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/pa4099#o, UNITED STATES
! ' 7. NUCLEAR REGULATORY COMMISSION
{ i WASHINGTON. D. C. 20066 NOV 2 61980
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Gentlemen:
Subject:
Request for Proposal No. RS-NMS-81-030 Entitled: Analysis of Safeguards Needs for Transport of High Level Waste Tht: U. S. Nuclear Regulatory Comission (NRC) is soliciting proposals for the project entitled above. The full scope of work anticipated is as set forth in that part of the Request for Proposal entitled, " CONTRACT SCilEDULE - STATEMENT OF WORK." It is our intention by this solicitation to secure the tion available to perfom this project, cost and other,best qualified factors organiza-considered. If you desire to respond, your proposal should address the proposal content requirements set forth in the body of the solicitation. All proposals will be evaluated against the evaluation criteria shown in Part II. For your convenience, an "RFP Sumary" has been provided as Enclosure A. Instructions for completing and submitting your proposal are provided in Enclosure B. Should you determine that you do not wish to submit an offer, a "NO-OFFER RESPONSE FORM" is provided as Enclosure C. The solicitation package is included as Enclosure D. If you have any questions concerning the re please contact Mrs. Joanne Keyser, at (301)quirements of thiscalls 427 4480 (collect solicitation, will not be accepted). Sincerely,
/
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,a D.J, Doughert .! , Chi Technichl As stance Contracts Branch DivisJdnofContracts -
Office of Administration
Enclosures:
A. RFP Sumary B. Proposal Submission Instructions C. NO-0FFER RESPONSE FORM D. Solicitation Package (Standard Form 33 with Attachments) 8512120143 851112 PDR FOIA - MILLAR 84-682 PDR
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PROJECT DESCRIPTIVE SUMMAfiY Office: NMSS Number: NMSS 02-9 PROJECT TITLE: Analysis of Safeguards Needs for Transport of High-Level Waste TYPE OF CONTRACT: Competitive CONTRACTOR: Battelle Columbus FIN N0(S): B6990 FY BUDGET (X): FY 81 FY 82 FY 83 FY 84 FY 85 PRIOR: 60 60 OPERATING: 28 FOLLOW-0N: 0 0 SCOPE OF WORK: This is a three-phase study to determine the safeguards needs, if any, for protection of High-level Waste (HLW) during trans-port. In the first phase, initiated in FYS1 and now complete, current studies on LWR and other alternate fuel cycles were reviewed and screened to determine the types of HLW generated by these cycles and the various waste handling techniques that might be applied to each (e.g., vitrification, calcification, etc.). These candidate HLW types were then assessed to determine which, if dispersed malevolently, would produce consequences of suf-ficient severity to warrant consideration of safeguards measures. The product of this phase was a rank ordering of various types of HLW in terms of their relative potential for affecting public health and safety. The second phase of the project will analyze in detail the potential consequences of malevolent dispersal of HLW during transport operations. The analyses will develop and consider for cach of the HLW types identified in phase one, the fom(s), amount (s), potential cask designs that might be used for ship-ment of these materials, conditions of shipment, and other per-tinent factors affecting transp.~t operations. The objective of this phase is to estimate the potential consequences associated with sabotage during transport of each of the types of high level waste identified in phase one. T he original contract schedule is being modified to allow use of infonnation from experimental measurement of the quantity and fann of high level waste likely to be released as a result of explosive sabotage, thereby reducing uncertainties and eliminating some assumptions that would otherwise be present. The contract budget is not affected.
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In the third phase, study results will be evaluated to determine whether or not consideration of safeguards for protection of HLW shipments are warranted. If safeguards are considered necessary, current transportation safeguards will be reviewed, candidate safeguards systems for HLW will be defined, and cost / benefit
- assessments will be made.
This effort will provide a technical basis upon which a determina-BENEFIT: tion of safeguards needs for protection of high-level waste during transport can be made. Initiation of this project could help to
,, assure that safeguards,. if needed, would be developed and promul- '
If not undertaken, there is a potential gated in a timely minner. of a gap in the national safeguards program. A detailed and objective evaluation of the need for safeguards USER NEED: for high-level waste during transport will provide l Study resultsthe firstdocu-would step in the regulatory development process. ment whether or not further steps are required. PRIOR AND RELATED NRC PROJECTS: NRC sponsored projects on Safeguards for High-level Waste Repositories These an Shipping Cask Sabotage Source Tenn Assessment are related to this effort. studies will provide a data base on the potential for assessing the magnitude of such effects. INTERAGENCY COORDINATION AND INTEREST _: The Department of Energy, through their Transportation Technology Departme Sandia Laboratories, conducts a broad program on nuclear mat during transport operations. tion exchange to assure dissemination of HRC oped and to preclude duplication of effort. i 4 i l l 9 I l . l4 l l
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RFP Sup044RY The following sununary provides a general description of this requirement. i Further detailed infomation is fumished in the applicable sections of the RFP. RFP N0.: RS-NMS-81-030 RFP TITLE: Analysis of Safeguards Needs for Transport of High Level Waste 4 8RIEF STATEMENT OF WORK: The NRC is undertaking several related studies to provide detailed analyses of safeguards needs for specific nuclear materials in production, transport or use by the consnercial nuclear j power industry. These studies address specific regulatory concerns, i.e., the need to confirm or refute current safeguards needs for High Level Waste in Repositories, Byproducts and Small Quantities of Special i Nuclear Materials (SNM),High Enriched Urrnium facilities, and graded physical protection measures. RFP RESTRICTIONS: 6 Unmstricted O Mandatory Small Business and Small Disadvantaged Business Subcontracting ! O Set-Aside . Total Small Business - Labor Surplus Area Set-Aside Total Small Business Set-Aside Partial Small Business Set-Aside ISSUE DATE: November 26, 1980 CLOSING DATE/ TIME: December 30, 1980 ESTIMATED LEVEL OF EFFORT: 2.2 person years PERIOD OF PERFOMANCE: 32 months PROPOSAL ACCEPTANCE PERIOD: 120 days , ANTICIPATED AWARD DATE: May 30,1981 ' TYPE OF CONTRACT ANTICIPATED: Cost Reimbursement SECURITY REQUIREMENTS: Secret / National Security Information PRE-PROPOSAL CONFERENCE: Not applicable I TELEGRAPHIC RESPONSES ARE NOT AUTHORIZED. i i ENCLOSURE A
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PROPOSAL SU8 MISSION INSTRUCTIONS The following instructions are provided as a summary guide to assist the offemr in the submission of a proposal but they do not supersede those instructions contained in the solicitation package. The instructions contained throughout the " solicitation package" (Enclosum D to the cover letter) shall govern in all instances where e contradiction exists. . DOCUMENTS REQUIRED IN PROPOSAL
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-- One (1) original signed copy o.f the solicitation package, i.e., Standard Form 33 with attachments.
-- Or.e (1) original and six ( 6) copies each of the Technical and Cost Proposals.
OFFER 0R " FILL-IN!"
-- Offeror must complete Block Nos. 16,17,18,19, and 20 of the SF-33 along with completion of all mpresentations and certificat1cas contained on pages 2 through 8 of the solicitation package.
-- Part !Y, Attachment #4, " Proposal Sumnary and Data Sheet," is to be completed by the offeror.
- It is requested that the " Optional Fom 60" pmvided in Part IV be used in submission of the Cost Proposal.
NOTE: The offer must set forth full, accurate, and complete information as required by this solicitation (including attachments). The penalty for making false statements is prescribed in 18 U.S.C.1001. TRANSMITTING 0FFER0R'S PROPOSAL
-- All offers should be addressed as indiceWti in Block 7 of the Standard Form 33.
-- The envelope used in submitting your proposal must be plainly marked with the solicitation number, the time, and date set forth in the solicitation document '
(Block 9 of the Standard Form 33) and the following notation: " Mail Room - Do Not Open."
-- Hand-carried solicitations - Hand-carried offers should be addressed as indi-cated in Block 7 of the Standard Form 33 and delivered to:
U. S. Nuclear Regulatory Commission i ' Division of Contracts ATTN: Mrs. Joanne M. Keyser Room 370 7915 Eastem Avenue Silver Spring, MD 20910 0 DONOTHANDDELIVERJ0SU!LDINGSECURITYGUARDS. PHorlE X-74480- AT TRE~WAFUE5K. Telegraphic proposals are not authorized, and if submitted, such proposals shall
- be rejected.
ENCLOSURE B ! 4 i s ' l *; , l
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NO-OFFER RESPONSE FORM l RFP NO.: RS-MMS-81-030 TITLE: Analysis of Safeguards Needs for Transport of High Level Waste ! Please review the enclosed RFP. If you do not desire to suWt a proposal, , complete the section below, fold this sheet as indicated on the reverse, staple, affix postage, and mail back to the NRC. Gentlemen: Please be advised that we do not desire to suturit a proposal for the above RFP. We / / desire MaiTTiig List. /""7 do not desire to be retained on the NRC Contractor 81dders' L_/ We desire to be placed on the NRC Contractor Bidders fiailing List. Name of Organization: Authorized Signature: Typed Name and
Title:
Date: . ENCLOSURE C _ = . _ . . . . _ . . . . . .____ . . . _ . _.. . .. . . . . . . . .
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TABLE OF CONTENTS RFP NO. RS-NMS-81-030 PART I - GENERAL INSTRUCTIONS Standard Form 33, " Solicitation, Offer, and Award";
" Representations, Certifications, and Acknowledgments" -
I PART II - SOLICITATION INSTRUCTIONS AND CONDITIONS Standard Form 33A, " Solicitation Instructions and Conditions"
--Proposal Presentation and Format
--Business / Technical Proposal Instructions
- --Evaluation of Proposal PART III - CONTRACT SCHEDULE Article I - Statement of Work j Article II - Period of Performance Article III - Consideration and Payment
- Article IV - Overhead / General and Administrative Rates l Article V - Private Use and Protection of Unclassified
" Government Information Article VI - Key Personnel Article VII - Technical Direction
- Article VIII - Project Officer j Article IX - Security 1 Article X - Classification j Article XI - Security Requirements Associated with Subcontracting 4
Arrangements Article XII - Quality Assurance Procedures Article XIII - Conflict of Interest 4 Article XIV - Travel Reimbursement
. Article XV - General Provisions / Alterations PART IV - ATTACHMENTS NRC Contractor Organizational Conflicts of Interest Attachment 1 -
(41 CFR Part 20) ; A j Optional Form 60 Attachment 2 Proposal Summary and Data Sheet Attachment 3
- General Provisions Attachment 4 i *NRC Manual Chapter 3202 Attachment 5 NRC Form 187 - Security / Classification Requirements Attachment 6
) *Please note that in order to reduce printing costs, only one copy of this document is included with this solicitation. Please retain it for your l files since any contract awarded as a result of this solicitation will also contain this document by reference. ENCLOSURE D 1
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\ Coot [ 1 l as serart of coset.act.no aprece. ,ry .r.mies ( 33, LggTgg STATES OF Amen 9CA 33 8.pa.O onre SY iS>enerure or comr.ct.t ottacarI as-isi a.. sesi p. p.ss. 33 Pee. , ingv s.rn
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REPRESENTA u susse. CEri s es IGA ii-- AW " - = se REPRESE.isTATIONS (Checa or conessere a# asehesade aseno er afores.1 i The offe or reswesents as sort of has offer teset. '
- 1. SMALL SUB40stSS ISee ser id on SF M.A.1 he C is. 2 is not. a small bus. ness conorm. If offerot es a smell business coneem and es no' the manufacturer of the supobas offered, he aseo reyesents that ?,8 susseses to be fumsshed herevneer C well, C wife not, he manufossestered or tirosuced by a smelt buemees ognorm m tne uneted States .s posseessons, or Puerto Rico, i
- 2. Mea 60RITY SUSINESS ENTERPRISE l Pte C as. C ss not, a menersty buesness enterprses. A menority busanoes artterprese as defsned as a *1pusenses, at seest to percent of wheen i is owned by menority grows mammers or.m case of puttiety ownsel huesnesses, at emnet 51 sereeni of the stock of wheen is owned bymnority Foue mommer
- 7 For the purpose of thes estemten. minersty youp mommers are Negroes, Sonnish4peakms American eersons 4
Amorecen Orientais. American-endiens, American Eskwnos,and American Aamuts i
- 3. REGULAR DE ALER - htANUFACTURER IAmedicaede only to aumely contracts eecesarng $10,000.1 Me es a C repuser oesses en D menvincturer of, the supphes offered.
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- 4. CONTINGENT FEE iser oor.15 on SF 33.5/
sae Me C has. O has not, emosoyed or retamed any commeny or persons (o#her t9an a tuts time cona Iss.ie emoforce isorkeng sodely for the otteron to sciacit or secure this contract, and (b) he C has.C hos not. seed or areed to pov any company or serson torner then * /sw. reme cons 1,tre emosover incremp sodesy for tne offeror / eny fee, commessen. percentage, or oroeierage fee contmeent 5,oon or resultmg from the awere of this contract; ans ayees to fu nesh info meten reestans to tal and itH amose, as reevested by the contractmg Offearr. (Interpre-
*tetoon or the recreerntatoort onctuemg the term *nono fear ente 60per,"see Gene of Feenrolliepuentens, fotdo 41, Suenert ! 1.5.1 f 5. TYPE OF SUS 8 MESS ORGANIZATION
} He onorates as C en andevieuel, C a sortnership, C a nonprofet orgeneasten, C a corporation, meerporated unoer the eaws of the State j of S. APPil.lATION AND IDENTIFYING DATA (Anodscoede .mty to severtised soteestatior:s s Ea:n otteror snati comosese tal and tel of apotecanee, and ici beeow:
,lar He C es, C es not, owned or conteehed by a parent commeny. ISoo mer.16 on SF U A.,
4 las if tre offeror es owned or controssed by a perent commeny, he shell enter m the beocus beeow the nome and mam effice address of the potent commeny; i i
*maass 08 maasse, conssaae.,
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.w was. ce c.mics o noone iC. sesskovea a spe=Tesacas one sessmen see nem er.s= si aba, osermon s a , no peersr consese, s a , no
- 7. SQUAL OPPORTUpglTY I:' W D *- M + , mTm1 r : r- m ~~~~ ae **raaerset mm.se, em. *a m. saaes Onanctunity clause herem or ,
the clause orsesneiev contesned in section 301 of Eescutwe Orser No.10025, or the casuee contamed en Soceson 201 of Emacutwe Order ho 11114, that he O has. O has not, fieed asi ruovired comesiance resorts; and thet resresentateas mdecetmo esemrosen of reimrod comosience reports. ssened by proposed outeensrectors, well be osseened erser to suecontract awares. (The aeove representaten need not to suemetted m [ oormecten with genersets or esteentracts whsch are esemst from sie eeuel oggertasnety classe i i (b) The tedeer for offeror) regrements that (1) he O has esvatesed and hos on face. C hos not devotoners and ooes not have on f 66e. at I esen estacleshment affirmative setson proyoms as recuerest by the rules and regulatsons of the %ecretary of Later 141 CFR 60-1 and 80 21 or l 121 he O has not provsovely had contracts suspect to the wretten affirmatsve acten programs recuerement of the rules anc regulatens of the , Secretarv of Lamor iThe acoev represensoren shett me congedesest er earn asemer for o#4reri menose arcr (ofkr/ ts 380JXW or more ano sono nos
- 60 ormore emo@vens I l
GEftTIFICA s .r- ICheca or - L.. at/ - -
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- 1. SUV AAWRICAN CERTIFICATE The offeror sortif.es as part of hes offer, thet: sech ene product, essept the end products tested nosow, es a domestic end eroduct las esimed m the clause entitled **Suy Amoreen Act**).and that components of unkneuen orsom have been consedered to have been rmned, proeveed, or manufactured cutseee the United States.
esc 6uosoessesecoucfs cowarov of onesas seeneere Form 33 Paes 2148v. 3 771 Page 2 of 8 e "y
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- 2, CLEAN AIA ANO WATER (hm= ,/ the eser or o#er wrcessa I unen" an snetinate quasary conerect un any rear eneu encoenf $100.000,3100.000.or tne conwaremy o#scoa ha or a locarry to be used has home the auernet of a conwarteen under or tne Oner os not otnerienee Aw Act enemet.) (d2 U.L C ISE?ic-0feltIller she fenovat nimeer reduoen Connot Act (23 U.1C 131 ,
l The bidder or offeror certifies as fodows protection Agency List of v osanne Fasilities.tal Any feelity to be utdeaed m the performenos of mes po . (b) He weil pomotty notify the contractme officer, prior to award.of me reesist of any ammmumeenen from th Feoeres Actenties Envwonmenses Proescoon Agone, ineestme met any feedity whichehe Oerecaer. 0ffice of presoses ance of the to use fo contract es under conenderation to be hoted on the EPA last of Viointmg Famleties. i (c) He will enelude sutetenteeHy thes certificecon, oneduding thes parayash (c), en every penseempt subeant s 3. CE ta ATIFICATION OF INDEPENOENT PRfC8 OETEMaNNATION ISee oar.18 on SF J2 Al
- orgeneastion. thatEy summiseson m connection of ines weth theeoffer, procurement the offerot eartifies, and a the case of a joint offer, esen party thereto certifies (II The Dreces en tftes offer hees been arrived at indegndently, without coneuitetson, (NBnimunicateen ,
e or ay uurpose of restru;tmg comestition, as to any matter resetmg to suen greens with any omer offeror or enth any cosnestetor: i' Mferor and will not knowmgly be docioegd by the offeror prior to opening m , case of a negotiated procurement, onrecrty or me*ectly to any omer offerer or to any conisatitor: and
- i of fer for enat purpoes of restrictmg compacteon.(3) No attempt has been made or weil be made e an by the tbs Eacn person sogneg trws offer certifes thet:
f i offered herem and that ne nas not participated, and well not porteegate, m ma j t2) (1) He es not tfie person eri tfie offeror's orgerieaation resgensable welftm that organsaattori prems for the d j :emg offered herem but that he has been auenorized m wntmg to act as. agent for the persons reasone i suct persons neve not particioeted and wel not particioste, m any action contrary to teH1) enrouen faH3) ae s nereoy so certify and bel ne nos not particioseed,and weet not particioete. in any acteen contrary to (alill through (a 4 CERTIFLATION OF NONNIN9 GATED FACRJTES(Apotecae6e to ill contracts,121 subcontracts, and (J) ayee ano,ocants ornessons of the,eno faael are therrawverperforrmns Onnerrunoty choose.1 feeleretty assesseef conetructoon contreefs, esennemy $10.000 een
- Bv me suomession of tnes aid, too nieder, offeror, applicant. or suecentractor certifies that he does not emo
- ogees toratmn any seyegeted fac:teties at any of his estatieshments, and that he does not permet hes employ I snoer nei control, wnere segregated 'scilitees are memtamed. He certifies further that he weit not memteen ey. or pr ees env seyegated facdities at any of his estaclesnments,and that he will not normet tus ernosoyees to perform eneet s l unrict his controt, wnere agregated faceities are mentained. The nieder, offeror, apo6 scent, or suceentractor ayees ,
tincation .s a velation of the Eeusa Opoortumsy clause m tfus contract. As used in inis certification , i ies" means tne term j i dressmg areas, pertorig lots, drinking fountaans, recreation or entertsenment areas,
, and noveeng facilitees proveded for ernployees at n en., inceswneen c. ,rnm are
, ~ m seyegeted m.~ by empiecit m.
detective or are m fact seyegated on tne bases of rese/cotor, r , se. coot where he hee ottaened identices certifications from prooosed
- suecontractors for specific time periodel ne vnet ostam identices certificotione fro i subcontracts escoedmg $10.000 waien are not enemot from the proviesons of the foues Ossertunity clause certifications m hes ties; and that he weit forward the todoweg noises to suam prosesed suesentractors (
suocontractors have svametted identices certifications for sesofic time periodel: 1 Notees to preesseerse sueenneressors of respiseement for eereftese6ene of nomespegesed feedities. , 1 t i A Caetification of Nonseyegeted Feelstes must be suemetted prior to the aeord of a sueeontract e : not esoseeng exempt from tne provesions of toe Eoues Ossortunity <seuse. The certification may be suenwered eetner fo l
- suocontracts u.
- c toor durmg a period (s.e ouarterly, someennuelty, or annuallyL NOTE. Die penetry for matmp /etse i
, Continued on Page 4 1 anstas cistser seC cars t aastescasesor es o 0a.8 l ACxte0WLEDGA4ENT OF AASENDA8ENTS The asserer soonsessages sessus er essens. - sienes es the sensessen ser esos one romand esanonente menissued ens eased as fosses VO or TE. Qtfers manome tal-- ^ must set os _ . m offers tortn tutt accurate pretersbed on Ie U S C and 1001 comunere unterrnarson as reouored oy trus Sorocotatoon siensene ree= a esos bat v NT. gg - eq _ - . . . . - - .. -- - - ~
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l PART I , Representations, Certifications., an *cknowledgments - Continued SF-33 (Page 3)
- S'. WOMAN-0WNED BUSINESS Concern is 6 is not 6 a woman-owned business. The business is publicly l owned, a join tock associ on, or a business trust C yes C no. The ,
, business is certified not certified. '
A woman-owned business is a business which is, at least, 51 percent owned, l controlled, and operated by a woman or women. Controlled is defined as exercising the power to make policy decisions. Operated is defined as actively involved in the day-to-day management. For the purposes of this definition, businesses which are publicly owned, joint stock associations, and business trusts are exempted. Exempted businesses may voluntarily repmsent that they are, or are not, woman- . L owned if this information is available.
- 6. PERCENT OF FOREIGN CONTENT ;
The offeror / contractor will represent (as an estimate), immediately after l the award of a contract, the percent of the famign content of the item or service being pmcured expressed as a percent of the contract award price , (accuracy within plus or minus 5 percent is acceptable). '
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- 7. NON-DISCRIMINATION BECAUSE OF AGE CERTIFICATI0N (1-12.1001) !
The offeror hemby certifies as follows: 6 (a) In the performance of Federal contracts, he and his subcontractors , shall not in connection with the employment, advancement, or i l discharge of employees or in connection with the terms, conditions, I or privileges of their employment, discriminate against persons I because of their age except upon the basis of a bona fide occupa-l tional mtirement plan, or statutory requirement, and ' C (b) That contractors and subcontractors, or persons acting on their ! behalf, shall not specify, in solicitations or advertisements for employees to work on Government contracts, a maximum age limit for such employuant unless the specified maximum age limit is based on a bona fide occupational qualification, retirement plan, or statutory requirement.
- 8. CERTIFICATION OF RECOVERED MATERIALS (1-1.2504(b)) :
The offeror / contractor certifies that mcovemd materials will be used as mquired by specifications referenced in the solicitation / contract. L
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- 9. CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST
( I represent to the best of my knowledge and belief that: f The award to of a t or the , I modification of an existing contract does /_/ or does not involve situations or relationships of the type set forth in 41 C paragraph i l 20-1.5403(b)(1). ' i If the mpmsentation as completed indicates that situations or relation- ! ships of the type set forth in 41 CFR 20-1.5403(b)(1) are involved or the Contracting Officer otherwise detemines that potential organizational conflicts exist, the offerer shall provide a statement in writing which describes in a concise manner all relevant factors bearing on his repmsen- ; tation to the Contracting Officer. If the Contracting Officer determines , that organizational conflicts exist, the following actions may be taken: ' l (a) impose appropriate conditions which avoid such conflicts,
- (b) disqualify the offeror, or 1
(c) determine that it is otherwise in the best interest of the United j States to seek award of the contract under the waiver provisions of l 20-1.5411. I i j The refusal to provide the mpresentation required by S20-1.5404(b) or j upon request of the Contracting Officer the facts mquired by 820-1.5404(c), - shall result in disqualification of the offerer for award. The nondisclo-4 j sure or misrepresentation of any relevant interest may also result in the i disqualification of the offeror for awards; or if such nondisclosure or
} ' misrepresentation is discovered after award, the msulting contract mLy be terminated. The offerer may also be disqualified from subsequent related NRC contracts and be subject to such other moedial actions pro-l vided by law or the resulting contract.
- The offeror may, because of actual or potential organizational conflicts i
of interest, propose to exclude specific kinds or work from the statements j of work contained in an RFP unless the RFp specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of preposals. If the NRC considers the pro- ! { posed excluded work to be an essential or integrel part of the required ' i work and its exclusion would werk to the detriment of the competitive t postum of the other offerors, the proposal must be rejected as unacceptable. l l The offeror's failure to execute the representation mquired herein with respect to invitation for bids will be considered to be a minor infomality, j and the offerer will be permitted to correct the omission. ! Any general contract clausesresultinbfrom a solicitation (41 C 20-1.5404-1) mquirement prwhibiting contractors shall frge include- ! engaging in relationships which may give rise to an actual or apperwnt ! conflict of interest. Note: NRC Contractor Organizational Conflicts of ! j Interest (41 CFR Part 20) is included in Part IV as Attachment No.1. ! l Page 5 of 8
--_.,.,,--~.-.---J._.-
- - - - , _ ..e_
_ _ __ . = - - - --- - l 10. COST ACCOUNTING STANDARDS (Applicable only to negotiated contracts exceeding
$100.000 except when: see Federal Procumment Regulation. Temporary Regula-
{ tion 44 dated March Ig, 1978). i ' It has been determined by the Contracting Officer or his duly authorized ! representative that this requirement is not in support of the national ' j defense pursuant to 4 CFR 331.20(b). l A. COST ACCOUNTING STANDARDS ELIGISILITY FOR MODIFIED CONTRACT i If the offerer is eligible to use the modified provisions of 4 CFR 332 ! and elects to do so, he shall indicate by checking the box below. l Check 1 to the the box below shall mean that the resultant contract is subject - ' ! sclosure and Consistency of Cost Accounting Practices clause in ! I lieu of the Cost Accounting Standants clause. 4, i C The offeror hereby claims an exemption from the Cost Accounting , i 5tandards clause under the provisions of 4 CFR 331.30(b)(2), and certifies- ; 1 that he is eligible for use of the Disclosure and Consistency of Cost i j Accounting Practices clause because (1) during his cost accounting period immediately pmceding the period in which this proposal was submitted, i ! he received less than $10 million in awards of CAS covered national ) defense prime contracts and subcontracts, and (ii) the sum of such awards ; t equaled less than 10 percent of his total sales during that cost accounting period. i j The offerer further certifies that if his status changes prior to , ) an award Officer msulting from this proposal, he will advise the Contracting immediately. l i
}
CAUTION: Offerers may not claim the above eligibility for modified t i contract coverap if this proposal ir expected to msult in the award of i
! a contract of $90 million or som or if, during their curmnt cost accounting period, they have been amerded a single CAS-covered national i defense prise contract or subcontract of $10 million or more. !
i
- 8.
l - COST ACCOUNTING STANDARDS CERTIFICATION - NONDEFENSC APP i j Any negotiated contract in excess of $100.000 msulting from this solici. ! i tation shall be subject to the requirements of the clauses entitled 1 Cost Accounting Standards - Nondefense Contract (FPR 81-3.1204-2(a)) , i and Administration of Cost Accounting Standards (FPR 81-3.1204-1(b)) if ' } i it is awarded to a contractor's business unit that is performing a f
- national defense contract or subcontract which is subject to cost i accounting standards pursuant to 4 CFR 331 at the time of award, except i contracts which are otherwise esempt (see FPR 61-3.1203-2(a) and (c)(4)).
i Otherwise, an auerd resulting from this solicitation shall be subject to i the requirements of the clauses entitled Consistenc j Practices - Mondefense Contract (FPR 81-3.1204-2(b)y ) andofAdministration Cost Accounting of Cost Accounting. Standards (FPR 51-3.1204-1(b)) if the award is (1) .l ' the first negotiated contract over $500,000 in the event the award is a contractor's business unit that is not performing under any CAS-covered , i national ated defense contract over or nondefense contract or subcontract, or (ii) a negoti-
$100,000 .;
in the event the award is to a contractor's business unit that is performing under any CAS-covered national defense i or nondefense wise exempt (seecontract FPR or subcontract, except contracts which are other-is not applicable to sus 81-3.1203-2(a) 11 business concerns. and (c)(4)). This solicitation notice i i I Page 6 of 8 ,
.. a .:
.. .I l
\
l Certificate of CAS Applicability The offeror hereby certifies that: A. 6 It is currently perfoming a negotiated national defense contract or subcontract that contains a Cost Accounting Standards clause (4 CFR 331), and it is curmntly mquired to accept that clause in any new negotiated national defense contracts it receives that are subject to cost accounting standards.
~ ~~
B. 6 It is currently perfoming a negotiated national defense or nondefense contract or subcontract that contains a cost accounting standards clause required by 4 CFR 331 or 332 or by FPR Subpart
- 1-3.12, but it is not mquired to accept the 4 CFR 331 clause in new negotiated national defense contracts or subcontracts which it receives that are subject to cost accounting standards.
C. C It is not performing any CAS-covered national defense or nondefense contract or subcontract. The offeror further certifies _ that it will inmediately notify the Contracting Officer in writing in the event that it is awarded any negotiated national defense or nondefense contract or subcontract containing any cost accounting standards clause subsequent to the date of this certificate but prior to the date of the award of a contract resulting frost this solicitation. D. 6 It is an educationel institution mceiving contract awards subject to FPR Subpart 1-15.3 (FMC 73-8, OMB Circular A-21).
. E. .
6 It is a State or local governannt receiving contract awards subject to FPR Subpart 1-15.7 (FMC .74-4, OMB Circular A-87).
- - F .-- C It is a hospital.
NOTE: Certain firm fixed price negotiated nondefense contracts awarded on the basis of price competition may be determined by the Contracting Officar (at the time of award) to be rom cost accounting standards (FPR Il-3.120302(c) I __ Additional Certification - CAS Applicable Offerors G. . 6 The offeror, subject to cost accounting standards but not certifying under D. E, or F above, further certifies that practices used in estimating costs in pricing this proposal are consistent 3 - with the practices discussed in the Disclosure Statement (s) where
... they have been submitted pursuant to CAS8 regulations (4 CFR 351),
i
- e gue WhieungD <d
. Page 7 of 8
Data Required - CAS Covered Offerors The offeror certifying under A or 8 above but not under D, E, or F above, is required to furnish the name, address (including agency or department component); and telephone number of the cognizant Contracting Officer administering the offeror's CAS-covered contracts. If A above is checked, the offeror will also identify those currently effective cost accounting standards, if any, which upon award of the next negotiated
. offeror. defense contract or subcontract, will become effective upon the national Name of C0:
Address: Telephone No.: Standards not yet applicable: I i l Page 8 of 8
.*, .*i
. \
! PART !! ! _ _ . SoulNATWH INB1mMNIONS AND CON 0lTIONS t L gWugnum, ! As used hauin 7. l ATE gute, IdeceplSAftelet OF BIBA, Off MTDIGIBMMAI. SP . 8'EEa i (al The esen "amilmeneman'* mesme Inveeneese fee tids (IFS)(a)whose Any hid sweeved as the edilre ?_ the psesemumses le adoesumed, and Aespwee for FWupuset (RFP) where es pseemsessmus b
, -dlaerJ J r aftee the cuant esse systeerd for arreivia mil nas he esandned innare 64 is (t). The esse " sees 6 sed huoner enserd as niede and ruhret tund, and psspenal whose thesamens --- :bid is whose the geneessemat is adver. l) It see sent by vegenereed ew teres 6rd need nos leert than the t
(e) Per af this antissessium and 2 ef Senaded Fase Meh (emiendar det prwe se th- steer erreited far the the issui I assesumer instudse Seed Bummam Assasiesed Adver. and asher typse et nearessed adverseming. hids,or the 20th of the asene unust heer heen moe eastleri t er
- 2. FM OF GM 2 It was esse br suoni sar Genrenowns(ihna erfresess d mischessed)ihr andlese it le (a) OSusess ese empseesd ese enamesmo the W deema(mm)ond by she i
Saheeds, and as insammenen, Fasimse se de as resh, he as eSesWe h W es "- -- aftre um,a se the Govsemumsme ! (b) Amy asshdessess er withstrewel of a bid is lb) Bash esser she4 fusash she indesuneensa seguised by she se the emme 'I esAmeanism, he edeser shes men the enlistensism and puent er type emmealso as in (a), above. A had may aim he wie in parean has asme se else $shedute and ensh t'- by a hiddse er his amakermed erpseernenesse, psewided his idsee ) whinin Shast ehmsauf as amade husus and he uses a suerspe for the ised, hue sely of te weeb. , the he mahas ' an seery. Esemmes er seher ehangus muust he inentatus deesmi is me pner to me esor teme set for roaript of hit. 2 by penum assumpamend by the eSer. Wese egned by en egmat ase es he (e) The only amorpm46r erodrere es neshtub: i of Ids asetssesy unisse omuk evidsome has ! huma psevenusly fusumhed so the immens eGes, (l) Tier dass of meding af a toen had,4 , er wishdsomet i a) Usue puses for eneh unse esased ens he shoun and amah psies auss shbre by seguemed se caveseed smasi b ihr U.S. Phaeol Seroese j ahn(B tashade pushlag enke sempuses epsmesd. Athe esamt sha5 he emessed en hast es enveen U.S. Fesumi Servere.pe er w and en theIf mueber sommigt pasamed i i todhusepmeny et the Asummas heeusesembuen a mass psene af the Sabadde for ansh 6 esse edesud. and assuaded the ' Is h esse er emehdsomel shall be dweed to desa, t masted (The esse " been we5 he poemsmed se he esweet, subises meme smassa and in the emme mammer se enneselseas, any echst maaste. housser, to the pstem, was pissed the impsemesa east psene (pmemmerh* reatuove of a monas a pressed, seamped, er sehr meeer memhene ' -{ d so s) thes is neddy dommemhis weehoise f he(em)medssed uniums amehastead by ate hOSue $mr suspens eradsmed servene ester asman as damesham esse sameAnd af wWU.S. met 1 suspeed and as the of meshes by empesvens ! der (e) OAmor suas ammes a deemise tems ser desteery of Ptueel Sussesa. Thessfeso e, pense a head emmenSuseum, odeses steedd request ihr pumal simph so q et earvemma umens senswine spended is she and en hee 9eeve "pasamash" en hash the sumsips ( er wumppard l Time, sf semesd as a number et days, wtB insinde Seemsdays, (2) The and hetidspes ; f (g) Cods humus ese for of seemses as the Goveressent tesemaneuma b tes i : ese only. alme dese sammy of sush insemelsesen en the hid weepper er scher
.. _ , evedsmee of rossips meineessed by the m
^
S. EWMfRERSII 19 OM Amy sagensomme damsud by as (4) .% - a sfeer and th) af thes presuems, a less mod 6 samma of en seherweis (oe)ameful hid whos s I desudash to eneming er inesegnessism af the asilmeman, asSeisme eAssad for aset, see he seguesass in essent and week fasesable to che h edl be comendsmed as any time is is so. esmed and mer he essepeed, atmWed emis eSese. Osel seesh efuses hedese em sub. 76eest The tasum *tairgsen* larludse sumslarama j the ouesd at she esmesses wee est he buesser immsussions essen before se a pumpumise asesor emmensuses a seemesass. Amy infosemaman seven
- en was he fuseashed se 8. IATE ,WSPOSALS, ISOSIFICATIOSIS OF PROPORMS, Afm e5 puespassene eSmus e an enammemmet of the mAmenaalem, d suchW HERRREIMS OF PROPOSALS, l
'l indommeamm is meassumpy to eSasese is submiselas eSme en she(a) autiseen. Amy psaponi rese6 sed as the ease emismeesd la the amiiseen. ! { infusand eS m u telon er if to lash of.sumb iminummelse would he tamm psefummel after the tosensa us. emme speeded for seemipt wen aos he seendered unius it is sammesed hafese meerd is mode, esidt l I 4* 6 W M 19 MSME. wem same by mousered er careseed meal not leaer than the l ' Esem n ager
-' ps, of as amendsomos to a so es6easims by as deser anuss he a el
. - (el by moving and neessoas the * (b) en pups lesse of Sammhrd Ferer efere by the 20th of es seemeh must have been masted by she 13eh eri
- mum he er (e) he lesene er estugsamb, Sunk eastler)(2) It was same by amast for 8emmelief eSme. pner es the hour and esse spessess deessaimed by the C _ .for emisgrams el ameherdsed) and it is 0* E es asshandbag by the Ossernmeme afear reempt as the Gl i
(ei o s.e au me.Nm e e.sest 4a he e.e s d i. mois,, ni s$e.e m.d e.a.emir.':M","ses.me6,ed. se i esseampus and addressed to the ease apseded la the h The m o u.s,.. ma.sm se dag i eAmer shall sh eksw the hour and does spended in the aussessmeensfeem fes eks numb.er, and she same and address of}ses the en the seer esmeemme as le (a)(1) and (eH2) et this ' . e.asilmiemmum. . e.v po.
)
fe~(el a. A me.d.Gama.ss r .or rosess . enresumsenhas.fs.een es e.no a.m spa segue,s s the '* _ l *( m.T:'Is"." eSese m . .essweG ausmehe e.uncedm.od indum ae.shestmed by sd .
- estesem er sehesushis emmes.psuseded such assene le sensesed pseur d .r me ds i, .thewe,segeuss so p. iswee em . est he.em.mendosed.watu.s reasswed
.e h, de es s., e.se h
she hour and emne spalted ser sueuept. ($$sserver, ese ymseyests 7 as the Geserummes. immemam as 6mm
- and u ( The "
i (
.e) Sam.pene d. of lema.s whom sa esehern byTi.'e I.o'r"J'** evidense ef . ,se to seenhush.t er m.d.s e.
eh.e o.mhmissed weeble the" 'o l es supsuuso den um .ms the h gessed, .p s.uussd sand is t ! == = so.m.ed if use dumpeyed by teming, sempias -thek."I"oh."re U.S. f4mmet r p. ee weesper a he. .sa U S. Penal Sant.esJ:: mad = = eas shoue alaa som , sh.se.ss-e - a., e s e. um m e wme Ifi us.eekerJ:"."l:s e, PA.u== = ===r .p m. if .e, is e,, b. hs. eses.. de
'TE""
i er
- om.S.tresse.
em -m
.ps .er e em .d e ,l.msl
*s.e h
{
"=a== ad,m!z,::: w,,;,':,c:a p.m ,:::::::::---
easd shall be sent to the imusmg eGee advieweg wetscher en thefiniese eines of medagemise*snee key empisysse seemse of the ashmemason
==,,ll t seassoas ter me typr of suppless er serosess esvered by thse senatenesen Thanden eSmas shouhl nieuest she gar,que, emmesAmes,h hurmarge W en stest se a head
. _ edee>het esname eeure sensessesses ase.sisamed, seier seeiset in semenal edase er .uumour.) deswed..eessedays mefeedpt Festuse of es n_.__ .-such
- , useespesos stbeeemene- feesn she ssensiing lies for stie type of supplies (IT The ene et resseps a en Osserummet immaemadum b h
>____,,,a lease.dese semos,g,f ,og such,,,,,,esesseMaman ,,,,,,,,,,g en de g,
er een,
.38 .
pesumaanpeans so.a enom s sus I , plumment be ties, ppt seg (33p 1.ad. set I 1 l O l , I
, _;_ ___ . _= _. m i
f . i ^ 1 19 7 . (a), (b), and (e), of this pseuWen, e inen 3$.45), the Osnevert Wash Hemsse senadeses Act (40 U.S.C 3'f7-SSet. medieneen of me sehrewer ausasesid peepsent whosh enehms les essens mest' fed en the Goswasses wH1 he essesdread at any ther h h and the Artween Centsatt Art ed 19s5 (48 U.sn 348 Si?) met be enheessesd laws the Dryereseres af laine, Washeeseems, 3)E M!!H. ** j semuksed and sans he asespeed genen any vuessmal esScr ni that agosary. Regierese 1,e esidesnuseism shusebt 4 (Il Preemente me, he wetheseen he esv6seen er ernessuches aseine inchsde the emindessensi mismhet, she names and addsous ++f the samsmei i seeswed at any her pesar es puesd. M may he wetheseum in assney, and a alourreposin el she sospense er erewesse l by an eSeene er has amehoresed sepseesnesswe, pseuWed has t y is smaak hm. =n and be mens a veesspe for ehr propumal pster 3S, M WIM lassises chas he and enhenseed i to seest. (ame smyr ehm3 he mashed i Nees The emm "talepsums" inehadas mah In - '- " ") unks seher. i wins apssites losseems shaA emmesen the fotosens talenmanima Can Nuent he ahesenes tens pompeush, medianamens of and esses and ester mesmher (if any), esse ausabase, slusseepass af , eshhessmah of psepasals psueluisa psmeAnd by el WR (b) er suseimm, alman, uset pseem, and emessend esenh. af ~ j ebaB he used he hou of puesdalen S. N speelhed by the summess, lading mammber af shipmset we he shown for shipsumen j g, g smede en Ossesammes of ladies l (a) "- ' , the fees that a blesh is presided for a som (10) 34. M M M A senB beimme esmesm for ehr l day h psempt paiment % ofesed for payment weshan puspear of Gesesumsat pseesseuset is a esaseva, emehsding to eSi> j isen thus seemey 130) eslsadar date wet est he amendosed is swahn- asas, which is hadspendemely assed and seasserd as met dumbiene is j esing eSese ter ammad. unime otherwese y=.a=d in the sW==d== she told of Homewr, eSesed 4 es es of les than 20 daye we he eben N pay. in whiah h is ashmssedes ab en Ossesesmaat emmeseses, aan fuseher gamlWy under the ernens summeses num. { esent es meane weehan ihr abanamme pened, even shough set emmedered her of empespues, euesage' annual svessyn, or asher utesses, as pn-i , in the evaleseen of eerse eerdhed by the SeaN Summam Admussesname. (See Onde of Pedwal (b t eSesed emme wel he emmpeeed - ' Tine is, part 128, s= anseend, wheek assamhm deemiend femm)dase of delsvery of ihr supla esemerman wnh any derimissary enemietens and setanse psumeduses.) mamupammes ase at peest of erages,phee er iseum deer of todoissary earner aswhom denen dehvery and -- essen er of emhestaesan winre delssery and asmspenssa are ne SS. N pm. If the eSeser, by the copsessiner eseher af penses, or iseen the door emmet tovesse er woesher h hem pseudded thessfer, has sepsemaneed that as has er seenimod seemsed in she eAre appmeed by the _ . If the lesser emer a er passen (seher than a fuB.ame huma empimpse umb. is learr than essa of eisbeerv. Phymoret as deemed to be made for the l for the eSeser) se subese er asesse the esserert, or that he 4 j las t popose of annuma the thseeues en the date of snailmeg of the Gesess. has pe&d er speed to pay asy feu, ammmmmma, posessesse or meet shoek. l fee es any esmemoy se passen amiehemme usan er team i
- 38. AARRAD SI' 000ffRSitT. seesd of thes esseress, he shen leseek, in desbesee, a Stand- !
e,g pasm 119, Comessener's sensammes of Ommengent er Other Fans If , . (a e#eser has psesanusty forehhad a emmelseed Seandasd Farm lit se she , eSer)esmfasang es the subcaessaan will be snese adrenessemus stee issuing es a.a this theThe esammet wiB he amorded
== he may enemmeney has eSer useh a agend se that res l
i Covosessant. prese and meher faseses remadseed senemomme ta) todisassme when emah ammaissed seem was ymensby (b) The h-t reserves she naht te sepect any or all efoe fusekhed, (b) idencefyees by mammber the psevenus amisseestian et emn. 1 and to wesw enferenhues and smeer insegulernees en esm sessised somet, if any, he emmessenen week wheek suet forms was suhameesd. and - - - l (e 3
- eSer) The Gewsesmeet mov areept an, name or pseup of teams of any (e) seppasseeing ebet the senerment in sush feves is oppisenhie es the f eser eSeew emailtes has eSer he eereder lumsenseems UN.
j IM WISE PROVIDED IN THE SCHEDUI.E Ol'FRAS eSw. l Y BE $UShitTTED POR ANY UANTITI 1.886 TMAN 33 pm M. A pasent seampany for the pusyme of ihh ctFIED: AND THF. RSSSRVES eSer h a emmpany whseln sicher swas w emmunes the acuvHess and basse 70 RSAEE AN AWARD ON ANY 17538 POR A h pahams of me eSeser Te own anseher remspan, means same
""4* 'E'E bT"=thEE#5 (d A useems sweed der M-wise lusehead) es the suremsful e4wer wishin the simir - - of OSer) mailed (er esla
,, s, fordeemmen,e, asapummee 5"*"",,~a'~s",,';"3,157,@dy~-d~ M, er ween hate hemmme pelwy esumam d me eSmer, ese -
I spesiend in the eSer shall be desened see seeste in a hendtag sammert seher esempany a esmedesed the pesent asumpany of the e$eser. His esmerd anny he emmmed esemph me one of demannet minester seehg ( )h (b) apply omir ee nspuesseed d8"' '" 'IP '"' ""8* *"""*"'I '""8""""* *' ' ""*" r i enheteneemmer (e) he Osossement may necept w6eaun the ene speeSed thseven, II* m TggM 11 (Apphashie only as ( any e#sr (or pare sheseof, as peowided in tel absue), whether er nos 8d*We'd ) The eSaor men imere in he apphoble esses i shape ese ausmuseimms subsequent to ses secespe. umise che aSer is week. en the eSw fase, if ha has as pmes y, he own i dueen by evesare asesse avessved by the Goussement preur to essed. 3d'oedeemseen Number (L.I. No1 (F Sosial Asmusesy [ If submayeses aspetimessum ser esadessesd, diry shall mee amuselecer a und en Samployer's Quaressly Fedesel Tam Recurs, UA. Tsumeury sojoenso er emuseer afw se me poet of the Gesesammen. Departmane Fase 941). er,if he has a pasent emmpany, the Employer's (f) The seghe h seasewed as essept seher shan the levet eSer seg lesseltsamen Number of has pasent emmesey. as seiset any or su eSess. (s) he ha may assent a esmovert, hosed en leastal eSese 38, N SP N N FW M N i sessised, weshaus ahneemium of emah esa Acessehage,, ensh intelal eSer shamed he submiesed en the mest favorehte tesums fees a poems (a) his eureitseelmo em the eSw issus le ese applismhis as a fuseien i e#,ser en eSer for a semesert wlush segumes and esehahal weedyment which the efever een enkm6e to the Gossen, meet. e, d, dew,y etw Uniesd Senese, is paummenes. and hussee Rius. (b) Amy Amanual does subeseted wieb ans ese beveemder er es? (b) An eSer est est he emmedssed far asesd wanees ia HI), (a)(3), sepsessemessa esswenues feelbeere er am-eas will est lenn
- Da s or (b) of the sortitsamma has base delsend er medited Whose (a)(3) of any sumuseme emovest; psevided. he-ever, mes if er remstette ege'n. of she eereitsmeson has been esteese er medited, ein eSer wel est he suese esmemum a ein se for osasided per sense satse she afeser fusehhse week the seer a seemed -
redusaien for defsestue assi semes whism asas fe,th in esamil the aseuusammess of the ahesimouse the emmemet he subeset te vedesseen if cust
- puiseng er puisq abendaea, fasenhed hoevender is amenempb' a._. a , or not and the head of the , er has endense, esessedpee that such de>
enseems. etenuse was est made puspeso el semanesing emapseleise IL SON fuWugteED PngpWTY, P a maesenal, imber, er 38. smell SF """""'" la the evene of an enemadssoney be. feselseems wel be fwesshed by she osmomene unises eenerwee pse. esseen of the enhetensimm, the imeunemesary shall be seenhed vidsd for in the sehesemmen. by preemdsmas in the esetsueng esents (a) the Sehedades it) Soissioneien laseresessas and Candestums; (e) Osmosel Poesimmes; (d)
- 12. lASSR IterWRea4TISM. General enforeanesen the pr. selwr provisamos of etw emowest, wheent inesspsseesd by safesames er egumemenes of the Welsh Ilseley Pubise Ommesases (4 UA.C. setoswese and (e) the W ewa: q,unasese ee,o-ooe4eesesse e
O G 4 $0
l t PART II l SOLICITATION INSTRUCTIONS AND CON 0!TIONS (Continued) Note the following substitutions of the paragraphs listed in the SF-33A. Paragraph 10 (a) on page 2 of the SF-33A is hereby deleted. Paragraph No. 19 on page 2 of the SF-33A is hereby deleted in its entimty.
- 1. LEVEL OF EFFORT The NRC's estimate of the total of scientific, technical, and clerical effort for this project is approximately 2.2 men-years. This infor1 nation is advisory and is not to be considered as the sole basis for the development of your staffing plans. You must detail how you intend to accompItsh each objective covend herein.
- 2. TYPE OF CONTRACT It is contemplated that a Cost-reimbursement contract will be awarded;
. however, the Government reserves the right to negotiate and award wnatever type contract is detemined to be most appropriate. In addi-
*fon to the special provisions of this request for proposal, any resultant contract shall include the general provisions applicable to the selected offeror's oroanization and type contract awarded. Any additional clauses required by Public Law, Executive Order, or procurement regulations in effect at the time of execution of the proposed contract will be included.
- 3. PER!00 0F PERF0fMANCE/ SCHEDULE I The Gover.1 ment estimates that the work hereunder including preparation and submission of the final report, shall be coseleted within 32 months .
4 ACCEPTANCE PERIOD Secause of the time required by the Government to evaluate proposals adequately, offerers are requested to specify a proposal acceptance period of not less than 120 days. -
- 5. ANTICIPATED AWARD DATE It is anticipated that an award under this solicitation shall be made I by May 30, 1981 I
- 6. COST OF PROPOSAL PREPARAT!0N I This solicitation does not cosmit the Government to pay any cost for ,
the preparation and submission of a pmposal or for necessary studies or defigns for the preparation thereof; or to procure or contract for the articles or services shown under Part !!! herein.
- .. . : _. .. -_.. . . . _ _ .=-
- 7. INDIVIDUAL (S) AUTHORIZED TO NEGOTIATE The prospective offeror will list the name(s) and telephone number (s) of the person (s) authorized to conduct negotiations on the " Proposal Summary and Data Sheet" (see Part IV Attachment No. 4) which is to be sutumftted with each proposal.
Offerers are cautioned that the person signing the proposal must have the authority to consnit the offeror.
- 8. PROPOSAL SUMARY AND DATA SHEET (See Part IV, Attachment No. 4)
A completed " Proposal Sunsaary and Data Sheet" shall be submitted with each copy of the proposal.
- 9. RFP IDENTIFICATION Mailing envelopes should be marked with the RFP number, the RFP closing date, and the notation: "D0 NOT OPEN IN HAIL ROOM." Also, include the RFP number in your cover letter and on each page of your proposa'.
- 10. AWARD NOTIFICATIDN All offerors will be notified of their selection or nonselection as soon as possible. Fomal notification of nonselection will not be made '
until a contract has been awarded. It is also brought to your attention that the Contracting Officer is the only individual who can legall,v consnit the Government (i.e. the NRC) to expenditure of public fund. in connection with this procure-wnt. This means that unless provided in a contract document or specifically authorized by the Contracting Officer, NRC technical , personnel cannot issue contract modifications, give infomal contractual ' conunitments or otherwise bind, consnit, or obligate the NRC contractually. Infonnal contractual consnitments include such actions as:
- a. encouraging a potential contractor to incur costs prior to -
- receiving a contract,
- b. requesting or requiring a contractor to anske changes under a contract without formal contract modifications,
- c. encouraging a contractor to incur costs under a cost-reimbursable contract in excess of those costs contractually allowable, and l
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- d. constitting the Gevemment to a course of action with regard to a potential contract, contract change, claim, or dispute.
l 11. O!)PQi[T[Q!ULF PJQpgl&1 l I After award of contract, two (2) copies of each unsuccessful prosIos'al' : will be retained by NRC's Division of Contracts and unless return of ' proposals is requested by the offerer upon submission of proposal, all
- other copies will be. destroyed. . This notification should appear in any l, cover letter accompanying the proposal.
j* 12. NOTICE OF PROPRIETARY INFORMATION I
- a. Notice of Proprietary Informati$n - Offerors are advised that
! those portions of the Proposal unich are considered to be propri-i etary shall be.so identified. In the event tha offeror fails to indicate on,the title page and each sheet of the proposal what portions of the proposal are proprietary, the NpC assumes no '
) liability for disclosure or use of unmarked, technical data and may I i use or disclose such data for any put9ose. The clause set forth in paragraphs b. and c., below, should be utili:ed by the offeror in "
marking his,pmpos41. - l j b. Use and Disclosure of Data - Fmedwof Infomation Act Requests + *
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"This data shall not be disclosed outside the Government and '
i shall not be duplicated, used, or disclosed in whole or in part i for any purpose other than to evaluate the pmposal; provided i that if a contract is awarded to this offeror as a result of or ! in connection with the submission of this data, the Government ' l shall have tN right to duplicata', use or disclose the data to . I
. the extent pmvided in the contract. This restriction does not !
limit the Governmentf s right to use infomation contained in the j i data if it is obtatamale from another source without restriction. j The data subject to this restriction is contained in sheets i I Our failure to inrk the proposal with a Tegene or otneGlid identify and ' restrict the disclosure and use i of data in the proposal shall be interpmtad by the NRC as an j acknowledgment that the contents of the Technical Pmposal may l be mieased. disseminated, or othemise disclosed by the NRC i pursuant to a Freedom of Infometion Act request." ' s , j 4 < t c. Moreover, each sheet for which the offerer desires to rettrict ' '
- disclosure shall be merked with the following. legend
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, "Useordisclosureofproposaldataissubjectto.the l restriction on the-title page of this proposal. ! ' i claim that infomation contained herein is,pnprietary ,
and shall not be disclosed by the NRC in accerJance with , ; j Ew sption 4 of the Freedom of Information Act." r 4 - l l t ; s . k ' l
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, 13. PROPOSAL PRESENTATION AND FORMAT
- a. Proposals will be typewritten or reproduced on letter-size paper and will be legible in all requimd copies. Unnecessarily elab-orate brochures or other presentations beyond that sufficient to '
I present a complete and effective proposal are not desired and may i be construed as an indication of the offeror's lack of cost con- < sciousness. Elaborate art works, expensive paper and binding, ' expensive visual and other prwsentation aids are neither necessary ] nor desired. Legibility, clarity, and completeness art important. b. 1 Proposals in twsponse to this Request for Proposal shall be sub- ' mitted in the following three (3) separate and distinct parts-(1) One (1) original signed copy of this solicitation package. , All applicable sections must be completed by the offeror, i i
, (2) One (1) original and six (6) copies of the " Cost Proposal"
- - shall be submitted in accordance with the guidelines set forth in the paragraph below entitled, " Business Management Require-ments." !
(3) One (1) original and six (6) copies of the " Technical Proposal" shall be submitted in accordance with the guidelines set forth j in the paragraph below entitled, Technical Prooosal Content." Each of the parts shall be separate and complete in itself so that evaluation of one may be accomplished independently of evaluation of the other. All documents submitted shall have a cover page with , the identifying RFP title, the solicitation number, and name of the 1 offeror. i i NOTE: l If your records are currently under audit cognizance of a
- Government audit agency, the address and telephone number of that r office should be fumished on the " Proposal Summary and Data Sheet." !
One (1) copy of the solicitation package. Technical Pmposal, and Cost Proposal shall be submitted by the offeror to the cognizant i audit agency concurrent with the submittal of the proposal to the NRC. 14. , BUSINESS MANAGDENT REoVIREENTS
- a. Cost Proposal
) 3 4 The offerwr should utilize the Optional Fom 60 Contract Pricing l Proposal (Research and Development), in submitting the Cost 4 Proposal. Offerers may, however, submit the necessary infomation j ! in a different format where the offeror's accounting system makes
. use of the form impractical, or when mquimd for a more effective i
and efficient pmsentation of cost inforention. In either instance, j the information furnished shall include pertinent details sufficient to show the elements of cost upon which the total cost is predicated. The cost proposal must contain two separate sections each containing complete estimates. One for the basic contract and one for the option to incorporate tasks 4 and 5. Also include an Optional Form i 60 which summarizes the entire procurement (including the option). l . . /, .
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,, ..* ,- i Cost Accounting Standard 414--Cost of money as an element of the cost of facilities capital--shall not be reimbursed as an allowable - cost under any contract awarded as a result of this solicitation. ' ' Cost will be evaluated on masonableness, validity, and reli-ability. , The " Cost Proposal" must include, but is not limited to, the following: Material - A detailed listinj of items including the quantity, basis of cost estirate, unit cost and sources of cost. . , f Labor - The basis for the estimated hours broken down by 1 category and task, and the source of labor rates. ' Level of effort data shall be expmssed in man- ' hours. Indirect Cost - The sourc='and basis of detemination of all indirectu.costs. . Travel - The breakdown of all travel by trips, segregating all transportation and per dies costs. Copy of I the official Government approval of the offeror's ' travel policy, if granted, or in lieu thereof, a copy of the offeror's travel policy. NOTE: In the absence of a Government approved contractor travel policy, the prevailing Federal Travel Regulation rates and the clause entitled,
" Travel Reimbursement" in Part III shall apply.
Other - The offeror's fiscal accounting period (Fiscal Year) and the name, address, and the telephone number of the offeror's cognizant Government audit agency. l t
- b. Management '
The management aspects shall include, but not be limited to, the following and any data pertinent thereto: (1) Project scheduling and contingency planning demonstrating a logical progression and integration of the tasks to insure completion within the perfomence period and without program slippage. " (2) Management organizational structum delineating areas of repon-sibility and authority under the proposed effort. Describe the relationship of the project organization to corporate management and to subcontractors, if any. Discuss the functions and author-ities of the project manager. (3) Procedures to periodically review in-house organizational func-tions, program reviews and controls and subsequent coordination with the NRC.
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- c. Manpower Availability
. Describe the source of personnel required for perfonnance of each task and not pmsently employed by the offeror. If any of the personnel are under comunitment, describe the tenas of the consnit-ment (s). Note specifically the personnel that will be on board subject to a contract award.
- d. Consultants Explain the need for consultant services. List proposed consultants __
if known by name. For each list show (1) nature of services, (2) fee rate, and (3) total consultant fee and any other allowable related costs which may be involved, such as travel and per diem. Such fees may not be paid to employees of the contractor or to employees of the U. S. Government.
- e. Subcontractors
, If the offeror plans to subcontract any of the work to be perfonned, list proposed subcontractors if known by name. Provide a detailed breakdown of specific work to be subcontracted and the approximate cost involved.
- f. Labor Surplus Area Program Requirements In keeping with the Federal Labor Surplus Area Program, the offeror is required to provide information on the general economic conditions of the area in which subcontractors are located, exact location of sub-contractors (state, city, county), and the unemployment rate for the area, if known.
- g. Additional Facilities or Property In the event the offeror contemplates acquiring additional facilities or property in the perfonnance of this work, such facilities or prop-erty shall be separately identified.
- h. Other Contractual Comunitments The offemr shall list any consnitments with other organizations,
- Govemmental or private, and indicate whether these consnitments l will or will not interfere with the completion of work and services contemplated under this pmposal.
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- 15. TECHNICAL PROPOSAL CONTENT The Technical Proposal shall not contain any reference to cost. Resource information such as data concerning labor hours, and categories, materials, subcontracts, travel, conputer time, etc., shall be included in the Tech-
, nical Proposal so that the offeror's understanding of the scope of work may be evaluated. 1 The offeror shall submit with the Technical Proposal full and complete { information as set forth below to pensit the Government to make a thorough ' evaluation and a sound determination that the proposed noQ@ will have ! a reasonable likelihood of meeting the requirements a plie W et of this l procurement in accordance with the evaluation criteri@a set ferth in this Part II under the paragraph entitled, " Evaluation of Proposals." Statements which paraphrase the scope of work without communicating the specific innovation proposed by the offeror or statements to the effect that the offeror's understanding can or will comply with the scope of work may be construed as an indication of the offeror's lack of understanding of the scope of work and. objectives. The Technical Proposal shall include a discussion of each of the i following matters:
- 1. The offeror's past experience in the areas of safeguards (physical security aspects), nuclear waste management, and radiological consequence estimation. -
- 2. The experience, education, background, and prior accomplishments of key personnel who would carry out the project. Include a resume for each professional person to be utilized.
- 3. The offeror's level of familiarity with existing NRC policies f
and regulations regarding nuclear material safeguards. 4 The offeror's technical approach to each task and the probability of success of the project if carried out as proposed by the offeror.
- 5. The offeror's underdtanding of the requirements as set forth in the statement of work.
- 6. The offeror's rationale in support of the soundness and adequacy of his proposed approach and the offeror's view of the difficulties i
likely to be encountered in carrying out that approach and the methods * - i likely to be applied to deal with those difficulties. ! 7 The offeror's level of familiarity with fuel cycle concepts (especially waste disposal concepts) and with sources of information concerning ; plans and policies affecting these concepts.
- 8. The roles and organizational authority of the offercr's program manager and other key personnel who are to carry out the defined tasks.
- 9. The appropriateness of the proposed project personnel to the specific task areas they are to carry out, and the rationale for the proposed progression and integration of the tasks. Provide a detailed description of the schedule for the project and identify significant milestones and completion dates for the various subparts. .
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- 16. CONTRACT AldARD AND EVALUATION OF PROPOSALS
.a. l i By use of numerical and narrative scoring techniques, proposals will be evaluated against the evaluation factors specified in the paragraph ~below; ~~~
These factors are listed in their relative order of importance. Award will be made to the offeror (1) whose proposal is technically acceptable- ~ ~ and (2) whose technical / cost relationship is most advantageous to the Government; and who is considered to be responsible within the meaning of Federal Procurement Regulation 1-1.12. Although technical merit in related.past experience criteria no. I will be factors in the evaluation of proposals, cost will be' the more significant factor in the selection of a contractor. To be selected for an award, the proposed cost avst be realistic and reasonable.
; b.
The Government reserves the right without qualification, to accept or i reject any or all proposals, to negotiate with any and all proposers regardless of the terms of the original proposal, and to request addi-tional clarifying information either through written infonnation or through conference with the proposers. All proposers are notified that amerd may be made without discussion of proposals and, therefore, proposals should be submitted initially on the most favorable terms, from a cost and technical standpoint.
- c. ;
A separate cost analysis will be perfonned on each cost proposal.To provide a common base for evaluation of cost ! effort data shall be expressed in man hours. proposals, the level of d. In making the above determination, a best-buy analysis will be perfonned i taking into consideration the results of the technical evaluation, cost analysis,schedule. required and ability to complete the work within the Government's e.
. factors, listed in the order of their relative importance: Prop l
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n . , Evaluation Criteria Weichts (Based on 160 Po:- :) ! i (Ey ED PAST EXFEP.IENCE (TOTAL WEIGHT 60)
- 1. Extent the offeror has demonstrated past experience in the areas of 45 safeguards, (physical security aspects), nuclear waste management, and radiological consequence estimation.
i .
- 2. Extent of the experience, education, background, and prior accomplishments 15 :
of key personnel related to the effort. - . TECHNICAL APPROACH (TOTAL WEIGHT 301 10
- 1. Extent the proposal reflects familiarity with existing NRC policies and regulations regarding nhclear material safeguards. 1
- z. Quality of offeror's technical approach to each task and the probability of 5
success for the proposed project. l
- 3. Extent the proposal reflects the offeror's understanding of the requirements 5 as set forth in the Statement of Work.
4 Offeror's identification of any difficulties and the rationale provided to 5 support the soundness and adequacy of his proposed solution. 1
- 5. Extent the proposal reflects familiarity with fuel cycle concepts, especially 5 f'
concepts for waste disposal and familiarity with sources of information concerning plans and policies a frecting these matters. MANAGEMENT (TOTAL WEIGHT 10) _ 5
- 1. Clear definition of the roles and adequate organization authority of the.- ,
program manager and other key personnel to accomplish the defined tasks. 5
- 2. Appropriateness of assigned project personnel to specific task areas and consistency of reasoning in progression and integration of the tasks.
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- 9. , _ _ _ . . - , , . . . . . . . - . _ , . . . . _ , , . . ~, , . _ , - . , - , . - , , _ _ . . , _ , . . . . , . . . . . , - , . . , _ , . . . . . . . _ . , _ - _ . . , _ , , , , , , . .
': .C.
PART III CONTRACT SCHEDULE ARTICLE I - STATEMENT OF WORK A. BACKGROUND: The Nuclear Regulatory Connaissio'n (NRC) is undertaking several related studies to provide detailed analyses of safeguards needs for specific nuclear materials in production, transport or use by the commercial nuclear power industry. These studies address specific regulatory concerns, i.e., the need to confinn or refute current safeguards needs for High Level Waste in Reposi-tories, Byproducts and Small Quantities of SNM, High Enriched Uranium facilities, and graded physical protection measures. This .. . Statement of Work .(50W) addresses still another area of regulatory con-cern, the potential need to safeguard High Level Waste (HLW) during transport. B. 08JECTIVE: To establish whether there is a need to safeguard shipments of NLW against malevolent acts and if such a need does exist, to establish a technical basis for comprehensive regulations for safeguarding the shipments. C. WORK REQUIRED: The contractor shall provide the personnel, facilities, and materials necessary to accomplish the work specified in this state-ment of work. Tasks 1 and 2sha11 focus on the detailed search and careful screening of existing DOE and NRC in-house reports and sponsored contract studies. The: contractor shall develop and submit for NRC staff approval prior to initia-tion of these tasks, a list of the reports and sttrdies to be reviewed. For each task sunnarizing findings the contractor.shalT)re and conclusions. pare and subs.it an interim report Task 1 - The contractor shall review and screen recycle studies and pro-
- cesses to determine the types and amounts of EH generated and the various waste handling technioues that might be applied to each (e.g., vitrification,
~
r calcination, etc. . In addition, the contractor shall consider other [ possible operation)s (it.g., decontamination, decommissioning, etc.) in the i nuclear fuel cycle that would generate waste products having high radio-activity (comparable to HLW) which might need to be transported from fixed sites for disposal. . , Task 2 - The contractor shall review and screen available and ongoing ship-ment cask design and cask utilization studies on transport of HLW or other i waste products of high specific radioactivity to characterize the type, capacity, and major design features of each cask, the applicability to.the various transport modes, the projected type, fons, and amount of material per cask and per shipment, and pertinent conditions of shipment affecting . use of these cask designs. Task 3 - The contractor shall utilize the results of Tasks 1 and 2 to evalu-ate and determine which types of waste material, if dispersed malevolently, would produce consequences of sufficient severity 'to public health and safety as to warrant consideration of safeguards retulations and measures. _- .__~__-__
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Tne desired products to be sutaitted in a report to NRC are twofold. First, the co.1 tractor will prepare a rank ordering of the waste types in terms ' - - of the relative potential consequences to put:lic health and safety associ-ated with sabotage during transport operations. The contractor shall 4 doqueent the factors and rationale supporting these conclusions. Second, the contractor will prepare a plan whjch outlines the approach for com-plation of subsequent tasks, the impact of findings from related N.".SS sponsored projects (such as the Cask Vulnerability Study) on this effort, ._ data needs and gaps, if any. The plan will include recomendations_on which of the HLW types defined in Task 1 and ranked in Task 3 warrant detailed consequence evaluation in light of their poter.tial for advsrsaly affecting public health and safety. D. OPTION TO EXTEND PERIOD OF PERFORMANCE AND STATEMENT OF WORK
- This contract shall be extended, at the unilateral option of the Government, by the Contracting Officer's giving written notice of extension to the Contractor within the period of perfomance specified in this contract, provided that the Contracting Officer shall have given preliminary notice of the Government's intentic,n to extend at least fifteen (15) days before the contract is to expire.
(Such a preliminary notice will not be deemed to commit the Government to extention.) The total duration of this contract including the exercise of the option stated under this Article shall not exceed 32 months. Should the Government exercise the option hereunder, all contractual tems and conditions shall apply during the option period. Further, the Contractor agrees that perfomance under said extension shall be accomplished- within the following cost and fixed fee: Option to include Tasks 4 and 5 of the Contractor's proposal submitted in response to RFP No. RS-NMS-81-030
- 1. Period of Perfomance: *
- 2. Estimated Cost: *
- 3. Fixed Fee: *
- To be incorporated "into any resultant contract.
Upon receipt of the Task 3 report above NRC shall review the results of Task 1, 2, and 3, to detemine if the contract shall be terminated at that time or continued through completion of Tasks 4 and 5 below. NRC shall inform the contractor of the results of .this review within 30 days after receipt of the report. The contractor shall not initiate any work on Tasks 4 or 5 until receipt of appropriate contract modification from the NRC contracting officer. The NRC contracting officer shall issue if appropriate, a contract modification within 60 days after receipt of the Task 3 report. l m: . L. .
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Task 4 - On NRC modification and . . appreval of the plan developed in Task 3, the contractor will perform a detailed analysis, and estimate of the consequences of radiological release during transport from dispersal after theft or sabotage of selected HLW materials. The contractor will consider t.id describe such factors as adversary modes of attack, required capabilities and resources and impact of meteorological conditions. The contractor will utilize, to the extent appropriate and feasible, the methodologies, data bases and/or findings from related NRC sponsored studies
- (e.g., the Spent Fuel Cask Vulnerability Studies, the transport of Radio-nuclides in Urban Environs, the Sa feguards for HLW Repositories, Calcula- !
tions of Radiological Consequences from Sabotage of Shipping Casks for Spent Fuel and HLW, etc.). The desired. products are reif able estimates of the extent and impact of public health consequences, contamination, use denial and cleanup costs that might result from radiological dispersion of HLW in both urban and rural environments. These data must be of the type and quality to serve a s a basis for a NRC policy decision on the need for safeguards regulations and measures for HLW. Task 5 - The contractor will identify example safeguards measures for ' reduction of consequences for sabotage of HLW during transport operations, consistent with established NRC policy. These examples will include, but not be limited to consideration of currently employed transport safeguards measures. The desired product will include a comparative analysis of example HLW safeguards measures with respect to potential public health conraquences, involved. measure effectiveness and cost / benefit for each type of HLW
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E. REPORTING REQUIREMENTS
- 1. Monthly Progress Reports Each month the contractor shall submit a brief progress report in letter format containing the following infonnation:
(1) a comprehensive discussion of the work performed during the previous month as each task progresses. The discussion shall include connents about progress, problems encountered, and other pertinent technical, management, or administrative information. (2) personnel time expenditures during the previous month. (3) costs: (1) current period, (ii) cumulative to date, and (iii) cost projection by month to completion of the work ) effort. (The first monthly report shall provide the ! initial cost projection and subsequent reports shall either provide revised projections or indicate "no change i in the cost projection.") The contractor shall identify ( and explain the reason for any significant variances ! between. Actual costs for the progress reported and the originally I budgeted costs for the same work, l actual and planned schedule for the progress reported. l actual and planned technical perfonnance. ' The report shall be due by the 15th of each month with distribution as follows: ' Project Officer (1 cy) Office of the Director,19455 (ATTN: Program Support) (1 cy) ! Mr. Dennis Dougherty, Contracting Officer (1 cy) . ! i
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- 2. TA5r. REPORTS: The schedule for completion of each task is set forth belo...
Ue contractor shall provide three copies of interim tasi ry. orts which thoroughly document findings, problems and specific recNeendations resulting from work performed in accordance with this schedule. Talk.1 within 90 days af ter contract award Task.2 - within 180 days after contract award Ta'sk 3 within 360 days after contract award
- Task 4 within 630 days after contract award Interim task reports will be prepared in accordance with format require-ments set forth in NRC Manual Chapter 3202, a copy of which is attached.
Distribution of these reports by the contractor shall be as follows:' Contracting Officers Authorized Representative I copy Contracting Officer, NRC 1 cony (xemx) Office of the Director, NMSS (Attn: Program Support) I copy (xerox) The NMSS PM .shallfurnish coments on each interim task report within 30 days (1 month) after receipt of the report. In addition, the contractorshall provide to the NMSS PM a list of. reports and studies to be reviewed under Tasks 1 and 2. This list shall be sub-mitted wi.tbin 30 days of the effective date of the contract award. The IMSS PM shallprovide coments pn these 1ists within 10 working days after their receipt. The NMSS PM thall assist to the extent possible the contractor in the event some of the documents are not readfly available. It is ' the responsibility of the contractor, however, to assure that all necessary reports, and design studies are obtained in a timely manner to meet the the task schedule.
- 3. FINAL REPORT: Within 870 days (29 months) after the effective date of this contract, the contractor shall furnish to the NMSS PM a draft copy of the final report. This draft final reportshall be prepared in the format specified in NRC Manual Chapter 3202 and shall include thorough !
documentation of findings, pr.oblems, and recommendations for all tasks. The draft final report sllallinclude revision of Tasks 1 through 4 based on review and coments from the NRC staff provided by che NMSS PM. This ! draft final report sha11also include thorough documentation of findings, 3 problems, and recomendations resulting from work performed on Task 5, , specifically addressing: . a) definition of candidate safeguards systems for protection of HLW during transport operations, and b) a comparative analysis of candidate HLW transportation safe- i guard systems relative to potential public health and safety consequences resulting from malevolent dispersal, system effectiveness, and cost / benefit.
- Projected schedule assumes that option for task 4 and 5 is exercised by the NRC Contracting Officer, i
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l l The .WSS PM shall furnish connents on the draf t final report within 30 _ days after receipt of the draft. Based on these consnents, the contractor shallrevise the draft and submit the final report in 11 copies to the f."'SS P:1 and 1 copy to the HRC Division of Contracts not later than 930 cays (3J months) after the, effective date of this contract. F. DELIVERA8LES and SCHEDULING - The following sumarizes project milestones - and deliverable products: Milestones and Products SCHEDULE
- 1. Initiation of Contract day 1 (Contract hiard)
- 2. Literature Search List-Tasks 1 & 2 day 30
- 3. NRC Coments on Literature Search List day 45
- 4. Interim Report - Task 1 day 90
- 5. NRC Coments Task 1 Report day 120
- 6. Interim Report - Task 2 day 180 7 .' NRC Coments in Task 2 Report day 210
- 8. Interim Report - Task 3 day 360
- 9. NP.C Coments in Task 3 day 390
- 10. Interim Report - Task 4 day 630
- 11. NRC Coments in Task 4 day 660 12.. raft Final Report ,
day 870
- 13. ' NRC Comments on Draft Final Report day 900
- 14. Submission of Final Report day 930
- Projected schedule assumesath t option for task 4 and 5 is exercised by NRC Contracting Officer.
9
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os - ..e l G. "EE M *:35 : The contractor cay deem it necessary to visit NRC, ::I, :0E
?Etonal Laboratories, and other sources to perform the literature search, citain and review HLW cask design information, and confer on HLW safe-guard analyses. The contractor shall theet with the friSS PM at the con-clusion of each task to discuss the work results. These meetings shall be of one day duration and shall be held at the NRC offices in Washington, DC or suburban Maryland, as appropriate. The contractor shall conduct briefings on study results for the NRC staff at these sneetings.
In addition, it is anticipated that the HMSS PM shall meet with the con-tractor at his business location up to three times per year. These visitssnall'be of two days duration, or less as required, and shall focus on definition of project direction, problems, and status, i
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1 ARTICLE II - PERIOD OF PERFORMANCE The perfomance of work described in ARTICLE I hereof shall commence as of the effective date of this contract and shall continue to completion thereof, esti-
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mated to occur within(Estimated 32 months) after said contract is effective. ARTICLE III - CONSIDERATION AND PAYPENT (Incrementally Funded Cost Reimbursement) A. Estimated Cost and Oblication
- 1. It is estimated that the total cost to the Government for full perforw-ance of this contract will be $ *
- 2. Total funds currently available for payment and allotted to this contract are $ *
- 3. It is estimated that the amount currently allotted will cover performance of Phase I which is scheduled to be completed
- month: fG,5 the effective date of the contract.
, 8. Pa.yment The Government shall render payment to the contractor in approximately thirty (30) days after submission of proper and cormet invoices or vouchers. Additional provisions relating to payment are contained in Ciause 5.1-3 of the General Provisions hereto. ARTICLE IV - OVERHEAD / GENERAL AND ADMINISTRATIVE RATES A. Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs, the contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rata of
- percent of
- I B. Pending the establishment of final general and administrative rates which l
' shall be negotiated based on audit of actual costs, the contractor shall be reimbursed* for allowable indimet costs hereunder at the provisional rate of percent of
- C. Notwithstanding A. and 8. of this Article, said provisional overhead and G&A rates may be adjusted as appmpriate during the term of the contract upon the acceptance of such mvised rates by the Contracting Officer.
*To be incorporated into any m sultant contract.
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ARTICLE V - PRIVATE USE AND PROTECTION OF UNrLASSIFIED GOVERf9EN A. Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, records or other infor1 nation, documents and material furnished by the Cossiission to the contractor in the perfomance of this contract, or infor1 nation deWoped by the contractor in the course of , the work hereunder, shall be used or.ly in connection with the work perforined under this contract. The contractor shall, upon completion or temination of this contract, transmit to the Cosmission all records or other infomation, ) documents and material, and any copies thereof, furnished by the Commission 1 to the contractor or developed by the contractor in the perforiaance of this contract. ! i B. The contractor shall be responsible for safeguarding from unauthorized dis-closure any infor1 nation or other documents and material exempt from public disclosure by the Conslission's regulations and made available to the con-tractor in connection with the perforiaance of work under this contract. The contractor agrees to confom to all regulations, requirements, and directions of the Commission with respect to such material. C. The contractor's duties under this clause shall not be construed to limit ! or affect in any way the contractor's obitgation to confom to all security regulations and requirements of the Commission pertaining to classified infor1 nation and material. ARTICLE VI - KEY PERSONNEL Pursuant to this ARTICLE (Key Personnel), the following individuals are considered to be essential to the successful performance of the work hereunder and shall not be replaced without the prior approval of the Contracting Officer. In such event. the contractor agrees to substitute persons possessing substantially equal abilities and qualifications satisfactory to the Contract'ng Officer. ARTICLE VII -
'ECHNICAL DIRECTION A.
Perforinance of the work under this contract shall be subject to the tech-nical direction of the NRC Project Officer named in ARTICLE VIII of this contract. The term " Technical Direction" is defined to include the following:
- 1. Technical direction to the contractor which shifts work emphasis between areas of work or tasks, requires pursuit of certain lines of inquiry, fills in details or otherwise serves to accomplish the con-tractual scope of work.
2. Providing assistance to the contractor in the preparation of drawings, specifications or technical portions of the work description.
- 3. Review and where required by the contract, approval of technical reports, drawings, specifications and technical information to oe j delivered by the contractor to the Govermient under the contract.
*To be incorporated into any resultant contract.
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- 8. Technical direction must be within the general scope 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 at defined in the clausc of the General Provisions, entitled " Changes." .
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- 3. In any way causes an increase or decrease in the total estianted contract cost, the fixed fee, if any, or the time required for contract performance.
1
- 4. Changes any of the expressed terms, conditions or specifications of the contract.
C. ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCK PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERSAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer. The contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article. 1 i 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 8(1) through (4) above, the contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting ' Officer to modify the contract accordingly. Upon receiving such notification from the contractor, the Contracting Officer shall issue an appropriate ' cont-act modification or advise the contractor in writing that, ir. the Contractftng Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause. D. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the contractor's perfomance, and may even result in the contractor expending funds for unallowable costs under the contract. , E. A failure of the parties to agree upon the nature of the instruction or i direction or upon the contract action to be taken with respect thereto l shall be subject to the provisions of the contract clause entitled " Disputes." l l . . ____._ ,___._t . _ . , - - - - ~ ~ ~ - - ' ' ~ ~ ~ * - ' * * " ' ' ~ " ' ' " " " ~ ' ' * * ' - ' ' ' " ' ' "" ' ' ~ ~
ARTICLE VIII- PROJECT OFFICER is hereby designated as the Contracting Officer's authorized representative (hereinafter contract. The Pro.iect Officer called Project Officer) for technical aspects of this is not authorized to approve or request any action which results in or could result in an increase in contract cost: or terminate. settle any claim or dispute arisino under the contract; or issue any unilateral directive whatever. The Project Officer is-responsible for: (1) monitoring the contractor's technical progress, including surveillance and assessment of performance, and recosamending to the Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) perfoming technical evaluation as required; (4) performing technical i inspections and acceptances required by this contract; and (5) assisting the contractor in the resolution of technical problems encountered during performance. , Within the purview of this authority, the Project Officer is authorized to review all costs requested for reimbursement 5y contractors and submit recosamendations for approval, the contract. disapproval, or suspension for supplies, services required under The Contracting Officer is responsible for directing or negotiating any changes in terms, conditions, or amounts cited in the contract. For guidance from the Project Officer to the contractor to be valid, it must: (1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terus, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of perforihance or contract delivery schedule; and, as stated above, (4) not constitute a basis for any increase in the contract cost. i
*To be incorporated into any resultant contract.
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l Article IX - SECURITY a.. Contractor's duty to safeguard Restricted Data, Fomerly Eestricted Data, and other classified infomation. Tne contracter shall, i.n accordance with the Nuclear Regulatory Com ission's security regulations - and regdrements, be responsible for safeguarding Rest:icted Da a, Fomerly Rest:icted Data, and other classified infor=atien and protecti .g against sabotage, espionage, loss and theft, the classified documents and material in the contractor's pcssession 6 cennectics with the perfomance of work under this agreement. Except as otherwise
., expressly provided 6 this agreenent, the centractor shall, upcn ec pletien or ter. dnation of the agreenent, transmit to the Cc=issien a=y classified matter in the possession of the" contractor er any persen
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- under the contractor's control in connecticn with perfc.-r ce cf this agreement. If retention by the contractor of any classified =atter is regaired after the completion of teminatics of the ag es=ent .and
. such retention is approved by the Centracting Officer the centractor w'17 complete a certdNcate of possession to be furnished to the Nuclear l
Resclatory Comission specifying the classified matter to be retained.- l Tne certificatics shall identify the ite=s and types or categories of matter retained, the. c'onditions govembg the retention is approved by the Contracting Officer, the security provisic=s of the agreement will continue to be applicable to the matter retalined.
~ b. Regulatiens. Tne centractor agrees to confcm to all security
. regulations and regdrements of the Co==issicn.
- c. Def4-4tien of Restricted Data. Tne tem " Restricted Data," as used in this clause, means all data conceming (1) design, ssnufacture, or utilisation of atc=ic weapens; (2) the production of sce:ial nuclear sate:ial; cr (3) the use of special nuclear =aterial in the
( productics of energy, but shall not include data declassified er rencved ! frc= the Restricted Data category pursuant to Section S cf the Atenic hergy Act of 1951, as amended,
- d. Defin4 tics of Fe:merly Restricted Data. Tne tem "Fo=srly Restricted .
Data," as used in this clause, means all data renoved frem the Restricted Data category under Section li2.d. of the Atenic 7.nergy Act of 1954, as amended. ,
- e. Security clearance of personnel. The contractor shall not pe=it any individual to have access to Restricted Data, Fomerly Rest-icted Data, or other classified infomation, except in acccrdance with the Atomic hergy Act of 1954, as amended, and the Co=issien's regula ,iens or regairements applicable to the particular type or catego:y ef classified
, infor: nation. to which access is recuired. ~
- f. Cr*Wal 31 ability. It is understood that disclosure of Rest:icted Data, To:merly Restricted Data, or other classified infomati= relathg to the work or services ordered hereunder to any person not entitled to -
receive it, or failure to safeguard any Restricted Data, Fe=erly Restricted Data, or any other classified matter that may ecne to the contra with w,ctor or any ork under theperson under r.my agreement, the contracter's subject the contractor, control in cennection its agents, b I ?
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employees, or subcontractors .to c'riminal mM"ty under. the laws of ) the tkited States. (See the Atomic ]!bergy Act of 1954, as amended, L2 U.S.C. 2011 et seq.,; 18 U.S.C. 793 and 974; and Ececutive Order 11652.)
- g. Subcontracts and purchase orders. Except as otherwise authorized in writing by the Contracting Officer, the contractor shall insert, provisions similar to the foregoing in all subcontracts and purchase
, orders under this . agreement;- Article X - Cl.ASSIFICATION , To the extent that the performance of wozic under this order , involves class 4 Ned infomation, the following clause is appli-cable. 7.n perfomance of the work under this contract, the l Contractor shall assigra interim classification levels to all documents, material, and equi Iznant orig!.nated or generated by [ the Contractor in accordance with classification guidance a:.5-nished to the Contractor by the NRC Contracting Office Repre-sentative. . Each subcontract and purchase order issued hereunder involving the generation of classified docu=ents, material, or equi;r.nent, shall include a provision to the effect that in the perfomance of such subcontract or purchase order the subcentractor or supplier shall assign interim classification levels to all such documents, material and equipc:ent f.n accordance with classification guidance furnished by the Contractor. The Contractor shall in turn submit all documents, material and equi; cent generated under the Contract to the Office responsible for the centract (in this case : ESS for final classification determination. It is the resp:nsibility of the Office origf.nating the contract to ensure that proper classi-fication is assigned by an Authorized Classifier. Article XI - SECURITY REQUIREMENTS ASSOCIATED WITH SUBCONTRAC Prime Contractors vbo desire to have subcontractors perform .mrk associated with contracts /egreements that involve classified material n: st obtain prior written approval from the NRC Division's of Contracts and Security . . . i before allowing subcontractors to have access to classified caterial. Furthswe, the primo contractor shall be responsible far all facets , of security =M%istration during the life of the contract / agreement and . shall be the only authorized conduit for this information. l l h A i
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Article XII - QUALITY ASSURANCE PROCEDURES For all draft and final technical reports delivered under this contract, the contractor shall assure that an independent review and verification of all numerical computations and mathematical equations and derivations are performed by qualified contractor personnel other than the orignial author (s) of the reports. If the contractor prop 6ses to vei1fy/ check less than 100 percent of all computations and mathematical equations and derivations in the report (s), (such as might be the case when there are a large nu:ber of routine. - repetitive calculations), the contractor must first obtain written -approval - from the NRC Project Officer. Computer-generated calculations wi-11 -not require - - verification where the computer program has already been verified. --- - In addition, for all reports, including those which do not contain numerical analyses, a management review shall be. conducted by Senior Level Manaoement prior to submission to the NRC. All reports shall' be annotated to indicate that the review and verification has been accomplished prior to their submission to the NRC. (This cay be accomplished-by use of a cover letter accompanying the ieport if preferable.) - e l
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ARTICLE XIII- CONFLICT OF INTEREST (a) Purpose. , that the contractor:The primary purpose of this article is to aid in ensuring ! l (1) is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relates to the work under this contract, and ) . (2) does not obtain an unfair competitive advantage over other parties by virtue of its perforiaance of this contract. (b) Scope. The restrictions described herein shall apply to perfomance or participation activities covered by the by contractor this article.as defined in 41 CFR 820-1.5402(f) in the (c) Work for others. Notwithstanding any other provision of this contract, during the tem of this contract, the contractor agrees to forego entering into i consulting or other contractual arrangements with any firm or organization, the j result perfomed being of which may undergive thisrise to a conflict of interest with respact to the work contract. ! The contractor shall ensure that all 4 employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this article. j l that any proposed consultant or other contractual arrangemen , l
- organization may involve a potential conflict of interest, the contractor shall obtain the written contractual arrangement.approval of the Contracting Officar prior to execution of such '
(d) Disclosure after award.
' (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it
- does not have any organizational conflicts of interest, as defined in 41 CFR 820-1.5402(a).
(2) The contractor agrees that if after award it discovers organiza-j tional conflicts of interest with respect to this contract, it shall make an Contracting ismediate and full disclosure in writing to the Officer. i This statement shall include a description i of the action which the contractor has taken or proposes to take i to avoid or mitigate such conflicts. The NRC may, however, terminate tion the to be in contract the for convenience best interests if it deems such termina-of the government. 1
- (e) Access to and use of information. l (1) If the Contractor in the perfomance of this contract obtains J access to inforsantion, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has nat been i
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f i released to the public, the contractor' agrees not to: (1) use such information for any private purpose until the infomation has been released to the public; (ii) compete for work for the Commission based on such infomation for a period of six (6) i months after either the completion of this contract or tne ; release of such infomation to the public, whichever is first, I j (iii) submit an unsolicited proposal to the govemment used on such infomation until one year after the release of such infor-4 ' mation to the public, or (iv) release the infomation 'without' prior written. approval by the Contracting Officer unless sUch ~ ~ infomation has previously been released to the publ.ic 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 infomation under this contract, the contractor shall tmat such information in accordance with mstrictions placed on use of the information. 1 l (3) The contractor shall have, subject to patent and security provi-j- sions of this contract, the right to use technical data it produces 1 under this contract for private purposes provided that all mquire- ' ments of this contract have been met. (f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the
' contractor shall include this article, including this paragraph, in subcontracts of any tier. The terms " contract," " contractor," and " Contracting Officer."
shall be appropriately modified to preserve the government's rights. 'i (g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for oefault, disqualify the contractor from subsequent contractual efforts, and
, pursue other remedies as may be pemitted by law or this contract.
1 (h) Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedums outlined in 520-1.5411. 4
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i ARTICLE XIV- TRAVEL REIPSURSEMENT _ The contractor will be reimbursed for the following reasonable c travel do ! costs incurred directly and accepted by the Contracting Officer: and specifically in the performance of this c 1. 1l The per dies for meals and miscellaneous expense. amount is comprised of lodging 2./ .- - exp 2. Theofcostd/ofper rate + mile. ravel by privately owned automobile shall be rei 3. The cost actual expense ofbasis. travel by rented automobile shall be reimbursed o 4 All common carrier travel reimbursable hereunder rates when avaf fable. y class sh annotated that economy class acconnodations were not av air travel is not authorized. . First-class 5.
.- " Receipts are required for common carrier, Todging transportation and miscellaneous items in excess of $15.00 I
l i l F current rate is $so.co 2/ Current rate is .$22.00 3/ Current rate is 22 1/2t
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ARTICLE XV - GENERAL PROVISIONS / ALTERATIONS A. This contract is subject to the attached provisions of Appendix A. General Provisions, entitled " Cost Type Research and Development Contracts With Comercial Organizations " dated 11/80. l B. Alterations- The following clauses are hereby added to the general provisions:
- 1. UTILIZATION OF WOMEN-0WNED BUSINESS CONCERNS (Over $10.000)
(a) It is the policy of the United States Government that women-owned businesses shall have the maximum practicable opportunity to participate in the performance of contracts awarded by any Federal agency. (b) The Contractor agrees to use his best efforts to carry out this policy in the award of subcontracts to the fullest extent consistent. with the efficient performance of this contract. As used in this contract, a " woman-owned business" concern means a business that is i at lease 51% owned by a woman or women who also control and operate it. " Control" in this context means exercising the power to make policy decisions. " Operate" in this context means being actively involved in the day-to-day management. " Women" mean all women business owners. (reference Office of Federal Procurement Policy Letter 80/4 dated l 4/29/80) i
- 1. FRTf'r *NETreur 701 br.r1.um CDST 01 FMfw e (1-3.gl4-1(a))
If any prica, incinding profit or fee, negotiated in connection with this contract or any cost reimbursable andar this contract uns increased by any sigai-ficant s es because (a) The Contractor furnished cost or pricing data which was not accurata, complete and current as certified in the Contractor's Certificate of Current Cost or Pricing Data; (b) A subcontractor, pursuant to the clause of this contract entitled
" Subcontractor Cost or Pricing Data" or " Subcontractor Cost or Pricing Data-Price Adjustaants" or any subcontract classe therein required, furnished cost or pricing data which was not accurata, completa and currest as certified in the subcontractor's Cartificate of Current Cost or Pricing Data; l
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i (c) A.subcontraatar er prospostive subeestraster furnished eset er pricing l data which was required to be aceurate, esaplete and current and to be submitted to I support a ==ba=ceast cost estiasta furatshed by the Centraator hat which was met l
- accurata, esapleta and current as of the dets certified fa the Contrastor's Certificata of Current Cost or Pristag Data; er (d) The Contraster or a sabeestracter er prospective subcontrastor furnished
' any data, not withia (a), (b) or, (a) above, which was set assurate as submittad; the prica or cost shall be redueed asserdingly and the centraat shall be modified
- in writtag as may be necessary to reflest smak reductima. Bausver, any reduction i
in the contract prica due to defestive sabeestrast data of a prospective subcom-tractor when the subeestraat uns not subsequently museded to such subcontraster, will be limited to the amount (plus app 11 amble everhead and profit unrkup) by which the actual subcontract, or estasi esos to the Centraster if thers uma as subcontract, was less thss the prospective subasacreet east estiassa submitted by the Contractor: Provided, The actual subcontract prias was set affected by defective cost or pricing data. 4 (No ta: Since the contract is subject to reduction under this clause by i reason of defec.1va cost or pricing data submitted tin connection wi h cer_ sin subesstracts, it is expected hat the Contractor any wish to include a :1suse in each such subcontract requirfag the subcontracter to appropriately indemnify the Contractor. It is also expected that any - b = cemeter subject to such indemnification will gamerally require substantially sta11ar indammification for 1 defective cost or pricing data required to be submitted by his law tier
- subcontractors.)
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4 (a) This clause shall became operative saly with respect to say modificatima ' - - - of this centract which involves aggregata imeresses and/or dearessas is costa plus spp11 cable profits in escass of $100, 000 unless the modificatisa is priced as the basis of adequate prica competition, established catalas or market pricas of commeertial items sold La substantial quantities to the gameral public, or prices set by I M or regulatism. The right to prias redmonism under this clause is limited ta defects- in data r=1=d-- to seek ==di'4==e4==- ) I
- (b) If any prima, includies profit, er fea, assettated in meanectims with l any prica adjuse==ne under this ==e*==e uma increased by any =4gn4fiemme suas 1
because: ( (1) The Centractor fur =tah=4 eest er pricing data which was amt accurata, completa and current as certiftad ta the c==er=eter's Certificate of i Current Cost or Pricing Data; (2) A subcontractor, pursuant to the cleans of this contract entitled i
"Subcontracter Cost or Pricing Deta" er "Sabeestractor Coat or Pricing Dats--Pries
( Adjustments" or any subcostract clamos thermia required, furnished cost or pricing data which cas not accurata, esoplata and surrent as eartified in the subsentraster's Castifiesta of current Cost or Priaise Datag
l l (3) A subcontractor or prospective anhoomtractor furnished cost er pricias data which was required to be aneurata, sempleta and current and to be submitted to support a subeestract east estimate farminh=d by the Contractor het which was not accurate, complate' and cartunt as of the date eartified sa the Coo-tracter's certificate of Current Cost or Pricing Data; er (4) The Contractor or a subasatractor or prospective subcontrator ! furnished any data, not within (1), (2) er (3) sheva, which was not accurata, as sukeitted; the price shall be reduced accordingly and the contract shall be modified in writing as may be necessary to reflect such reduction. Bewever, any reduc. ion in the contract price due to defective saheestract data of a prospective subcom-tractor, when the subcontract was amt "a --*Sy awarded to such subcontractor, "will be limited to the amount.(plas appliambla overhead and profit markup) by which the actual subcontract, or actual east to the Contractet if there was no rubcontract, was less then the propeective subcontract cost estimate submitted by the Contractors Provided the actual subcontract price was not affected by i
. dalective cost or pricing data.
i i (Nota: Since the omstract is subject to reduction under this clause i by reassa of defective cost or pricing data sukaitted in c9enactico with certain ' embcontracts, it is expected that the Contractor any wish to 4=e1=da a clause in each such subeentract requiring the subeestractor to approprimtaly indemnify the Coattactor. It is also expected that any subeentractor subject to such indemnifi-cation will generally require subs =--*M5y similar imd-=ifisation for defective i cast or pricing data required to be sukaitted by his lower tier subcontractors.) , (c) Failure to agree se a reemetiam shall be a dispeta eseceraias a questiam ef fact v4 thin the ==aming of the " Disputes" clause of this eastract. i - l I j y* CDET A.*CDDETIE ETAEn&IBE U-3.1200 i l (CONTRACTS EECEIDZEC $100.000) (a) Daleas the Cost Accenting Se=deds Beerd, or the General ! Services AdHa*=tration in the case of moedefense sentracts, has prescribed l rsles or regulations saampting the Centractor er this sentract ftwa l ' standards, ruleaf and regulations pr===1g=*=d pursuant to 30 U.S.C. App. 2168 (P.L. 91-375, dagast 15, 1970), or other statatory anthesity, the Contractor, in connection with this mostract shall: (1) By submission of a Disclosure Statment, disclose is writ-ting his coee accounting practions as required by regulatises of the Cast Accounting Standards Board. The required d4=*1===~es smest be made prior to contract award unless the Contracting Offiser provides a writtaa notion to the Centractor authoristas postauerd ===h=4==4== in accordamse with regulations of the Cost Acesantias Standards Board. The practions disclased for this emetract shall be the some as the practimes surrently , disclosed and applied as all other aestracts and sua'esetracts being per- i formed by the Contractor and which sentain this Cost Aeomanting Standards i casuna. If the Contractor has motified the Centracting Offiser that the
)
Disclosure Statement contains trade secrets and sommercial or fianacial infocuation which is privileged and samf4d==**=1, the Disclaeure State-meat will not be released outside of the Government. l l l *;* ,. i s, . . l
' (2) yellow consistently the oost anae s ttag practises dis-closed pursuant to (1), above, is accumulating and reporttag contract performance cost data "concerning this contraat. If any change in dis-closed practices is ande for perpeces of any oostract or seheostract i subject to Ccst Acceenting Standards Board requirements, the change aunt be applied prospectively to this contract, and the Disclosure Statement mast be amended accordingly. If the contract prica or cost af1 - e of this contract is affected by such skanges, adjustment shall be ande ia
- accordasca with subparagraph (a)(4) er (a)(3), balse, as appropriata.
(3) Comply with all Cost Accounting Se==dmeds is effect es the data of award of this contrast er if the Centractor has submitted cost or
' pricing data, on the dats, of feinal agreement es price as about en the contractor's signed certificate of eurrent cost or prictag data. Tha Centraster shall aise comply with any Cast Asesenting Standard which j
hereoftar beammes applicable to a oestrast or subcontract of the Coe-tractor. Such compliance shall be required prospectively from the data i of appliamhility to such contract or saheestract. (4) (A) Agram to an equitable adjustment (as provided in the changes clamme of this contract, if any) if the contrase cost is affected by a change which, purasant te (3) above, the Castrastor is required to make to his established cost accounting praaticas whether such practicas are covered by a Di=e1 - - re Statament or not. (3) Begettate with the Castrasting Officer to desarmine the terms and conditimes under which a change ta either a disclosed cost ! accounting practice, other than a change eder (4)(A), ahows, any be j anda.
- A change to a practica any be proposed by either the Government or the contractor, provided, however, that no agreement any be ande under 4 this provisen that will increase emets paid by the Daited States.
i l (3) Agree em as adjusamens of the contrast price or cost
=11 - ==, as appropriata, if ha or a saheestrasser fails to oneply utch
' as applicable Cost Accounting Standard et to follow any practica disclosed-pursuant to subparagraphs (a)(1) and (a)(2), above, and smak failure resalta in any insressed easts paid by the United States. Se:A adjust-nest shall provide for recovery of the increased costs to the United States together with interest therama emeputed at the rate datarmiand by the Secretary of the Transury puromans to p.L. 92-41, 85 Stat. 97, or 7 ' j
- - percoat per anne, whichever is less, from the time the payment by the i United Sates was anda to the time the adjusment is effestad.
(b) If the parties fail to agree whether the Cameraster or a sub-contractor has asuplied with as applicable Cost Accounting Standard, rula, or regulation of the Cost Accounting Standards Board and as to any cost adjustment demanded by the Saited States, such failure to agree shall be a disposa conceraias a questiam of fact within the ananlag of the Disputas classe of this a==**mme.
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i (:) The Coctractor shall permit any autherized represente:ives of I the head of the Cosm:ission, 'of the Cost Accounting Standards Board, or a the Corp =clier General of the Daited States to =*=e and nake copies ! of any documents, papers, or records relating to compliance with the / j requirements of this cleasa. l (d) The Contractor shall include in all me2otiated subcontracts j which he saters into the substpace of this clause except paragraph (b), . , j and shall require such tariurien in all other subeestracts of any tier, j exasp that this requirement shall apply only to negotiated subcontracts ' in emeess of $100,000 where the pries negotiated is not based en: j (1) . Established catales or market prises of osamercial itams sold in substantial quantities to the guaral public; er (2) Pricas sat by law or reguistism, sad esempt that the i requirement shall not apply to negotiated emboastracts otherwise esempt ' from the requirement to, accept the Cost Acesanting Standards clamoe by reason of I 331.30(b) of Title 4, code of Pederal Ragulations (4 CFR i 331.30(b)) or 5 2-3.1203(a)(2) af Titla 41. Code e,f Federal magulations (41 CFR 1-3.1203(a)(2)). 4 Bowever if this is a contract with am agency whsch permits sub- : contracts to appeal final 4=*4=i- af the Centracting Offiner directly ( i to the head of the agency or his daly antherimed representative, ehem .the j Contractor shall taclude the substance of paragraph (b) as unll. l NOTE: (1) Subcontracters shall he required to sukait their Dis- l s closure Statements to the Contractor. Esmever, if a. subcontractor has 1 previously suhaitted his Disclosure statement to a Government Centracting i Officar he may satisfy that requirement by eartifying to the Contractor
- the date of such Statement and the addreas of the Contracting Officer.
(2) in any case where a,embosotractor dataraines that the - k Disclosure Statement informaties is privileged and confidential and d=e11a== to provide it to his Centractor er higher tier subasatractor , the Contractor may authorias direct ==h=i==4== ef that seheestracter's Disc.losure Statement to the same Govetement officens.to whiek the Centractor . was required to make submission of his Diaalmoure S'tatement. Seek auther-ination shall in no way relieve the Centracter of liability as prowthd in paragraph (a)(5) of this clausa. In view of the forescing and sitee the contract may he subject to adjustement unster this claume by renses of any failure to comply with rules, regulations, aiad standards of the Cast - Accountias Standards neerd ta ecummetion with severed subeentracts. it is , expected that the Contractor may wish to ,ianlude a clause in each such i i subcontract requiring the subcontracter to appropriately idemnify the ! Sostractor. Bowever, the inclusian of such.s claume and the terms thereof l t 4 i c
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- n catters for negotiation and agreement between the Contractor and the r,4. contractor, provided that they do not conflict with the duties of the cracractor under its contract with the Government. It is also expected tr.st e
any subcontractor subject to such idemnification will gaaerally require su'stantially similar indammificattaa es be sehnitted by his subasatractors. (e) The natus defined in Sea. 331.20 of Part 331 of Title 4. Code of Federal Regulations (4 Cy1331.20) aball have the same meanings hereia. As there defined, "segotiated _-t5=E.st" masas "any ashcontrast except a firm fiaad-price subcontract made by a Castracter or subeestractor after receiving offers from at least two firms est assestated with each other or auch Centractor or subcontracter, providing (1) the solicitation to a2,1 esapettas fitas is identical. (2) price is the only -4daestiojg.Jn ==1=eMag the subcontractor from among the competing firms onlicited, and (3) the 3muest offer received in compliance with the solicitation from smens those solicited is accepted." f, Aramrn-s m nw GF COST A1 - 11 - S?*=n' " (1-3. N A-2) (When app 11 sable) ** j For the purpose of ad=4=4= caring Cast Accounting Standards requirementa eder this contract the Contractor shall: i ! (a) ! Submit to the sogaiamat osacrasting officer a descripeton of the accouattag chsess and the general dollar angmitude of the change to refleet the sua the Cost et allAccouattag increasesStandards and the sum classes of all decreases for all contracts come=d=*=: (1) For any change is east --efag practices required to comply 4 with a neo Cost Accounting Standard in asserdance with paragraphs (a)(3) and (a)(4)(A) of the clause of this contract escitled " Cast Accouattag Scandards" within 60 days (or such other date as any bc etas11y agreed to) af ter mord j of a contract requiring such change; (2) For any change to cost accouattag practices proposed in accordance with paragraph (a)(4)(B) of tha clause of this contract entitled " Cost Accounting Standards" not less than 60 days (or such other data as any be mutually agreed 1 to) prior to the effective data of the proposed choses; or 1 < (3) For any failure to semply with as appliemhf= Cast Accounting i Standard or to fo11mv a disclosed practice as contemplated by paragraph (a)(3) of the clause of this contract entitled " Cost Assousting Standards" within 60 days (or such other data as may be assasily agreed to) after the data of l agrammat of such aa==a=pliance by the Centracter. , (b) Submit a cost impact proposal is the form and amaner specified by i the cegaiamat contracting officer within 60 days (or such other data as any be mutually agreed to) af ter the data of desarminacima ed che adequacy and comp 11==== t af a change submitted persname.ts (a)(1). (2) er (3) above. v -------,,,-----,,-,n.------,,.w-,--cewlm.__--,-e,-,,_- , , , , , , , , ,,._,mm,-e,.,m.e,wy,,.,w-evg-,,w,-w--w, _.ww-v
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l l 1 s (:) Agree tc. appropriate con =act and subcontract smandments te reflect e.tjustmen s established in accordamos with paragraphs (a)(4) and (a)(3) of the i clause of this contract entitled " Cost Accounting Stenderds.' ' (d) laclade the substance of this clause in all negotiated subcontracts conn 4=4= the clause entitled " Cost Accounting Standards." la addition, in:1ude ' a provision in these subcontracts which will require such subcontractors, within thirty (30) days af ter receipt of award, to sukait the following information to the contracting officer cogniamat of the subcontractor's facilityt (1) Subcontractor's name and subconzac number; (2) Do13ar amosmit and data af auerd; . (3) Eame of Contractor asking the amard; and (4) A statement as to whether the subcontractor has made or proposes to , nahe may changes to accounting pracciaas that affect prime contracts or subcon-tracts containias the Oost Accounting Standards clease, tuilass auch chsages have , already been I.7 2 M . If meerd of the subcontract results in making a Cost Acceemittag S.andard(s) affective for the first time this shall also be reported. (e) In the event an adjusament is required to be anda to any subcontract hersumec, motify the cogaimmat aantracting officer in writing of such adjusams:.c-and agree to an adjusament in the prios or estiasted omst and fee of this sentract, as aryz ydata, based upon the adjustamat established under subcontract. Such t notice shall be given within 30 days after receipt of the proposed subcontract
, adjustment, and shall include a proposal for adjustment to smah higher tier sub-contract or prima contract, as appropriata. ,
(f) When the cost Accounting Standards clause and this . clause are included in subcontracts, the term " contracting afficer" shall be suitably altered to identify the purchaser. ' l t 4
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s l 1 l PART IV LIST OF ATTACHMENTS S NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) Attachment 1 Optional Fom 60 2 Attachment Proposal Summary and Data Sheet Attachment 3 General Provisions Attachment 4 NRC Manual Chapter 3202 Attachment 5 NRC Form 187 Attachment 6 --
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' Attachment 1 PART 20-1 -- GENERAL .
Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec. 20-1.5401 Scope and policy. . 20-1.5402 Definitions. . 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest. . 20-1.5404 Representation. . 20-1.5405 Contract clauses. ~ 20-1.5405-1 ' General contract clause. 20-1.5405-2 Special contract provisions. 20-1.5406 Evaluation, findings, and contract award..
. 20-1.5407 Conflicts identified after ausrd.
20-1.5408 (Reserved) . ' 20-1.5409 (Reserved) 20-1'.5410 Subcontractors. 20-1.5411 Waiver. - 20-1.5412 Remedies. AUTHORITY: Sec. 8 Pub. L. 95-601, adding Sec. 170A to Pub. L.
, 83-703, 68 Stat. 919 as amended (42 U.S.C. ch.14)
I20-1.5401 Scope and Policy (NRC)(a)'It is the policy of the U.S. Nuclear Regulatory Countission to avoid, eliminate or neutralize contractor organizational conflicts
~of interest. The NRC achieves this objective by requiring all prospective contractors to submit inforisation describing relationships, if any, with
~ organizations or persons (including those regulated by NRC) which may
~ give rise to actual or potential conflicts of interest in the event of
. contract award.
(b) Contractor conflict of interest determinations cannot be made i-automatically or routinaly; the application of sound judgment on virtually
. .a_ case-by-case basis is necessary if the policy is to be applied so as
'. .. - ._. to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations
-- which might arise; however, examples are provided in these regulations
~;
to guide application of the policy. letc contracting and program officials ,
-must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased,,
7- or where it may have an unfair competitive advantage? (c) The conflict of interest rule contained in this subpart applies
~ to contractors and offerers only. Individuals or firms who have other .
relat'ionships with NRC (e.g., parties to a licensing proceeding) are not I covered by this regulation. This rule does not apply to the acquisition of consu4 ting services through the personnel appointment orocess. NRC
7590-01 agramments with other government agencies, international organizations. or state, local or foreign governments; separate. procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate. I20-1.5402 Definitions
-(a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC 1 .
contract which: (1) May diminish its capacity to give impartial, technically - i sound, objective assistance and advice or may otherwise result in a - biased work product, or (2) may result in its being given an unfair - competitive advantage.
~
i (b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation. (c)
- Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.
(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the fomulation or administration of its programs, projects, or policies which nomally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such ) ' services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or statements of work. . (e') " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c). (f) " Cont actor" means any person, firm, unincorporated association, joint venture, co-sponsior, partnership, cor;:cration, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC. (g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual ~ l controls or has the power to control another, or when a third party I controls or has the power to control both (41 CFR 51-1.606-1(e)).
- \
.(h). " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for j supplies and subcontracts in amounts of $10,000 or less.
(i) " Prospective contractor" or "offersr" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. - 2
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75g0-01 (j)~ " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The tem " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract perforiaance. I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detamining whether 4 actual or potential organizational conflicts of interest exist: (1) Are i there conflicting roles which might bias a contractor's judgment in t
! relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the perfomance of the contract?
The ultimate deterisination by NRC as to whether organizational conflicts of interest exist will be made in light of comeon sense and good business judgment based upon the relevant facts disclosed and the work to be
- --- - performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requimments
- which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.
i (b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose infomation concerning relationships which may give rise to organizational j conflicts of interest under the following circumstances: i
~ (1) Where the offeror or contractor provides advice and recomunendations to the NRC in a technical area in which it is also providing consulting
, , assistance in the same arec to any organization regulated by the NRC.
(ii) Where the offeror or contractor provides advice to the NRC an
. the same or similar matter in which it is also providing assistance N T any organization regulated by the NRC. -
. ,_ ~ (iii) Where the offeror or contractor evaluates its own products or
- services, or the products or services of another entity where the offeror or contractor has been substantially involved in their deveiopment or
, _: ._ marketing.
-(i.v). Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its i
l judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. l 3- " l . g-------, ,-,-.-wwe+e-m-e3 -------v-aw.,- --w,- y,w ,y,vww,--www-,,,%-e-e-v*-y,etv tw='urm'- rwre w M m == w e -ev e e- e - www =w we 'v-'an YWow-*m.r*wh - - -
1 l l 7590-01 1 i (2) The contracting officer may request specific infomation from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances: (i) Where the offeror or contractor prepares specifications which { are to be used in competitive procurements of products or services covered by such specifications. (ii) Where the offeror or contractor prepares plans for specific i approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.
\
(iii) Where the offeror or contractor is granted access to infomation not available to the public concerning Mtc plans, policies, or programs which could fom the basis for a later procurement action. t (iv) Where the offeror or contractor is granted access to proprietary l infomation of its competitors. (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. (c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example. The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companier considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp. advises that it is currently perfoming similar analyses for the reactor . i mar.::facturer. Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judynent could be biased in relationship to its work for l NRC. Since there are other well-qualified companies available, there t would be no reason for considering a waiver of the policy. (2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component whien are unique to one ; type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is perfoming various projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based ' on the NRC evaluation, the ABC Corp. is considered to be the best qualified ' company to perform the work outlined in the RFP. I l , l f
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7590-01 i i l Guidance. An NRC contract nomally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias l with respect to the work. An appropriate clause would be included in l l l the contract to preclude the ABC Corp. from subsequently contracting for ! ! work during the perfomance of the NRC contract with the private sector i which could create a conflict. For example, ABC Corp. would be precluded l from the perfomance of similar work for the company developing the l advanced reactor mentioned in the example. j l (3) Example. As a result of operating problems in a certain type i of commercial nuclear facility, it is imperative that NRC secure specific f data on various operational aspects of that type of plant so as to ! assure adequate safety protection of the public. Only one manufacturer ( 1 has extensive experience with that type of plant. Consequently, that I company is the only one with whool NRC can contract which can develop and ' i
- conduct the testing programs required to obtain the data in reasonable time. That company has a definits interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC. i Since the nature of the work required is vitally important in tems of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms te guard against bias. ' (4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's perfomance for the purpose of developing standards that are important to the NRC program. The A8C Co. has advised MRC that it intends to sell the new system to industry once , its practicability has been demonstrated. Other companies in this i business are using older systems for evaluation of the specific reactor ! component. 4 1 i i Guidance. A contract could be awarded to the A8C Co. provided that i the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information !
- has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an !
i unfair competitive advantage that might otherwise accrue. When NRC i furnishes information to the contractor for the perfomance of contract i i work, it shall not be used in the contractor's private activities unless j i such information is generally available to others. Further, the contract i i will stipulate that the contractor will infom the NRC contracting i officer of all situations in which the information developed under the contract is proposed to be used. !
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l 7590-01 (5) Example. The ABC Corp., in response to a RFP proposas to assemble a map showing certain seismological features of the Appalachian l
' fold belt. In accordance with the representation in the RFP and l 520-1.5403(b)(1)(i), ABC Corp' infoms the NRC that it is presently j
doing seismological studies for several utilities in the Eastern United
, States but none of the sites are within the geographic area conteplated i
, by the NRC study. j Guidance. The contracting officer would nomally conclude that award of a contract would not psace ABC Con. in a conflicting role
- where its judgment might be biased. The work for others clause of 5 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the tem of the NRC contract which could create a conflict of interest.
(d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant to a determination of the existence of such conflicts prior to the award of , a contract. i (2) It is not relevant that the contractor has the professional , reputation of being able to resist temptations whith arise from organizational conflicts of interest, or that a follow-on procurenent is not involved, or that a contract is awarded on a competitive or a sole source basis. 520-1.5404 Representation ' (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. 6 (b) Representation procedure. The following organizational i conflicts of interest representation provision shall be included in all i solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; ' l (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would , l be included in toe resulting contract. This representation requirement ' shall also apply to all modifications for additional effort under the i contract except those issued under the " changes" clause. Where, however. l , a statement of the type required by the organizational conflicts of ' interest representation provision has previously been submitted with regard to the contract being socified, only an updating of such statement shall be required. I i
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l . 7590-01 ORGANIZATIONAL CONF 1.ICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:
' The award to -
of a contract or the modification of an ' existing contract does ( ) or does not ( ) involve situations or relationships
, of the type set forth in 41 CFR 5 20-1.5403(b)(1).
(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise ' detemines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner i all relevant facts bearing on his representation to the contracting officer. If the contracting officer detemines that organizational ' conflicts exist, the following actions may be taken: (1) Iepose appropriate conditions which avoid such conflicts (ii) disqualify the offeror, or (iii) detenmine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 1 520-1.5411. ,' (2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required i i by 520-1.5404(c), shall result in disqualification of the offeror for
. award. The nondisclosure or misrepresentation of any relevant interest
'; may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be teminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract. (d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically i prohibits such exclusion. Any such proposed exclusion by an offeror will'be considered by the NRC in the evaluation of proposals. If the
,, NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment
. . of the competitive posture of the other offerors, the proposal must be -
rejected as unacceptable. '
'" ~
~ ~ ~ (e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be pennitted i to correct the omission.
I 20-1.5405 Contract clauses s 20-1.5405-1 General contract clause i
- g. yw.en-e--m-,,,e
7590-01 l All contracts of the types set forth inI20-1.5404(b) shall include-i the following clauses: -- - .. _ (a) Purpose. i The primary (purpose of this clause is to aid in1) Is not placed in! ensuring that the contractor: because of current or planned interest (financial, contractual, .or or otherwise) which relate to the work under this contract, and. Z) _(ganizational. ~~ does not obtain an unfair competitive advantage over other parties by T virtue of its performance of this contract. ._ : (b) Scope. The restrictions described herein shall apply to i perfomance or participation by the contractor as defined in 41 -CFR . . I 20-1.5402(f) in the actitities ; overed by this clause. (c) Work for others. Notwithstanding any other provision of this ' contract, during the tem of this contract, the contractor agrees to
. forego 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. :
i The contractor shall ensure that all employees who are employed full
, time under this contract and employees designated as key personnel, if. .
any, under this contract abide by the provision of this clause. Jf_the contractor believes with respect to itself or any such soployee 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 contracti,ng officer prior to : execution of such cn,r.ractual arrangement. '
~
! (d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in thi: contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a). l (2) The contractor agrees that if after award it discoverio3ganiz'ational' conflicts of interest with respect to this contract, it shall make-an. _, _ , 1sumediate and full disclosure in writing to the contractir.g officer. i This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the government. -- r_
~
(e) Access to and use of information. (1) If the contractor 1n the performance of this contract obtains access to infomation, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the contractor agrees not to: (1) Use such released information for any(private to the public, i i ) compete purpose untilfor for work the the infcmation has Consission based been -
- P. -
0
's** '
,,+ - _.-,... . .,... -.: ,, , n,--_.,._._.,,,,.,..,n__n,...__,_..._,,,n,._,,_ _ - , , . _ , , , _ _ _ _ ,
.__ - . _ - - - - . . - . -_ . - - ~ - - - _- .-- - - - .
6 7590-01 l on such information for a period of six (6) months after either the completion of this contract or the release of such infomation to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such infomation until one year after the release of ' such information to the public, or (iv) release the information without ;
- . prior written approval by the contracting officer unless such information '
i has previously been released to the public by the NRC. (2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged , technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions j placed on use of the infomation. ! (3) The contractor shall have.. subject to patent and security provisions of this contract, the right to use technical data it produces t under this contract for private purposes provided that all requirements > of this contract have been met. i' (f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the ; contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract." " contractor," and
" contracting officer," shall be appropriately modified to preserve the government's rights.
i (g) Remedies. For breach of any of the above proscriptions or for ! intentional nond13 closure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subseq.:ent contractual efforts, and pursue other remedies as may be pemitted by law or this contract. (h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined , in i20-1.5411. I 4 , i 20-1.5405-2 Special contract provisions. . ! 1
- (a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer i
i may determine that such conflict can be avoided or after obtaining a waiver in accordance with 120-1.5411, neutralized through the use of.an appropriate special contract provision. If appropriate, the offeror may 4 negotiate the tems and conditions of these clauses, including the ! extent and time period of any such restriction. These provisions include but are not limited to: 9-
,,e,
7590-01 l (1) Hardware exclusion clauses which prohibit the acceptance of- - production contracts following a related nonproduction contract previously- --- ~- performed by the contractor; _, (2) Sof tware exclusion clauses; -___- _. . (3) Clauses which require the contractor (and certain ef his key __ personnel) to avoid certain organizational conflicts of interest; and .. _ _ _ (4) Clauses which provide for protection of confidential data and '
~ ' ~ ~
guard against its unauthorized use. , (b) The following additional contract clause may be included as i section (1) in the clause set forth in s 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest. j (1) Follow-on effort. (1) The contractor shall be ineligible to ; 4 participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthennore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products
- or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.
' (2) If the contractor under this contract prepares a complete or i essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contrcctual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not { apply. (3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government. i i 20-1.5406 Evaluation, findings, and contract award ( The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of $20-1.5404(b) and other relevant information. After evaluating this information against the criteria of f 20-1.5403, a finding will be made by the contracting ', officer whether organizational conflicts of interest exist with respect - to a particular offeror. If it has oeen determined that conflicts of interest exist, then tne contracting officer shall eitner: i (a) Disqualify the offeror from award, { 1o. ' e \,. ,
l i . 4
. s
-l 7590-01 1
(b) Avoid or eliminate such conflicts by appropriate measures; or j (c) Award the contract under the waiver provision of f20-1.5411. , I20-1.5407 Conflicts identified after award. p If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting
' officer determines that such conflicts do, in fact, exist and that it ,
would not be in the best interests of the government to tarininate the . contract as provided in the clauses required by 120-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects 3 of the identified conflict. ) 120-1.5408 (fteserved) l 520-1.5409 (Reserved) i 520-1.5410 Subcontracts I i The contracting officer shall require offerors and contractors to submit a representation statement in accordance with f20-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 320-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection. i20-1.5411 Waiver ' In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting i officer with the advice and concurrence of the program office director
- and the Office of Executive Legal Director. Upon the recommendation of i'
the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he detemines that it is in the best interest of the United States to do i so.
' Such action shall be strictly limited to those situations in which:
' ' (1)'The work to be performed under contract is vital to the NRC program; ' (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the
- justification and approval occuser.ts shall be placed in the Public i Document Room. .
i ) It j 11- ; l l
.m_. -:
i 7590 01 520-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the r.:strictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts. Dated at Washinoton. D.Cthis_ 27th day of Mar:h 1979. For the Nuclear Regulatory Commission 3 A cicuudN b &
. Samuel . Chilk '
Secretary of the Comission Q &e 1?. o
. _ . , , _ _. _ _ - . . -- -- - * - * " ' ' " ~ ' ' ' ' ' ' " ~
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. 5 Attachment 3,
' Are NO.
PROPOSAL SupMARY AND DATA SHEET official Name and Adorses Of Offeror ce ACs Or peneOnenaNcs <cw. c-pr. - ss== TOTAESSTsasArtefieseAGOU4AGO TO IST Y EAA (Osammans ausger esemuses reTMYEAA cesspLs7s Tus paOmcv ,,,,, , my,, mev5AA enevsAA
' EIS YEAR Type Op cONTnAc7 peopOssO Ccosi.asmoeuneenseNT CcostesAAuse QcasieLus.eixeo aos Q pixso enses Q OTwan . Naast Op IMOtVtOUALI53 AUTHO8t:ZEO f O TITLS TELSPMONS NumeeGR SXECUTE Afee SMIM COftf AACT5
)- NAast OP INotvtouALIS3 AUTHORIZED TO TITLE TELSPMosse NumeeEA EXECUTE A880 30080 CONTRACTS NuR8eSR Of SAAPLOYEES CUARENTLY EndPLOYSO OOLLAA WOLusse OP SuSINGOS PER Afescues , Aeenetspees Perios . The offerer agrees to aneus devs fressi ties does of tfies pressent for sessetenes tfiereof by the ! & . ,-- - _..; (90 hys, dner offmewer acordisW1. , NA484 ANO AGORSSS OF COGNIEANT GOVER8essGNT AWOST AOSfeCY Pruiett Direetoe t'La'"O"* **uaneea ECT'**A T'O MOURSUuGSELY
- l i
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. . . . .. ._ .- - - - - ~~~~ - - - - ' Sep esO.
PROPOSAL
SUMMARY
AND DATA SHEET
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- I$
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- t ATTACHMENT 4 Rev: 11/80 Pages 1 through 61 GENERAL PROVISIONS
, CONTENTS APPENDIX A - COST TYPE RESEARCH AND ,
DEVELOPMENT CONTRACTS WITH COMERCIAL ORGANIZATIONS GENERAL NO 1.0 i 1.1 Definitions
- 1. 2 Assignment
- 1. 3 Assignment of Claims
- 1. 4 Officials Not to Benefit
- 1. 5 Standards of Work
- 1. 6 Notice Regarding Late Delivery
- 1. 7 Covenant Against Contingent Fees i
- 1. 8 Interest l 1.1 Disputes 1.10 Notice to the Government of Labor Disputes 1.11 Audit i
1.12 Examination of Records by Comptroller General 1.13 Order of Precedence i 1.14 Stop Work Order 1.15 Contractor Organizational Conflicts of Interest - Definitions 1 1.16 Contractor Organizational Conflicts of Interest - General Contract Clause 1.17 Dissemination of Contract Information 1.18 Private Use of Contract Information and Data 1.19 Drawings, Designs, and Specifications 1.20 Proprietary Data and Confidential Information 1.21 Privacy Act Notification 1.22 Privacy Act PERFORMANCE PROVISIONS NO 2.0 ' 2.1 Permits 2.2 Safety, Health and Fire Protection 2.3 Key Personnel 2.4 Security
- 2. 5 Subcontracts .
2.6 Consultant or Other Comparable Employment Services of Contractor Employees
- 2. 7 Litigation and Claims 2.8 Excusable Delays 2.9 Changes 2.10 Inspection 2.11 Required Source of Jewel Bearing 2.12 Government Property i
5 e
,4 -, -. - , - - . - , -, , .- -- -- - ., - - - , - - - . - , . . . . , , - - - - - - , - , . , - - - , - - - , , ,
l SOCIO-ECONOMIC PROVISIONS NO 3.0 3.1 Employment of the Handicapped 3.2 Disabled Veterans and Veterans of the Vietnam Era 3.3 Convict Labor 3.4 Equal Opportunity 3.5 Preference for U.S. Flag Air Carriers 3.6 Use of U.S. Flag Commercial Vessels 3.7 Buy American Act
. 3.8 Contract Work Hours and Safety Standards Act - Overtime Compensation 3.9 Utilization of Small Business Concerns and Small Business Concerns Dwned and Controlled by Socially and Economically Disadvantaged Individuals 3.10 utilization of Labor Surplus Area Concerns 3.11 Clean Air and Water PATENT AND COPYRIGHT PROVISIONS NO 4.0 4.1 Patent Rights - Acquisition by the Government i 4.2 Patent Indemnification of Government by Contractor 4.3 Rights in Copyrightable Material Under Contracts 4.4 Copyright Indemnification of Government 4.5 Notice and Assistance Regarding Patent and Copyright Infringement FINANCIAL AND TERMINATION PROVISIONS NO 5.0 5.1 Limitation of Cost -
5.2 Limitation of Funds 5.3 Allowable Cost, Fixed-Fee and Payment 5.4 Allowable Cost and Payment 5.5 Negotiated Overhead Rates 5.6 State and Local Taxes 5.7 Termination for Default or for Convenience of the Government W w. t h 1 .- . . _ _ _ - . . . _ . - - _ . . - - . - ..- - ---_-- .--
1 1 i, i 1
; i APPENDIX A 1
U.S. NUCLEAR REGULATORY COBOIISSION GENERAL PROVISIONS FOR COST-TYPE RESEARCH ANO DEVELOPNENT CONTRACTS WITH COBOIERCIAL j ._ ___. _ ORGANIZATIONS Numerical references which follow the names of the provisions and commence with the number 1 are to the Federal Procurement Regulations, Title 41, Code of Federal Regulations. 1 ' ] . GENERAL NO. 1.0
- '~~
1.1__ Definitions (1-7.102-1) ' i As used throughout this contract, the following terms shall have the ' meaning set forth below: (a) The term, " head of the agency" or " Secretary" as used herein means the Secretary, the Under Secretary, and Assistant Secretary, or any other head or_ assistant head of the executive or military department or other Federal ~
- . . .. _ _ agency 1.and the term "his duly authorized representative" means any person or persons or board (other than the Contracting Officer) authorized to act for i
the head of the agency or the secretary. -
~"~~ ~
i j .U) The ters " Commission" means the United States Nuclear Regulatory
- Commission or any duly authorized representative thereof, including the !
Contracting Officer except for the purpose of deciding an appeal under the 4 1
. _ . attir.la_ entitled " Disputes.
i
~3) _The tem " Contracting Officer" means the person executing this i
contract on behalf of the Government, and any other officer or civilian ' _ . . . employee who is a properly designated Contracting Officer; and the term
. JMbe,-except as othenvise provided in this contract, the authorized l _. .
representative of a Contracting Officer acting within the Ifnits of his t auther4ty. j --
" (d) Except as otherwise provided in this contract, the tern
- subsentreets" -includes purchase orders under this contract.
I----
=-1. 0 A;;ignment-I i Except as stated in Provision No. 1.3, neither this contract nor any '
i- --- interest therein ror claim thereunder shall be assigned or transferred by the , contractor vacept as expressly authorized in writing by the Contracting - Officer.
- 1. 3 Assignment of Claims (1-30.703)
~~ (a) Pursuant to the provisions of the Assignment of Claims Act of 1940, as amended (31 L S.C. 203, 41 U.S.C. 15), if this contract provides for navnents aaaregating $1,000 or more, claims for moneys due or to become due i
e i,m,,,._,._n.-- _
. . . * ~ . , * . . -.e-n.--*-*. -
._ _ ...__._ ---_._,_ _ _. _ .._,,_~__~.. . *
._. _ .__. _.. _ '*.~._'_~-
.- ..=- _ - . - - -- - . . - - _ _ - - -- -
t 2
- the Contractor from the Government under this contract may be assigned to a l bank, trust company, or other financing institution, including any Federal lending agency, and mayt 'hereafter be further assigned and reassigned to any j such institution. Any such assignment or reassignment shall cover all amounts payable under this contract and not alrea(y paid, and shall not be made to i
more than one party, except that any such assignment or reassignment may be j made to one party as agent or trustee for two or more parties participating in s such financing. Unless otherwise provided in this contract, payments to an l 1 - assignee of any moneys due or to become due under this contract shall not, to !
,t eh extent provided in said Act, as amended, be subject to reduction or setoff.
l (The preceding sentence applies only if this contract is made in time of war or national emergency as defined in said Act and is with the Department of l , Defense, the General Services Administration, the Energy Research and Develop- t
- ment Administration (The Energy ~Research and Development Administration is now I the Department of Energy), the National Aeronautics'and Space Administration, l the Federal Aviation' Administration, or any other departnerit or agency of the j
i United States designated by the President pursuant to' Clause 4 of the proviso e of section 1 of the Assignment of Claims Act of 1940, as amended by the Act of
- May 15, 1951, 65 Stat. 41).
2 (b) In no event shall copies of this contract or of any plans, specifica- , tions, or other similar documents relating to work under this contract, if 4 marked " Top Secret," " Secret," or " Confidential," be furnished to any assignee of any claim arising under this contract or to any other person not entitled I to receive the same. However, a copy of any part or all of this contract so marked may be furnished, or any information contained therein may be disclosed,
- to such assignee upon the prior written authorization of the Contracting
, Officer. j 1.4 Officials Not to Benefit (1-7.102-17) i ho member of or delegate to Congress, or resident commissioner, shall be ' I admitted to any share or part of this contract, or to any benefit that may arise therefrom; but this provisions shall not be construed to extend to this contract if made with a corporation for its general benefit. t 1.5 Standards of Work (1-7.302-3) The Contractor agrees that the performance of work and services pursua7 to the requirements of this contract shall conform to high professional stantards, 1.6 Notice Regarding Late Delivery (1-7.204-4) In the event the Contractor encounters difficulty in meeting the performance requirements, or anticipates difficulty in complying with the contract delivery schedule or date, the Contractor shall immediately notify the Contracting Officer thereof in writing, giving pertinent details, including the date by which it expects to complete performance or make delivery: Provided, however, that this data shall be informational only in character and that receipt thereof shall not be construed as a waiver by the Government of any contract delivery schedule or rate, or any rights or remedies provided by law or under this contract. y - 9 9 e 9 O 9
- 3 1
l } 3 i
- 1. 7 Covenant Against Contingent Fees (1-1.503) i (a) Warranty - Temination or deduction fer breach.
. .~ . .
-- . The contractor warrants that no person or selling agency has been
~~~ ~ ~, _
emp_loyed_ar. retained to solicit or secure this contract upon an agreement t
--- or e,.eunderstanding w;.i.,v for a commission, percentage, brokerage, or contingent fee, !
.. fide employees or bona fide established commercial or selling ,
- - - '- -' ' agencies maintained by the contractor for the purpose of securing business. '
For breach or violation of this warranty the Government shall have the
- i. -
right to annui this contract without liability or in its discretion to deduct , from the contract price or consideration or othemise recover, the full
.-~ - . amount- of such commission, percentage, brokerage, or contingent fee.
- (b) Subcontracts and purchase orders.
J i Unless othemise authorized by the Contracting Officer in writing, the 4 ,_ contractor shall cause provisions similar to the foregoing to be inserted in all subcontracts and purchase orders entered into under this contract. i
- 1. 8 Interest (1-7.203-15)
Notwithstanding any other provision of this contract, unless paid within 30 days, all amounts that become payable by the Contractor to the i Smnment- under this contract (net of any applicable tax credit under . the Internal Revenue Code) shall bear interest at the rate determined by the Secretarv af.the Treasury pursuant to Public Law 92-41, 85 Stat. 97. Amounts shall be due upon the earliest of (a) the date fixed pursuant to this i
- - contract; (b) the date of the first written demand for payment, consistent ,
wiUi i.nis contract, including demand consequent upon default termination; (c) the date of transmittal by the Government to the Contractor of a pro- , t posed
-um. ,
supplemental agreement to confirm completed negotiations fixing the !' ur (d) if this contract provides for revision of prices, the date of !. written notice to the Contractor stating the amount of refund payable in connection with a pricing proposal or in connection with a negotiated pricing ; agreement not confirmed by contract supplement. i { - i
- 1. 9 Disputes (1-7.102-12) '
1 (a) This contract is subject to the Contract Disputes Act of 1978 . 4 (s u.a.c o01 et seq.). If a dispute arises relating to the contract, the contractor may submit a claim to the Contracting Officer who shall issue a ; written decision on the dispute ir the menner specified in FPR 1-1.318. ; 1 4 Tb) "Clain" means: ' (1) A written request submitted to the Contracting Officer; (2) For payment of money, adjustment of contract terms, or other relief; I i l l __ ._ . _ . -. . -. - - - - ~ ~
-- w-- - -.y,.,g. y-e--g -ww+---w - ,, w+-w.ey,,n,ge.m, , , . .,3--g-gw. map -i,r- -q, p.p-e-w-y-c.avp -1 ya+w.*9 - ey w m- way* mn.---fT-e emewv 9-wp-y -+tepgy--r----1pm-g"
_ =. ,
. -. -- - - = - . . = - - -. . .
j 4
-(3)* Which is in dispute or remains unresolved after a reasonable time for its review and disposition by the Government; and 1
. (4) For which a Contracting Officer's decision is demanded.
i (c) In the case of disputed requests or amendments to such requests for payment exceeding $50,000, or with any amendment causing the total request in dispute to exceed $50,000, the Contractor shall certify, at the time of submission as a claim, as follows: i I certify that the claim is made in good faith, that the supporting data are accurate and complete to the best of my knowledge and belief; and that the. 4 amount requested accurately reflects the contract adjustment for which the contractor believes the Government is liable. (Contractor's Name) (Title) (d) The Government shall pay the contractor interest: i (1) On the amount found due on claims submitted under this clause; b (2) At the rates fixed by the Secretary of the Treasury, under the Renegotiation Act, Pub. L. 92-41; i (3) From the date the Contracting Officer receives the claim, until the Government makes payment. , (e) The decision of the Contracting Officer shall be final and I conclusive and not subject to review by any forum, tribunal, or Government agency unless an appeal or action is timely commenced within the times specified by the Contract Disputes Act of 1978. 4 (f) The Contractor shall proceed diligently with performance of this contract, pending final resolution of any request for relief, claim, appeal or action related to the contract, and comply with the decision of the Contracting Officer. . 1.10 Notice to the Government of Labor Disputes (1-7.203-3) (a) Whenever the Contractor has knowledge that any actual or potential labor dispute is delaying or threatens to delay the timely performance of
- this contract, the Contractor shall immediately give notice thereof, including
- all relevant infonmation with respect thereto, to the Contracting Officer.
(b) D.e Contractor agrees to insert the substance of this clause, including this paragraph (b), in any subcontract hereunder as to which a labor dispute may delay the timely performance of this contract; except that each such subcentract shall provide that in the event its timely performance is delayed or threatened by delay by an actual or potential labor dispute, the
; subcontractor shall immediately notify his next higher tier subcontractor, or i
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i t 5 r j ~ the Prime Contractor, as the case may be, of all relevant infomation with respect to such disputes. , 1.11 Audit (1-3.814-2) (a) General. The Contracting Officer or his representatives shall have the audit and inspection rights described in the applicable paragraphs (b), (c) and (d) below. . (b) Examination of costs. If this is a cost reimbursement type, incentive, I time and materials, labor hour, or price redeterminable contract, or any ; combination thereof the Contractor shall maintain, and the Contracting Officer i or his representatives shall have the right to examine books, records, documents, 1 and other evidence and accounting procedures and practices, sufficient to I reflect properly all direct and indirect costs of whatever nature claimed to , } have been incurred and anticipated to be incurred for the performance of this ! j contract. Such right of examination shall include inspection at all reasonable : times of the Contractor's plants, or such parts thereof, as may be engaged in the performance of this contract. !
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1 1 (c) Cost or pricing data. If the Contractor submitted cost or pricing ! { data in connection with the pricing of this contract or any change or modifi- ; cation thereto, unless such pricing was based on adequate price competition, established catalog or sierket prices of commercial items sold in substantial : quantities to the general public, or prices set by law or regulation, the ! ' Contracting Officer or his representatives who are employees of the United States Government shall have the right to examine all books, records, docu-ments and other data of the Contractor related to the negotiation, pricing or ! performance of such contract, change or modification, for the purpose of ; evaluating the accuracy, completeness and currency of the cost or pricing data ! i submitted. Additionally, in the case of pricing any change or modification i ' exceeding $100,000 to formally advertised contracts, the Comptroller General ; of the United States or his representatives who are employees of the United i j States Government shall have such rights.~ The right of examination shall extend to all documents necessary to permit adequate evaluation of the cost or i : pricing data submitted, along with the computations and projections used j therein. y 4 (d) Availability. The materials described in (b) and (c) above, shall . be made available at the office of the Contractor, at all reasonable times, for inspection, audit or reproduction, until the expiration of 3 years from ( t the date of final payment under this contract or st.ch lesser time specified in Part 1-20 of the Federal Procurement Regulations (41 CFR Part 1-20) and for such longer period, if any, as is required by appifcable statute, or by other
- 4 clauses of this contract, or by (1) and (2) below: I i
(1) If this contract is completely or partially terminated, the records ! relating to the work terminated shall be made available for a period of j j 3 years from the date of any resulting final settlement. ' I l r I ! l ! e . .- ,._ _., , . , _ _ - - , , . , _ , , , , . . , . . . , - . , - . , _ , . _ - _ _._.._,y -,,y,,,-..,,..-.m.__.-_,,__r.,._...,_,,-,~__,. . . , ,, ,. ,. ,-
3 . ._ __ _ _ - ~ _ _ _ . _ _ _ _ __ . _ s l 1 6 i (2) Records which relate to appeals under the " Disputes" clause of this contract, or litigation or the settlement of claims arising out of the performance i ! of this contract, shall be made available until such appeals, litigation, or
- claims have been disposed of.
(e) The Contractor shall insert a clause containing all the provisions ! of this clause, including this paragraph (e), in all subcontracts hereunder j except altered as necessary for proper identification of the contracting 1 parties and the Contracting Officer under the Government prime contract. i- (f) Reports. The Contractor shall furnish such progress reports and schedules, financial and cost reports and other reports concerning the work under this contract as the contracting officer may from time to time require. 1 1.12 Examination of Records by Comptroller General (1-7.103-3) ' (a) This clause is applicable if the amount of this contract exceeds
$10,000 and was entered into by means of negotiation, including small business ! restricted advertising, but is not applicable if this contract was entered into by means of fomal advertising.
i (b) The Contractor agrees that the'Compto11er General of the United States or any of his duly autnorized representatives shall, until the expiration ; i' of 3 years after final payment under this contract or such lesser time specified in either Appendix M of the Armed Services Procurement Regulation or the l Federal Procurement Regelations Part 1-20, as appropriate, have' access to and the right to examine any directly pertinent books, documents, papers, and records of the Contractor involving transactions related to this contract. (c) The Contractor further agrees to include in all his subcontracts i j hereunder a provision to the effect that the subcontractor agrees that the L Comptroller General of the United States or any of his duly authorized repre-i sentatives shall, until the expiration of 3 years after final payment under the subcontract or such lesser time specified in either Appendix M of the i Armed Services Procurement Regulation or the Federal Procurement Regulations ! Part 1-20, as appropriate, have access to and the right to examine any directly i ! pertinent books, documents, papers, and records of such subcontractor, involving transactions related to the subcontract. The term " subcontract" as used in this clause excludes (1) purchase orders not exceeding $1,M 3 and (2) subcontractors or purchase orders for public utility services at rates est.ablished for uniform i applicability to the general public. I (d) The periods of access and examination described in (b) and (c), f above, for records which relate to (1) appeals under the " Disputes" clause of } this contract, (2) litigation or the settlement of claims arising out of the t j performance of this contract, or (3) costs and expenses of this contract as to which exception has been taken by the Comptroller General or any of his duly authorized representatives, shall continue until such appeals,
- litigation, claims, or exceptions have been disposed of.
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. 7 1.13 Order of Precedence '
In the event of an inconsistency between provisions of this contract, the , inconsistency shall be resolved by given precedence in the fallowing order: (a) the Schedule; (b) the Statement of Work; (c) the General Prow?sions; (d) other provisions of the contract, whether incorporated by referenc? or otherwise; and (e) the contractor's technical proposal, if incorscrated in the contract by reference or othe6 vise. - - 1.14 Stop Work Order (a) The Contracting Officer may, at any time, by written orde'r to the Contractor, require the Contractor lto stop all, or any part, of tie-work called for by this contract for a period of ninety (90) days after< the order
' is delivered to the Contractor, and (Ar epy fu~ rther period at whinh .the parties may agree. '
Work Order issued pursuant to this clause.Any such order shall- be specifically ide Contractor shall forthwith comply with its terms and take all reasonableUpon rece steps to minimize the incurrence of costs allocable to the work covered oy the order during the period of work stoppage. Within a period of ninety (90) days after a stop work order is delivered to the Contractor, or within any extension of thateither: shall period to which the parties'shall
- have_ agreed, the Co:t'fractor Officer (i) cancel the stop work order, or ,
(ii) terminate the work covered by such order as provided in the
" Default" or the " Termination for Convenience" clause of this contract.
(b) If a stop work order issued under this clause is carceled or the period of the order or any extension thereof expires, the Contractor shali resume work. the estimated cost, the feeAn equitable adjustment shall be made in the delflery sched be modified in writing accor,dingly, if:or a combination thereof, and the contract shall (i) for, or in the Contractor's cost prcperly allocable tc, the performanc any part of this co6 tract, and 3 (ii) the Contractor asserts a claim for such' adjustment within - ) thirty-(30) days af ter the end of the period of work stoppage; provided that, if the Contracting Officer decides the facts justify such action, he may receive under this and act upon any such claim asserted at any time prior to final payment contract. (c) If a stop work order ic -not cancelled and the work covered by such order is terminated for the convehience of the Government, the reasonable costs resulting from the stop work order shall be allowea in' arriving at the termination settlement. ,
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i 4 l V 8 l l (d) If a stop work order is not cancelled and the work covered by such ! order is teminated for default, the reasonable costs resulting from the
. stop work order shall be allowed by equitable adjustment or otherwise.
1.15 Contractor Organizational Conflicts of Interest - Definitions (41 CFR l 20-1.5402) (a) " Organizational conflicts of interest" means that a relationship ! - exists whereby a contractor or prospective contractor has present or planned i interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective i 4 assistance and advice or ma otherwise result in a biased work product, or l (2) may result in its being given an unfair competitive advantage.
! (b) "Research" means any scientific or technical work involving j theoretical analysis, exploration, or experimentation.
(c) " Evaluation activities" means any effort involving the appraisal l of a technology, process, product, or policy. [
! (d) " Technical consulting and management support services" means ! internal assistance to a component of the NRC in the formulation or admini-stration of its programs, projects, or policies which normally require the
- contractor to be given access to infomation which has not been made avail- l able to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of l preliminary designs, specifications, or statements of work.
-(e) " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in i 20-1.5401(c).
! (f) " Contractor" means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key i personnel (identified in the contract), proposed consultants or subcontractors, ! which is a party to a contract with the NRC. , (g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls l l or has the power to control another, or when a third party controls or has the : power to control both (41 CFR 1-1.606-1(e)). I 1 (h) " Subcontractor" means any subcontractor of a'iy tier which performs
- work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.
t . (1) " Prospective contractor" or " offeror" means any person, firm, unincorporated association,' joint venture, partnership, corporation, or i affiliates thereof, including its chief executive, directors, key personnel ! (identified in the proposal), proposed consultants, or subcontractors, sub-l mitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. i i - ;
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(j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to con-tract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance. - 1.16 Contractor Organizational Conflicts of Interest - General Contract Clause - (41 CFR 20-1.5405-1) (a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) Is not placed on a conflicting role because of current or planned interest (financial, contractual, organizational, or other-wise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its perfomance of this contract. (b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR 620-1.5402(f) in the activities covered by this clause. (c) Work for Others. Notwithstanding any other provision of this contract, during the tars 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 confifet of interest with respect to the work being performed under this contract. The contractor shall ensure that all employees who are employed full time under this contract and employees the provision designated of this clause. as key personnel, if any, under this contract abide by If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual - arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior'to execution of such contractual arrangement. (d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as othemise set forth in this contract, it does not have , any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a). (2) The contractor agrees that if after award it discovers organizational confifcts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement shall include a description of the action which the contractor has taken or, proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the the contract best interests of thefor convenience if it deems such termination to be in government. > (e) Access te and use of information. i
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_s---- - 1 10 1 (1) If the contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the contractor agrees not to: i (i) Use such infomation for any private purpose until the infomation has been released to the public;
- , (ii) compete fr~ work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such infomation to the public, whichever is first, j (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public,
, or (iv) release the information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC. (2) In addition, the contractor agrees that to the extent it receives or , is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged technical, business, or
'g financial information under this contract, the contractor shall treat such .
information in accordance with restrictions placed on use of the information. (3) The contractor shall have, sub. ject to patent and security provisions L of this contract, the right to use technical data it produces under this , contract for private purposes provided that all requirements of this contract have been met. (f) Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any i . tier. The terms " contract," " contractor," and " contracting officer," shall be appropriately modified to preserve the government's rights. (g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required
- to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and '
i pursue other remedies as may be permitted by law or this contract. (h) Waiver. A request for waiver under this clause shall be directed in [ - writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 520-1.5411. 3 1.17 Dissemination of Contract Information ! The contractor shall not publish, permit to be published, or disseminate (. to the public any information, oral or written, concerning the work performed I 9 O g h* I g 3 s ., . . . - ,. - . , , - . . ,-,- >,,-.-_...,-n.,-,.,,-n-,,,,~n--,~,
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l under this contract without the prior written consent of the Contracting Officer. ; i Two copies of any information proposed to be published or disseminateo shall be submitted to the Contracting Officer. Failure to comply with this clause shall be grounds for temination of this contract. 1.18 Private Use of Contract Information and Data Except as otherwise specifically authorized by Provision No. 1.17, ! pubilcation of contract work of this contract, or as otherwise approved by the ! Contracting Officer, information and other data developed or acquired by or : furnished the contractor in the performance of this contract, shall be used I only in connection with the work under this contract. ; 1.19 Orawings, Designs, and Specifications
! All drawings, sketches, designs, design data, specifications, notebooks, i technical and scientific data, and all photographs, negatives, reports, find- !
ings, recommendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the Commission at all reasonable times (for 4 which inspection the proper facilities shall be afforded the Commission by the ' contractor and its subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever without any claim i on the part of the contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the contractor to retain a copy of said material for its own use,_ be delivered to the Government, or othemise disposed of by the contractor either as the Contracting Officer may ! from time to time direct during tne progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this i contract. The contractor's right of retention and use shall be subject to the i security, patent, and use of information provisions, if any, of this contract. ' 1.20 Proprietary Data and Confidential Information i In connection with the performance of the work under this contract, the I j contractor may be furnished, or nsy develop or acquire, proprietary data i (trade secrets) or confidential or privileged technical, business, or financial I
- infomation, including Commission plans, policies,' reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L. 93-579), or other
( Information which has not been released to the public or has been determined . by the Commission to be otherwise exsapt from disclosure to the public. Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate, dissaminate, or disclose such information in whole or in part to any other person or organization except as may be necessary to perform the work under this contract. Contractor agrees to return such'informa-tion to the Commission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon cnspletion or termination of this contract. Failure to couply with this clause shall be grounds for , termination of this contract. l D ^.: L T ~ T X - = - - - - - = ~~~' ~
12 . 1.21 Privacy Act Notification (1-1.327-5(b))
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This procurement action requires the contractor to do one or more of the following: design, develop, or operate a system of records on individuals to accomplish an agency function in accordance with the Privacy Act of 1974, Public Law 93-579, December 31, 1974 (5 U.S.C 552a) and applicable agency i regulations. Violation of the Act may involve the imposition of criminal penalties. 1.22 Privacy Act (1-1.327-5(c)) (a) The contractor agrees: (1) To comply with the Privacy Act of 1974 and the rules and regulations issued pursuant to the Act in the design, development, or operation of any system of records on individuals in order to accomplish an agency function when the contract specifically identifies (i) the system or systems of reccrds and (ii) the work to be perfomed by the contractor in terms of any one or combination of the following: (a) design, (b) development, or (c) operation; (2) to include the solicitation notification contained in this contract in every solicitation and resulting subcontract and in every subcontract awarded without a solicitation when the statement of work in the proposed subcontract , requires the design, development, or operation of a system
- of records on
- individuals to accomplish an agency function; and (3) to include this clause, including this paragraph (3), in all subcontracts awarded pursuant to this contract which require the design, developmeat, or operation of such a system of records.
(b) In the event of violations of the Act, a civil action may be brought against the agency involved where the violation concerns the design, develop-ment, or operation of a system of records on individuals to accomplish an agency function, and criminal penalties may be imposed upon the officers or employees of the agency where the violation concerns the operation of a system of records on individuals to accomplish an agency function. For purposes of the Act when the contract is for the operation of a system of records on individuals to accomplish an agency function, the contractor and any employee of the contractor is considered to be an employee of the agency. (c) The tems used in this clause have the following meanings: (1) " Operation of a system of records" means performance of any of the activities associated with maintaining the system of records including the collection, use, and dissemination of records. (2) " Record" means any item, collection, or grouping of information s out an individual that is maintained by an agency, including, but not limited i ! l l 1
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13 I to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph. (3) " System of records" on individuals means a group of any records under the control of any agency from which information is retrieved by the , name of the individual or by some identifying number, symbol, or other l, identifying particular assigned to the individual. PERFORMANCE PROVISIONS NO. 2.0 2.1 Permits Except as otherwise directed by the Contracting Officer, the contractor , shall procure all necessary permits or licenses and abide by all applicable laws, regulations, and ordinances of the United States and of the State, territory, and political subdivision in which the work under this contract is performed. 2.2 Safety, Health, and Fire Protection
~
The contractor shall take all reasonable precautions in the peIformance 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 health, safety, and fire protection regulations and requirements (including reporting requirements) of the Com-mission and the Department of Labor. In the event that the contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage. 2.3 Key Personnel (1-7.304-6) The personnel specified in this contract are considered to be essential to the work being performed hereunder. Prior to diverting any of the . specified individuals to other progans, the Contractor shall notify the Contracting Officer reasonably in advance and shall submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the program. No diversion shall be made by the Contractor without the written consent of the Contracting Officer: Provided, That the. Contracting Officer may ratify in writing such diversion and such ratifica-tion shall constitute the consent of the Contracting Officer required by this clause. The attachment to this contract may be amended frem time to time during the course of the contract to either add or delete personnel, as appropriate.
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- 2.4 Security (a) Contractor's duty to safeguard Restricted Data, Formerly Restricted
' Data, and other classified information. The contractor shall, in accordance with the Commission's security regulations and requirements, be responsible for safeguarding Restricted Data, Formerly Restricted Data, and other classified information and protecting against sabotage, espionage, loss and theft, the classified documents and material in the contractor's possession in connection with the performance of work under this contract. Except as otherwise expressly provided in this contract, the contractor shall, upon completion or termination of this contract, transmit to the Commission any classified matter in the possession of the contractor or any person under the contractor's control in connection with perfomance of this contract. If retention by the contractor of any classified matter is required after the completion or termination of the contract and such retention is approved i by the Contracting Officer, the contractor will complete a certificate of possession to be furnished to the Commission specifying the classified matter
- to be retained. The certification shall identify the items and types or categories of matter retained, the conditions governing the retention of the matter and their period of retention, if known. If the retention is approved by the Contracting Officer, the security provisions of the contract will continue to be applicable to the matter retained.
(b) Regulations. The contractor agrees to conform to all security regulations and requirements of the Commission. (c) Definition of Restricted Data. The term " Restricted Data," as used in this clause, means all data concerning (1) design, manufacture, or utili-ation of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to section 142 of the Atomic Energy Act of 1954, as amenced. ' (d) Definition of Formerly Restricted Data. The term "Formerly Restricted Data," as used in this clause, means all data removed from the Restricted Data category under section 142 d. of the Atomic Energy Act of 1954, as amended. (e) Security Clearance Personnel. The contractor shall not permit any
- - individual to have access to Restricted Data, Formerly Restricted Data, or other classified information, except in accordance with the Atomic Energy Act of 1954, as amended, and the Commission's regulatiocs or requirements applicable to the particular type or category of classified information to which access is required.
(f) Criminal Liabilities. It is understood that disclosure of Restricted Data, Fomerly Restricted Data or other classified information relating to the work or services ordered hereunder to any person not entitled to receive it, or failure to safeguard any Restricted Data, Formerly Restricted Data, or any other classified matter that may come to the contractor or any person ' under the coni.ractor's control in connection with work under this contract, I V
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15 < .+ may subject the contractor, its agents, employees, or subcontractors to criminal liability under the laws of the United States. (See the Atomic Energy Act of 1954, as amended, 42 U.S.C. 2011 et seq.; 18 U.S.C. 793 and 794; and Executive Order 11652.) (g) Subcontracts and Purchase Orders. Except as otherwise authorized in ' writing by the Contracting Officer, the contractor shall insert provisions similar to the foregoing in all subcontracts and purchase orders under this contract. (h) In performing the contract work, the contractor shall assign classifications to all documents, material, and equipner.t originated or gen-erated by the contractor in accordance with classification guidance by the Commission. Every subcontract and purchase order issued hereunder involving the origination or generation of classified documents, material, or equipment shall provide that the subcontractor or supplier shall assign classifications to all such documents, material, and equipment in accor, dance with classification guidance furnished by the contractor. i 2.5 Subcontracts (1-7.402-8) (a) The Contractor shall notify the Contracting Officer reasonably in advance of entering into any subconract which (1) is cost-reimbursement type, 4 time and materials, or labor-hour, or (2) is fixed price type and exceeds in dollar amount either $25,000 or 5 percent of the total estimated cost of this contract, or (3) provides for the fabrication, purchase, rental, installation or other acquisition of special test equipment having a value in excess of
$1,000 or of any items of industrial facilities, or (4) has experimental, developmental or research work as one of its purposes.
(b) In the case of a proposed subcontract which is (1) cost reimbursement. type, time and materials, or labor-hour which would involve an estimated i amount in excess of $10,000, including any fee, (2).is proposed to exceed )
$100,000, or (3)is one of a number of subcontracts under this contract with a
' single subcontractor for the same or related supplies or services which, in , l the by (a), aggregate above,are shall expected include:to exceed $100,000, the advance notification required > 1 (1) A description of the supplies or servies to be called for by the subcontract; , - (2) Identification of the proposed subcontractor and an explanation of
~why and how the proposed subcontractor was selected, including the degree of competition obtained; (3) The proposed subcontract price, together with the Contractor's cost or price analysis thereof; (4) The subcontractor's current, complete,-and accurate cost or pricing data and Certificate of Current Cost or Pricing Data when such data and certificate are required by other provisions of this contract to be obtained from the subcontractor; b Q e
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16 (5) Identification of the type of subcontract to be used; (6) A memorandum of negotiations which sets forth the principal elements
. , of the subcontract price negotiations. A copy of this memorandum shall be ' retained in the Contractor's file for the use of Government reviewing authorities.
The memorandum shall be in sufficient detail to' reflect'the most significant considerations controlling the establishment of initial or revised prices. The memorandum should include an explanation of why cost or pricing data was, t or was not required, and, if it was not required in the case of any price negotiation in excess of $100,000, a statement of the basis for detemining ! i that the price resulted from or'was based on adequate price competition, established catalog or market prii:es of commercial items ' sold in substantial i quantities-to the genersi public, or prices set by law or regulation. It cost or pricing data was submitted and a' certificate of cost or pricing data was ' required, the memorandum'shall' reflect the extent to which reliance was not placed upon the factual' cost or pricing data submitted and the extent to which this data was not used$y the-Contractor in determining'the totaltprice objective and in negotiating the final price'. The memorandum shall also' reflect the extent to which it was recognized in the n' egotiation ~that any cost or pricing data submitted by the subcontractor was not. accurate, complete, or current; the action taken by the Contractor and the-subcontractor as a resulti and the effect, if any, of such defective data on the total price negotiated. hre the total price negotiated differs-significantly from the Contractor's total price objective, the memorandum shall explain this difference; (7) When incentives are used, the memorandum of negotiation shall contain an explanation of the incentive fee / profit plan, identifying each critical performance element, management decisions used to quantify each incentive . l element, reasons for incentives on particular performance characteristics, and a brief summary of trade-off possibilities considered as to cost, performance, and time; and (8) The subcontractor's Disclosure Statement or Certificate relating to Cost Accounting Standards when such data are required by other provisions of t this contract to be obtained from the subcontractor. , (c) The Contractor shall obtain the written consent of the Contracting
- Pficer prior to placing any subcontract for which advance notification is
! t<. quired under (a) above. The Contracting' Officer say, in his discretion, i ritify in writing any such subcontract;'such action shall constitute the i _ consent of the Contracting Officer'as required by this paragraph (c). - (d) The Contractor agrees that no subcontract placed under this contract shall provide for payment on a cost plus-a percentage-of-cost basis. i i (e) The Contracting Officer say, in his discretion, specifically approve in writing any of the provisions of a subcontract. However, such approval or I the consent of the Contracting Officer obtained as required by this clause shall not be construed to constitute a determination of the allowability of any cost under this contract, unless such approval specifically provides that it constitutes a determination of the allowability of such cost. 9 S g l0 g 5
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l (f) The Contractor shall give the Contracting Officer immediate notice 4 in writing of any action or suit filed, and prompt notice of any claim made
- against the Contractor by any subcontractor or vendor which in the opinion of the Contractor, may result in litigation, related in any way to this contract, with respect to which the Contractor may be entitled to reimbursement from the Government.
(g) Notwithstanding (c) above, the Contractor may enter into subcontracts within (i) or (ii) of (a) above, without the consent of the Contracting Officer, if the Contracting Officer has approved in writing the Contractor's procurement ! system and the subcontract is within the scope of such approval. (This i subparagraph (g) however, shall not be applicable to those subcontracts subject i
- to paragraph (j) below, if any.) i (h) To facilitate small business participation in subcontracting under l this contract, the Contractor agrees to provide progress payments on the fixed price types of subcontracts of those subcontractors which are small business concerns, in conformity with the standards for customary progress payments stated in the Federal Procurement Regulations, Subpart 1-30.5, as in effect on the date of this contract. The Contractor further agrees that the need for such progress payments will not be considered as a handicap or adverse factor in the award of subcontracts.
(i) The Contractor shall select subcontractors (including suppliers) on a competitive basis to the maximum extent consistent with the objectives and requirements of this Contract. 2.6 Consultant or Other Comparable Employment Services of Contractor Employees The contractor shall require all employees who are employed full-time (an individual who performs work under the cost-type contract on a full-time annual basis) or part-time (50 percent or more of regular annual compensation ' received under terms of a contract with the Commission) on the contract work to disclose to the contractor all consultant or other comparable employment services which the employees proposed to undertake for others. The contractor shall transmit to the Contracting Officer all information obtained from such disclosures. The contractor will require any employee who will be j employed full-time on the contract to agree, as a condition of his partici-pation in such work, that he will not perform consultant or other comparable employment services for another Commission cost-type contractor under its contract with the Commission except with the prior approval of the contractor. , 2.7 Litigation and Claims
' (a) Initiation of litiaation. The contractor may, with the prior written authorization of the Contracting Officer, and shall, upon the l
' request of the Commission, initiate litigation against third parties, including { proceedings before administrative agencies, in connection with this contract. l The contractor shall psoceed with such litigation in good faith and as l directed from time to time by the Contracting Officer. j aw 4 dis.., . . a. emwas e ==a e p. p ene-e _g w+ -ae44- - p** + e . y e
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l 18 1 (b) Defense and settlement of claims. The contractor shall give the 4 Contracting Officer immediate notice in writing -(1) of any action, including any proceeding before an administrative agency, filed against the contractor ari' sing out of the performance of this contract, and-(2) of any claim against > the contractor, the cost and expense of which is allowable under the clause entitled " Allowable Costs." Except as otherwise directed by the Contracting Officer, in writing, the contractor shall furnish immediately to the Contracting Officer copies of all pertinent papers received by the contractor with respect to such action or claim. To the extent not in conflict with any applicable policy of insurance, the contractor may with the Contracting Officer's approval settle any such action or claim, shall effect at the Con-tracting Officer's request an assignment and subrogation in favor of the Government of all the contractor's rights and claims (except those against the Government) arising out of any such action or claim against the i contractor, and, if required by the Contracting Officer, shall authorize representatives of the' Government to settle or defend any such action or claim i and to represent the contractor in, or to take charge of, any. action. If the settlement or defense of an action or claim against the contractor is under-taken by the Government, the contractor shall furnish all reasonable l assistance in effecting a settlement or asserting a defense. Where an action against the contractor is not covered by a policy of insurance, the contractor shall, with the approval of the Contracting Officer, proceed with the defense of the action in good faith at the expense of the Government: Provided, however, the Government shall not be liable for -such expense to the extent that it would have been compensated for by insurance which was required
" by law or by the written direction of the Contracting Officer, but which the contractor failed to secure through its own fault or negligence.
,i 2.8 Excusable Delays (1-8.708)
- Except with respect to defaults of subcontractors, the contractor shall not be in default by reason of any failure in performance of this contract in accordance with its terms (including any failure by the contractor to make progress in the prosecution of the work hereunder which endangers such perfor-mance) if such failure arises out of causes beyond the control and without the fault or negligence of the contractor. Such causes may include, but are not restricted to acts of God or of the public enemy, acts of the Government in either its sovereign or centractual capacity,' fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, and unusually severe weather, but in every case the failure to perform must be beyond the control and without the fault or negligence of the contractor. If the failure to perform is caused by the failure of the subcontractor to perform or make
! progress, and if such failure arises out of causes beyond the control of both ( the contractor and subcontractor, and without the fault or negligence of i either of them, the contractor shall not be deemed to be in default, unless (a) the supplies or services to be furnished by the subcontractor were obtain-
- able from other sources, (b) the Contracting Officer shall have ordered the
! contractor in writing to procure such supplies or services from such other sources, and (c) the contractor shall have failed to comply reasonably with such order. Upon request of the contractor, the Contracting Officer shall ascertain the facts and extent of such failure and, if he shall determine that
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19 . I any failure to perform was occasioned by any one or more of the said causes, the delivery schedule shall be revised accordingly, subject to the rights of the Government under the clause hereof entitled " Termination for Default or for Convenience of the Government." (As used in this clause, the terms "sub-contractor" and " subcontractors" means subcontractor (s) at any tier.) i 2. 9 Changes (1-7.404-5) (a) The Contracting Officer may at any time, by a written order, and without notice to the sureties, if any, make changes, within the general scope of this contract, in any one or more of the following: (i) Drawings, designs, or specifications; a (ii) Method of shipment or packing; and 4 (iii) Place of inspection, delivery, or acceptance. (b) If any such change causes an increase or decrease in the estimated cost of, or the time required for the performance of any part of the work under this contract, whether changed or not changed by any such order, or otherwise affects any other provision of this contract, an equitable adjustment shall be made: (i) In the estimated cost or delivery schedule, or both; and (ii) In the amount of any fixed fee to be paid to the Contractor; (iii) In such other provisions of the contract as may be affected, and the contract shall be modified in writing accordingly. Any claim by the Contractor for adjustment under this clause must be asserted within thirty (30) days from the date of receipt by the Contractor of the notification of change; Provided, however, That the Contracting Officer, if he decides that the facts justify such action, may receive and act upon any such claim asserted at any time prior to final payment under this contract. Failure to agree to any adjustment shall be a dispute concerning a question of fact within the meaning of the clause of this contract entitled " Disputes." However, except as provided in paragraph (c) below, nothing in this clause shall excuse the Contractor from proceeding with the contract as changed. (c) Notwithstanding the provisions of paragraphs (a) and (b) above, the estimated cost of this contract and, if this contract is incrementally funded, the funds allotted for the performance thereof, shall not be increased or-deemed to be increased except by specific written modification of the contract indicating the new contract estimated cost and, if this contract is incrementally funded, the new amount. allotted to the contract. Until such modification is made, the Contractor shall not be obligated to continue per-formance or incur costs beyond the point established in the clause of this contract entitled " Limitation of Cost" or " Limitation of Funds." l
_- . - - . - . . = . -__ - . . _ - _ _ _ l 20 ) In the foregoing clause, the period of " thirty (30) days" within which any claim for adjustment must be asserted, may be varied in accordance with agency procedures.
.2.'10 Inspection (1-7.402-5(c))
The Government, through any authorized representatives, has the right at all reasonable times, to inspect, or otherwise evaluate the work performed or being performed hereunder and the premises in which it is being performed. If any inspection, or evaluation is made by the Government on the premises of the Contractor or a subcontractor, the Contractof shall provide and shall require his subcontractors to provide all reasonable facilities and assistance for the ! safety and convenience of the Government representatives in the perfomance of their duties. All inspections and evaluations shall be performed in such a
- manner as will not unduly delay the work.
2.11 Required Source of Jewel Bearing (1-1.319) (a) For the purpose of this clause: (1) " Jewel bearing" means a piece of synthetic sapphire or ruby of any shape, except a phonograph needle, which has one or more polished surfaces and which is suitable for use in an instrument, mechanism, subassembly, or part without any additional processing. A jewel bearing may be either unsounted or mounted into a ring or uushing. Examples of jewel. bearings are: Watch holes - l
- olive, watch holes - straight, pallet stones, roller jewels (jewel pins), end stones (caps), vee (cone) jewels, instrument rings, cups, double cups, and ,
- , orifice jewels. As used herein, the term " jewel bearings" includes "related 4
items." i (2) "Related items" means other synthetic sapphire or ruby components. Examples of related items are pivots, knife edges, insulators, spacers, windows,
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and striking surf aces other than pallet stones. ! (3) " Price list" means the official U.S. Government Jewel Bearing Price ! ! List for jewel bearings produced by the William Langer Jewel Bearing Plant. This list is issued periodically by the General Services Administration. (4) " Plant" means the Government-owned William Langer Jewel Bearing , Plant, Rolla, N. Dak. (5) " Military Standard Jewel Bearing" means a jewel bearing conforming to Military Specification No. MIL-B-27497 (latest revision) entitled " Bearings, i ! Jewel, Sapphire or Ruby, Synthetic." (b) Jewel bearings required in the perfomance of this contract shall be procured from the Plant at prices established in the price list dated (date to be filled in by Contra-ting Officer). Each purchase order issued to the Plant i under this contract shall include the prime contract number and date of the i price list cited above. The Contractor agrees that the quantities, types, and sizes (including tolerances) of jewel bearings so ordered will be those required ,
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J t 21 l I for the performance of this contract. Within 90 calendar days after the !
- effective date of this contract, the Contractor shall furnish to the Contracting 1 ; Officer a certification that the required jewel bearings were ordered pursuant to this clause. The Contractor agrees to notify the Contracting Officer promptly of the rejection of his (or any subcontractor's) purchase order in whole or in part by the Plant. The requirement for purchase and use of jewel - bearings from the Plant will be waived to the extent of orders rejected because of the Plant's inability to deliver. If such a waiver is granted, an equitable !
adjustment shall be made in the contract price or delivery schedule, or both, in accordance with the " Changes" clause of this contract. Further, the require-ment for use .(but not the requirement for purchase from the Plant) of jawel
' bearings may be waived by the Contracting Officer when such waiver is determined by him to be consistent with established policy.
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(c) The Contractor agrees to use Langer-made jewel bearings in the ' l production. of subassemblies or end items under this contract or in his commercial production i (d) Whenever it is necessary for the Contractor or any subcontractor to
" redesign or reengineer jeweled items in order to satisfy specific performance !
requirements, the Contractor or subcontractor shall provide in such redesign for the use of military standard jewel bearings. This requirement does not apply when the dimensional tolerances or configurations of military standard : jewel bearings are such that their use in the product would prevent attainment of the required level of performance specified for the ites. However, when one or more nonstandard bearings must be used to satisfy perfomance require- ] ments of the jeweled item but military standard jewel bearings will function satisfactorily for other applications within the same ites, the item will be required to be redesigned to provide for the use of military standard jewel bearings in such "other" applications. : The Contractor or subcontractor is not required to redesign a jeweled item solely for the purpose of converting from the use of nonstandard to military standard jewel bearings. Nothing in this i contract shall prevent any Contractor or subcontractor from voluntarily redesigning jewel bearings. a jeweled item solely to accommodate the use of military standard (e) If at the end of this contract period, the total quantity of end items actually ordered under this contract is less than the total estimated quantity, and the Contractor, pursuant to paragraph (b) of this clause, has purchased a larger quantity of Langer-made jewel bearings than used in deliveries , i made under this contract, an equitable adjustment shall be made (if requested by the Contractor within 90-days after the end of the contract period) to reimburse the Contractor for any additional costs resulting from such excess purchase but in no event shall such additional costs cover more jewel bearings than necessary to deliver the total estimated quantity of end items. Such Officer.jewel excess bearings shall be disposed of as directed ey-the Contracting However, such excess jewel bearings may be used in partial satis-fat. tion of the requirements to purchase Langer-made jewel bearings pursuant to paragraph (b) of this clause where a subsequent contract to furnish similar end items to the Government is entered into with the same Contractor. In this situation the requirement to purchase and use jewel bearings from the Plant i i ry-Tm*--+vmmr-e-vg-' -*---WMe-v-----w-+-w---et-e--e- ye-ww+- w--ey--44-9-y1sv--tw."- e y-w-eeeC-Nw wh yww v w w-W-w w wi e = gwe w ' w wtr nmwew,,,w-w-
l 22 i will be waived up to the amount of such excess jewel bearings in Contractor's possession upon submission of a written request by the Contractor. Such request shall contain documented evidence in support of the waiver of purchase and .)onuse of such excess jewel bearings. If such waiver is granted, an , equitable adjustment to the extent of differences in price lists shall be made in the contract price in accordance with the " Changes" clause of this contract. (f) The Contractoi agrees to retain for 3 years from the date of final payment under this contract and upon request of the Contracting Officer to make available during that period records showing compliance with this clause. (g) The Contractor agrees to insert this clause, including this paragraph (g), in every subcontract and purchase order issued in performance of this contract unless he knows that the subassembly, component, or part ] being purchased does not contain jewel bearings. 2.12 Government Property (1-7.203-21) (a) The Government shall deliver to the Contractor, for use in connection with and under the tems of this contract, the property in the Schedule or specifications, together with such related data and information as the Con- , 4 tractor may request and as may reasonably be required for the intended use of such property (hereinafter referred to as " Government-furnished Property"). The delivery or performance dates for the supplies or services to be furnished by the Contractor under this contract are based upon the expectation that Government-furnished. property suitable for use will be delivered to the Con-tractor at the times stated in the Schedule or, if not so stated, in sufficient time to enable the Contractor to meet such delivery or performance dates. In the event that Government-furnished property is not delivered to the Contractor by such time or times, the Contracting Officer shall, upon timely written request made by the Contractor make a determination of the delay, if any, occasioned the Contractor and shall equh. ably adjust the estimated cost, fixed fee, or delivery or performance dates, or all of them, and any other contractual provisions affected by any such delay in accordance with the procedures provided for in the clause of this contract entitled " Changes." In the event that Government-furnished property is received by the Contractor in a condition not suitable for intended use, the Contractor shall, upon receipt thereof notify the contracting officer of such fact and, as directed by the Contracting Officer, either (1) return such property at the Government's expense or otherwise dispose of the property, or (2) effect repairs or modifications. Upon completion l of (1) or (2) ab.ove, the Contracting Officer upon written request of the Contractor shall equitably adjust the estimated cost, fixed fee, or delivery or performance dates, or all of them, and any other contractual. provision affected by the return or disposition, or the repair or modification in accordance with the procedures provided for in the clause of this contract entitled " Changes." The foregoing provisions for adjustment are exclusive and the Government shall not be liable to suit for breach of contract by reason of
- any delay in delivery of Government-furnished property or delivery of such property.in a condition not suitable for its intended use.
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l 4 (b) (1) By notice in writing the Contracting Officer may (1) decrease the property furnished or to be furnished by the Government under this contract, or (ii) substitute other Government-owned property for property to be furnished by the Government, or to be acquired by the Contractor for the Government under this contract. The Contractor shall promptly take such action as the Contracting Officer may direct with respect to the removal and shipping of property covered by such notice. ' (2) In the event of any decrease in or substitution of property pursuant to paragraph (1), above, or any withdrawal of authority to use property pro-vided under any contract or lease, which property the Government had agreed in the Schedule to make available for the performance of this contract, the Contracting Officer, upon the written request of the contractor (or, if the substitution of property causes a decrease in the cost of performance, on his own initiative), shall equitably adjust such contractual provisions as may be affected by the decrease, substitution, or withdrawal, in accordance with the procedures provided for in the " Changes" clause of this contract. (c) Title to all property furnished by the Government shall remain in the Government.' Title to all property purchased by the Contractor, for the cost of which the Contractor is entitled to be reimbured as a direct item of cost under this contract, shall pass to and vest in the Government upon delivery of such property by the vendor. Title to other property, the cost of which is ' reimbursable to the Contractor under the contract, shall pass to and vest in l the Government upon (1) issuance for use of such property in the performance of this contract, or (2) commencement of processing or use of such property in the performance of this contract, or (3) reimbursement of the cost thereof by the Government in whcie or in part, whichever first occurs. All Government-furnished property, together with all property acquired by the contractor title to which vests in the Government under this paragraph, are subject to the provisions of this clause and are hereinafter collectively referred to as
- " Government property." Title to and Government property shall not be affected l
! by the incorporation or attachment thereof to any property not owned by the Government, nor shall such Government property or any part thereof, be or become a fixture or lose its identify as person,alty by reason of affixation to any realty. (d) The Contractor shall be directly responsible for and accountable for all Government property provided under this contract. The contractor shall ' establish and maintain a system to control, protect, preserve, and maintain all Government property. This system shall, upon request by the Contracting Officer, be submitted for review and, if satisfactory, approved in writing by the Contracting Officer. The Contractor shall maintain and make available such records as are required by the approved system and must account for.all Governmort property until relieved of responsibility therefor in accordance with the written instructions of the Contracting Officer. To the extent directed by the Contracting Officer the Contractor shall identify Government property by marking, tagging, or seg,regating in such manner as to clearly indicate its ownership by the Government.
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24 (e) The Government property shall, unless otherwise provided herein or approved by the Contracting Officer, be used only for the performance of this
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contract. (f) The Contractor shall maintain and administer, in accordance with sound industrial practice, a program for the utilization. maintenance, repair, protection, and preservation of Government property so as to assure its full availability and usefulness for the performance of this contract. The Con-tractor shall take all reasonable steps to comply with all appropriate directions or instructions which the Contracting Officer may prescribe as reasonably necessary for the protection of Government property. (g) (1) The Contractor shall not be liable for any loss of or damage,to the Government property, or for expenses incidental to such loss or damage, except that the Contractor shall be responsible for any such loss or damage (including expenses incidental thereto): (i) Which results from willful misconduct or lack of good faith on the part of any one of the Contractor's directors or officers, or on the part of any of his managers, superintendents, or other equivalent representatives, who has supervision or direction of: (A) All or substantially all of the Contractor's busi.:ss; or (B) All or substantially all of the Contractor's operations at any one plant or separate location in which this contract is being performed; or (C) A separate and complete major industrial operation in connection with the performance of this contract. (ii) Which results from a failure on the part of the Contractor, due tc the willful misconduct or lack of good faith on the part of any of his directors, officers, or other representatives mentioned in subparagraph (i), above: l (A) To maintain and ; minister,~in accordance with sound industrial practice, the program for utilization, maintenance, repair, protection, and preservation of Government property as required by paragraph (f) hereof, or to take all reasonable steps to comply with any appropriate written direction of
- j. the Contracting Officer under paragraph (f) hereof; or 1 ,
(B) To establish, maintain, and adminster in accordance with paragraph (d) hereof a system for control of Government property. (iii) For which the Contractor is otherwise responsible under the , express terms of the clause of clatias designated in the Schedule; (iv) Which results from a risk expressly required to be insured under this contract, but only to the extent of the insurance so required to be procured and maintained, or to the extent of insurance actually procured and maintained, whichever is greater; or
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.* 3 25 (v) Which results from a risk which is in fact covered by insurance or for which the Contractor is otherwise reimbursed, but only to the extent of such insurance or reimbursement.
Any failure of the Contractor to act, as provided in subparagraph (ii), above, shall be conclusively presumed to be a failure resulting from willful misconduct, or lack of good faith on the part of such directors, officers, or other representatives mentioned in subparagraph (1), above, if the Contractor - is notified by the Contracting Officer by registered or certified mail addressed to one of such directors, officers, or other representatives, of the Govern- ,
- . ' ment's disapproval, withdrawal of approval, or nonacceptance of the Contractor's program or system. In such event it shall be presumed that any loss or damage to Cavernment property resulted from such failure. The Contractor shall be liable for such loss or damage unless he can establish by clear and convincing evidence that such loss or damage did not result from his failure to maintain an approved program or system, or occurred during such time as an approved program or system for control of Government property was maintained.
If more than one of the above exceptions shall be applicable in any case, the Contractor's liability under any one exception shall not be limited by any other exception. If the Contractor transfers Government property to the possession and control of a subcontractor, the transfer shall not affect the liability of the Contractor for loss or destruction cf or damage to the pro-perty as set forth above. However, the Contractor shall require the sub-contractor to assume the risk of, and be responsible for, any loss or des-truction of or damage to the property while in the latter's possession or control, except to the extent that the subcontract, with the prior approval of the Contracting Officer, provides for the relief of the subcontractor from such liability. In the absence of such approval, the subcontract shall contain appropriate provisions requiring the return of all Government property in as good condition as when received, except for reasonable wear and tear or for the utilization of the property in accordance with the provisions of the prime contract. (2) The Contractor shall not be reimbursed for, and shall not include ' as an item of overhead, the cost of insurance, or any provisions for a reserve, ' covering the risk of loss of or damage to the Government property, except to the extent that the Government may have required the Contractor to carry such insurance under any other provisions of this contract. l (3) Upon the happening of loss or destruction of or damage to the Govern-ment property, the Contractor shall notify the Contracting Officer thereof, and shall communicate with the loss and salvage organization, if any, now or hereafter designated by the Contracting Officer, and with the assistance of the loss and salvage organizations so designated (unless the Contracting Officer has designated that no such organization be employed), shall take all reasonable steps to protect the Government property from further damage, separate the da.saged and undamaged Government property, put all the Government property in the best possible order, and furnish to the Contracting Officer a statement of: !-_~-_ . . _ :L 2. = - = = - - = = = = = =
i 26 I l l ! i (i) The lost, destroyed, and damaged Government property; f f
. (ii) The time and origin of the loss, destruction, or damage; [
(iii) All known interests in commingled property of which the Govern- ! i ment property is a part; and i i
'(iv) The insurance, if any, covering any part of or interest in such j l
commingled property. [ i The Contractor shall make repairs and rennovations of the damaged Govern- ( ment property or take such other action as the Contracting Officer directs. (4) In the event the Contractor is indemnified, reimbursed, or otherwise compensated for any loss or destruction of or damage to the Government pro-perty, he shall use the proceeds to repair, renovate, or replace the Government ; property involved, or shall credit such proceeds against the cost of the work 2 ' covered by the contract, or shall otherwise reimburse the Government, as directed by the Contracting Officer. The Contractor shall do nothing to pre-judice the Government's right to recover against third parties for any such loss, destruction, or damage and, upon the request of the Contracting Officer, shall, at the Government's expense, furnish to the Government all reasonable assistance and cooperation (including the prosecution of suit and the execu-tion of instruments of assignment in favor of the Government) in obtaining j recovery. In addition, where the subcontractor has not been relieved from liability for any loss or destructici of or damage to Government property, the Contractor shall enforce the liabill y of the subcontractor for such loss or destruction of or damage to the Government property for the benefit of the Government. ' (h) The Commission, and any persons designated by it, shall at all I j reasonable times have access to the premises where any of the Government ( ' - property is located, for the purpose of inspecting the Government property. t o (i) Upon the completion of this contract, or at such earlier dates as f may be fixed by the Contracting Officer, the Contractor shall submit to the j Contracting Officer in a fom acceptable to him, inventory schedules covering / i all items of the Government property not consumed in the performance of this i contract, or not theretofore delivered to the Government, and shall deliver or j make such other disposal of such Government property as may be directed or authorized by the Contracting Officer. The net proceeds of any such disposal i; shall be credited to the cost of the work covered by the contract or shall be paid in such manner as the Contracting Officer may direct. The foregoing pro-visions shall apply to scrap from Government property: Provided, however, i That the Contracting Officer may authorize or direct the Contractor to omit 4 9 from such inventory schedules any scrap consisting of faulty castings or d ! forgings, or cutting and processing waste, such as chips, cuttings, borings, d turnings, short ends, circles, trimmings, c'lippings, and remnants, and to ; dispose of such scrap in accordance with the Contractor's established accounting procedures. d i l \ f
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. ., e 27 (j) Unless othemise provided herein, the Government:
i l (i) May abandon any Government property in place, and thereupon all ' obligations and of the Government regarding such abandoned property shall cease; (ii) Has no obligation to the Contractor with regard to restoration or rehabilitation of the Contractor's premises, neither in case of abandonment (paragraph (j) (i), above), disposition on completion of need or of the contract 1 (paragraph (1), above), nor otherwise, except for restoration or rehabilitation costs above.caused by removal of Government property pursuant to paragraph (b), (k) All communications issued pursuant to this clause shall be in writing. SOCIO-ECONOMIC PROVISIONS NO. 3.0 3.1 Employment of the Handicapped (FPR Temp. Reg. 38) (a) The. contractor will not discriminate against any employee or applicant 4 for employment because of physical or mental handicap in regard to any position for which the employee or applicant for employment is qualified. The contractor agrees to take affirmative action to employ, advance in employment and otherwise treat qualified handicapped individuals without discrimination based upon their following: physical or mental handicap in all employment practices such as the layoff or termination, rates of pay or other forms of compensation, a ' for training, including apprenticeship. (b) The contractor agrees to comply with the rules, regulations, and relevant Act of 1973, orders of the Secretary of Labor issued pursuant to the Sahabilitation as amended. (c) In the event of the Contractor's noncompliance with the requirements of this clause, actions for noncompliance may be taken in accordance with ,~ the rules, regulations and relevant orders of the Secretary of Labor issued pursuant to the Act. . (d) The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices in a form to be prescribed by the Director, Office of Federal Contract Compliance Programs, Department i of Labor, provided by or through the Contracting Officer. Such notices shall state the contractor's obligation under the law to take affirmative action to employ and advance in employment oualif'"I handicapped employees and applicants
- for employment, and the rights of appi k nts and employees.
(e) The Contractor will notify each labor union or representative of workers with which it has a collective bargaining agreement or other contract understanding that the contractor is bound by the terms of section 503 of the Act, and is committed to take affirmative action to employ and advance in employment physically and mentally handicapped individuals. IEy---- ----g- .,$
28
- (f) The Contractor will include the provisions of this clause in every 2
subcontract or purchase order of $2,500 or more unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 503
< of the Act, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the Director of the Office of Federal Contract Compliance Programs may direct to enforce such provisions, including action for noncompliance.
3.2 Disabled Veterans and Veterans of the Vietnam Era (FPR Temp. Reg. 39) (a) The contractor will not discriminate against any employee or applicant for employment because he or she is a disabled veteran or veteran of the Vietnam era in regard to any position for which the employee or applicant for employment - is qualified. The contractor agrees to take~ affirmative action to employ, j advance in employment, and othemise treat qualified disabled veterans and i veterans of the Vietnam era without discrimination based upon their disability or veterans status in all employment practices such as the following: employ-ment upgrading, demotion or transfer, recruitment, advertising, layoff or termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship. (b) The contractor agrees that all suitable employment openings of the
- contractor which exist at the time of the execution of this contract and those l
which occur during the perfomance of this contract, including those not generated by this contract and including those occurring at an establishment of the contractor other than the one wherein the contract is being performed i but excluding those of independently operated corporate affiliates, shall be listed at an appropriate local office of the State employment service system wherein the opening occurs. The contractor further agrees to provide such reports to such local office regarding employment openings and hires as may be required. 1 State and local government agencies holding Federal contracts of $10,000 or more shall also list all their suitable openings with the appropriate office of the State employment service, but are not required to provide those reports set forth in paragraphs (d) and (e). (c) Listing of employment openings with the employment service system pursuant to this clause shall be made at least concurrently with the use of any other recruitment source of effort and shall involve the normal obliga-tions which attach to the placing of a bona fide job order, including the acceptance of referrals of veterans and nonveterans. The listing of employment openings does not require the hiring of any particular job applicant or from any particular group of job applicants, and nothing herein is intended to relieve the contractor from any requirements in Executive orders or regulations regarding nondiscrimination in employment. (d) The reports required by paragraph (b) of this clause shall include, but not be limited to, periodic reports which shall be filed at least quarterly l with the appropriate local office or, where the contractor has more than one l l e
, ,e e.e se
- - . - _ . - . . ..,.._.__...___.._____.._.__,_._,l,_.._____,_._.__m__ , . . . . _ _ .
.x ..
29 hiring location in a State, with the central office of that State employment service. Such reports shall indicate for each hiring location (1) the number of individuals hired during the reporting period, (2) the number of nondisabled veterans of the Vietnam era hired, (3) the number of disabled veterans of the Vietnam era hired, and (4) the total number of disabled veterans hired. The reports should include covered veterans hired for on-the-job training under 38 U.S.C. 1787. The contractor shall submit a report within 30 days after the - end of each reporting period wherein any performance is made on this contract l identifying data for each hiring location. The contractor shall maintain at each hiring location copies of the reports submitted until the expiration of one year after final payment under the contract, during which time these l reports and related documentation shall be a,ade available, upon request, for ' examination by any authorized representative of the contracting officer or of ! the Secretary of Labor. Documentation would include personnel records t respecting job openings, recruitment, and placement. (e) Whenever the contractor becomes contractually bound to the listing provisions of this clause, it shall advise the employment service system in each State where it has establishments of the name and location of each hiring location in the State. As long as the contractor is contractually bound to these provisions and has so advised the State system, there is no need to advise the State system of subsequent contracts. The contractor may advise the State system when it is no longer bound by this contract clause. (f) This clause does not apply to the listing of employment openings which occur and are filled outside the 50 states, the District of Columbia, Puerto Rico, Guam, and the Virgin Islands. (g) The provisions of paragraphs (b), (c), (d), and (e) of this clause do not apply to openinings which the contractor proposes to fill from within his own organization or to fill pursuant to a customary and traditional employer-enfon hiring arrangement. This exclusion does not apply to a particular opening once an employer decides to consider applicants outside of his own organization or employer-union arrangement for that opening. (h) As used in this clause: (1) "All suitable employment openings" categories:butproduction includes, is not limited to, openings which occur in the following job and non production; plant and office; laborers and mechanics; supervisory and nonsupervisory; technical; and executive, admini-strative, and professional openings that are compensated on a salary basis of less than $25,000 per year. This term includes full-time employment, i temporary employment of more than 3 days' duration, and part-time employment. ! It does not include openings which the contractor proposes to fill from within his own organization or to fill pursuant to a customary and traditional employer-un:on h? ring arrargessent nor openings in an educational institution which are restricted to students of that institution. Under the most compel-ling circumstances an employment opening may not be suitable for listing, including such situations where the needs of the Government cannot reasonably be othemise supplied, where listing would be contrary to national security, or where the requirament of listing would othemise not be for the best interest of the Government. I
- e-,- -- e , - - - - - , . . ----,-ee.m.-
= :. ..:.-.~.- 2 . .: : . .- -...._..-.---......_z.
30 (2) " Appropriate office of the State employment service system" means the local office of the Federal / State national system of public employment offices with assigned responsibility for serving the area where the employ-ment opening is to be filled, including the District of Columbia, Guam, Puerto Rico, and the Virgin Islands. (3) " Openings which the contractor proposes to fill from within his own organization" means employment openings for which no consideration will be given to persons outside the contractor's own organization (including any , affiliates, subsidiaries, and parent companies), and includes any openings which the contractor proposes to fill from regularly established " recall" lists, j (4) " Openings which the contractor proposes to fi".1 pursuant to a customary and traditional employer-union hiring arrangement" means employment openings which the contractor proposes to fill from union halls, which is part of the customary and traditional hiring relationship which exists between the contractor and representative of his employees. (i) The contractor agrees to comply with the rules, regulations, and 1 relevant orders of the Secretary of Labor issued pursuant to the Act. (j) In the event of the contractor's noncompliance with the requirements of this clause, actions for noncompliance may be taken in accordance with the rules, regulations, and relevant orders of the Secretary of Labor issued pursuant to the Act. (k) The contractor agrees to post in conspicuous places available to employees and applicants for employment notices in a form to be prescribed by ' the Director, provided Dy or through the contracting officer. Such notice shall state the contractor's obligation under the law to take affirmative action to employ and advance in employment qualified disabled veterans and veterans of the Vietnam era for employment, and the rights of applicants and l . employees. (1) The contractor will notify each labor union or representative of workers with which it has a collective bargaining agreement or other contract understanding that the contractor is bound by terms of the Vietnam Era Veteran's Readjustment Assistance Act and is committed to take affirmative action to employ and advance in employment qualified disabled veterans and veterans of the Vietnam era. (m) The contractor will include the provisions of this clause in every subcontract or purchase order of $10,000 or more unless exempted by rules, regulations, or orders of the Secretary issued pursuant to the Act, so that such provisions will be binding upon each subcontractor or vandor. The con-tractor will take such action with respect to any subcontract or purchase order as the Director of the Office of Federal Como11ance Programs may direct to enforce such provisions, including action for noncompliance. i
* ~
_ _ . _ _ _ _ _ _ _ _ , _ _ _ . _ -_ . ~ . _ . , - - _ _ , _ - _ , . . . _ _ . , , . . _ . _ . . . _ . . - _ _ _ , _ . , . . , . . . _ . _ _ . .--
. := ~ .- l
. s' 31 l
- 3. 3 Convict Labor (1-12.204) 4 In connection with the perfomance of work under this contract the Contractor agrees not to employ any person undergoing sentence of imprisonment except as i
previded by Public Law 89-176, September 10, 1965 (18 U.S.C. 4082(c)(2)) and Executive Order 11755 December 29, 1973. 3.4 Equal Opportunity (1-12.803-2) *
(The following clause is applicable unless this contract is exempt under the rules, regulations, and relevant orders of the Secretary of Labor (41 CFR,
, ch. 60)).
During the performance of this contract, the contractor agrees as follows: (a) The contractor will not discriminate a for employment because of race, color, religion, sex, gainstorany employee national or applicant origin. The contractor will take affimative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, creed, color, or national origin. Such action shall include, but not be ' limited to, the following: employment, upgrading, demotion, or transfer, i recruitment or recruitment advertising; layoff or temination;. rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to pose in conspicuous places, available to employees and applicants for employment, notices to be provided by the Contracting
; Officer setting forth the provisions of this Equal Opportunity clause.
(b) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race,. creed, color, or national origin. (c) The contractor will send to each labor union or representative of i workers with which he has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the agency Contracting Officer, advising the labor union or workers' representative of the contractor's com-mitments under this Equal Opportunity clause, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (d) The contractor will comply with all provisions of Executive Order ' No.11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (e) The contractor will furnish all information and reports required by Executive Order No.11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. i LL _-- _._a__.* . :.. _
- ~ ~ - - --n . _ = - . - . - - _ . _ _ _ _ . _ 1
m.._ , 32 (f) In the event of the contractor's noncompliance with the Equal
- Opportunity clause of this contract or with any of the said rules, regulations, or orders, this contract may be cancelled, terminated, or suspended, in whole or in part, and the contractor may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive l Order No. 11246 of September 24, 1965, and such other sanctions may be imposed )
and remedies invoked as provided in Executive Order No. 11246 of September 24, t 1965, or by rule, regulation, er order of the Secretary of Labor, or as l otherwise provided by law. (g) The contractor will include the provisions of paragraphs (a) through (g) in every subcontract or purchase order unless exempted by rules, regula- , tions, or orders of the Secretary of Labor issued pursuant to section 204 of l Executive Order No. 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase orde'r as the contracting agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, That in the event the contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the contracting agency, the contractor may request the United States to enter into such litigation to protect the 3 interests of the United States. ) .
- 3.5 Preference for U.S. Flag Air Carriers (1-1.323-2)
(a) Pub. L. 93-623 requires that all Federal agencies and Government contractors and subcontractors will use U.S. flag air carriers for inter-national air transportation of personnel (and their personal effects) or property to the extent service by such carriers is available. It further provides that the Comptroller General of the United States shall disallow any expenditures from appre?riated funds for international air transportation on other than a U.S. flag air carrier in the absence of satisfactory proof of the necessity therefor. (b) The contractor agrees to utilize U.S. flag air carriers for international air transportation of personnel (and their personal effects) or property to the extent service by such carriers is available. (c) In the event that the contractor selects a carrier other than a U.S. flag air carrier for international air transportation; he will include a certification on vouchers involving such transportation which is essentially as follows: CERTIFICATION OF UNAVAILABILITY OF U.S. FLAG AIR CARRIERS I hereby certify that transportation service for personnel (and their personnel effects) or property by certificated air carrier was unavailable l for the following reasons:1 (state reasons) 15ee Federal Procurement Regulations (41 CFR 1-1.323-3). I l l
- , . , , .- .. . , . . . - . - - - . , . ,,._,,,,~.-..._-__..,n_- , ~ - . , _ . , , , _ , .
- t. ,
, 33 l (d) The terms used in this clause have the following meanings: . (1) " International air transportation" means transportation of persons (and their personal effects) or property by air between a place in the : l United States and a place outside thereof or between two places both of which are outside the United States. (2) "U.S. Flag air carrier" means one of a class of air carriers holding a certificate of public convenience and necessity issued by the Civil Aero- ' nautics Board, approved by the President, authorizing operations between the United States and/or its territories and one or more foreign countries. i
)
(3) The term " United States" includes the fifty states, Commonwealth of Puerto Rico, possessions of the United States, and the District of ! Columbia. 1 (e) The contractor shall include the substance of this clause, including this paragraph (e), in each subcontract or purchase hereunder which may in:olve international air transportation. 3.6 Use of U.S. Flag Commercial Vessels (1-19.108-2) (a) The Cargo Preference Act of 1954 (Pub. L. 664, August 26, 1954, 68 Stat. 832, 46 U.S.C. 1241(b)), requires that Federal departments or agencies shall transport at least 50 percent of the gross tonnage (computed ; separately for dry bulk carriers, dry cargo liners, and tankers) of equipment, ' materials, or commodities which may be transported on ocean vessels, on privately owned United States flag commercial vessels. Such transportation shall be accomplished whenever: (1) Any equipment, materials, or commodities, within or outside the United States, which may be transported by ocean vessel, are: 1 (A) Procured, contracted for, or otherwise obtained for the agency's account; or i - (B) Furnished to or for the account of any foreign nation without provision for reimbursement. t (2) Funds or credits are advanced or the convertibility of foreign < currencies is guaranteed in connection with furnishing such equipment, i materials, or commodities which may be transported by ocean vessel. NOTE: This requirement does not apply tc small purchases as defined in 41 CFR l-3.6 or to cargoes carried in the vessels of the Panama Canal Company. (b) The contractor agrees as follows: . (1) To utilize privately owned' United States flag commercial vessels te ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved whenever shipping _ _ . , u-. . ::: - - - = ==~= "~' " "
1 __ _. _ 34 any equipment, material, or commodities under the conditions set forth in (a) above pursuant to this contract to the extent such vessels are available at. fair and reasonable rates for United States flag commercial vessels. NOTE: Guidance regarding fair and reasonable rates for United States flag vessels may be obtained from the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, D.C. 20230; Area
. Code 202, phone 377-3449.
(2) To furnish, within 15 working d e s following the date of loading 's for shipments originating within the United States or within 25 working days following the date of loading for shipments originating outside the United States, a legible copy of a rated " onboard" commercial ocean bill of lading in English for each shipment of cargo covered by the provisions in (a) above to both the Contracting Officer (through the prime contractor in the case of subcontractor bills of lading) and to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, D.C. 20230. (3) To insert the substance of the provisions of this clause in all subcontracts issued pursuant to this contract except for small purchases as defined in 41 CFR 1-3.6. Buy American Act (1-6.104-5) (a) In acquiring end products, the Buy American Act (41 U.S. Code 10a-10d) provides that the Government give preference to domestic source end products. For the purpose of this clause: l (f) " Components" means those articles, materials, and supplies which are directly incorporated in the end products; (ii) "End products" means those articles, materials, and supplies which are to be acquired under this contract for public use; and (iii) A " domestic source end product" means (A) an unmanufactured end product which has been mined or produced in the United States and (B) an and product manufactured in the United States if the cost of the components thereof which are mined, produced, or manufactured in the United States exceeds 50 percent of the cost of all its components. For the purposes of this (a) (iii) (B), components of foreign origin of the same type or kind as the pro-ducts referred to in (b) (li) or (iii) of t51s clause shall be treated as components mined, produced, or manufactured in the United States. (b) The Contractor agrees that there will be used under this contract (by the Contractor, subcontractor, s,aterialmen and suppliers) only domestic source end products, except end products: (1) Which are for use outside the United States; (ii) Which the Covernment determines are not mined, produ:ed, or manufactured in the United States in sufficient and reasorably available commercial quantities and of a satisfactory quality; 1 . .
( 1 1 35
)
(iii) As to which the Cosnission determines the domestic preference
, to be inconsistent with the publid interest; or i
(iv) As to which the Comission determines the cost to ths Government to be unreasonable. , 3.8 Contract Work Hours and Safety Standards Act - Overtime Compenaation
~ -
(1-12.303)
\
This contract, to the extent that it is of a character specified in the Contract Work Hours and Safety Standards Act (40 U.S.C. ' 327-333), is subject to the following provisions and to all other applicable provisions and excep-tions of such act and the regulations of the Secretary of L bor 3 thereunder. (a Overtime Requirement. No Contractor or s@ contractor contracting for any)part of the contre::t work which me,y require or involv of laborers, mechanics, apprentices, trainees, watchmen, and guarijs shall require or permit any laborer, mechanic, apprentice, trainee, watchman, or guard in any workweek in yhich he'is employed on such work to work in excess , of 8 hours in any caler,dar day or. in excess of 40 hours in 'such workweek on x work subject to the provisions of the Contract Work Hours and Safety Standards Act unless such laborer, mechanic, apprentice, traines, watchman, or guard receives compensation at a rate not leasthan one and one-half times his basic or in excess of 40 hours in such won hnek, whichever is the gr overtime hours.
- (b)
Violation; liability fde unpaid wages; liquidated damages. 'In the event of any viulation of the provisions of paragraph (a), the Contractor and any subcontractor for his unpaid wages. responsible therefor,shall be. liable to any affected employee . In addition, such Contractor,and subcontractor shall be liable to the United States for liquid 3 tad damages, y Such ' liquidated damages shall be concuted with respe;ct to each" individual laoorer, mechanic, appren trainee, watchman, or guard employed in violation of the provisions of paragraph (a) in the sum of $10 for each calendar day'on which such employee was required or permitted to be empic,yed on such work' fri excess of 8 hours or in excess of his standard workweek of 40 hours without payment of the overtime wages required by paragraph (a). (c) Withholdings for unpaid wages and liquidated. damages. ! Officer may withhold from the Government Prima Contractor, from any moneysThe' Co payable on account of work performed 'by thoContractcy or -subcontractor,?such ' suas as may be administrative 1y be deterairod to basecessary to sati',fy any
-liabilities of such Contractor or; subcontractor for unpaid wages and liquidat e d damages as provided_in the provisions of paragraph (b).
(d) Subcontracts. The Contractor shall insert paragraphe (a) through (d)subcontracts all of this clauseofinany all tier.subcontracts, and shall require their inclusion in 1, t
/
/ e
. - - - - . . . . . - _ . - ~ . - . , . . - - - - , - - - , . , - , - -
36 i (e) Records. The Contractor shall maintain payroll records containing
- the information specified in 29 CFR 516.2(a). Such records shall be preserved for 3 years from the completion of the contract.
3.9 Utilization of Small Business Concerns and Small Business Concerns Owned and Controlled by Socially and Economically Disadvantaged Individuals (FPR Temp Reg. No. 50) (a) It is the policy of the United States that small business concerns , ' and small business concerns owned and controlled by socially and economically disadvantaged individuals shall have the maximum practicable opportunity to participate in the performance of contracts let by any Federal agency. (b) The contractor hereby agrees to carry out this policy in the awarding of subcontracts to the fullest extent consistent with the efficient performance of this contract. The contractor further agrees to cooperate in any studies or surveys that may be conducted by the Small Business Administra-tion or the contracting agency which may be necessary to determine the extent of the contractor's compliance with this clause. (c) (1) The term "small business concern" shall mean a small business as defined pursuant to Section 3 of the Small Business Act and in relevant regulations promulgated pursuant thereto. (2) The term "small business concern owned and controlled by socially : and economically disadvantaged individuals" shall mean a small business concern - . I (i) which is at -least 51 per centum owned by one or more socially l and economically disadvantaged individuals; or in the case of any publicly i owned business, at least 51 per centum of the stock of which is owned by one
- or more socially and economically disadvantaged individuals; and ,
I
. (ii) whose management and daily business operations are controlled by one or more of such individuals.
The contractor shall presume that socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Native Americans, and other minorities, or any other individual found to be disadvantaged by 4 the Small Business Administration pursuant to section 8(a) of the Small Business Act. Contractors acting in good faith may rely on written representations by their subcontractors as either a small business concern or a small business concern owned and controlled by socially and economically disadvantaged individuals.
- 3.10 Utilization of Labor Surplus Area Concerns (1-1.805-3(a))
l I (The following clause is applicable if this contract exceeds $10,000.) l
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' (a) It is the policy of the Government to award contracts to labor surplus area concerns that agree to perform substantially in labor surplus areas, where this can be done consistent with the afficient performance of the contract and at prices no higher than are obtainable elsewhere.
Contractor agrees to use his best efforts to place his subcontracts iThe n accordance with this policy. , (b) In complying with paragraph (a) of this clause and with paragraph (b) ' :
' of the clause of this contract entitled " Utilization of Small Business '
Concerns," the Contractor in placing his subcontracts shall observe the following order of preference: (1)'Small businest concerns that are labor surplus area concerns, (2) other small business concerns, an (3) other labor surplus area concerns. (c) (1) The term " labor surplus area" means a geographical area identified by the Department of Labor as an area of concentrated unemployment or underemployment or an area of labor surplus. ' (2) The term " labor surplus area concern" means a concern that together labor surpluswithareas. its first-tier subcontractors will perform substantially in
~
(3) The term " perform substantially in a labor surplus area" means that the costs incurred on account of manufacturing, pi*oduction, or appropriate services in labor surplus areas exceed 50 percent of the contract price. ' 3.11 Clean Air and Water (1-1I2302-2) (Applicable only if the contract exceeds $100,000, or the contracting officer has determined that orders under an indefinite quantity contract in any one year will exceed $100,000, or a facility to be used has been the subject of a conviction under the Clean Air Act (42 U.S.C. 1857c-8(c)(1)) or the Federal Water Pollution Control Act (33 U.S.C. 1319(c)) and is listed , by EPA, or the contract is not otherwise exempt.) (a) The Contractor agrees as follows: * (1) To comply with all the requirements ofisection 114 of the Clean Air Act, as amended (42 U.S.C. 1857 et seq.. as amended by Pub. L. 91-604) and section 308 of the Federal Water. Pollution Control Act (33 U.S.C. 1251 et ' e seq., as amended by Pub. L. 92-500), respectively, relating to inspection, ' monitoring, entry, reports, and information, as well as other requirements specified in section 114 and section 308 of the Air Act and the Water Act,i - , respectively,'and all regulations and guidelines issued thereunder before ' the award of this contract. - 6 -
/ ,
c 3 (2) That no portion of the work required by,this prime contract will be!- 8 performed in a facility listed on the Environmental Protection Agency List of Violating Facilities on the date when this contract was awarded unless and until the EPA eliminates the name of such facility or facilities from such listing. ,
+
l . _. _ __ _ _ .__-- i=----
1 - i t i 38 (3) To use his best efforts to comply with clean air standards and clean water standards at the facility in which the contract is being performed.
~ (4) To insert the substance of the provisions of this clause into any nonexempt subcontract, including this paragraph (a)(4). !
(b) The terms used in this clause have the following meanings: (1) The term " Air Act" means the Clean Air Act, as amended (42 U.S.C. 1857 et seq., as amended by Pub. L. 91-604). , l (2) The term " Water Act" means Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq., as amended by Pub. L. 92-500).
. (3) The term " clean air standards" means any enforceable rules, regula-
, 'tions, guidelines, standards, limitations, orders, controls, prohibitions, or other requirements which are contained in, issued under, or otherwise adopted pursuant to the Air Act or Executive Order 11738, an applicable implementation plan as described in section 110(d) of the Clean Air Act (42 U.S.C. 1857c-5(d)),
an approved implementation procedure or plan under section 111(c) or section 111(d), respectively, of the Air Act (42 U.S.C. 1857c-6(c) or (d)), or an approved implementation procedure under section 112(d) of the Air Act (42 U.S.C. 1857c-7(d)). (4) The term " clean water standards" means any enforceable limitation, i control, condition, prohibition, standard, or other requirement which is pro-
' mulgated pursuant to the Water Act or contained in a permit issued to a discharger
- by the Environmental Protection Agency or by a State under an approved program, as authorized by section 402 of the Water Act (33 U.S.C.1342), or by local government to ensure compliance with pretreatment regulations as required by section 307 of the Water Act (33 U.S.C. 1317).
(5) The term " compliance" means compliance with clean air or water standards. Compliance shall also mean compliance with a schedule or plan l ordered or approved by a court of competent jurisdiction, the Environmental ! l Protection Agency or an air or water pollution control agency in accordance ', i with the requirements of the Air Act or Water Act and regulations issued 3 pursuant thereto. (6) The term " facility" means any building, plant, installation, structure, mine, vessel, or other floating craft, location, or site of operations, owned, leased, or supervised by a contractor or subcontractor, to be utilized in the performance of a contract or subcontract. Where a location or site of operations contains or includes more than one building, plant, installation, or structure, the entire location or site shall be. deemed to be a facility except where the I Director, Office of Federal Activities, Environmental Protection Agency, determines that independent facilities are collocated in one geographical area. , 1 an.
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39 3.12 Utilization Reg 54) of Women-owned Bs.siness Concerns (over $10,000) (FPR Temp i (a) It is the policy of the United States Government that women-owned businesses shall have the maximus practicable opportunity to participate in the performance of coatracts dwarded by any Federal agency. . (b) The Contrac*.ur agrees to use his best efforts to carry out this policy in the award of subcontracts to the fullest extent consistent with the efficient performanca -? t-is contract. As used in this contract, a " woman-owned business" concer, means a business that is at' least 51% owned by a woman l or women who also cont,d and operate it. "Cuntrol" in this context means exercising the power to make policy decisions. " Operate" in this context means being actively involved in tree day-to-day management. " Women" mean all women business owners. PATENT AND COPYRIGHT PROVISIONS NO. 4.0 4.1 Patent Rights - Acquisition by the Government (1-9.107-5(a)) (a) Definitions (1) " Subject Invention" means any invention or discovery of the Contractor . conceived or first actually reduced to practice in the course of or under this
- contract, and includes any art, method, process, eachine, manufacture, design, or composition of matter, or any new and useful improvement thereof, or any variety of plant, which is or may be patentable under the Patent Laws of the United States of America or any foreign country.
(2) " Contract" means any contract, agreement, grant, or other arrangement, or subcontract entered into with or for the benefit of the Government where a ' purpose of the contract is the conduct of experimental, developmental, or research work. (3) " States and domestic municipal governments" means the States of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, the Trust Territory of the Pacific Islands, and any political subdivision and agencies thereof. 1 l (4) " Government agency" includes an executive department, independent I commission, board, office, agency, administration, authority, Government corporation, or other Government establishment of the executive oranch of the Government of the United States of America.
- (5) "To the point of practical application" means to manufacture in the case of a composition or prodect, to practice in the case of a process, or to operate in the case of a macnine and under such conditions as to establish that the invention accessible is being worked and that its benefits are reasonably to the public.
_ . _ . ___._____.i____..________._
40 (b) Allocation of principal rights (1) Assignment to the Government. The Contractor agrees to assign to the Government the entire right, title, and interest throughout the world in and to each Subject Invention, except to the extent that rights are ret'11ned by the Contractor unoer paragraphs (b)(2) and (d) of this clause. (2) Greater rights deteminations. The Contractor or the employee-
- inventor with authorization of the Contractor may retain greater rights than the nonexclusive license provided in paragraph (d) of this clause in accordance with the procedure and 1:riteria of 41 CFR 1-9.109-6. A request for determina-tion whether the Contractor or the employee-inventor is entitled to retain i such greater rights must be submitted to the Contracting Officer at the time of the first disclosure of the invention pur'suant to paragraph (e)(2)(1) of '
, this clause, or not leter than 3 months themafter, or such longer period as
' may be authorized by the Contracting Officer for good cause shown in writing i by the Contractor. The information to be submitted for a greater rights determination is specified in 41 CFR 1-9.109-6. Each determination of greater rights under this contract normally shall be subject to paragraph (c) of this clause and to the reservations and conditions deemed to be appropriate by the agency. (c) Minimum rights acquired by the Government. With respect to each Subject Invention to which the Contracter retains principal or exclusive rights,
- the Contractor:
i (1) Hereby grants to the Government a nonexclusive, nontransferable, paid-up license to make, use, and sell each Subject Invention throughout the ! world by or on behalf of the Government of the United States (including any Government agency) and States and domestic municipal governments; (2) Agrees to grant to responsible applicants, upon request of the Government, a license on terms that are reasonable under the circumstances: i (i) Unless the Contractor, his licensee, or his assignee demonstrates to the Government that effective steps have been taken within 3 years after a patent issues on such invention to bring the invention to the point of practical application, or that the invention has been made available for licensing royalty-free or on terms that are reasonable in the circumstances, or can show cause why the principal or exclusive rights should be retained for a further
. period of time; or (ii) To the extent that the invention is required for public use by governmental regulations or as may be necessary to fulfill public health, safety, or welfare needs, or for other public purposes stipulated in this contract; (3) Shall submit written reports at reasonable intervals upon request of the Government during the term of the patent on the Subject Invention regarding:
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(i) The commercial use that is being made or is intended to be made of the invention; and 1 (ii) The steps taken by the Contractor or his transferee to bring the invention to the point of practical application or to make the invention avajlable for licensing; - (4) Agrees to refund any amounts received as royalty charges on any Subject Invention in procurements for or on behalf of the Government and to provide for that refund in any instrument transferring rights to any party in the invention; and (5) A paragraph (grees to provide for the Government's paid-up Ifcense pursuant to c)(1) of this clause in any instrument transferring rights in a Subject Invention and to provide for the granting of ifcenses as required by (2) of this clause, and for the reporting of utilization infomation as required - by paragraph (c)(3) of this clause whenever the instrument transfers principal or exclusive rights in any Subject Invention. Nothing contained in this caragraph (c) shall be deemed to grant to the Government any rights with respect to any invention other than a Subject Invention. (d) Minimum rights to the Contractor. (1) The Contractor reserves a revocable, nonexclusive, royalty-free ifcense in each patent application filed in any count n on a Subject Invention and any resulting patent in which the Government acquires title. The license shall extend to the Contractor's domestic subsidiaries and affiliates, if any, within the corporate structure of which the Contractor is a part and shall include the right to grant sublicenses of the same scope to the extent the Contractor was legally obligated to do so at the time the contract was awarded. The license shall be transferable only with approval of the agency except when transferred to the successor of that part of the Contractor's business to which the invention pertains. (2) The Contractor's nonexclusive domestic license retained pursuant to paragraph (d)(1) of this clause may be revoked or modified by the agency to the extent necessary to acieve expeditious practical application of the Subject Invention under 41 CFR 101-4.103-3 pursuant to an application for exclusive license submitted in accordance with 41 CFR 101-4.1043. This license shall not be revoked in that field of use and/or the geographical areas in which the Contractor has brought the invention to the point of practical application and, continues to make the benefits of the invention reasonably accessible to the public. The Contractor's nonexclusive license in any foreign country reserved pursuant to paragraph (d)(1) of this clause may be revoked or modified at the discretion of. the agency to the extent the Contractor or his domestic subsidiaries or affiliates have failed to achieve the practical application of the invention in that foreign country. l l l
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42 i 1 (3) Before modification or revocation of the license, pursuant to paragraph (d)(2) of.this clause, the agency shall furnish the Contractor a written notice of its intention to modify or revoke the licese, and the Con-tractor shall be allowed 30 days (or such longer period as may be authorized by the agency for good cause shown in writing by the Contractor) after the , notice to show cause why the license should not be modified or revoked. The l Contractor shall have the right to appeal, in accordance with procedures prescribed by the agency, any decision concerning the modification or revocation
.of his license.
(e) Inventions, identification, disclosures, and reports. (1) The Contractor shall establish and maintain active and effective procedures to ensure that Subject Inventions are promptly identified and ' timely disclosed. These procedures shall include the maintenance of laboratory notebooks or equivalent records and any other records that are reasonably
- necessary to document the conception and/or the first actual reduction to practice of Subject Inventions, and records which show that the procedures for identifying and disclosing the inventions are followed. Upon request, the Contractor shall furnish the Contracting Officer a description of these procedures so that he may evaluate and detemine their effectiveness.
(2) The Contractor shall furnish the Contracting Officer: (i) A complete technical disclosure for each Subject Invention
, within 6 months after conception.or first actual reduction to practice which-ever occurs first in the course of or under the contract, but in any event
, prior to any on sale, public use, or publication of such invention known to the Contractor. The disclosure shall identify the contract and inventor and shall be sufficiently complete in technical detail and appropriately illus-trated by sketch or diagram to convey to one skilled in the art to which the invention pertains a clear understanding of the nature, purpose, operation, and, to the extent known, the physical, chemical, biological, or electrical characteristics of the invention; (ii) Interim reports 1 at least every 12 months from the date of the contract listing Subject Inventions for that period and certifying that: (A) The Contractor's procedures for identifying and disclosing Subject Inventions as required by this paragraph (e) have been followed throughout the reporting period; and (B) All Subject Inventions have been disclosed or that there are no such inventions; and (iii) A final report 1 within 3 months after completion of the contract ' work, listing all Subject Inventions or certifying that there were no such inventions.
' Agency may specify form.
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y., - ' " i: .. i-i . ! 43 (3) The Contractor shall obtain patent agressents to effectuate the provisions of this clause from all persons in his employ who perfore any part of the work under this contract except nontechnical personnel, such as clerical , employees and manual laborers. (4) The Contractor agrees that the Government may duplicate and disc. lose Subject Invention disclosures and all other reports and papers furnished or required to be furnished pursuant-to this clause. (f) Forfeiture of rights in unreported Subject Inventions 4 (1) The Contractor shall forfeit to the Government all rights in any Subject Invention which he fails to disclose to the Contracting Officer within 6 months after the time he: , 4 thereon; or(i) Files or causes to be filed a United States o:- foreign application this clause, (ii)whichever Submits the is later. final report required by paragraph (e)(2)(fii) of (2) However, the Contractor shall not forfeit rights in a Subject Invention if, within Contractor: the time specified in (1)(i) or (1)(11) of this paragraph (f), the (i) Prepared a written decision based upon a review of the record that the invention was neither conceived nor first actually reduced to practice in the course of or under the contract; or j (ii) Contending that the invention is not a Subject Invention, he i nevertheless discloses the invention and all facts pertinent to his contention to the Contracting Officer; or his fault or (iii)negligence. Establishes that the failure to disclose did not result from (3) Pending written assignments of the patent applications and patents on a Subject Invention determined by the Contracting Officer to be forfeited (such determination to be a final decision under the Disputes Clause), the , Contractor shall be deemed to hold the invention and the patent applications and patents pertaining thereto in trust for the Government. The forfeiture provision of this paragraph (f) shall be in addition to and shall not super- i sede other Subject rights and remedies which the Government may have with respect to Inventions. - (g) Examination of records relating to inventions (1) The Contracting Officer or his authorized represantative until the expiration of 3 years after final payment under this contract shall have the right to examine any books (including laboratory notebooks), records, documents, and other supporting data of the Contractor which the Contracting Officer 4
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44 reasonably deems pertinent to the discovery or identification of Subject Inventions to determine compliance with the requirements of this clause. (2) The Contracting Officer shall have the right to review all books (including laboratory notebooks), records and documents of the Contractor relating to the conception of first actual reduction to practice of inventions in the same field of technology as the work under this contract to determine whether any such inventions are Subject Inventions if the Contractor refuses or fails to: (i) Establish the procedures of paragraph (e)(1) of this clause; or (ii) Maintain and follow such procedures; or i (iii) Correct or eliminate any material deficiency in the procedures within thirty (30) days after the Contracting Officer notifies the Contractor of such a deficiency. (h) Withholding of payment (Not applicable to Subcontracts)
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(1) Any time before final payment of the amount of this contract, the Contracting Officer say, if he deems such action warranted, withhold payment
- until a reserve not exceeding $50,000 or 5 percent of the amount of this contract, whichever is less, shall have been set aside if in his opinion, the Contractor fails to
4 (i) Establish, maintain, and follow effective procedures for
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identifying and disclosing Subject Inventions pursuant to paragraph (e)(1) of this clause; or (ii) Disclose any Subject Invention pursuant to paragraph (e)(2)(i) of this clause; or (iii) Deliver acceptable interim reports pursuant to paragraph (e)(2)(ii) of this clause; or 4 (iv) Provide the information regarding subcontracts pursuant to . l paragraph (i)(5) of this clause. The reserve or balance shall be withheld until the Contracting Officer .
. has determined that the Contractor has rectified whatever deficiencies exist and has delivered all reports, disclosures, and other information required by this clause.
i (2) Final payment under this contract shall not be made before the Contractor delivers to the Contracting Officer all disclosures of Subject , i Inventions required by paragraph (e)(2)(1) of this clause, and an acceptable ; final report pursuant to (e)(2)(iii) of this clause. , (3) The Contracting Officer say, in his discretion, decrease or increase - the suas withheld up to the maximum authorized above. If the Contractor is a l
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3 . 45 i nonprofit organization the maximum amount that may be withheld under this paragraph shall not exceed $50,000 or 1 percent of the amount of this contract whichever is less. No amount shall be withheld under this paragraph while the amount specified by this paragraph is being withheld under other provisions of the contract. The withholding of any amount or subsequent payment thereof shall not be construed as a waiver of any rights accruing to the Government under this contract. ' (i) Subcontracts (1) For the purpose of this paragraph the term " Contractor" means the party awarding the subcontract and the term " Subcontractor" means the party being awarded a subcontract, regardless of tier. (2) Unless otherwise authorized or directed by the Government Contracting Officer, the Contractor shall include this Patent Rights clause modified to identify the parties in any subcontract hereunder if a purpose of the subcontract is the conduct of experimental, developmental, or research work. In the event of refusal by a Subcontractor to accept this clause, or if in the opinion of the Contractor this clause is inconsistent with the policy set forth in 41 CFR 1-9.107-3, the Contractor: i (i) Shall promptly submit a written notice to the Government Contracting Officer setting forth reasons for the Subcontractor's refusal and , other pertinent infomation which may expedite disposition of the matter; and (11) Shall not proceed with the subcontract without the written authorization of the Government Contracting Officer. (3) The Contractor shall not, in any subcontract or by using a subcontract as consideration therefor, acquire any rights in his Subcontractor's Subject ' Invention for his own use (as distinguished from such rights as may be required solely to fulfill his contract obligations to the Government in the performance of this contract). (4) All invention disclosures, reports, instruments, and other infomation required to be furnished by the Subcontractor to the Government Contracting Officer under the provisions of a Patent Rights clause in any subcontract hereunder say, in the discretion of the Government Contracting Officer, be - furnished to the Contractor for transaission to the Government Contracting Officer. ' (5) The Contractor shall promptly notify the Government Contracting Officer in writing upon the award of any subcontract containing a Patent Rights clause by identifying the Subcontractor, the work to be performed under. the subcontract, and the dates of award and estimated completion. Upon request of the Government Contracting Officer, the Contractor shall furnish a copy of i the subcontract. If there are no subcontracts containing Patent Rights Clauses, a negative report shall be included in the final report submitted pursuant to 4 paragraph (e)(2)(iii) of this clause. l l l
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I 46 (6) The Contractor shall identify all Subject Inventions of the Subcontractor of which he acquires knowledge in the performance of this contract and shall notify the Government Contracting Officer promptly upon the identification of the inventions. (7) It is understood that the Government is a third party beneficiary of any subcontract clause granting rights to the Government in Subject Inventions, and the Contractor hereby assigns to the Government all rights that he would have to enforce the Subcontractor's obligations for the benefit of the Government with respect to Subject Inventions. The Contractor shall not be obligated to enforce the agreements of any Subcontractor hereunder relating to the obligations of the Subcontractor to the Government in regard to Subject Inventions. (j) No claim for pecuniary award or compensation under the provisions of the Atomic Energy Act of 1954, as amended, shall be asserted by the contractor or its employees, with respect to any invention or discovery made or con:eived
~1n the course of or under this contract.
(k) With respect to any U.S. Patent Application filed by the contractor or any contract invention or discovery made or conceived in the course of the contract, the contractor will incorporate in the first paragraph of the U.S. ! Patent Application the following statement:
'The invention described herein was made in the course of, or under, a contract (if desired, may substitute contract with identifying j
. number) with the Commission.'.
l 4.2 Patent Indemnification of Government by Contractor l The contractor agrees to indemnify the Government, its officers, agents, I servants, and employees against liability of any kind (including costs and expenses incurred) for the use of any invention or discovery and for the ! l infringement of any Letters Patent (not including liability, arising pursuant I to sec. 183, Title 35 (1952) U.S.C., prior to the issuance of Letters Patent) occurring in the performance of this contract or arising by reason of the use , or disposal by or for the account of the Government of items manufactured or supplied under this contract. ; 4.3 Rights in Copyrightable Material Under Contracts - (a) The contractor (i) agrees that the Commission shall determine the , disposition of the title to and the rights under any copyright secured by the contractor or its employees on copyrightable material first produced or composed under this contract and (ii) hereby grants to the Government a royalty-free, , nonexclusive, irrevocable license to reproduce, translate, publish, use and ' dispose of, and to authorize others so to do, all copyrightable work not first produced or composed by the contractor in the performance of this contract but which is incorporated in the material furnished under the contract, provided , that such license shall be only to the extent the contractor now has, or prior to the completion or final settlement of the contract may acquire the right to
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1 47 grant such license without becoming liable to pay compensation to others solely because of such grant. (b) The contractor agrees that it will not include any copyrighted material in any written or copyrightable meterial furnished or delivered under this contract, without a license as provided for in paragraph (a)(fi) hereof, ' or without the consent of the copyright owner, unless specific written appmval . of the Contracting Officer to the inclusion of such copyrighted material is ' secured. (c) The contractor agrees to report in writing to the Commission, promptly and in reasonable detail, any notice or claim of copyright infringement received by the contractor with respect to any material delivered under this contract. 4.4 Copyright Indemnification of Government Except as otherwise Government, its officers,provided, the contractor agrees to indemnify the 4 agents, servants, and employees against liability, including costs and expenses, for the infringement of any copyright in any work protected under the copyright laws of the United States arising out of the performance of this contract, including the reproduction, translation, publication or use of any such copyrighted material. 4,. 5 Notice and Assistance Regarding Patent and Copyright Infringement (1-7.103-4) (a) The Contractor shall report to the Contracting Officer, promptly and in reasonable written detail, each notice or claim of patent or copyright infringement based on the perfomance of this contract of which the Contractor has knowledge. (b) In the 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 Contract or out of the use of any supplies furnished or work or services ) performed hereunder, the Contractor shall furnish to the Government, when requested by the Contracting Officer, all evidence and infomation in. possession of the Contractor pertaining to such suit or claim. Such evidence and informa-tion shall be furnished at the expense of the Government except where the Contractor has agreed to indemnify the Government. - FINANCIAL AND TEMINATION PROVISIONS NO. 5.0 5.1 Limitation of Cost (1-7.202-3(a)) (Applicable to Contracts which are fully funded only) (a) It is estimated that the total cost to the Government for the 1 performance of this contract, exclusive of any fee, will not exceed the estimated cost set forth in the Schedule, and the Contractor agrees to use his best efforts to perform the work specified in the Schedule and all obligations under this contract within such estimated cost. If, at any time, the Contractor l l l _ , ,.. , , _ - . , . .-.,-r,-,,
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48 l has reason to believe that the costs which he expects to incur in the perform-ance of this contract in the next succeeding 60 days, when added to all costs previously incurred, will exceed 75 percent of the estimated cost then set e forth in the Schedule, or if, at any time, the Contractor has reason to believe, that the total cost to the Government for the performance of this contract, exclusive of any fee, will be greater or substantially less than the then estimated cost hereof, the Contractor shall notify the Contracting Officer in writing to that effect, giving the revised estimate of such total cost for the performance of this contract. (b) Except as required by other provisions of this contract specifically citing and stated to be an exception from this clause, the Government shall not be obligated to reimburse the Contractor for costs incurred in excess of the estimated cost set forth in the Schedule, and the Contractor shall not be obligated to continue perfomance under the contract (including actions under the Termination clause) or othemise to incur costs in excess of the estimated cost set forth in the Schedule, unless and until the Contracting Officer shall have notified the Contractor in writing that such estimated cost has been increased and shall have specified in such notice a revised estimated cost which shall thereupon constitute the estimated cost of perfomance of this contract. No notice, communication, or representation in any other form or j from any person other than the Contracting Officer shall affect the estimated , cost of this contract. In the absence of the specified notice, the Government shall not be obligated to reimburse the Contract for any costs in excess of the estimated cost set forth in the Schedule, whether those excess costs were incurred during the course of the contract or as a result of temination.
- When and to the extent that the estimated cost set forth in the Schedule has been increased, any costs incurred by the Contractor in excess of the estimated cost prior to such increase shall be allowable to the same extent as if such costs had been incurred after the increase; unless the Contracting Officer issues a termination or other notice and directs that the increase is solely for the purpose of termination or other specified expenses.
- (c) Change orders issued pursuant to the Changes clause of this contract
- shall not be considered an authorization to the Contractor to exceed the estimated cost set forth in the Schedule in the absence of a statement in the I change order, or other contract modification, increasing the estimated cost.
! (d) In the event that this contract is terminated or the estimated cost i not increased, the Government and the Contractor shall negotiate an equitable distribution of all property produced or purchased under the contract based upon the share of costs incurred by each. 5.2 Limitation of Funds (1-7.202-3(b)) (Applicable to contracts which are incrementally funded) (a) It is estimated that the cost to the Government for the performance "of this contract will not exceed the estimated cost set forth in the Schedule, and the Contractor agrees to use his oest efforts to perform the work specified
'in the Schedule and all obligations under this contract within such estimated i cost.
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' (b) The amount presently available for payment and allotted to this l contract, the items covered thereby, the period of performance which it is estimated the allotted amount will cover, are specified in the Schedule. It is contaaplated that from time to time additional funds will be allotted to this contract up to the full estimated cost set forth in the Schedule, exclu- ,
sive of any fee. The Contractor agrees to perfom or have perfomed work on this contract up to the point at which the total amount paid and 2 payable by the Government pursuant to the terms of this contract approximates ' ' but does not exceed the total amount actually allotted to the contract. t (c) If at any time the Contractor has reason to believe that the costs < which he expects to incur in the performance of this contract in the next succeeding 60 days, when added to all costs previously incurred, will exceed 3 75 percent of the total amount then allotted to the contract, the Contractor , shall notify the Contracting Officer in writing to that effect. The notice shall state the estimated amount of additional funds required to continue performance for the period set forth in the Schedule. Sixty days prior to the end of the period specified in the Schedule the Contractor will advise the i Contracting Officer in writing as to the estimated amount of additional funds, if any, that will be required for the timely performance of the work under the contract or for such further period as may be specified in the Schedule or othe mise agreed to by the parties. If, after such notification, additional funds are not allotted by the end of the period set forth in the Schedule or i an agreed data substituted therefor, the Contracting Officer will, upon written request, by the Contractor, terminate this contract pursuant to the provisions of the Termination clause on such date. If the Contractor, in the exercise of his reasonable judgment, estimates that the fundt available will allow him to l continue to discharge his obligations hereunder for a period extending beyond ' such date, he shall specify the later date in hit request and the Contracting Officer, in his discretion, may teminate this contract on that later date. (d) Except as required by other provisions of this contract specifically citing and stated to ba an exception from this clause, the Government shall . l not be obligated to refaburse the Contractor for costs incurred in excess of the total amount from time to time allotted to the contract, and the Con-tractor shall not be obligated to continue performance under the contract (including actions under the Termination clause) or othemise to incur costs , 1 i in excess of the amount allotted to the contract, unless and until the Con-tracting Officer has notified the Contractor in writing that such allotted l amount has been increased and has specified in such notice an increased amount constituting the total amount then allotted to the contract. To the extent the amount allotted exceeds the estimated cost set forth in the Schedule, such estimated cost shall be correspondingly increased. No notice, communication, or representation in any other form or from any person other than the Con-
- tracting Officer shall affect the amount allotted to this contract. In the absence of the specified notice, the Government shall not be obligated to reimburse the Contractor for any costs in excess of the total amount then allotted to the contract, whether those excess costs were incurred during the course of the contract or as a result of termination. When a.-d to the extent t
that the amount allotted to the contract has been increased, any costs incurred by the Contractor in exca:: of the amount previously allotted shall 6 ' - . . , _ , _ _ - . - _ - . _ - . . - , _ . - _ - . . _ , . _ - - . . . . . . _ , ~ - . . _ _ _ _ - . _ _ . - _ _ _ . _ __ _ _ ..__ _ _ _ _ _
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1 50 i be allowable to the same extent as if such costs had been incurred after such increase in the amount allotted; unless the Contracting Officer issues a termination or other notice and directs that the increase is solely for the purpose of covering termination or other specified expenses. 1 (e) Change orders issued pursuant to the Changes clause of this contract ! i shall not be considered an authorization to the Contractor to exceed the
' amount allotted in the Schedule in the absence of a statement in the change order, or other contract modification, increasing the amount allotted.
) (f) Nothing in this clause shall affect the right of the Government to ) teminate this contract. In the event this contract is teminated, the Govern-1 ment and the Contractor shall negotiate an equitable distribution of all , i property produced or purchased under the contract based upon the share of costs incurred by each. (g) In the event that sufficient funds are not allotted to this contract to allow completion of the work contemplated by this contract, the Contractor shall be entitled to that percentage of the fee set forth in the Schedule equivalent to the percentage of completion of the work contemplated by this contract. 5.3 Allowable Cost, Fixed-Fee, and Payment (1-7.202-4) and (1-7.402-3(a)) (Applicable to cost-reimbursement type contracts which provide for payment of a fixed fee)
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(a) For the performance of this contract, the Government shall pay to i the Contractor: (1) The cost thereof (hereinafter referred to as " allowable cost") i determined by the Contracting Officer to be allowable in accordance with: (i) Subpart 1-15.2 of the Federal Procurement Regulations (41 CFR 1-15.2), as in effect on the date of this contract; and (ii) The terms of this contract; and 4 (2) Such fixed-fee, if any, as may be provided for in the Schedule. (b) Payments shall be made to the Contractor when requested as work progresses, but not more frequently than bi-weekly, in amounts approved by the i Contracting Officer. The Contractor may submit to an authorized repre-sentative of the Contracting Officer, in such fom and reasonable detail as l such representative may require, an invoice or public voucher supported by a statement of cost for the performance of this contract and claimed to con-stitute allowable cost. For this purpose, except as provided herein with respect to pension contributions, the term " costs" shall include only those recorded costs which result, at the time of the request for reimbursement, from payment by cash, check, or other form of actual payment for items or ser-vices purchased directly for the contract, together with (when the Contractor
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- is not delinquent in payment of costs of contract performance in the ordinary l course of business) costs incurred, but not necessarily paid, for materials
! whch have been issued from the Contractor's stores inventory and placed in the ; production process for use on the contract, for direct labor, for direct ,
travel, for other direct inhouse costs, and for properly allocable and allow- '
- able indirect costs, as is shown by records maintained by the Contractor for purposes of obtaining reimbursement under Government contracts plus the amount of progress payments which have been paid to the Contractor's subcontractors under similar cost standards. In addition, when pension contributions are paid by the Contractor to the retirement fund less frequently than quarterly,
- accrued costs therefor shall be excluded from indirect costs for payment pur-poses until such costs art paid. If pension contributions are paid on a quarterly or more frequent basis, accruals therefor may be included in direct costs for payment purposes provided that they are paid to the fund within 30 days after the close of the period covered. If payments are not made to the fund within such 30-day period, pension contribution costs shall be excluded from indirect cost for payment' purposes until payment has been made. The restriction on payment more frequently than bi weekly and the requirement of prior payment for items or services purchased directly for the contract shall not apply when the Contractor is a small business concern.
(c) Promptly after receipt of each invoice or voucher and statement of cost, the Government shall, except as othemise provided in this contract { subject the Contracting to the provisions Officer. of (d) below, make payment thereon as approved by t the Contractor as specified in the Schedule:Provided, Paymenthowever, of the fixed-fee, if any, shall be That after } j Officer may withhold further payment of fee until a reserve shall h set aside in an amount which he considers necessary to protect the interests. of the Government, but such reserve shall not exceed 15 percent of the total fixed-fee, or $100,000, whichever is less. (d) At any time or times prior to final payment under this contract the Contracting Officer may have the invoices or vouchers and statements of cost audited. Each payment theretofore made shall be subject to reduction for
- l i
amounts included in the related invoice or voucher which are found by the ! contracting cost. Officer, on the basis of such audit, not to constitute alloweble
~Any ments, on preceding invoices payment may be or reduced vouchers.for overpayments, or increased for underpay-Contractor (e) Onreceigtandapprovaloftheinvoiceorvoucherdesignatedbythe as the completion invoice" or " completion voucher" and upon com-pliance by the Contractor with all the provisions of this contract (including, without limitation, the provisions relating to patents and the provisions.of (f), below), the Government shall promptly pay to the Contractor any balance of allowable pursuant to (c), cost, above and any part of the fixed-fee, which has been withheld
> or othemise not paid to the Contractor. The com- ! plation followinginvoice com or vouc,her shall be submitted by the Contractor promptly than 1 year (pletion of the work under this contract but in no event later or such longer period as the Contracting Officer ma discretion approve in writing) from the date of such completion.y in his i i
- - , . - ~ - , - . , - - - . - - .- - ., , - ..- - . - - . .,.-.. ,. - - - - - .. _ .. - -., ~ . ~ ...- _ _ . - .. _ .~ _ . ~ ... -
- - . a.-
l 4 52 (f) The Contractor agrees that any refunds, rebates, credits, or other - amounts (including any interest thereon) accruing to or received by the Con-tractor or any assignee under this contract shall be paid by the Contractor to the Government, to the extent that they are properly allocable to costs for which the Contractor has been reimbursed by the Government under this contract. Reasonable such refunds, expenses rebates, incurred by other credits, or the Contractor amounts for shalth(l be allowable costspurpose of securfag i hereunder when approved by the Contracting Officer. Prior to final payment under this contract, the Contractor and each assignee under this contract whose assignment is in effect at the time of final payment under this contract shall execute and deliver:
'(1) An assignment to the Government, in form and substance satisfactory 2 to the Contracting Officer, of refunds, rebates, credits, or other amounts
- (including any interest thereon) properly allocable to costs for which the 1 Contractor has been reimbursed by the Government under this contract; and (2) A release discharging the Government its officers, agents, and employees from all liabilities, obligations, and claims arising out of or under this contract, subject only to the following exceptions:
I (i) Special claims in stated amounts or in estimated amounts-where l the enounts are not susceptible of exact statement by the Contractor; I (ii) Claims, together with reasonable expenses incidental thereto, based upon liabilities of the Contractor to third parties arising out of the j performance of this contract: Provided, However, That such claims are not
- known to the Contractor on the date of the execution of the release; and pro-vided further, that the Contractor gives notice of such claims in writing to i the Contracting Officer not more than 6 years after the date of the release or 1
the date of any notice to the Contractor that the Government is prepared to i make final payment. whichever is earlier; and (iii) Claims for reimbursement of costs (other than expenses of the Contractor by reason of its indemnification of the Government against patent liability), including reasonable expenses incidental thereto, incurred by the Contractor under the provisions of this contract relating to patents. (g) Any cost incurred by the Contractor under the tems of this contract which would constitute allowable cost under the provisions of this clause j shall be included in determining the amount payable under this contract, notwithstanding any provisions contained in the specifications or other docu-ments incorporated in this contract by reference, designating services to be performed or materials to be furnished by the Contractor at his expense or without cost to the Government. l
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i-l . t 53 5.4 Allowable Cost and Payment (1-7.402-3(b)) 3 (Applicable to contracts, without fee) (a) For the performance of this contract, the Government shall pay to i the Contractor determined theContracting by the cost thereofOfficer (hereinafter to be allowablereferred in to accordance as " allowable cost") with: j' (1) Subpart 1-15.2 of the Federal Procurement Regulations (41 CFR l-15.2), as in effect on the date of this contract; and (2) The terms of this contract. ' (b) Payments shall be made to the Contractor when requested as work progressas, but not more frequently than bi-weekly, in amounts approved by the Contracting Officer. The Contractor may submit to an authorized representative ).: of the Contracting Officar, in such form and reasonable detail as such represent-
! ative spay require, an invoice or public voucher supported by a statement of cost for the performance of this contract and claimed to constitute allowable j cost. For this purpose, except as provided herein with respect to pension contributions, the term " costs" shall include only those recorded costs which result, at the time of the request for reimbursement, from payment by cash, check, or other form of actual payment for items or services purchased directly l
i for the contract, together with (when the Contractor is not delinquent in payment of costs of contract performance in the ordinary course of business) ! costs incurred, but not necessarily paid, for materials which have been issued i i from the Contractor's store inventory and placed in the production process for use on the contract, for direct labor, for direct travel, for other direct inhouse costs, and for properly allocable and allowable indirect costs, as is shown by records maintained by the Contractor for purposes of obtaining reimbursement under Government contracts plus the amount of progress payments i which have been paid to the Contractor's subcontractors under similar cost standards. In addition, when pension contributions are paid by the Contractor , j to the retirement fund less frequently than quarterly, accrued costs therefor i shall be excluded from indirect costs for payment purposes until such costs
-are paid. If pension contributions are paid on a quartet'ly or more frequent ;
- basis, accruals therefor may be included in indirect costs for payment purposes provided period covered. that they are paid to the fund within 30 days after the close of the If payments are not made to the fund within such 30-day period, pension contribution costs shall be excluded from indirect cost for -
payment purposes until payment has been made. The restriction on payment more i
~ frequently than bi-weekly and the requirement of prior payment for items or services purchased directly for the contract shall not apply when the Contractor
{ is a small business concern. - (c) Promptly after receipt of each invoicq or voucher and statement of cost, the Government shall, except as otherwise provided in this contract subject to the provisions of (d), below, make payment thereon as approved by { the Contractng Officer. 4 2 a
<- (.; _ ;, _ , , .- - ,
- - ~ - -- -- -
n n . n c.;,.,_.. n _ 54 After payment of an amount equal to 80 percent of the total estimated ! cost of performance of this contract set forth in the Schedule, the Contract-ing Officer may withhold further payment on account of allowable cost until a reserve shall have been set aside in an amount which he considers necessary to protect the interests of the Government, but such reserve shall not exceed 1 percent of (the Government's share of) such total estimated cost or $100,000, I whichever is less. ) (d) At any time or times prior to final payment under this contract the Contracting Officer may have the invoices or vouchers and statements of cost audited. Each payment theretofore made shall be subject to reduction for amounts included in the related invoice or voucher which are found by the ] Contracting Officer, on the basis of such audit, not to constitute allowable
; cost. Any payment may be reduced for overpayments, or increased for underpay- ;
ments, on proceeding invoices or vouchers. (e) Onreceigtandapprovaloftheinvoiceorvoucherdesignatedbythe Contractor as the completion invoice" or " completion voucher" and upon compliance by the Contractor with all the provisions of this contract (including, without
- limitation, the provisions relating to patents and the provisions of (f),
below, the Government shall promptly pay to the Contractor any balance of allowable cost which has been withheld pursuant to (c), above, or otherwise not paid to the Contractor. The completion invoice or voucher shall be submitted by the Contractor promptly following completion of the work under this contract but in no event later .than 1 year (c: such longer period as the Contracting Officer may in his discretion approve in writing) from the date of ! such completion. ~ (f) The Contractor agrees that any refunds, rebates, credits, or other amounts (including any interest thereon) accruing to or received by the Con-tractor or any assignee under this contract shall be paid by the Contractor to . the Government, to the extent that they are properly allocable to costs for , , which the Contractor has been reimbursed by the Government under this contract. l Reasonable expenses incurred by the Contractor for the purpose of securing i such refunds, rebates, credits, or other amounts shall be allowable costs hereunder when approved by the Contracting Officer. Prior to final payment ! under this contract, the Contractor and each assignee under this contract whose assignment is in effect at the time of final payment under this contract . shall execute and deliver: (1) Any assignment to the Government, in form and substance satisfactory to the Contracting Officer, of refunds, rebates, credits, or other amounts (including any interest thereon) properly allocable to costs for which the Contractor has been reimbursed by the Government under this contract; and (2) A release discharging the Government its officers, agents, and employees from all liabilities, obligations, and claims arising out of or under this contract, subject only to the following exceptions: l (i) Special claims in stated amounts or in estimated amounts where the amounts are not susceptible of exact statement by the Contractor. t t l 3.' .
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I 55 i a (ii) Claims, together with reasonable expenses incidental thereto, based upon liabilities of the Contractor to third parties arising out of the 4 performance of this contract: Provided, however, That such claims are not 4 known to the Contractor on the date of the execution of the release; and provided further, that the Contractor gives notice of such claims in writing to the Contracting Officer not more than 6 years after the date of the release or the date of any notice to the Contractor that the Government is prepared to make final payment, whichever is earlier;'and ,j (iii) Claims for reimbursement of costs (other than expenses of the i Contractor by reason of its indemnification of the Government against patent < liability), including reasonable expenses incidental thereto, incurred by the Contractor under the provisions of this contract relating to patents. (g) Any cost incurred by the Contractor under the terms of this contract which would constitute allowable cost under the provisions of this clause i shall be included in detemining the amount payable under this contract, notwithstanding any provisions contained in the specifications or other documents incorporated in this contract by reference, designating services to be performed or materials to be furnished by the Contractor at his expense or without cost to the Government. 5.5 Negotiated Overhead Rates (1-3.704-1) (a) Notwithstanding the provisions of the clause of this contract entitled . i
" Allowable Cost, Fixed Fee, and Payment," the allowable indirect costs under this contract shall be obtained by applying negotiated overhead rates to bases agreed upon by the parties, as specified below.
(b) The Contractor, as soon as possible but not later than ninety (90) ! days after the expiration of his fiscal year, or such other period as may be i specified in the contract, shall submit to the Contracting Officer, with a copy to the cognizant audit activity, a proposed final overhead rate or rates i for that period based on the Contractor's actual cost experience during that period, together with supporting cost data. Negotiation of overhead rates by i the Contractor and the Contracting Officer shall be undertaken as promptly as practicable after receipt of the Contractor's proposal. L(c) A11owability of costs and acceptability of cost allocation methods - shall be determined in accordance with Subpart 1-15.2 of the Federal Procure-ment Regulations (41 CFR 115.2) as in effect on the date of this contract. j Subparts 1-15.3 and 1-15.7 of said Regulations apply in contracts with educational institutions or with State and local governments, respectively. (d) The results of each negotiation shall be set forth in a modification i
- to this contract, which shall specify (1) the agreed final rates, (2) the
! bases to which the rates apply, and (3) the periods for which the rates apply. i' (e) Pending establishment of final overhead rates for any period, the Contractor shall be reitoursed either at negotiated provisional rates as pro-vided in the contract, or at billing rates acceptable to the Contracting l i
i ss L Officer, subject to appropriate adjustment when the final rates for that l period are established. To prevent substantial over or under payment, and to i
. apply either retroactively or prospective?y: (1) Provisional rates may, at l the request of either party, be revised by mutual agreement and (2) billing i rates m y be adjusted at any time by the Contracting Officer. Any such '
revision of negotiated provisional rates provided in the contract shall be set forth in a modification to this contract. (f) Any failure by the parties to agree on any final rates under this
- - clause shall be considered a dispute concerning a question o'f fact for decision by the Contracting Officer within the meaning of the " Disputes" clause of this
; contract.
5.6 ' State and Local Taxes (a) The contractor agrees to notify the Commission of any State or local , tax, fee, or charge levied or purported to be levied on or collected from the contractor with respect to the contract work, any transaction thereunder, or f 1 property in the custody or control of the contractor and constituting an allowable item of cost if due and payable, but which the contractor has reason
; to believe, or the Commission had advised the contractor, is or may be inapplicable
- or invalid; and the contractor further agrees to refrain from paying any such
. tax, fee, or charge unless authorized in writing by the Commission. Any State j or local tax, fee, or charge paid with the approval of the Commission or on 1
the basis of advice from the Commission that such tax, fee, or charge is applicable and valid, and which would otherwise be an allowable item of costs, shall not be disallowed as an ites of cost by reason of any subsequent ruling or determination that such tax, fee, or charge was in fact inapplicable or invalid. (b) The contractor agrees to take such action as may be required or approved by the Commission to cause any State or local tax, fee, or charge which would be an' allowable cost to be paid under protest; and to take such action as may be required or approved by the Commission to seek recovery of any payments made, including assignment to the Government or its designee of all rights to an abatement or refund thereof, and granting permission for the i Government to join with the contractor in any proceedings for the recovery J thereof or to sue for recovery in the name of the contractor. If the Commission ] directs the contractor to institute litigation to enjoin the collection of or i to recover payment of any such tax, fee, or charge referred to above, or if a claim or suit is filed against the contractor for a tax, fee, or charge it has refrained from paying in accordance with this article, the p'rocedures and requirements of the article entitled " Litigation and Claims shall apply and the costs and expenses incurred by the contractor shall be allowable items of cost, as provided in this contract, together with the amount of any judgment rendered against the contractor. l (c) The Government shall save the contractor harmless from penalties and interest incurred through compliance with this article. All recoveries or
- credits in respect of the foregoing taxes, fees, and charges (including interest) shall inure to be for the sole benefit of the Government.
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l 1 l 57
- 5. 7 Termination for Default or for Convenience of the Governennt (1-8.702)
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'(a) The performance of work under the contract may be terminated by the Government in accordance with this clause in whole, or from time to time in part:-
(1) Whenever the contractor shall. default in performance of this contract - in accordance with its terms (including in the term " default" any such failure by the contractor to make progress in the prosecution of the work hereunder as endangers such performance), and shall fail to cure such default within a period 4 j of ten days (or such longer period as the Contracting Officer may allow after j receipt froe the Contracting Officer of a notice specifying the default; or (2) Whenever for any reason the Contracting Officer shall determine that such termination is in the best interests of the Government. ' Any such termination shall be effected by delivery to the contractor of a Notice of Termination specifying whether termination is for the default of the , contractor or for the convenience of the Government, the extent to which performance of work under the contract is terminated, and the date upon which such temination becomes effective. If, after notice of termination of this contract for default under (1) above, it is determined for any reason that the l contractor was not in default purs'uant to (1), or that the contractor's failure to perform or to make progress in performance is due to causes beyond the control and without the fault or. negligence of the contractor pursuant to the i provisions of the clause of this contract relating to excusable delays, the Notice of Termination shall be deemed to have been issued under (2) above, and the rights and obligations of the parties hereto shall in such event be governed accordingly. (b) After receipt of a Notice of Termination and except as othemise directed by the Contracting Officer, the contractor shall: (1) Stop work under the contract on the date and to the extent specified in the Notice of Termination; 1 (2) Place no further orders or subcontracts for materials, services, or facilities, except as may be necessary for completion of such portion of l i the work under the contract as is not terminated; . (3) Terminate all orders and subcontracts to the extent that they } relate to the performance of work terminated by the Notice of Termination; ,
^
(4) Assign to the Government, in the manner and to the extent directed t~ by the Contracting Officer, all of the right, title, and interest of the con ' I tractor under the orders or subcontracts so teminated, in which case the i Government shall have the right, in its discretion, to settle or pay any ,r ) all claims arising out of the termination of such orders and subcontracts
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(5) With the approval or ratification of the Contracting Officer, to the extent he may require, which approval or ratification shall be final and i I L .. . .
r 58 conclusive for all purposes of this clause, settle all outstanding liabilities i
; and all claims arising out of such termination of orders and subcontracts, the 1 ; cost of which would be reimbursable in whole or in part, in accordance with the provisions of this contract; (6) Transfer title to the Government (to the extent that title has not !
already been transferred) and deliver in the manner, at the times and to the i ! , extent directed by the Contracting Officer, (i) the fabricated or unfabricated parts, work in process, completed work, supplies, and other material produced as a part of, or acquired .in respect of the performance of, the work tersinated i by the Notice of Termination; (ii) the completed or partially completed plans, drawings, information, and other property which, if the contract had been com- l pleted, would be required to be furnished to the Government; and (iii) the
; jigs, dies, and fixtures, and other special tools and tooling acquired or )
manufactured for the performance of this contract for the cost of which the contractor has been or will be reimbursed under this contract; I t (7) Use his best efforts to sell; in the manner, at the times, to the extent, and at the price or prices directed or authorized by the Contracting Officer, any property of the types referred to in (6) above: Provided, i however, That the contractor (i) shall not be required to extend credit to any j' purchaser, and (ii) may acquire any such property under the conditions pre-scribed by and at a price or prices approved by the Contractiog Officer: And provided further, That the proceeds of any such transfer or disposition shaTT be applied in reduction of any payments to be made by the Government to the j contractor under this contract or shall othenvise be credited to the price or
; cost of the work covered by this contract or paid in such other manner as the 1
Contracting Officer may direct; - (8) Complete performance of such part of the work as shall not have been
- terminated by the Notice of Termination; and l (9) Take such action as may be necessary, or as the Contracting Officer may direct, for the protection and preservation of the property related to i this contract which is in the possession of the contractor and in which the Government has or may acquire an interest.
The contractor shall proceed immediately with the performance of the above obligations notwithstanding any delay in determining or adjusting the amount of the fee, or any ites pf reimburseable cost, under this clause. At any time after expiration of the plant clearance period, as defined in l ' Subpart 1-8.1 of the Federal Procurement Regulations (41 CFR 1-8.1), as the , definition may be amended from time to time, the contractor may submit to the Contracting Officer a list, certified as to quantity and quality, of any or all items of tersination inventory not previously disposed of, exclusive
- of items the disposition of which has been directed or authorized by the Contracting Officer, and may request the Government to remove such items or i enter into a storage agreement covering them. Not later than fifteen (15) l days thereafter, the Government will accept such items and remove them or
! enter into a storage agreement covering the same: Provided. That the list submitted shall be sub;ect to verification by the Contracting Officer upon g . . e.-,,,-,--,-~.nn-,..e,_.n vem,-,.,---~.,.,.-,. ,mv w n , -.-,,,v-w.emm--,
s . * . e 59 c removal of the items or, if the items are stored, within forty-five (45) days from the date of submission of the list, and any necessary adjustment to correct the list as submitted shall be made prior to final settlement. i (c) ' After receipt of a Notice of Temination, the contractor shall
' submit to the Contracting Officer his termination claim in the form and with i - the certification prescribed by the Contracting Officer. Such claim shall.
i- be submitted promptly but in no event later than one year from the effective i date of termination, unless one or more extensions in writing) are granted by the Contracting Officer upon request of the contractor made in writing within one year period or authorized extension thereof. However, if the Contracting Officer determines that the facts justify such action, he may receive and act upon any such temination claim at any time after such one year period or any extension thereof. Upon failure of the contractor to submit his ter-mination claim within the time allowed, the Contracting Officer say, subject a to any review required by the contracting agency's procedures in effect as of the date of execution of this contract, determine, on the basis of information available to him, the amount, if any, due to the contractor by reason of the termination and shall thereupon pay to the contractor the amount so detemined. (d) Subject to the provisions of paragraph (c), and subject to any review required by the contracting agency's procedures in effect as of the date of execution of this contract, the contractor and the Contracting Officer may agree upon the whole or any part of the aeount or amounts to be paid (including an allowance for the fee) to the contractor by reason of the total or partial termination of work pursuant to this clause. The contract shall be amended accordingly, and the contractor shall be paid the agreed amount. }
- (e) In the event of the failure of the contractor and the Contracting Officer to agree in whole or in part, as provided in paragraph (d), as to the amounts with respect to costs and fes, or.as to the amount of the fee,
. to be paid to the contractor in connection with the termination of work pur-suant to this clause, the Contracting Officer shall, subject to any review required by the contracting agency's procedures in effect as of the date of l execution of this contract, determine, on the basis of information available to him, the amount, if any, due to the contractor by reason of the termination I and shall pay to the contractor the amount determined as follows: . j (1) If the settlement includes cost and fee - (1) There shall be included therein all costs and expenses reimburseable in accordance with this contract, not previously paid to the
! contractor for the performance of this contract prior to the effective date of the Notice of Termination, and such of these costs and may continue for 4 a reasonableOfficer:
Contracting time thereafter with the approval of or as directed by the Provided. however, That the contractor shall proceed as rapidly as practicable to discontinue such costs; I l T. :~:: = = *^~ = = = ="~~~ ===~== " "~ ~ "~"" " ~~~~ ~
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7 - 1 , 60 i (ii) There shall be included therein so far as not included under (i) above, the cost of settling and paying claims arising out of the temin-ation of work under subcontracts or orders, as provided in paragraph (b)(5)
- above, which are properly chargeable to the terminated portion of the contract; (iii) There shall be included therein the reasonable costs of settlement, i including accounting, legal-, clerical, and other expenses reasonably necessary 1
- for the preparation of settlement claims and supporting data with re,spect to the terminated portion of the contract and for the termination and settlement ,
- of subcontracts thereunder., together with reasonable storage, transportation, -
! and other costs incurred in connection with the protection or disposition of termination inventory: Provided however, That if the termination is for 1 default of the contractor there-sha-ll-not be Mluded any amounts for' the ! preparation of the contractor's settlement, p,roposal,; and, i (iv) There shall be inc.luded therm.in a portion of the fee payable
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l under the contract determined as, tot 10ws" . (A) In the event of the termination of this contract for. the convenience of the Government and:not for the defau'lt of"the " contractor, there , shall be paid a perceni. age of the fees equivalent to'. tha_ percenta0e of the completion of wary contauplated by the' contr.aptibdt' exc.lasive, c'f subcontract effort included iri subcoritractors' terminafian"c'laissf 1gss faa payments previously,made hersynder.; or. ! (B) In the event of. the termination of this contract for the default of the contractor, the total fee payable shall be such proportionate part of ! the fee (or, if this contract calls-far articles of'different types, of such l part of the fee as is reasonable allocabl,e to 'the ' type of article under consideration) as the total number of articles delivered to and accepted by
~
. the Government bears to the total number of articles of a like kind called for l, by this contract. 1 j If the amount determined under this subparagraph (1) is less than the total payment theretofore made to the contractor, the contractor shall repay ~ to the Government the excess amount. (2) If the settlement includes only the fee, the amount thereof will be determined in accordance with subparagraph (1)(iv) above. ! (f) Costs claimed, agreed to, or determined pursuant to paragraphs (c), ! (d), and (e) of this clause shall be in accordance with the contract cost principles and procedures in FPR 1-15.2. l I (g) The contractor shall have the right of appeal, under the clause of 1 this contract entitled " Disputes," from any determination made by the Contracting 1 l Officer under paragraph (c) or (e) above, except that, if the contractor has l l failed to submit his claim within the time period provided in paragraph (c) l l above and has failed to request extension of such time, he shall have no such
- right of appeal. In any case where the Contracting Officer has made a determina-tion of the amount due under paragraph (c) or (e) above, the Government shall
~ , - . ~ ~ . _ , . ~ ~ . - ~ . - - - ~ ~ _
o 9 61 pay to the contractor the following: (1) If there is no right of appeal hereunder or if no timely appeal has been taken, the amount so determined by
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the Contracting Officer, or (2) if an appeal has been taken, the amount finally determined on such appeal. ! (h) In arriving at the amount due the contractor under this clause there 4 shall be deducted (1) all unliquidated advance or other payments theretofore
- made to the contractor, applicable to the terminated portion of this contract, (2) any claim which the Government may have against the contractor in connection with this contract, and (3) the agreed price for, or the proceeds for sale of,
' any materials, supplies, or other things acquired by the contractor or sold pursuant to the provisions of this clause and not otherwise recovered by or 1. credited to the Government. I (1) In the event of a partial termination, the portion of the fee which is payable with respect to the work under the continued portion of the con- ! tract shall be equitably adjusted by agreement between the contractor and Contracting Officer and such adjustment shall be evidenced by an amendment to this contract. . (j) The Government may from time to time, under such terms and conditions i as it may prescribe, make partial payments and payments on account against costs incurred by the contractor in connection with the terminated portion of i the contract whenever in the opinion of the Contracting Officer the aggregate of such payments shall be within the amount to which the contractor will entitled hereunder. If the total of such payments is in excess of the amount i finally detemined to be due under this clause, such excess shall be payable by the contractor to the Government upon demand, together with interest computed i at the rate of 6 percent per annum, for the period from the date such excess payment is received by the contractor to the date on which excess is repaid to the Government: Provided, however, That no interest shall be charged with respect to any such excess payment attributable to a reduction in the contractor's claim by nason of retention or other disposition of termination inventory until 10 days after the date of such retention of disposition, or such later date as detemined by the Contracting Officer by reason of the circumstances. (k) The provisions of this clause relating to the fee shall be inapplicable if this contract does not provide for payment for a fee. I
,e gney e e - d6 esse + " *eemtum M S er a * ^^ ^-~
M , . . _ e Attachment 5 Form NRC-489 (1-75) U. S. NUCLEAR REGULATORY COMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPTER NRC-3202 PUBLICATION UP UNCLA551PILD KtbULAIUMY ANU ILLHMILAL DOCUMENTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS. SUPERSEDED: TRANSMITTED: Nurnber Date Nurnber Date TN 3200-3 Chapter Chapter NRC-3202 1/25/78 Page Page Appendix Appendix NRC-3202 1/25/78 REMARKS: This chapter and appendix establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemina-
^ tica of regulatory and technical reports prepared by NRC consultants and by MRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements.
0 4 e i e
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v a U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Infomation and Foreign Activities Part : 3200 Technical Infomation and Document Control AOM w Chapter 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL 00CimENTS PREPARfD 3Y NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER Ot PUR3UANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAgr This chapter and its append!x handbook establish responsibilities, basic
! requirements, standards and procedures for the documentation, production and dissemination of rsgulatory and technical reports prepared by NRC consultants and by NRC contr ,ctors and their subcontractors, including reports prepared under or pursuant to interagency agreements, These reports are hereafter..referrsd 'to as contractor documents. This
; chapter does not cover NRC staff-2en,erated documents, envirormental impact statements, NRC docket materia!; or the dccuments generated by NRC boards, panels and advisory committees.
+
3202-02 OBJECTIVES 021 To assure production of information and reports as requira by c l . the Energy Reorganization Act -cf 1974 and the Freedom of Information Act. ' ' i 022 To assure that dissamhletion' of regulatory and 'tacodcal 'docu-ments is consistent with requirements for public availability of information on the ragvlatory process. 023 To assure that national security, patent rignts, copyrights, and commercial proprietary rights are nr,t compromised by the rel. ease, distribution, or dissemination of information from the NRC. T l , 024 To assure that formal NRC cantractor documents will carry the
. registered NRC designation NUREG as the prim 49dentification. ',' +
3202-03 RESPONSIBILITIES AND AUTHORITIES , 031 The Director, Office of Administration, develops and main-tains, in consujtation with Directors of Offices 'in:t Divisions, NRC standards, procedures and guides for the produe;io:1 tend dissemination of regulatory and technical contractor documents.
'?
l Approved: January 25, 1978 i , N
, v.
P.. 3 e .
.,m... . ... - _ , - . - - . .
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-032 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 032 The Director, Division of Technical Information and Occument Control;
- a. develops and administers a central document control system for identifying, printing and distributing contractor documents and responding to requests for them,
- b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of contractor documents.
- c. assures that a system exists for review of contractor documents 1 . for adherence to patent, copyright and security policies prior .
to dissemination. i d. establishes and administers interagency agreements necessary for the dissemination and public sale of contractor documents and controls the duplication and printing of contractor docu-monts to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee en Printing (JCP), Congress of the United States. i
- e. establishes distribution data banks, maintains official standard i
distribution lists for automatic distribution of contractor documents, and controls distribution to assure adherence to the Government Printing and Binding Regulations and the Privacy ' Act (Title 5, U.S.C. ). - 033 Directors, Offices and Divisions: a. establish the contract or Standard Order for Work
- provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter N RC-0260, Printing and Related Activities and its appendix; and NRC Bulletin 1102-6, Procedure for Placement of Work with DOE (to be issued). In those provisionsi (l) specify what documents will be reviewed for policy, man- ,
- r. agement, regulatory and legal issues by NRC staff in draft L prior to printing and distribution. if the document is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addition to the standard government disclaimer (see Exhibit 6).
"In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work. .
Approved: January 25, 1978 - le g e +g .,*4 *- c
) - _ - -
1 i
. . o s
i 4 PUBLICATION OF UNCLASSIFIED REGULATORY AND , e TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-034 (2) provide for the reviews necessary to insure that the na-tional security, patent rights, copyrights, and commercial proprietary rights are not compromised by the release or-dissemination of dncuments. If the contractor,is , to be authorized to make the review, designate the contractor <
<i officials who are authorized to sign N.RC Form 426 prior to '
NRC distribution of documents. ' (3) specify that all formal documents carry NUREG numbers as i , the prime identification, as illustrated in the appendix; and that interim documents include the title page indicated in the appendix. (4) specify whether formal documents shall be printed by NRC or the contractor if the contractor has a JCP authorized federal printing plant (see appendix, part til). i (5) specify that all formal documents required by NRC shall be distributed by NRC. * (6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be pro-vided to the NRC JCp representative when the number ex-coeds the 50 copies authorized by JCP.
.' b. assure adherence to instructions ,and authorizations regarding the reproduction and distribution ,of documents.
- c. recommend standard distribution category (ies) and pro' vide '
~
standard and incidental ' distribution lists for contractor documents to the contractor and the Division of Technical . Information and Document Control. t
- d. provide changes to the officialistandard and incidental dis-tribution lists to the contractor and the Division of Technical Information and Document Control. <
034 Director, office of the Executive Leoal Director, providas le-gal review and advice to NRC staff on questions regarding inventions, patents, and use of copyrighted material. s . 035 Director, Division of Security, p' rovides review of documents to / , assure that national security interests are not compromised by the release. Director, Division of Contracts: I 036
- a. coordinates the flow of all documents to and from contractors where such documents may result in alterations in the terms and conditions of applicable contracts-as they pertain to docu-
- y. ment production and distribution.
- Approved
- January 25, 1978 we .m ee .e M M***ms ,
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-. s.- ,,.. ,,n , - . - - - - - - . . . - , . ,,-,.._n , . - , - . . - -.,,...,__,--,_-..-.~n_,,..-,,._,..,_,.._.-....n-,,e--_--,,.
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-04 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS ,
- b. advises the contractor as to the source and method for obtaining documents required from the government for performance of the contract.
- S
- c. provides contractor with copies of NRC Manual Chapters 3202, !
3203 and 0260, when appropriate.
- d. determines that requests for proposals and invitations for bids I j
and subsequent contracts awarded require contractor i compliance with Chapter NRC-3202 and the Government Printing ; and Binding Regulations, when appropriate. l 3202-04 DEFINITIONS * ' i 041 camera-ready copy - copy ready for printing. This is a collo- l i quial term of long standing that is used even though the printing process i may not involve the so-called copy camera (see also reproducible masters). 042 central document control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical documents and to assure adherence to requirements and standards for documentation, formatting, printing and distribution. 043 commercial proprietary right - trade secrets and commercial or
'inancial information obtained from a person and privileged or cc ifidential. '
t 044 contractor document - a document prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
~
045 copyright "the exclusive, legally secured right to reproduce (as by writing or printing), publish and sell the matter and form of literary, musical or artistic work. . ." (Webster's Third International Dictiona y). Copyrighted material may not be reproduced without the permission of the author or publisher. , 046 disseminate - to announce the publication of documents and make them available for free distribution, sale or copying. i 047 distribute - to dispense documents to specific organizations and individuals to assure participatio') in the regulatory process and support of research and technological investigations. Such distribution may be 3 accomplished by the use of standard distribution data banks established , and maintained by the Division of Technical Information and ,
*words underscored in definitions are also defined in list.
4 I
.. I Approved: January 25, 1978 -
e W 9 "* M e 0 .. , -,e,..
.._m ,___,,_.....,_.,_,_,,,,L
l i l l PUBLICATION OF UNCLASSIFIED REGUi.ATORY AND TEO#1ICAL 00CtmENTS PREPARED BY NRC CONTRACTORS NRC-3202-048
^
Document Control based on the requests of the originating Office or Division. 048 document - a printed record or copy thereof (see also report). 049 documentation - includes classification and associated required markings, the NRC document number unique to the document, title (and subtitle, if any), author or correspondent (if any), organization Identifi-cation and contract number (or interagency agreement number), date and _ availability.
- 0410 formal contractor documents - regulatory and technical docu-
- mants that record the results of contractor or interagency agreement work at principal points in the program. Such documents may include, but are not limited to, quarterly and annual progress reports and final reports. ;
Prior to publication, these documents shall have received the reviews and ' __ _ approvals required by NRC. Such reviews and approvals shall include, but not security- review necessarily (if applicable). be limited to,These patentreports review (if willapplicable) carry NUREG and ;
-designations as the prime identification.
t 0 411 interim contractor documents - regulatory and technical docu-ments prepared in accordance with contract or intsragency agreement re- t quirements for recording plans and results during the course of the work. Such documents may include, but are not limited to, informat N progress reports, quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions, model verifications, experiment safety analyses, experiment operating procedures, facility certification reports, and test result reports. 0412 NRC program or project sponsor - the NRC individuel responsible for die performance o? a consultant or a contractor and his - subcontractor or work performed under or pursuant to an interagency agreement. 0443 patent review rights in inventions. review by legal staff to assure protection ! 0444 publicly available documents - documents which are available in the NRC Public Document Room (PDR) for public inspection and copying. 0415 reculatory and technical documents - documents that have been prepared in support of regulatory investigations and are to become publicly available records. Such documents shall carry unlaue identification. regulatory or technical document that is to 'be 1 0486 report -a ' printed and disseminated which carries the bibliographic documentation required for storage and retrieval. i 04f/ reproducible masters - camera-ready copy which includes (1) originals of line drawings (or prints that can be copied), (2) glossy , Approved: January 25, 1978
, . , ~ . . . _ . ...-._ ..,_,__.._._,__.,,.___-,,,,,__._.-,__,,_,.__,_.~,..,..__,_..___..-,.._...m_.,.m...,__ _
%,.. . . . ., s PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-0418 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS prints of black and white photographs (colored photographs cannot be reproduced), (3) original typed or printec; text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (I), (2) and (3) that are acceptable to a printer who will guarantee to prepare reproducible copy therefrom (see appendix, part IV, for guide-lines).
0418 unique identification - NRC identification used on a document and its attachments, revisions, and supplements that is not used on any other document. 3202-05 BASIC REQUIREMENTS 05l Applicability. The provisions of this chapter and its appendix app!y to NRC consultants and to NRC contractors and subcontractors, in-
- ' ciuding those working under interagency agreements, whose contracts re-quire the preparation of regulatory and technical documents. Because of the unique requirements of NRC boards, panels and advisory committees which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer.
052 Forms. NRC Form 426, " Publication Release for Unclassified Formal NRETEff, Consultant and Contractor Reports " (Exhibit 5) shall be used as provided in the appendix. 053 Appendix 3202. Standards, procedures and methods for managing the production and dissemination of contractor documents are contained in the appendix to this chapter. 054 Preparation Requirements.
- a. Documents to be printed by NRC. All contractor documents to l
be printed by. NRC shall be prepared according to Appendix
- l. 3202. The reproducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control by the NRC program or project sponsor or . ,
! the authorized contractor official.
- b. Documents Printed by Authorized Federal Printing plants or Duplicated by a Contractor. All contractor documents to be printed or duplicated by the contractor (as specified by the contract, agreement, or standard o; der for work) shall be pre-pared according to Appendix 3202, and a reproducible master and sufficient copies for standard and incidental distribution shall be supplied to the Division of Technical Information and Document Control accompanied by completed NRC Form 426 signed by the NRC program or project sponsor or the authorized contractor official.
. Approved: January 25, 1978 , - - .- , ,,-e- .- , - - . . ,- . , - - - ,.,-.-m,..-,.---,,----,-n ,...-.--,,.._-,-,,-,-.-,--.,,-._.-..n_n.-.,--,,,-- , , . - . . . , , . - - - - - - - - - . - . - , . - - - -
PUBLICATION OF UNCt.ASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-055 055 References. The NRC manual chapters referenced are available from the Division of Technical Information and Document Control. The other citations are available from the Government Printing Office.
- a. Chapter NRC 0260, " Printing and Raleted Activities."
- b. Chapter NRC 2101, "NRC Security Program."
I m.
- c. NRC Appendix 2101, Part lit, " Control of Classified Information and Documents."
- d. NRC Appendix 2101, Part VIII, " Physical Protection of Classified NRC Facilities and Matter."
- 6. Chapter NRC 3203, " Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."
- f. NRC Bulletin l102-6, " Procedure for Placement of Work with DOE" (to be issued).
- g. Title 44, U.S. Code, "Public Printing and Documents."
- h. Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United States, No. 24, April 1977 (JCP Regulations),
- i. Title 5, U.S. Code.
l
. e 1 l
l Aoproved: January 25, 1978 l -
. l
i i i i l l NRC Appendix 3202 l PU8LICATION OF REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS HAN0800K U.S. NUCLEAR REGULATORY COEISSION
. DIVISION OF TECilNICAL INFORMATION ANO DOCUMENT CONTROL
~
Appr.oved: January 25, 1978 i _ _ _ _ ___. . _ _ . _ _,._ , ___ . _ ____ _.,__-. _ .. _ =_,_._ , ___. . ._ __ ._,-
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREENENTS NRC Appendix 3202 CONTENTS PAGE PART I FORMAL CONTRACTOR DoctMENTS TO BE PRINTED BY NRC....... 1 A. 00CUNENTATION.................................. 1 , . 1. Applicability............................. 1 2. Front Cover and Title Page. . . . . . . . . . . . . . . . 1
- 3. Availability Information.................. 3
. 4. Disclaimer................................ 3
- 5. Abstract.................................. 4 l
B. PATENT AND SECURITY REVIEWS.................... l 4
- 1. Patent Review............................. 4
- 2. Security Review...........................
4 l C. PROCEDURES FOR PRINTING OR DUPLICATING AND D IST RIBUTING. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
- 1. Printing or Dupl icating. . . . . . . . . . . . . . . . . . . 5
- 2. Reprinting or Reduplicating............... 5
- 3. Di stribution of Documents. . . . . . . . . . . . . . . . . 5 EXHIBITS
- 1. Sample Cover for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements...................... 6 i
- 2. Sample Titic Page for Unclassified Formal Contractor-i Prepared Documents, Excluding Those Prepared Under or j
Pursuant to Interagency Agrece nts...................... 7
- 3. Sample Cover for Unclassified Formal Reports Prepared Under or Pursuant to Interagency Agreements. . . . . . . . . . . . . 8 !
- 4. Sample Title Page for Unclassified Formal Reports ,
Prepared Under or Pursuant to Interagenc 9 1
- 5. NRC Form 426, Publications Release. . . . . .y Agreements. . . .
................ 10 l l
- 6. Disclaimer and Availability Statements.................. 11 PART II INTERIN CONTRACTOR DOCUNENTS TO BE PRINTED BY NRC OR AN AUTHORIZED FEDERAL PRINTING PLANT OR DUPLICATED BY A CONTRACTOR...................................... 13 A. 00CUMENTATION................................. 13 - )
- 1. Applicability............................ 13
- 2. Title Page............................... 13 i Approved: January 25, 1978 l l
j-t , NRC Appendix 3202 PilBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE B. PATENT AND SECURITY REVIEWS.................... 13 1. 2. Patent Review....................... 13 Securi ty Revi ew. . . . . . . . . . . . . . . . . . . . . .. .. .. .. .. 14 C. PROCEDURES FOR PRINTING OR DUPLICATING AN DISTRIBUTING.............................D . . . . . . 14 --- -
- 1. Printing or Duplicating................... 14
- 2. Distribution of Documents Printed by NRC.. 15
- 3. Distribution of Documents Duplicated by Contractor................................ 15 EXHIBIT
- 7. Sample Title Page for Interim Contractor Documents To Be Made Publicly Available............................... 16 PART III FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS BY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS................... 17 A
DOCUMENTATION.................................. 17
- 1. Applicability............................. 17
- 2. Front Cover and Title Page................ 17
- 3. Availability and Price Informa 19
- 4. Disclaimer.................... tion........ . . . . . . . . 19
- 5. Abstract.................................. . . . . 20 B. PATENT AND SECURITY REVIEWS.................... 20
- 1. Patent Security Review........................ 20 - -- ;
- 2. Review........................... . . . . . 20 C.
PROCEDURES FOR PRINTING AND DISTRIBUTING....... 20
- 1. Printing.......................... ........ 20
- 2. Reprinting....................... . . . . . . . . 20
- 3. Distribution of Documents. . . . . . . . . . . . . . . . . 21 PART-IV GUIDELINES FOR PREPARATION OF MANUSCRIPT 5 AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC............
s 23 A. INTRODUCTION................................... 23 Approved: Ja nuary 25, 1978 ii 4 g * *
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. - ,. . . . _ . - _ . _ _ . _ _ ...-._,-.--v. -
- m. .-_m,..--. -m.- m.,.,m
1 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202
.m, CONTENTS PAGE
- 8. ORDER OF ELEMENTS IN A REPORT.................. 23 C. FRONT MATTER................................... 24 r
- 1. Cover, Title Page and Disclaimer.......... 24 l
- 2. Abstract.................................. 24 r
. 3. Guides for Preparing an Abstract. . . . . . . . . . 25
- 4. Summary................................... 25 !
- 5. Table of Contents and Page Numbers........ 25
- 6. List of Figures........................... 26
- 7. List of Tables............................ 26
- 8. Preface................................... 26 l
- 9. Acknowledgments........................... 26 i
- 10. Previous Reports in Series................ 26 !
r Exhibit 8 - Table of Contents............. 27 Exhibit 9 - Table of Contents Using i Numbers and Decimals.................... 28 : Exhibit 10 - Table of Contents for Con- ! forence Proceedings..................... 29
- 11. Abbreviations and Symbols................. 30 '
s
- 0. TEXT........................................... 30 i
- 1. Title of Report........................... 30 Introduction..............................
- 2. 30 !
- 3. Paper..................................... 30 :
- 4. Typing Instructions. . . . . . . . . . . . . . . . . . . . . . . 30
- 5. I mage A re a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 !
- 6. Page Numbe ri ng. . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 l
- 7. Photocopied Text.......................... 31 -
- 8. Foo tno te s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 !
E. BACK MATTER.................................... 31
- 1. References................................ 31 j
a. Format............................... 31 !
- b. Availability Requirement............. 32
- c. Proprietary and Classified Documents. 32
- 2. Bibliography.............................. 32 - :
- 3. Appendix,................................. 33 ;
- 4. Glossary.................................. 33
, 5. Distribution List......................... 33 - 1 i iii Approved: January 25, 1978 i i
. . . . . . . . . - . . . . . . e n . f
. -.._... .2.~....... . . - - . -- - -
NRC Appendix 3202 PUBLICATIDN OF UNCLASSIFIED REGULATORY AND TECHNICAL DOC'JNENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE F. GRAPHIC AND TABULAR MATTER..................... 33 1. 2. Tab 1es.................................... Figures........................... 33
....... 34
- 3. Photographs....................... . ..... 34
- 4. Special Graphics.................... . . . . . 34 ,
G. EXAMPLES OF REFERENCE CITATIONS................ 34
- 1. Correspondence............................ 34
- 2. Internal Papers........................... 34
- 3. Personal Communications; Private Communications; Notes Re 35
- 4. Procedures Manuals......garding Visits....
5.
.................. 35 Government Agency Printed Documents and Drafts of Documents to be Printed that Have Been Made Available to the Public 6.
for Comment............................... NRC Contractor Reports and Reports Pre-35 l
- pared on Interagency Agreements........... 36
- 7. NRC Applicant Document.................... 36
- 8. Project Documents.........................
- 9. 36 Licensee Documents........ ............... 36 l '. . Books..................... .... .......... 36 l '. . Conference Papers.............. .......... 36 1:. Journal Articles, Ma Newspaper Articles..gazine Articles,
................ ..... 37
- 13. University Theses................... . . . 37 14.
. Codes and Standards....................... . . 37 E
Approved: January 25, 1978 iv . l
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.-,-.,w-. .%--_,.-_ym. , _ , . - - ,,, ,n,_ _-~. w._.,_,m,, ._.p3_,. n,g ,,-,
w .... . .. . .. . . . . . . . PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUNENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS
^- PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEE NTS NRC Appendix 3202 This appendix provides standards and procedures for the documentation, production and dissemination of regulatory and technical documents that are to be made publicly available and ! are prepared by contractors or other government agencies in ,' accordance with contract requirements or interagency agreements. It is presented in four parts: Part I - Formal Contractor Documents to be Printed by NRC, Part 11 - Interim Contractor Documents to be Printed by NRC or Duplicated by Contractor, Part lli - Formal Documents to be Printed Under
.} or Pursuant to Interagency Agreements by Agencies with JCP
- Authorized Federal Printing Plants, and Part IV - Guidelines for Preparation of Manuscripts and Reproducible Copy to be Printed by NRC.
PARTI FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC A. DOCUMENTATION
,l . Applicability
- a. The requirements of this part apply to contractor and in-i teragency agreement documents that are to. be printed by NRC. Contractors, other than DOE laboratories with authorized federal printing plants, may not print reports prepared for NRC.
- b. With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part
[- shall be used in conjunction with Chapter NRC-2101.
- c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory committees which report directly to the Commission.
- 2. Front Cover and Title Pace
- a. Separate covers and title pages are required (see Exhibits I and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*
l
- Reproducible copy of the cover of the performing organization may be
! submitted; however, the data elements shown in Exhibit I must be included. 1 Approved: January 25, 1978
- .- . T:== :.:--. -.-:--..-----i---
NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND . TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
- b. The items shown in Exhibits I through 4 and discussed below shall appear on the title page and cover, as appropriate."
(1) NRC Document Number. Each document shall be identified by an NRC-controlled alphanumeric number as the prime number unique to that document. The centralized document contro! system for unique identification is maintained by the Division of j ' Technical Information and Document Control. Numbers may be obtained by calling Division of Technical Information and Document Control or i submitting a copy of NRC Form 426 (Exhibit 5) with a request for a number. l The NRC identification number will have the form: NUR EG/CR-1234 The contractor's report number, if any, may be in-i sorted below the NUREG number on the title page and cover, as shown in Exhibits I through 4. When a document consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, supplement, part or revision de-signation shall appear iminediately below the report number. , (2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the document. (b) When a document is prepared in more than one volume, repeat the primary title on each volume. (c) If appropriate, show the type of document (e.g., annual report, final report, thesis, etc. ) and the period covered as part of the subtitle, (3) Personal Author (s)' Name(s). Authors' names should be given on the title page and cover unless this is
- impractical, as in the case of annual reports' which ;
have many contributors. If authors' contributions 1 are as editors, compilers, etc., so indicate on title ; i i 1 I "These requirements meet the specifications of American National Standard ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers. Approved: January 25. 1978 2 , l l
,- - , , , , - - . . ,,-a .,, <-..- ~- , - ~ ,.,w , , . - - . , - . ~ . , - - . , , - - - . , - , , - - -,._a-..,~---,, , _ _ , - . - - - . -,
1, i -- ;, - . .. , . . . . _ , . . _ . _ _ _ . . , _ _ ,__
'i , , ,
PUOLICATION OF UNCLASSIFIED REGULATORY AND m TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 page following the names. In addition, list affiliatian of each author only if affiliated with an organization other than the organization generating the document. (4) Organization Identification. On the title page and cover, provide information of the type illustrated in
- Exhibits I through 4.
. (5) Basis for Report Date(s) ,
(a) The basis for dating may be shown along with
- the date on the title page. Various bases for dating are possible; e.g., date document com-plated, data reviews completed, date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
- 3. Availability Information All formal documents will be made available for sale by NRC and by the National Technical Information Service (NTIS). The following statements will be inserted on the inside of the front cover (Exhibit 6) by the Division of Technical Information and l Document Control: .
l Available from U.S. Nuclear Regulatory Commission Washington, D.C. 20555 Available from National Technical Information Service (NTIS) , Springfis!d, Virginia 22161 j
- 4. Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor '
any agency thereof, or any of their employees, makes any war-ranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed in this report, or represents that its use by such third party would not infringe privately owned rights." The following additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory l Commission" will be printed below the standard disclaimer, if I appropriate. i
~
3- Approved: January 25, 1978 l l l
-_ - .- - - -. -._..._. -.- - - - - l
. . . . . --. . . . . . - . - - - ~
. NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
- 5. Abstract - - -
An abstract of 200 words or less shall be prepared for each -- formal document. If the abstract is included in the document, it should appear on a separate page between the table of con _ , ._ _ tents and the text." B. PATENT AND SECURITY REVIEWS
- 1. Patent Review .
Patent implications shall be considered prior to approval of - reports for public release so that disclosure will not adversely . _. .___.. affect the patent rights of NRC or the contractor. If the work 4 being reported is contractually managed through another government agency (e.g., DOE laboratories), that government ~~ ~ agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on -, NRC Form 426 in item II (Exhibit 5). If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the patent implications, if there is no need for patent review because of the certainty that the-document contains no description of novel technical developments which may be of an inventive nature, NRC ' Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assis- -
- tance from the NRC Patent Counsel, Office of the Executive Le-gal Director.
- 2. Security Review i
l in most cases, contractor reports will be unclassified. Should a - i l report of classified work be required, however, the NRC ! l
- program or project sponsor must work with the NRC Division of l Security to establish the appropriate classification procedures i and inform the contractor of such procedures through the contracting officer. l i
l "This preferred positioning of the abstract in the document need not be
- followed if the style manual of the originating organization requires a different location.
Approved: January 25, 1978 4 l j * . 5
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PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL (4CtMENTS PREPAPED BY NRC CONTRACTORS NRC Appendix 3202 C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING
- l. Printino or Duplicatina
. Reproducible masters prepared in accordance with this appendix
- shall be transmitted to the Division of Technical
- Information and Document Control, accompanied by completed NRC Form 426 (Exhibit 5). NRC Form 426 must be signed by the NRC program or project sponsor or the authorized {
contractor official. The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the document. ; Unsatisfactory masters will be reported to the program or ' project sponsor for appropriate contractual action by the contracting officer or, in the case of government agency or
' interagency agreement work, the publications manager of the performing organization.
l
- 2. Reprintino or Reduplicatina Requests for reprinting or reduplicating any document subse- '
quent to.the initial printing or duplication require approval of , the Division of Technical information and Document Control. ' Each request shall include a written justification for the re- ! printing or reduplicating and a list of recipients and their ) complete addresses.
- 3. Distribution of Documents 4
All copies of formal contractor documents will be distributed by the Division of Technical Information and Document Control in 1 accordance with instructions on NRC Form 426 (Exhibit 5). i i l If any distribution is to be made other than, or in addition to, the standard distribution established for the document, written l justification for printing or duplicating additional copies shall accompany the reproducible masters when submitted to the ) l Division of Technical Information and Document Contrel. j l
\
l The final pages of the reproducible masters shall be the dis- j l tribution list.
*For guidelines, see part lil.
5 Approved: January 25, 1978
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. . . - ~
i ( PUBLICATION OF UNCLASSIFIED REGULATORY AND : NRC Appendix 3202 ~ ' TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 1
~ SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS MC Report No.
Coweessor Report No. (N any) Nunse/cm.co12 v m.,part Re . geta. gag. net (N any) m LMFBR FUEL ANALYSIS TASKB: POST-ACCIDENT HEAT REMOVAL Sehehte and Type of Report Final Report (Annuel, tom, etc.) October 1,1978 - September 30,1977 Author (s) J. Caette N. C. Oswender J. M. MoDenoegh I. Cetten f Contrastor un6 oreny of caswornan, Lee Angeose NRC *
- u. s. Nessee, n.,eestory com.ne sen l
l Approved: January 25, 1978 6
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5 PU8LICATION OF UNCLASSIFIED REGULATORY ANO
^ TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGE?tCY AGREEMENTS NRC Report No.
. Contreeter Report No. (if any)
- vs., Part, Rev., see. (if any) i oleermanen Caengery No. (if any)
L'%"% LMFBR FULL ANALY5lS TASK 8: POST-ACCIDENT HEAT REMOVAL somose and Type at Report Piaes neeers (Anness, Topises, ses.) oetener i, ism s.in , so, inn Ws), Edter(s), ic =. e. o Conspeler(s), ses. A " "'o===* '. can Report Dates and Bases
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,c anc.es.n.eei 7 Approved: January 25, 1978
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4 NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL 00CUMENTS PREPARED BY NRC CONTRACTORS
.- ... ~ ..
EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.
- NUREG/CR-1234 Contractor Report No. (N any)
ORNLS3ES voi., part, R. eie. N eny) voi. 3. no . : nei. A CRITICAL EVALUATION OF THE NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS side o. voksne 3 Pooch Bottom Atomic Power Station unho 2 end 3 Authoris) s.as Aemme P,A.Cummhahen o.p.eser K. o. ummer A.J.unnen Contractor Nemos o g nig,, neg ,g r_ ____ j i peepesed for NRC"- -- - U. S. Nuneser Rosedmaury Comadmeten l Approved: January 25, 1978 8
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PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 m EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED LWDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.
$*.N '"
Contressor Report No. (if any) Vol., Part, Rev., ses. (if anyl g 3. a . Distribution Category No. (if any) A CRITICAL EVALUATION OF THE E'" NONRADf0 LOGICAL l'NVIRONMENTAL TECHNICAL SPECIFICATIONS Votume 3
* , Pesoft Settent Atomes Power Studen Units 2 and 3 Author (s) 5 * 'am'*
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& J. weise Report Dates and Bases *a = = s A.,m io. im De.Punseines Asee i977 Om naugs 37e30 and Addresses . .,, . , t u c c ,~e w
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. 8emm.as 0 r NRC Sponsorshes o===c % owc : a on w sa a a in ,
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- E" * ** *** * "."e'sM, PUBLICATIONS RELEASE FOR UNCLASSIFIED FORMAL
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seme se ermars=e euroesees e asew.e to sassemere e.seneve.am. car snea soowest mese se ,ver e.er Caaenive s= evearse en asesrese anser .* mecenaery 11 ADDITrossAL INFOAnsATION a8so maanan sc5 suae sens assse =# assumpy rosesene me messeursyssa sem e Coa #were sa sweersy or emessete smerf) t l i? ormn ctramaNcs 8 v3 SuenoTTED Sv e ernare semessesse egnene enc 8 o** a3G esseener se.en ese soisese essessione per eaves. e maang Os eegaD 08 OmGams2atsO*sah WNsT *evee er arear TO
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O e eafs=T C6 ama=C Cma=Teo . o . ...Oso C e paTE47 ChlamaesCt e sO' OnassTED s #ATENT COW 8e846'S $sGmafwat e S*GhaTwnt 480EIC- _ _essi nesmaurs or eutmererem eentfeuser estenau * , e oaft e Oatt i ne4C FOmw ase 133 7 F) ensvsOus gOrtsOsas Os Tooes eOans ang agtt. E mestissG STOCm asav as utgD. Approved: January 25, 1978 10
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~ ~
*. EXHIBIT 6 DISCLAIER AND AVAILABILITY STATENENTS (BACKOFCOVER)
NOTICE This report wee prepared as an account of work sponsored by an agency of the United States Government. Neither me
. United States Government nor any agency thereof, or any of meer employees, makes any warranty, expressed or 'mplied, or assumes any legal liability or responsability for any third party's use, or the results of sucn use, of any informatiore, aoperatus, product or procese discioned m this report, or represents that
.its use by such third party would not mfnnge onwetely owned nghts.
The views expressed in this report are not necesarily those of the U.S. Nuclear Regulatory Commissaon. Aveiasis from u.s. w no,.iem,y ca n Weswegeon.O.C. 2(284 a i ero. Netsonal Tecnement informassen $srwice Sonagheed.Virgene 22181 11 Approved: January 25, 1978
^ ^
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PUBLICATION OF UllCLASSIFIED REGULATORY AND TEOGIICAL 00Cl#ENTS PREPARED 8Y NIIC CONTRACTORS NitC Apoendix 3202 m PART ll INTERIM CONTRACTOR DOCUMENTS TO BE PRINTED BY l NRC OR AN AUTHORIZED FEDERAL PRINTING PLANT OR l DUPLICATED BY A CONTRACTOR i l A_ DOCUMENTATION
~
- 1. Applicability .
. a. The requirements of this part apply to contractor docu-monts that are to be printed by NRC or an authorized Federal printing plant or duplicated by a contractor. ,
- b. With rsspect to classified documents and documents "For ,
Official Use Only," these requirements shall be used in ! conjunction with Chapter NRC-2101.
- c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory committees which report directly to the Commission.
~
- 2. Title Pace
- a. A title page is required for each document. This page may be typed on plain bond and attached to the document.
l
- b. The items shown in Exhibit 7- and discussed below shall appear on the title page. While the layouts and typefaces need not be exactly the same as in Exhibit 7, the items.
- shall appear in approximately the locations indicated.
(1) NRC Accession Number. Each document to be made publicly available will be given a number unique to that document by the Division of Technical Informa-tion and Document Control. (2) The other title page items are self-explanatory or are 7 explained in Exhibit 7. ,
- c. The title page shall be marked " Interim."
- 5. PATENT AND SECURITY REVIEWS I. Patent Review l
l Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely 1
13 Approved: January 25. 1978 l
. . ..~...s.. . . - . .. . . ,p . ..
PUBLICATION OF UNCLASSIFIED REGULATORY AND - NRC Appendix 3202 TECHNICAL DUCUMENTS PREPARED BY NRC CONTRACTORS affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g., DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426 in item 11 (Exhibit 5). If NRC directly administers the contract or the contractor is 1 , unable to obtain a patent clearance from the government agency . ._ administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the patent implications. If there i is no need for patent review because of the certainty that the
- document contains no description of novel technical developments of an inventive nature, NRC Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature. If there is a pos-sibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance .
from the NRC Patent Counsel, Office of the Executive Legal ; Director.
- 2. Security Review in most cases, contractor reports will be unclassified. Should a report of classified work be required, however, the program or project sponsor must work with the Division of Security ;o establish the appropriate classification procedures and inform the contractor of such procedures.
l C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING
- 1. Printino or Duplicatino. Interim documents may be printed by j NRC or an authorized Federal printing plant or duplicated (as defined by the Joint Committee on Printing , JCP, U.S.
Congress)* by the contractor. If to be printed by NRC, the
*duplicatino - as defined by JCP, means that material produced by use of single ~ unit duplicating equipment with an image area not larger than 11 by
- 17 inches and which has a maximum image of 10-3/4 by 14 inches
- provided i that work exceeding 5,000 production units of any one page, and work exceeding 25,000 production units in the aggregate of multiple pages, shall not be done without authority of JCP. Any work exceeding the '
limits stated above and requiring equipment other than that listed as duplicating equipment in the Government Printing and Binding Regula-tions must be approved by JCP or requisitioned by the Division of Tech-nical Information and Document Control. i 1 Approved: January 25, 1978 14 l
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.m TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202
=
reproducible masters of the document, accompanied by a com-pleted NRC Form 426, must be sent to the Division of Technical information and Document Control.
- 2. Distribution of Documents Printed by NRC. The masters of documents to be printed by NRC shall include a list of those to whom the document is to be distributed, complete with organi-zation address and Zip code, or a standard distribution list shall be specified if an applicable one exists. ,
- 3. Distribution of Documents Duplicated by Contractor. Interim documents duplicated by the contractor shall be distributed by the contractor or the Division of Technical information and Document Control. if to be distributed by NRC, the necessary copies and a list of those to whom the document is to be dis-tributed, complete with organization address and Zip code, and a completed NRC Form 426 shall accompany the documents when sent to the Division of Technical Information and Document Control; a standard distribution list may be specified if an applicable one exists.
3 If distributed by the contractor, two copies of the document shall be sent to the Division of Technical Information and Document Control, along with a list of those to whom copies were distributed and a completed NRC Form 426. An accession number will be assigned before the document is sent to the NRC Public Document Room. A copy of the NRC Form 426 will be returned to the contractor with the accession number assigned. i l l l l l 15 Approved: January 25, 1978
. . . . . . . . . . =*.em o ,p - * = *
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NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS ; EXHIBIT 7 SAMPLE TITLE PAGE FOR INTERIM CONTRACTOR DOCUMENTS TO BE MADE PUBLICLY AVAILABLE Aemamsen No. wreams neronT (Will he added by NRC) Cesnreeser Report No. A ne . Tetie 80 %for Wileen Comuust peuyam er pousset Tier: W Written u=,ndsue .e s , ei. o t This Deempent Typeof Docunnent: Stsous ww Tvue et om===== Report. etc. Ausuarial: Den,of Deepuent indevedual nousmanstes senC heenimums and 8 enc OMuse or Dammen: The esammesse usam asummes artenarity ser usannesiery or misernes ism. It has not sammuus tuit ruusse sus amorsunt. Sees ausru may as asemannes anaism, uns ensumen shouts not es annummus femmt. Camresser and Addeems on= ness. i s, ,y Oan nessa Tatammune 37530 assuand by usuon Casties Ceressamen ew ei. uAo ws , P*essed 8er UK smesser assumesry Comunemen IN A Fe88EISRt 9 WA.DL M unmer humupsssy Assuunsw DOE 404E75 or Cesstrast No. NPM:PW peo. A12347 errsnesneront Approved: January 25, 1978 16 O e j
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PU8LICATION OF UNCLASSIFIED REGULATORY AND
; - - - - - - TECHNICAL 00CIMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 i
PART 111 FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS SY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS
- 1. _
. A. DOCUMENTATION -
- l. Applicability i a. The requirements of this part apply to NRC staff who are responsible for agreements with other agencies and their I contractors who print regulatory and technical documents required by agreements with NRC.
- b. With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part shall be u sd in conjunction with Chapter NRC-2!01. )
! 3 t
- c. The requirements of this part do not apply to consultants l
and contractors to the NRC boards and advisory ; committees which report directly to the Commission.
)
i
- 2. Front Cover and Title Pace t
- a. Separate covers (of different paper than that of the text) and title pages are required.* '
- b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appropriate.** While layouts and ' typefaces need 4
not be exactly the same as in Exhibits 3 and 4, the items shall appear in approximately the locations indicated and with the same relative prominence. (I) NRC Document Number. Each document shall be
- identified by an NRC-controlled alphanumeric num-ber as the prime number unique to that document. -
l The centralized document control system for ur.ique rne cover stock of the performing organization may be used; however, it must include the data elements shown in Exhibit 3.
**These requirements meet the specifications of American National Stand-
-ard ANSI Z39.18-1974, Guidelines for Format and Production of Scien-tific and Technical Reports, and ANSI Z39.23-1974, Technical Report t d :rs.
L. 17 Approved: January 25, 1978 - l
. . _ . . ..- ..... _ .. _. l l
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NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
~ .
identification i'. midntained ' by the Division of Tech-s ;
' nical Information #and Document Contrel. Numbers may be obtairied by. calling the Division of Technical Information an'a Document Control or submitting a copy of NRC Form qQ6 (Exhibit 5) with a request for )
a number. The NRC identification number will have the form: i NUR EG/CR-1234 The contractor's repod nt.mb?r, if any, may be N instated below the NUREG nkmber on the title page and ccver, as shown in Exhibits 3 and 4. . WhAn a document consists of more than one volume or binding or IEs inued in more than one edition, an x appropriitte voluine, msupplement, part, or revision
' designation shall appear immediately below the report y i
number (s)".~ NRP document numbers on covers and title pages shall be shown . entirely on one line to facilitsu computer processing. (E) Title and Subtitle ' (a) Use a brief title, which indicates clearly the subject matter covered in the document. * (b) When a document is prepared in more than one volume, repeat the primary title or.;each volume.
~ (c) If appropriate, show the type of document (e.g., \
annual report, fir.al report, thesis , etc.) and the period covered as part of the subtitle. (3) Personal Author (s)' Name(s)- (a) Authors' names should be given on the title page anci I cover unless this is impractical, as in the case of annual reports which have many contributors. if authors' contributions are as editors, compilers,
- etc., so inuicate on title page and cover following the names. In Jaddition, list affiliation of each author l -
only if' affiliated with an organization other than the ' ' orgepization generating the document. , u (b) Authors may be identified on backstrips (spines) of l bound volumes. + 'N^
~ ,
w Approved: January 25, 1978 18 s .
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I, . i PUBLICATION OF UNCLASSIFIED REGULATORY ANO ! TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 l
.R !
x,, (4) Organization identification (a) On cover, provide the name of the contractor respon-sible for peeparing the document, followed by " Pre-pared for the U.S. Nuclear Regulatory Commission." (b) On the title page, provide information of the type illustrated in Exhibit 4. (5) Basis for Report Date(s) (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date document completed, date reviews completed, date published, date distributed, etc. (b) More than one date, with the basis for each, may be shown where this is necessary. ,
- 3. Availability and Price information All formal documents will be made available for sale by NRC and NTIS. The following statement is required on the inside of the front cover (Exhibit 6):
,. Available from U.S. Nuclear Regulatory Commission Washington, D.C. 20555 :
Available from National Technical Inforr.tation Service (NTIS) Springfield, Virginia T.2161
- 4. Disclaimer
, , The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States
, Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any -
warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the assults of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The following additional statement, "The views expressed in this report are not nec . essarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate, t 19 Approved: January 25,1978
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NRC Appendix 3202 PUBLICATION OF UNCI.ASSIFIED REGULATORY A2 TECitlICAl. DOCUMENTS PREPARED BY NRC CONTRACTORS
- 5. Abstract An abstract of 200 words or less shall be prepared for each formal document. Within the domment, the abstract shall appear on a separate page between the table of esntents and the text.* ' ' '
B. PATENT AND SECURITY REVIEWS I
- 1. Patent Review 7 i Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The - -
government agency responsible for the interagency agreement with NRC should perform the patent review. The results of such review shall be reported by the agency on NRC Form 426 in item II (Exhibit 5).
- 2. Security Review '
A In most cases, consultant, contractor, and subcontractor re-ports will be unclassified. Should a report of classified work' ' be required, however, the NRC program or project sponsor must. work with the Division of Security to establish the ap-propriate classification procedures and inform the contractor. C. ' PROCEDURES FOR PRINTING AND DISTRIBUTING ,
- l. Printino Contractor printing documents may be printed only by a JCP authorized plant. Documents printed by the contractor and one reproducible master shall be submitted by the NRC program or project sponsor or the authorized ccatractor official to the Division of Technical information and Document Control, with completed- NRC Form 426.
The number of cop'ies specified by the agreement or contract for standard and incidental distribution shall be provided. The appropriate identifying ' number (NUREG/CR- ) may be obtained as discussed in section A.2.b.(l).
- 2. Reorintino Requests for reprinting of any d$cument at NRC expense -
subsequent to the initial printing require approval of the a Division of Technical information and Document Control. The i
"This preferred positioning of the abstract in the document need not be followed if the style manual of 'the originating organization requires a different location. !
Approved: January 25, 1978 20'
. ? .
PUBLICATION OF UNCLASSIFIED REGULATORY AfE) m TECHNICAL 00C1MENTS PREPARED SY NRC CONTRACTORS NRC E-n.. dix 3202 request shall include a written justification for the reprinting and a list of recipients and their complete addresses.
- 3. Distribution of Documents Each document transmitted to the Division of Technical Infor-mation and Document Control'shall be accompanied by a recom-mondation for distribution on NRC Form 426 (Exhibit 5) and sufficient copies for standard and incidental distribution.
- 1 l
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l l l 21 Approved: January 25, 1978 4
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PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS __ . .n_ PART IV GUIDELINES FOR PREPARATION OF MANUSCRIPTS AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC A. INTRODUCTION
- These guidelines provide instructions to U.S. Nuclear Regulatory Commission contractors for the preparation of reproducible masters (camera-ready copy) of reports submitted to NRC for printing or duplicating. They are intended for the use of NRC contractors that do not have written editorial standards for manuscript preparation.
Organizations with established report preparation staffs and style manuals should use their own procedures and guidelines; this partic-ularly applies to the DOE laboratories. I Adherence to these or similar established guidslines will insure the professional quality and timely publication of NRC contractor reports. Manuscripts submitted which do not adhere to these or similar professional guidelines will be reported to the program or project sponsor for appropriate contractual action by the contracting officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization. Questions about the implementation of these guidelines should be addressed to NRC's Division of Technical Information and Document Control, Washington, D.C. 20555; (301) 492-7566. B. ORDER OF ELEMENTS IN A REPORT Organize the manuscript accordin'g to the following order of elements . before submitting it to NRC. Right or Element Pace Number Left Hand Pace Title page none Right Back of title page none Left Abstract iii Right
, $ Back of Abstract page none Left j Table of Contents v Right y List of Figures Small Roman (odd or even) Right or Left
-$ List of Tables Small Roman (odd or even) Right or Left Preface Small Roman (odd) Right Acknowledgments Small Roman (odd) Right l Abbreviations and Symbols Small Roman (odd) Right v 23 Approved: January 25. 1978 g g e , age,e e e9 s e -e e a hdG94 *4 O
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i I PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
~ ~~
Right or Element Page Number Left Hand Page Introduction Unnumbered, but Right considered Arabic I Text Numbered consecutively Right throughout in Arabic
, numerals References Numbered consecutively Right throughout in Arabic numerals ,
Bibliography Numbered consecutively - Right or Left throughout in Arabic numerals ----
$ First Appendix Numbered consecutively Right y throughout in Arabic a: numerals t
g Glossary Numbered consecutively Right or Left throughout in Arabic numerals Distribution Lists Numbered consecutively Right
- throughout in Arabic numerals When an element ends on a right-hand page and the next element is to start on a right-hand page, leave a blank unnumbered page and skip a number so that the right-hand page starts on an odd page.
l Right-hand pages are always assigned odd numbers, left-hand pages are always assigned even numbers. , C. FRONT MATTER , j l. Cover, Title Pace and Disclaimer The appropriata cover and title page with the information spec-ified in Port I of this Appendix shall accompany each reproduc-ible master, , 2. Abstract , l An abstract of 200 words or less shall appear in each report. ' The abstract ~ shall summarize the major points of the report, including what investigations the report covers, and any find-ings, conclusions, and recommendations. For progress reports, concentrate on status of work to date. The preferred Approved: January 25, 1978 24 i i
)
., ,7 PUBLICATION OF UNCI.ASSIFIED REGul.ATORY ANO TEQtlICAL 00CIM NTS PREPARED 8Y NRC CONTRACTORS NRC Appendix 3202 l
- n i
location for the abstract is between the title page and the table l of contents. For conference proceedings, each paper shall include an ab-stract of 200 words or less. The abstract shall appear on the first text page of each paper between the title and the text. i
- 3. Guides for Preparine an Abstract
. The abstract is a condensed version of the document and should.
summarize or highlight the major points. It should never ex-coed one paragraph or 200 words, and should provide a review
. of the contents of the work in abbreviated form.
The abstract should state what was investigated and give any conclusions reached. A review of the major and minor headings of the report and, in particular, the introduction and conclu-sion section can be useful in deciding what information to in-clude. The first sentence of the abstract should state the subject of the report. The writing should be concise; that is, words and ideas that are either repetitious or unnecessary should not be used. Care should be taken, hows er, to include the article Q, an,, g) but-) that are important and transitional to readability. The wordslanguage (and, however, should b Goncise, but the ab-stract should not read like a telegram. *
- 4. Summary Contractor reports (other than short summary reports) should
, include a 500- to 1,000-word summary of major findings conclu-sions and recommendations (if any) of the report. The summary should state the purpose and nature of the l investigation, as well as provids a brief account of the i procedures used. It should provide a concise overview for 1 persons in management positions. Though more complete than ) an abstract, the summary should not contain a detailed description of the work on which the findings, conclusions and recommendations were based. The summary may appear as a separate section between the ab-stract and the table of contents. It may also be the final section of the text. When it appears between the abstract and table of contents, it is treated as front matter. When it appears as the final sect!on of text, it should be listed in the table of contents and treated as text matter.
- 5. Table of Contents and Pace Numbers i
A table of contents shall be provided if the report contains
- . more that 25 pages of text. The table of contents shall list all 25 Approved: January 25, 1978
- , , , - , , . , , , ,,-w- w - - - , - - , - - - , - - - w e n-m ,,,--,m-- --m ._-----m-----v.,s--- n,- --__,--+,e- --,----,-w--ee-- -e e---+--mem ---n--w-- u - s- e_-
1 l PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS - major sections of the text, including the front matter. It shall include chapter or section numbers, as well as the title of and page number for each. (See Exhibits 8 and 9 for sample tables of contents.) In reports made up of chapters or papers by different authors, the table of contents shall list the name of each author with the title of the chapter or the paper (see Exhibit 10, for example). When proofreading the table of contents, insure that the page numbers and wording of chapter and section titles are identical with those in the text.
- 6. List of Fioures .
A separate page listing figures shall be included when there are five or more figures in the report. The ' figure numbers and captions shall correspond to those in the text. Such a list is unnecessary for conference proceedings or symposium compilations.
- 7. List of Tables A separate page listing tables shall be included if there are five or more tables in the report. The table numbers and tities shall correspond to those in the text. Such a list is unnecessary for conference proceedings or symposium compilations.
- 8. Preface (Optional)
The preface is the author's statement about the purpose, back-ground, or scope of the work. It can also contain acknowledg-ments of help received during the course of the work, if the } acknowledgments do not run over several paragraphs. The preface can also cite permission obtained for use of previously i ! published work. The author's name shall appear at the end of the preface with his title, affiliation, and the date.
- 9. Acknowledgments Unless they are more than one page long, acknowledgments shall appear in the preface.
Acknowledgments, if extensive, shall follow the preface on a separate page and carry a small Roman page number.
- 10. Previous Raimrts in Series if the report under preparation is one in an ongoing series, list all previous reports in the series. Include report number and issuance dates.
Approved: January 25, 1978 26
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PUBLICATION OF UNCLASSIFIED REGULATORY ANO
. _ . . - . , , .. TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit 8 TABLE OF CONTENTS Abstract. . . . . . . . . . . . . . . . . . . . . . . . . . . . iii Li s t o f F i gu res . . . . . . . . . . . . . . . . . . . . ri gh t roman Li st of Tabl es. . . . . . . . . . . . . . . . . . . . . ri gh t roman '
, P re f ace . . . . . . . . . . . . . . . . . . . . . . . . ri gh t roma n Acknowledgments . . . . . . . . . . . . . . . . . . . . righ t roman Previous Reports. . . . . . . . . . . . . . . . . . . . righ t roman I. Introduction . . . . . . . . . . . . . . . . . . .... 1 A. Background. . . . . . . . . . . . . . . . . . . . . . 3
- 8. Overview and Objectives of Study. . . . . . . . . . . 8 II. Experimental Apparatus and Procedure . . . . . . . . . . . 10 A. Experimental Apparatus. . . . . . . . . . . .... 15 B. Experimental Procedure. . . . . . . . . . . . . . . . 19 III. Results. . . . . . . . . . . . . . . . . . . . . . . . . . 22 IV. Discussion . . . . . . . . . . . . . . . . . . . . . . . . 25 References. . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . 37 Appendixes A. Thermophysical Property Values. . . . . . . . . . . . 39 B. Experimental Data . . . . . . . . . . . . . . . . . . 41 Glossary. . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 t
*27 Approved: Janedry 25. 1978
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PW LICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS ---.'._ Exhibit 9 -_. CONTENTS ABSTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . iii SUN 44RY. . . . . . . . . . . . . . . . . . . . . . . . . ri ght roma n 1. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . 1
- 2. EXPERIMENT DESIGN . . . . . . . . . . . . . . . . . . . . 3 2.1 Test Train . . . . . . . . . . . . . . . . . . . . . 3 2.2 Flow Shroud. . . . . . . . . . . . . . . . . . . . . 3 -
2.3 Fuel Rods. . . . . . . . . . . . . . . . . . . . . . 8 2.4 Instrumentation. . . . . . . . . . . . . . . . . . . 10 2.4.1 Test Train Instrumentation. . . . . . . . . . 10 2.4.2 Fuel Rod Instrumentation. . . . . . . . . . . 12 3. EXPERIMENT CONDUCT. . . . . . . . . . . . . . . . . . . . 16 3.1 Preconditioning. . . . . . . . . . . . . . . . . . . 17
' ~ ~ ' ~
3.2 Power Increase and Stead Flow Reduction . . . . .y-State Operation. . . . . . 25 3.3 . . . . . . . . . . . . . . 26 4. PRELIMINARY POSTIRRADIATION EXAMINATION RESULTS . . . . . 33 i 4.1 Visual and Dimensional Characterization. . . . . . . 33
. 4.1.1 Rod IE-007. . . . . . . . . . . . . . . . . . 33 4.1.2 Rod IE-008. . . . . . . . . . . . . . . . . 38 4.1.3 Rod IE-009. . . . . . . . . . . . . . . . 38 l 4.1.4 Rod IE-010. . . . . . . . . . . . . . . . . 40 4.2 Discussion . . . . . . . . . . . . . . . . . . . . . 40 5.
EXPERIENTAL RESULTS AW COMPARISON OF CALCULATED AW MEASURED FUEL R00 BEHAVIOR. . . . . . . . . . . . . . 42 5.1 Analytical Mo' del . . . . . . . . . . . . . . . . . . 43 5.1.1 Fuel Rod Model. . . . . . . . . . . . . . . . 43 5.1.2 Experimental Conduct Model. . . . . . . . . . 44 5.2 Cladding Elongation. . . . . . . . . . . . . . . . . 44 l Approved: January 25, 1978 28
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PUBLICATION OF UNCLASSIFIED REGUI.ATORY AND TECHNICAL DOCUMENTS PREPARED BY '.4RC CONTRACTORS NRC Appendix 3202
...~. . Exhibit 10 CONTENTS OPENING REMARKS (W. P. Bishop). . . . . . . . . . . . . . . . . 1
.; TOPIC I: VALUES AND INPACTS OF WASTE PARTITIONING. . . . . . . 5 Partitioning--An ERDA Overview (R. D. Walton, Jr.,
. V. G. Trice, Jr. , and K. D. Dance) . . . . . . . . . . . 6 ,
t Discussion . . . . . ................ 22 Partitioning--Fired or Foe? (J. W. Bartlett). . . . . . . 24 Discussion . . . . . ................ 34 A Program to Establish the Technical Feasibility and Incentives for Partitioning (J. O. Blomeke). . . . . . . 38 Discussion. . . . . . . . . . . . . . . . . . . . . . 49 The Impact of Partitioning on the Fuel Fabricator * (I. E. Knudsen and B. H. Neuman) . . . . . . . . . . . . 53 Discussion. . . . . . . . . . . . . . . . . . . . . . 62 Projected Benefits from Actinide Partitioning (C. Braun and M. Goldstein). . . . . . . . . . . . . . . 64 Discussion. . . . . . . . . . . . . . . . . . . . . . 76 TOPIC II: HAZARDS IN RADI0 ACTIVE WASTE DISPOSAL. . . . . . . . 80 Potential Environmental Advantages from Partitioning of Radioactive Waste (J. L. Russell) . . . . . . . . . . 81 Discussion. . . . . . . . . . . . . . . . . . . . . . 89 Other than High-Level Waste (G. R. Bray) . . . . . . . . . 95 Discussier . . . . . . . . . . . . . . . . . . . . 10 5 Environmental Hazards from High-Level Waste ( B. L. Cohen ) . . . . . . . . . . . . . . . . . . . . . 107 Discussion. . . . . . . . . . . . . . . . . . . . . 127 29 Approved: January 25, 1978 _ . . . . . . . . . . . . . . a .. .
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NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS II . Abbreviations and Symbols When the abbreviations and symbols used in the report are
- numerous, and when there is a possibility they will not be understood by the intended audience, include a separate section for them. The list, labeled as such, shall appear as the last item of the front matter on a new right-hand page.
D. TEXT , l. Title of Report The title of the report shall be repeated on the first page of text. It shall be centered at the top of the page, like a chapter or section title.
- 2. Introduction (Optional)
Not every report needs an introduction. Where background in-formation essential to an understandinc of the text is neces-sary, include an introduction. Otherwise, background informa-tion shall be included in the preface. The introduction follows ginning on a new page.the As preface (or acknowledgments), the first text page, it shall be-be unnumbered but considered as page number 1. If the're is no introduction, begin the report with the first major text head-ing, after repeating the report title.
- 3. Paper Plah, white, bond paper shall be used. Company letterhead is not acceptable.
i
- 4. Typino Instructions Paragraphs shall be single spaced and typed flush left in block style (no paragraph indentations). Double space between para-graphs, triple space before headings, and double space after headings.
- 5. Imace Area The image areas for typing shall be 6 x 8-l/2 in.
- 6. Pace Numberina Pages shall be numbered consecutively throughout, with small Roman numerals for all front matter and Arabic numerals for all text and back matter. The report will be printed on both sides of the paper; therefore, all left-hand pages must carry even l numbers, and all right-hand pages, odd numbers.
, Approved: January 25, 1978 30 t a 9 8
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- . .~
PU8LICATION OF UNCLASSIFIED REGULATORY ANO 7 -. TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 New chapters may begin on a new page; either a left- or right-hand page. Page numbers shall be centered one-half inch above the bottom of the typing guide. Guidelines for numbering pages containing figures or tables are found in a later section on Graphic and Tabular Matter.
- 7. Photocopied Text Pages reproduced by photocopying machines are g acceptable as camera-ready material. Photographically reproduced pages -
(using photographic print paper) are acceptable.
- 8. Footnotes Footnotes in the body of the report shall be used only for ex-planatory material not extensive enough to comprise an appendix.
- Notes citing references to literature used in the preparation of the report shall appear as part of the references (see item G, below) .
Footnotes shall appear at the bottom of the text page between f the last line of text and the page number; that is, the last line of the footnote shall be on the bottom line of the 6 x 9-l/2 in. typing guide. A double space shall appear between the last line of text and the first line of the footnote. A 20-space line shall appear above the first footnote. I Single, double or triple asterisks or daggers shall be used to mark footnotes in the text and at the bottom of the page. 4 E. BACK MATTER i .l. Refarances
~
," a. Format. Citations of source documents in technical and research reports shall be numbered consecutively in the order in which they appear in the text and collected in a 4
. reference section. For short reports (20 pages or less),
the reference section shall appear at the end of the report -
. directly following the text. For long reports, reference
. sections shall appear at the end of each chapter or major section. In either case, reference sections are labeled as such and may begin at the end of the text or on a new page. For reports with more than one reference section, if a citation appears in separate chapters or sections, it shall be repeated in each appropriate reference section.
l Multiple- lina citations shall be typed singla space, with i .. . . double spacing between citations. j 31 Approved: January 25, 1978' l
NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS The second and subsequent lines of an entry shall be typed flush with the same margin as the first line so that the reference number stands out. (See item G for guidelines on how to cite specific references.) 5 b. Availability Requirement. The provisions of 10 CFR 2.740 {
- and 10 CFR 9.4 require that written, reproducible material '
used as source material in NRC regulatory and technical documents produced by its contractors and subcontractors , be readily available for inspection and copying or be documents ordinarily available from a public library. i Accordingly, reference citations must be presented in a format recognizable by a librarian. Citations to infor-mation not -available in the open literature shall state where the document can be purchased or copied. Give purchase price, if known (see item G for guidelines). \ c. 4 Proprietary and Classified Documents. When nonproprie-tary or unclassified (or declassifiable) information con-tained in proprietary or classified documents must be used as source material, it should be (1) inserted in the body of the text or as a footnote to the text, (2) copied and placed in an appendix, or (3) abstracted and made available for inspection 1
- and copying for a fee at the NRC Public i Document Room. if alternative (3) is chosen, the abstract j should be referenced in the reference list in the appropriate sequence.
in some instances, reference to classified or proprietary documents cannot be avoided because those documents are l the only source for the material. The documents are re-quired, however, to be withheld from the public. Never-
- theless the public must be made aware that such l
documents served as the bases for the material presented, Accordingly, proprietary documents and classified documents-(omit the title if the title is classified) may be referenced when necessary. This type of reference should include a statement such as the following: This document is not publicly available because it contains proprietary (or national security) information.
- 2. Bibliography Citations of other documents pertinent to the subject but not referenced in the text shall be listed in a bibliography.
Bibliographic entries shall be arranged alphabetically by per-sonal or corporate author name. The bibliography, labeled as such, shall follow the la erence right or left. section in the text and begin on a new page,steither ref-Approved: January 25, 1978 32 l # 8 y-- - , , . . , , c.., . - _ - . , . - , . - - , - , , ~ . . ,,_-.._-m_.. - . - . . _ _ _ - - - - . - _ - . - ~ . . . ~ ~ r-..-- . - . - . - . - - - - _ _ _ _ . - - - - _ _ -
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' PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC A W ix 3202
- 3. Appendix The appendix shall comprise information supplemental to the report. The types of material to be placed in the appendix are (a) explanations too long for footnotes but helpful to the reader seeking further assistance or clarification, (b) passages from q e documents or laws that support or illustrate the text, or (c) long charts or tables.
The first appendix shall appear on the first right-hand page + directly after the reference section or bibliography. Each additional appendix shall begin on a new page, either right or :
; . left. Each appendix shall be identified by a title and heading '
centered above the text.
- 4. Glossary A glossary shall be included if the report contains many terms that will be unfamiliar to the intended audience. Terms shall be arranged alphabetically, with each new entry beginning on a new line. Definitions shall follow the term on the same line, dictionary style.
The glossary, labeled as such, shall appear directly after the appendix, beginning on a new page, either right or left.
- 5. Distribution List The distribution list shall cite the NRC distribution category and any supplemental distribution the report is to receive. The supplemental recipients shall be listed by title and complete address, including Zip Code. It shall begin on a right-hand page.
F. GRAPHIC AND TABULAR MATTER I. Tables Each table shall have a number, in Arabic numerals, and a title. The table number and title shall be centered above the table. Tables shall be numbered sequentially throughout the text or double-numbered by chapter, such as 1.4, 5.6, etc. . Tables shall be referred to in the text by number rather than by direction (" Table 4" rather than "the above table"). When a table must be continued from one page to the next, the table number (" Table 3, Continued") and the column headings shall be repeated at the head of the new page. Pages containing full-page tables shall be numbered in the same manner as regular text pages. . 33 Approved: January 25, 1978 I i l
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NRC Aooendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AN TECHNICAL DOCUMENTS PREPARED BY NRC CO
- 2. Ficures Each figure shall have a number, in Arabic numerals, and a title.
i
. figure. The figure number and title shall be placed below the Figures shall be numbered sequentially throughout the text or doubled-numbered by chapter, such as 1.4, 5.6, etc .
Figures shall be referred to in the text by number rather than j by direction (" Figure 3" rather than "the figure below").
- Pages containing full-page figures shall be numbered in the same manner as regular text pages.
- 3. Photocraohs ' .
only continuous-tone: glossy black and white prints are accept-able. ;The folidwing types are not acceptable: color prints and prescreened 'ofhalf-tone prints or plates.
,.$ shall 2be mourttedli and the title, number, andAll photographs page number with respeift to , numbers and title.placed onsthe p4gai Photog t
- 4. Soecial Graphics i . 4
' LSpecial foldouts. graphief include oversized engineering drawings and provided for each document, where appropriate. instructions
. . . v ;.
G. EXAMPLES,OF REFERENCE CITATIONS
,, I. '
Correstas.cui.ce y * ,, 4 ; [ , .. ,..
.y
. '.* R. A. . Gilbert, NRC, Sub}ect:LetterLfrom D. B. Blackman, Docket 50-825, dated January 31~, Answers 1975. to NRC Questions on
.( for inspection and copying for a fee. Available in NRC PDR '
- 2. , . Internal Papers 5 I
Internal papers, such as technical notes and minutes of meet-ings should not be referenced unless they are already available l in the NRC Public Document l available in the PDR prior to issuance of the report. For a Room (PDR) o i technical note, list author (if any),: title, and data, and state thatait fee." for is "available in the NRC POR 'for inspection and copying meetings. The same format is applicable to minutes of referenced. Calculations ' and working papers should not be If the information in them is pertinent to tTtext of the report, footnote, or appendix. it should be made part of the report as text, Approved: January 25, 1978 34
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o .- w PU8LICATION OF UNCLASSIFIED REGULATORY AND 1 - - y TECHNICAL 00C1MENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202
~
- 3. Personal Communications, Private Communications, Notes Regarding Visits
. References of the following type should not be used:
J. G. Facer, ERDA Grand Junction Office, personal com- , munication to M. B. Sears, Oak' Ridge National Laboratory, December 16, 1975. Staff visit to the Exxon mine waste dump, Converse ' l County Wyoming, April 12, 1972. In both instances place these remarks directly in the text, since they do not represent any retrievable information.
- 4. Procedures Manuals Procedures manuals should not be referred to unless they are normally available. The citation should give sufficient in- ;
formation to indicate where they can be obtained. If specific procedures are pertinent, they can be reiterated in the text without reference to documents.
- 5. Government Agency Printed Documents and Orafts that Have Seen Mace Available to the Public for Comment >
For draft reports: , U.S. Nuclear Regulatory Commission, " Draft Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled Reactors ,"
- USNRC Report NU R EG-0002, Vols. 1-5, April 1976.
i Available in NRC POR for inspection and copying for a r fee. ) If specific pages are being referenced, insert volume and page
, numbers following the title; e.g. , Vol. 4, pp.10-20, 500-730.
i For final reports: U.S. Nuclear Regulatory Commission, " Final Generic - Environmental Statement on the Use of Recycle Plutonium ! in Mixed Oxide Fuel in Light Water Cooled Reactors ," USNRC Report NU R EG-0002, Vols. 1-5, August 1976. Available for purchase from National Technical Information Service, Springfield, Virginia 22161. . ! R. O. Meyer, "The An'alysis of Fuel Densification," USNRC Report NUREG-0085, p. 48, July 1976. Available i for purchase from National Technical Information Service, Springfield, Virginia 22161. 35 Approved: January 25, 1978
. NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
- 6. NRC Contractor Reports and Reports Prepared on interacency Acreements M. A.M. Shinaishin, University of Arizona, " Dynamic Simu-lation of a Sodium-Cooled Fast Reactor Power Plant," p.
196, USNRC Report NUREG-Ollo, September 1976. Available for purchase from National Technical Information Service, Springfield, Virginia 22161. G. L., Bordner and others, " Pretest Analysis SLSF In- . Reactor Experiment 62," USNRC Accession No. 771090001, prepared for NRC by Argonne National Laboratory, October 1976. Available in NRC PDR for inspection and copying for a fee.
- 7. NRC Applicant Document Exxon Nuclear Company, " Preliminary Safety Analysis Re-port," Vol. 3, p. 5.4-3, Nuclear Fuel Recovery and Re-cycling Center, Docket 50-564, April 1976. Available in NRC PDR for inspection and copying for a fee.
- 8. Project Documents The format given in item G.7 for applicant documents may be used for project documents, with the docket numbsr replaced
- by the project number.
- 9. Licensee Documents The format given in item G.7 for applicant documents may be used for licensee documents, with the docket number or the license number.
l ! *10. Books i S. Glasstone, Sourcebook on Atomic Enerov, p. 155, l D. Van Nostrand Co., Inc. New York,1974. II . Conference Papers Unpublished conference papers should not be referenced. The information being used should be statecTTn the text and credit to the originator given in text or footnote. If the originator can supply a paper, it may be placed in an appendix and mentioned in the text. Published conference papers should be referenced as follows: J. L. Russell, " Potential Environmental Advantages from Partitioning of Radioactive Waste," p. 83 in Proceedinos of ! Approved: January 25, 1978
- - 36
. M 7
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