator and program personnel to discuss the issues. The recipient / cooperator is required to submit to the Grants Officer a copy of a request to review a Grants Officer decision. The committee reviews the merits of the request and preparoc a recommendation to the Director, Office of Administration, who decides the particular matter. No other method exists to secure the recipient / cooperator request.

Reportina Proaram Technical Performance in order to be apprised of the recipient's/ cooperator's progress under the

- grant or cooperative agreement, technical performance reports must be submitted. Should the report indic:.to problems, remedial steps can be initiated.

Further, this provision allows tb Commission to review the final draft of a joumal article before publication. The recipient is required to submit a 7 -

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report in letter format within 30 calendar days after the end of every second calendar quarter of the performance period and a final report no later than the expiration date of the award. One copy of the letter report is submitted to DCPM and three copies to the NRC Program Office, Patent Richts (Small Business Firms or Non-Frofit Organizations, July, e

1981)

The recipient / cooperator must submit information for the Govamme'nt to determine for any invention or discovery which may be patentable, whether or not the public interest and ther equities of the recipient / cooperator are served in deciding whether or not to file a patent application. The Govemment must also obtain information concerning title and rights that may result under a patent application, when determinveg the disposition of an invention or discovery, Further, this provision is required to protect against public disclosure information related to inventions or discoveries that would adversely affect the patent interests of the NRC or the recipient. Recipients are to send one copy of the information to the Grants Officer who reviews the material to make the above determinations in consultation with the cognizant NRC attomey. Th6re is no other method of securing this information from

. recipients, o

Reoortina of Royalties The requirements of this provision make clear that the Govemment may contest the enforceability, validity, and title to any patent under which a royalty or payment is made. The provisivn is also necessary in that it allows the Commission thorough review of recipient / cooperator supplied information to ascertain the patents or basis on which royalties are to be paid. The recipient agrees to report in writing (one copy) to the NRC Patent Counsel stipulating the amount of royalties or other payments

. made in connection with performance under the award or cooperative agreement. No other method exists to secure the information required under this provision, o

Chances in Princioal Investiaator or Technical Obiectives This provision ensures that the stated objective of the award / cooperative agreement research effort, the principal investigator or the phenomenon under study will not unilaterally be changed by the recipient. NRC Grants Officer approval is required for any such changes under the

' award / cooperative agreement. The recipient must submit one copy of the request to the Grants Officer who reviews the request in consultation with the Project officer before approving or disapproving the proposed change.

There is no other method of obtaining the requested information other -

than following the instructions in this provision.

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-o Notice and Assistance Ruardina Patent and Coovriaht Infrinoement This provision requires the recipient to provide the Commission with all evidence and information known should any claim or suit arise against the Govemment of any alleged patent or copyright infringement under grant / cooperative agreement performance. This requirement is important since it protects the rights and interests of the Govemment. The recipient shall provide this evidence and information in one copy to the Grants Officer who in consultation with NRC patent counsel reviews the material to decide the best course of action to protect the Govemment's interests.

No other method exists to secure the required information, o

Procurement Standards This provision sets rules for the recipient to follow if the recipient / cooperator awards a contract (s) under the award of cooperative agreement. The Government seeks to ensure that these contracts are awarded competitively where possible and that negotiated prices are reasonable. The clause stipulates circumstances when the recipient must submit requests (one copy) to the Grants Officer for approval. The Grants Officer reviews each request and decides which course of action is in the

. Government's best interest. No other method exists to secure these e

requests, e

. Susoension or Termination for Cause This provision protects the Government by stating that it has the unilateral right to terminate or suspend the grant / cooperative agreement when the recipient fails to comply with the grant / cooperative agreement terms and conditions, The provision requires an accounting of funds expended so that the Govemment can ascertain what monies, if any, should be deobligated from the grant / cooperative agreement and retumed to the Govemment. The recipient must respond to the Grants Officer (one copy) within 30 days of the Govemment's letter identifying deficiencies in grant / cooperative agreement performance. The recipient shall also send one copy to the Principal Investigator and one copy to the NRC Project Officer. The Grants Officer must decide the course of action to follow in consultation with the Project Officer (suspend, terminate or continue grant / cooperative agreement performance). No other method exists outside the aegis of this provision to collect the needed information.

e-Termination for Convenience This provision requires the recipient to document a request to terminate the grant / cooperative agreement and submit the request and one copy to the NRC Grants Officer and one copy to the Project Officer and Principal

-Investigator. The Commission then has a written record to respond to and challenge if it is in its best interest. The Grants Officer, in consultation with the Project Officer and Principal Investigator, will come to an 3

understanding with the recipient as to whether to terminate the grant /ccoperative agreement or not. No other method exists to secure this needed information.

Irel This provision requires explicit approval by the Grants Officer prior to foreign travel, regardless of its inclusion in the approved award budget.

No other method exists to secure this needed information, j

The reporting and recordkeeping requirements imposed by the above grant provisions annually affect from approximately 1 to 90 recipients depending upon l

the particular provision. Table i shows the number of respondents for each provision. The information collection requirements do not involve surveys.

Recipients send reports and information to the WRC per award requirements. All information is collected under the above cited provisions. As indicated in the j

individual supporting statements, the information is submitted to the Grants o

Officer with copies going to the NRC Project Officer and legal counsel in some l

instances. In all cases, it is the responsibility of the Grants Officer to review the information and decide on the best course of action to follow, l

3.

Reduction of Burden Throuah InformationJachnoloav Currently no responses are submitted electronically. There are no legal obstacles to reducing the burden associated with this information collection.

However, sensitive information must be protected from improper disclosure and the integrity of the competitive procurement process must be maintained. NRC encourages the use of information technology whenever possible.

4, Effort to identifv Duolication and to Use Similar Information The Information Requirements Control Automated System (IRCAS) was searched to determine duplication and none was found. The nature of the collections does not lend itself to duplication. These provisions are not used in my other legal instrument for agency use other than for grants and cooperative agreements.

5.

Effort to Reduce Small Business Burden The agency grant / cooperative agreement program is not extended to profit making concems, including small businesses. Program participants only include:

nonprofit concems, universities and other institutions of higher learning, professional societies and State and local govemments.

l 6.

Conseauences to Federal Prooram or Policy Activities if the Collection is Not Conducted or is Conducted Less Freauentiv if the requested information is not collected or is collected less frequently, the agency could not adequately track recipient progress or ascertain if the work i

4

being performed is within the general scope of the award or cooperative agreement.

Most provisions (Dispute Review Procedure, Patent Rights, Reporting of Royalties, Changes in Principal Investigator or Technical Objectives, Notice and Assistance Regarding Patent and Copyright infringement, Suspension or Termination for Cause, Termination for Convenience and Audits) require information only in specific, limited circumstances defined in the provision. The I

information is necessary to protect the rights of the parties under the grant or cooperative agreement in those situations. Less frequent reporting of technical progress and financial status removes an effective mechanism needed to monitor l

grant / cooperative agreement performance and initiate appropriate remedial l

action to protect the interests of the Govemment.

7.

Circumstances Which Justifv Variation From OMB Guidelines The numbers of copies required by the provisions are within OMB guidelines for l

all provisions except for Reportina Proaram Technical Performance in order to apprise concerned agency personnel of the progress or lack thereof, to facilitate simultaneous assessment of recipient performance, and to permit timely innation of remedial action, one copy of the final report is sent to DCPM, and three copies are sent to the cognizant technical Program Office. Direct submission by the recipient standardizes dissemination of progress information thus allowing actions to be undertaken to protect the interest of the govemment without delay.

Reports are often large bound books which cannot be reasonably copied and disseminated by the NRC. Therefore, four copies are required to be submitted by the recipient.

8.

Consultation Outside the NRC Notice of opportunity to comment was published March 1,1999 in the Federal Register (64 FR 10027). No comments were received.

9, Payment or Gifts to Resoondents None.

10.

Confidentiality of the Information Information related to patents, inventions, royalties, and copyrights would be protected from improper disclosure.

11.

Justification for Sensitive Q' estions u

Information related to litigation, claims, patent or copyright infringement, inventions, award / cooperative agreement disputes or termination would be sensitive from a legal perspective. Certain cost information, (e.g., salaries, indirect cost rates and fees) would be sensitive from a corporate perspective. All sensitive information is properly filed and safeguarded agn'nst improper 5

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disclosure. This is the Grant's Officer's responsibility. No sensitive personal information is required or requested.

12.

Estimated Burden and Burden Hour Cost Table 1 represents the burden estimates for each provision. Such burden estimates were derived from experience as to the approximate number of recipients / cooperators affected by each particular provision and the approximate number of hours each would have to expend to comply with the requirements of the provision. Total annual cost is estimated to be $129,288.50 (1,068.5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months X

$121/hr).

13.

Estimate of Other Additional Costs No other additional monetary costs are required in order to implement the provisions of the information collection.

i I

14.

Estimated Annualized Cost to the Federal Government The cost to the Agency attributable to the provisions discussed in this supporting l

statement is $30,346.80. Table 2 presents such cost by provision. The cost to the Government for each provision was derived from experience as to the approximate number of hours the grant specialist expends in ensuring that recipients / cooperators comply with a particular provision. The hours were then multiplied by $121/ hour (standard fee recoverable rate for materials licensees) to arrive at the approximate cost to the Govemment.

15.

Reason for Chance in Burden or Cost There is no change in burden.

16.

Publication for Statistical use Not applicable.

17.

Reason for Not Disolavino the Exoiration Date The OMB clearance expiration date is displayed.

18.

Exceptions to the Certification Statement Not applicable.

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS Statistical methods are not used in this collection of information.

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TABLE 1 GRANT / COOPERATIVE AGREEMENT PROVISIONS

PROVISION

" GRANTEE / COOPERATOR NO.OF TOTAL GRANTEE /

BURDEN ANNUAL GRANTEE / COOPERATOR

COOPERATOR ANNUAL RESPONSES-ANNUAL BURDEN Dispute Review Procedure 15 hours1.736111e-4 days 0.00417 hours 2.480159e-5 weeks 5.7075e-6 months 1.5 22.5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months Reporting Program Tech.

15 hours1.736111e-4 days 0.00417 hours 2.480159e-5 weeks 5.7075e-6 months 60 900 hours0.0104 days 0.25 hours 0.00149 weeks 3.4245e-4 months Performance Patent Rights 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months 1

10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months Reporting of Royalties 5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months 1

5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months Changes in Principal Investigator or 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months 1

10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months Technical Objectives Notice and Assistance Regarding 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months 1

10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months Patent and Copyright infringement Procurement Standards 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months 22 66 hours7.638889e-4 days 0.0183 hours 1.09127e-4 weeks 2.5113e-5 months Suspension or Termination for Cause 20 hours2.314815e-4 days 0.00556 hours 3.306878e-5 weeks 7.61e-6 months 1

20 hours2.314815e-4 days 0.00556 hours 3.306878e-5 weeks 7.61e-6 months Terminalion for Convenience 20 hours2.314815e-4 days 0.00556 hours 3.306878e-5 weeks 7.61e-6 months 1

20 hours2.314815e-4 days 0.00556 hours 3.306878e-5 weeks 7.61e-6 months Travel 5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months 1

5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months TOTAL 90.5 per year 1,068.5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months

All figures herein are NRC estimates developed by the Division of Contracts and Property Management.

"The term grantee / cooperator represents those nonprofit organizations, universities, other institutions of higher education, professional societies and state and loca! govemments to which the Agency has awarded grants and cooperative agreements.

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TABLE 2 GRAPT/ COOPERATIVE AGREEMENT PROVISIONS

PROVISION ACTIONS HOURS / ACTION GOVERNMENT STAFF GOV'T COST AT HOURS-ANNUAL

$121/HR Dispute Review Procedure 1.5 25 37.5

$4,537.50 Reporting Program Tech.

60 2

120

$14,520.00 Performance Patent Rights 1

10 10

$1,210.00 Reporting of Royalties 1

3 3

$363.00 Changes in Principal -

1 10 10

$1,210.00 investigator or Technical Objectives Notice and Assistance 1

10 10

$1,210.00 --

Regarding Patent and Copyright Infringement Procurement Standards 22

.9 19.8

$2,395.80 -

Suspension or Termination for 1

20 20

$2,420.00 Cause Termination for Convenience 1

20 20

$2,420.00 Travel 1

.6 0.5

$60.50 250.8

$30,346.80 TOTAL

Ali figures herein are NRC estimates developed by the Division of Contracts and Property Management.

s

g Approved by OMB Clearance No. 3150-0107 -

Expires:

Estimated burden por response: 11.8 hrs.

if a means used to impose an Information collection does not display a currently va!id OME, control number, the NRC may not conduct or spcosor, and a person is not required to respond to the information collection.

ORANT/ COOPERATIVE AGREEMENT PROVISIONS

1. Disnute Review Procedure a.

Any request for review of notice of tennination or other adverse decision should be addressed to the Orants Officer, it must be postmarked no later than 30 days after the postmarked date of such notice, b.

The request for review must contain a full statement of the recipient's position and the pertinent facts and reasons in suppon of such position.

c.

The Orants Officer will promptly acknowledge receipt of the request for review and shall forward it to the Director, Office of Administration, who shall appoint a review -

committee consisting of a minimum of three persons, d._

Pending resolution of the request for review, the NRC may withhold or defer payments under the award during the review proceedings, e.

The termination review committee will request the Orants Officer who issued the notice of termination to provide copies of all relevant background materials and documents. It may, at its discretion, invite representatives of the recipient and the NRC program office to aiscuss peninent issues and to submit such additional information as it deems appropriate. The chairman of the review committee will ensure that all review activities or proceedings are adequately documented.

f.

. Based on !(s review, the committee will prepam its recommendations to the Director, Office of Administration, who will advise the parties of his/her decision.

- II. Renortina Program Technical Performance Recipients are responsible for the performance under awards and other agreements arid, where appropriate, must ensure that time schedules are being met, projected wwk units by time periods are being accomplished, and other performance goals are being achieved.

1 y

_w.-a

a.

Freauency of Performance Reoorts Performance reports will be submitted in letter format within 30 calendar days after the end of every second calendar quarter of the performance period and a final report no later than 90 days after the expiration date of the award period Indicated on the face page, b.

Caples of Performance Reports One copy of the letter report shall be submitted to the Division of Contracts and Property Management, three copies to the NRC Program Office (at the address indicated on the face page).

c.

Content of Performance Reoort The report content shall be as follows:

(1)

A comparison of actual accomplishments with the goals established for the period, the findings of the investigator, or both. If the output of programs or projects can be readily quantified, such quantitative data should be related to cost data for computation of unit costs.

(2)

Reasons why established goals were not met.

(3)

Other pertinent information including, when appropriate, analysis and explanation 2

of anticipated cost overruns or high unit costs.

(4)

Between the required performance repoiting dates, events may occur that have significant impact upon the project or program. In such instances, the recipient shall inform the Nuclear Regulatory Commission as soon as the following types of conditions become known:

a.

Problems, delays, or adverse conditions that will materially affect the ability to attain program objectives, prevent the meeting of time schedules and goals, or preclude the attainment of project work units by established time periods. This disclosure shall be acccmpanied by a statement of action taken, or contemplated, and any Federal assistance needed to resolve the situation.

b.

Favorable developments or events that entble time schedules to be met soonen than anticipated or more work units to be produced than originally projected, c.

If any performance review conducted by the recipient discloses the need for change in the budget estimates in accordance with the criteria l

established in Subpart C. Post Award Requirements, Financial and Procram Manacement (25) to Circular A 110, the recipient shall submit a request to the Grant' Ricer for budget revision.

d.

Publication of Results The general conditions of the assistance instrument will specify the publications requirements of the award and a provision for the awarding to the Government a royalty free, nonexclusive, irrevocable license to reproduce, translate, publish, use and dispose of all copyrightable material first produced or composed in the recipient's performance under the award or cooperative agreement.

Recipients may be required to produce reports to be published by NRC in accordance with the provisions of NRC Management Directive / Handbook 3.8 or be given the option of publications in a recognized technicaljoumal. Eachjournal article submission must be accompanied by the following statement, "The submitted manuscript has been authored by a recipient of the U.S. Govemment under Award No.

. Accordingly,the U.S. Government has a nonexclusive, royalty free license to publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Govemment purposes."

All open literature publications prepared under this award shall contain the following statement:

"This paper was prepared with he support of the U.S. Nuclear Regulatory Commission (NRC) under Award No.

The opinions, findings, conclusions and recommendations expressed herein are those of the author (s) and do not necessarily reflect the views of the NRC.

If requested by the journal or other publisher to transfer the copyright, the author shall respcnd to the journal or other publisher, in writing, in accordance with the sample letter shown below:

Sample letter on Copyright Agreement

==Dear

==

We recently received a document for signature assigning copyright and republication rights in the submitted article (title) to (name of publication). This letter is offered in lieu of the document as a means of completing the transfer of ownership. Accordingly, we hereby expressly transfer and assign our rights of ownership in the above cited work to (name of publisher).

You are advised, however, that the above assignment and any publication or republication of the above cited work is subject to the following Government rights:

The submitted manuscript has been at".hored by a recipient of the U.S. Govemment under award No.

. Accordingly, the U.S. Govemment has a nonexclusive, royalty free license to publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Govemment purposes.

Sincerely, e.

Renrints of Publications b

At such time as any article resulting from work under the award is published in a scientific, technical or professional joumal or publication, two reprints of the publication -

should be sent to the cognizant NRC Project Officer, clearly labeled with the award number and other appropriate identifying information.

III. Patent Riehta a.

Definitions (1)

"Invention" means any invention or aiscovery which is or may be patentable or othenvise protectable under Title 35 of the United States Code (USC).

4 (2)-

" Subject Invention" means any invention of the tecipient conceived or first actually reduced to practice in the performance of work under this AEatd.

(3)

- Practicable Application" means to manufacture in the case of composition or product, to pactice in the case of a process or method, or to operate in the case of a machine or system; and, in each case, under such conditions as to establish that the invention is being utilized and that its benefits are to the extent permitted by law or Govemment regulations, available to the public on reasonable terms.

l.

s.

......i...

(4)

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

(5)

"Small Business Firm" means small business concem as defined in Section 2 of Public Law 85 536 (15 USC 632) and implementing regulations of the Administrator of the Small Business Administration. For the purpose of this clause, the size standard contained in Federal Acquisition Regulation Subpart 19.102 for small business concems involved in Govemment procurement and for subcontracts will be used.

(6)

"Non Profit Organization" means universities and other institutions of higher education of an organization of the type described in Section 501(c)(3) of the Intemal Revenue Code of 1954 (26 USC 501a) or any non profit scientific or educational organization qualified under a state non profit organization statute, b.

Allocation of Princloal Riehts The recipient may retain the entire right, title, and interest throughout the work to each subject invention subject to the provisions of this clause. With respect to any subject invention in which the recipient retains title, the Federal Govemment shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for

.or on behalf of the United States any subject invention throughout the world for which the recipient has elected to retain title, c.

Invention Disclosure Election of Title and Fillne of Patent Anolications by Recinient (1)

Aften a subject invention has be:n disclosed in writing by 'he inventor (s) to Indpital personnel responsible for the administration of patent matters, the recipient will:

(i)

Disclose such invention to the Nuclear Regulatory Commission (NRC) within six months-i (ii)

Ele ( t whether or not to retain any such invention by notifying the NRC witnin twelve months of disclosure to the recipient; (iii)

File its initial patent application on an elected invention within two years rJter election; and (iv)

File patent applications in additional countries within either ten months of the corresponding initial patent applicat;on, or six months from the date a license is awarded by the Commissioner of Patents and Trademarks to file foreign patent applications when seh filing was prohibited for security reasons.

n e-

i (2)

Notwithstanding the requirements of subparagraph c.(1) above:

(i)

Disclosure to the NRC shall be made immediately after recipient personnel responsible for the administration of patent matters become aware of any manuscript describing the invention accepted for publication, or any duplication, or sale or public use of such invention; and (11)

In any case where publication, sale, or public use has initiated the one year statutory period wherein valid patent protection can still be obtained in the United States, the period for election of title and filing of a United States patent application'may be shortened by the NRC to a date that is no more than 45 days prior to the end of the statutory period.

(3)

Requests for extension of the time for disclosure to the NRC election and filing, where reasonable, will nonnally be awarded.

(4)

The disclosure to the NRC shall be in the form of a written report and shall identify the award under which the invention was made and the inventor (s), it shall be sufficiently complete in technical detail to convey a clear understanding of the nature, purpose, operation, and, to the extent known, the physical, chemical, biological or electrical characteristics of the invention. The report shall also i

l identify any publication, sale or public use of the invention and whether a l

manuscript describing the invention has been submitted for publication and accepted at the time of disclosure.

E d'

Forfeiture of Title

(

(1)

The recipient will convey to the NRC, upon written request, title to any subject I

invention:

l (i)

. If the recipient falls to disclose or elect the subject invention within the times specified in c. above, or elects not to retain title.

(ii)

In those countries in which the recipient fails to file patent applications I

within the times specified in c, above, provided however, that if the recipient has filed a patent application in a country after the times specified in c. above but prior to its receipt of the written request of the NRC, the recipient shall continue to retain title in that country; or

_ (iii)

In any country in which the reciolent decides not to continue the

. prosecution of any application for, to pay the maintenance fees on, or defend in a reexamination or opposition proceeding of a patent on a subject invention.

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c.

Minimum Richts to Recloient The recipient will retain a nonexclusive, royalty free license throughout the world in each subject invention to which the Govemment obtains title except if the reciolent falls to disclose the subject invention within the times specified in c. above. This license may be revoked and tranferred, in accordance with applicable procedures.

f.

Recipient Action to Protect Govemment's interest (1)

The recipient agrees to execute or to have executed and promptly deliver to the NRC allinstmments necessary to:

(i)

Establish or confirm the rights the government has throughout the world in those subject inventions for which the contractor retains title; and (ii)

Convey title to the NRC when requested under d. above and to enable the Govemment to obtain patent protection throughout the world in that subject invention.

(2)

The recipient agrees to require, by written agreement, its employees, other than clerical sind non technical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the recipient, each subject invention made under this award in order that the recipient can comply with the disclosure provisions of c. above and execute all pspers necessary to file patent applications on subject inventions and to establish the Govemment's rights in the subject invention;. The disclosure format should require, as a minimum, the informatica requested by subparagraph c.(4) above. The recipient shall instruct such employees through the employee agreements or other suitable educational programs on the imponance of reponing inventions in sufficient time to permit the filing of patent applications prior to U.S. or foreign statutory bars.

(3)

The recipient will notify the NRC of any decision not to continue prosecution of a patent application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a patent, in any country, not less than thirty days before the expiration of the response period required by the relevant patent office.

(4)

The recipient agrees to include, within the specifications of any United States patent application and any patent issuing thereon covering a subject invention, the following statement, "This invention was made with Government support under (identify the award) awarded by the Nuclear Regulatory Conmdssion. The Government has certain rights in this invention."

g.

Subcontracu (1)

The recipient will include this clause, suitably modified to identify the panics, in all subcontracts, regardless of tier, for experimental, developmental or research work to be performed in the United States by a small business firm or a non profit organization. The subcontractor will retain all rights provided for the recipient in this clause, and the recipient will not, as part of the consideration for awarding the subcontract, obtain rights in the subcontractor's subject inventions.

(2)

The recipient will include in all other subcontracts, regardless of tier, for experimental, developmental or research work the appropriate patent rights clause required by Federal Acquisition Regulation Subpart 27.303.

h.

Reporting on Utilization of Sublect Inventions The reciolent agrees to submit on request periodic reports no more frequently than annually on the utilization of a subject invention or on cffons at obtaining such utilization that are being made by the recipient or its licensees or assignees. Such reports shall include information regarding the status of development, date of first commercial sale or use, gross royalties received by the recipient, and such other data and information as the NRC may reasonably specify. The recloient also agrees to provide additional reports as may be requested by the NRC in connection with any march in proceeding undertaken by the NRC in accordance with paragraph J. of this clause. To the extent data or information supplied under this section is considered by the reciolent, its licensee or assignee to be privileged and confidential and is so marked, the NRC agrees that, to the extent permitted by 35 USC 202(c)(5), it will not disclose such information to persons outside the Government, i.

Psference for United States Industry Notwithstanding any other provision of this clause, the recipient agrees that neither it nor any assigr,ee will award to any person the exclusive right to use or sell any subject invention in the United States unless such person agrees that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the United States. However, in individual cases, the requirement for such an agreement may be waived by the NRC upon a showing by the recipient or its assignee that reasonable but unsuccessful efforts have been made to award licenses or similar terms to potential licensees that would likely to be manufactured substantially in the United States or that under the circumrtances domestic manufacture is not commercially feasible.

J.

March in Rinhts The recipient agrees that with respect to any subject invention in which it has acquired title, the NRC has the right in accordance with the applicable procedures that require the

recipient, an assignee or exclusive licensee of a subject invention to award a non-exclusive, partially exclusive, or exclusive license in any field of use to a responsible applicam tv applicants, upon terms that are reasonable under the circumstances. If the recipient assigns, or exclusive licensee refuses such a request, the NRC has the right to award such a license itselfif the NRC determines that:

(1)

Such action is necessary because the recipient or assignee has not taken, or is not expected to take within a reasonable time, effective steps to achieve practical application of the subject invention in such field of use; (2)

Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the recipient, assignee, or its licensees; (3)

Such action is necessary to meet requirements for public use specified by Federal regulations and such requirements are not reasonably satisfied by the recipient, assignee, or licensees; or (4)

Such action is necessary because the agreement required by paragraph 1. of this clause has not been obtained or waived or because a licensee or the exclusive right to use or sell any subject invention in the United States is breach of such agreement, k.

Special Provisions for Awards with Non Profit Orcanirctions If the recipient is a non profit organization,it agrees that:

(1)

Rights to a subject invention in the United States may not be assigned without the approval of the NRC, except where such assignment is made to an organization, which has as one of its primary functions the management ofinvent%ns, and which is not itself engaged in or does not hold a substantial itcts.st in other organizations engaged in the manufacture or sale of products or the use of processes that might utilize the invention or be in competition with embodiments of the invention (provided that such assignee will be subject to the same provisions as the recipient);

(2)

The recipient may not award exclusive licenses under United States patents or patent application in subject inventions to persons other than small business firms for a period in excess of the earlier of:

(i) five years from commercial sale or u>e of the invention; or (ii) eight years from the date of the exclusive license excluding that time before regulatory agencies necessary to obtain pre market clearance, unless on a case by-case basis, the Federal agency

approves a longer ?xclusive license. If exclusive field of use j

licenses are awarded, commercial sale or use as to other fields of use, and a first commercial sale or use with respect to a product of the invention will not be deemed to end the exclusive period to different subsequent products covered by the invention.

(3)

The recipient will share any royalties collected on a subject invention with the inventor; and j

(4)

The balance of any royalties or income by the recloient with respect to subject inventions, after payment of expenses (including payments to inventors) :ncidental to the administration of subject inventions, will be utilized for the suppon of scientific research or education.

IV, Reconine of Royalties if this award is in an amount which exceeds $10,000 and if any royalty payments are directly involved in the award or are reflected in the award price to the Government, the recipient agrees to repon in writing to the Patent Counsel, NRC (with notification by Patent Counsel to the Grants Officer) during the performance of this award and prior to its completion or final i

settlement, the amount of any royalties or other payments paid or to be paid by it directly to others in connection with the performance of this award, together with the names and addresses oflicensors to whom such payments are made, and either the patent numbers involved or such other infomiation as will permit the identification of the patents, or other basis on which the royalties are to be paid. The approval of NRC of any individual payments or royalties shall not stop the Govemment at any time from contesting the enforceability, validity or scope of, or title to, any patent under wh8ch a royalty or payments are made.

V. Channes in Princioal Investleator or Technical Obiectives a.

The recipient shall be permitted to change the methods and procedures employed in i

performing the research without the need to make special repons on proposed actions or obtain NRC approval. Significt.nt changes in methods or procedures shall be reponed to NRC in status repons and final technical repons. However, in the event the methodology or experiment is proposed as a specific stated objective of the research work, it shall not be changed without approval of the Grants Officer, j

b_

The stated objective of the research effort shall not be changed, except with the approval of the NRC Grants Officer.

l c.

The phenomenon or phenomena under study, i.e., the broad category of research, shall not be changed except with the prior approval of the NRC Grants Officer.

1.

d.

The recipient shall obtain the approval of the NRC Grants Officer to change the principal investigator, or to continue the research work during a continuous period

_. _ __, a

In excess of three months without the panicipation of an approved principal investigator, e.

The recipient shall consult with the NRC Grant Officer if the principal investigator plans to, or becomes aware that he will devote substantially less effort to the work than that anticipated in the approved award. If NRC determines that the reduction of effort would substantially impair the successful performance of the research, it may request a change of principal investigator or other appropriate modification of the award or may suspend or terminate the award pursuant to the clause VIII and IX herein entitled, Susoension or Termination for Caug and Tsrmination for Convenience.

VI. Notice and Assistance Renardinn Patent and Coovrinht Infrinnement The provisions of this clause shall be applicable only if the amount of this award exceeds

$10,000, n.

The recipient shall repon to the Grants Officer, promptly and in reasonable written detail, each notice or claim of patent or copyright infringement based on the performance of this award of which the recipient has knowledge, b.

In any event of any claim or suit against the Government on account of any alleged patent or copyright infringement arising out of the performance of this award or out of the use of L

any supplies fumished or work or services performed hereunder, the recipient shall fumish to the Government when requested by the Grants Officer, all evidence and l

information in possession of the recipient pertaining to such suit or claim.- Such evidence and information shall be furnished at the expense of the Government except where the recipient has agreed to indemnify the Government.

c.

This clause shall be included in all subcontracts.

VII. Procurement Standards a.

NRC recipients shall follow the requirements of Subpart C Post Award Requirements, Procurement Standards to OMB Circular A 110.

b.

= In addition, unless these provisions provide othenvise, prior written approval shall be obtained from the NRC Grants Officer before:

(1)

Any of the research or other substantive project effon is contracted or otherwise transferred.

l (2)

- Contracting for the commercial production or distribution of books, films, or similar materials.

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c.

NRC approvals will be made by the Grants Officer, who will specify which requirements of this award must be flowed down to satisfy the purposes of OMB Circular A 110.

d.

Recipient requests for approvals shall include an explanation of the need for the contracting, a proposed performance statement, justification for the price or estimated cost (including a detailed budget for cost reimbursement type arrangements), and the basis for selecting the contractor.

VIII. Susoension or Termination fc,r cause a.

When in the opinion of NRC, a recipient has materially failed to comply with the terms and conditions of a award, NRC may (1) suspend the award or (2) terminate the award for Ca".se, b.

NRC prefers that deficiencies be corrected whenever practicable. When it is believed that a recipient has failed to comply with one or more of the terms and conditions of an award, the Grants Officer will advise the recipient by letter of the nature of the problem and that failure to correct the deficiency may result in suspension or termination of the award.

The recipient will be requested to respond in writing within 30 days of receipt of such letter, describing the action taken or the plan designed to correct the deficiency. Copics

- of such correspondence will be furnished to the Principal Investigator (PI) and the NRC Project Officer. If a timely satisfactory response is not received, the Grants Officer may issue a suspension notice. The notice of suspension will be sent by cenified mail (return receipt requested) to the recipient with a copy to the PI. The notice will set fonh the activities covered under the suspension and its effective date, and the corrective action required by the recipient in order to lift the suspension. However, this policy does not preclude imiaediate termination when such action is reasonable under the circumstances and necessary to protect the interests of the Govemment.

c.

'If an award is suspended pursuant to this article, no obligations incurred by the recipient during the period of suspension will be allowable under the suspended award other than necessary and proper costs that the recipient could not reasonably avoid during the period of suspension; provided that such costs would otherwise be allowable under the applicable Federal cost principles, d.

The suspension will remain in effect for a maximum of 90 days during which time the recipient will take corrective action to the satisfaction of NRC or give assurances satisfactory to NRC that corrective action will be taken. In that event, the Grants Officer will issue a notification to the recipient that the suspension is lifted, e.

In the event the deficiency is not corrected to the satisfaction of NRC, the Grents Officer

' may issue a notice of termination. The notice will establish the reasons for the action and its effective date.

[_._.

6

f.

If an award is terminated pursuant to this article, financial obligations incurred by the recipient pdor to the effective date of termination shall be allowable to the extent they would have been allowable had the award not been terminated, except that no obligation incurred during the period in which the award was suspended (except those allowed pursuant to c, above) will be allowed. The settlement of termination costs will be in accordance with the applicable Federal cost principles.

g.

Within 90 days of the effective date of termination. the recipient will furnish an itemized accounting of funds expended for allowable costs prior to the effective date of termination and the unexpended award balance.

IX.

Termination for Convenience a.

Circumstances may arise in which either NRC or the recipient wishes to terminate its performance of a project in whole or in part. If both parties agree, the award may be terminated by mutual agreement.

b.

If the recipient wishes to terminate the project, it shall advise the NRC Grants Officer, with a copy to the cognizant NRC Project Officer, c.

If NRC wishes to terminate the project, the Grants Officer will advise the recipient with copies to the PI and the cognizant NRC Project Officer, d.

Within 30 days after receipt of a request froin either pany for termination by mutual agreement, other pany will provide an appropriate writton response.

e.

In the event of disagreement between parties, the Director, Office of Administration, will e

make a final decision subject to the review procedures described in the article entitled

" Dispute Review Procedure."

f.

The recipient shall not incur new obligations for the terminated ponion after the effective date and shall cancel as many outstanding obligations as possible. The Nuclear Regulatory Commission shall allow full credit to the recipient for the Federal share of the noncancellable obligations, properly incurred by the recipient prior to termination.

X.

Imtl a.

Domestic travel is an appropriate charge to this award, and prior authorization for specific trips is not required. Foreign travel must be clearly essential to the award effort and must have prior explicit approval of the Grants Officer to be charged against this award, regardless of its inclusion in the approved award budget, b.

All common carrier travel reimbrsable hereunder shall be via the least expensive class rates consistent with achieving the objective of the travel. If not available, reimbursement

=

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i i

vouchers will be annotated that economy class accommodations were not available.

Fust class air travel is not authorized.

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