ML20204E008

Contract: Continuity of Govt Programs, Awarded to Sys Research & Applications Corp

ML20204E008
Person / Time
Issue date:	07/24/1986
From:	Mcgushin E, Thompson R NRC OFFICE OF ADMINISTRATION (ADM), SYSTEMS RESEARCH & APPLICATIONS GROUP
To:
Shared Package
ML20204D982	List: ML20204D977 ML20204E008
References
CON-FIN-B-8761, CON-NRC-05-86-154, CON-NRC-5-86-154 NUDOCS 8607310535
Download: ML20204E008 (40)

Text

1. ^G' O* PA"'h i CERTIFIED FOR NATIONAL DEFENSE l " # ' ' ""

AWARD / CONTRACT I 5

J UNDER BDSA REG 2 AND/OR DMS REG 1 i l 31

2. CONT H AC T P 3. EF F ECT 4VE D AT E 4. REQVi$i T ION /PVHCH ASE REQUES T/PHOJECT No.

NRC-0$ 86-154 roc inet / dent.s NO. OIE-86-154 X 2 41986 "

s. assvCO ev CODE I CODE I . _ _

U.S. Nuclear Regulatory Commission Division of Contracts, AR-2223 Contract Negotiation Branch No. 2 Washington, D.C. 20555

7. N AME AND ADDRESS OF CONT H ACiOR (No , efreef. elf). county. Sfele and 2JP Code) 4. OE Le V E R V Systems Research and Applications Corporation fos ORIGIN [OTHER(se, 6. law; 200015th Street North, Suite 1100 .. DISCOUNT F Oa PsOMP1 PAv MENT Arlington, VA 22201 ' Net 10 SUBMIT INVOICES I4 econen uniene other- liT E M wue specifieds TO THE See G.7 F ACILITY CODE ADDR ESS $HOWN IN CODE

!!. 5 Hip T O/M ARM F OR 12. PA Y M LN T WILL SE M ADE B Y U.S.NuclearRegulatoryCommi$sion

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See F.2 Division of Accounting and Finance, Office of Resource Management, ATTN: GOV /COM Accts., Wash.DC A ADVERTISED

14. ACCOUNTING AND APPROPHI ATION DAT A 20555 13 THIS ACQUISITION B. NEGOTI AT ED PURSU ANT T O: B&R: 30-19-04-01 FIN: B8761 7,WC"',',*, 01o uSC 23o4(an i 0 4' usc 252ic"

> Obligated: 550,000.00 ApPN: 31X0200.306 15C QUANTITY 15D UN T ISE UNIT PRICE '15F. AMOUNT 15A ITEM NO 158 SUPPLIES / SERVICES The Contractor shall perform the ef forts as detail ed herein entitled " Continuity of Government Programs (C0G)." ThE Contractor's proposal s dated May 2, 1986 and June 27, 1986 are incorporated in this cost plus fixed f0e contract t y this reference.

8607310535 860724 PDR CONTR NRC-05-86-154 PDR 160. TOTAL AMOUNT OF CONTR ACT > $220.728.00

16. TABLE OF CONTENTS DESCRIPTION lF AG F (S)

$ V) lSEC. l OESCRIPTION lPAGE(S) VI l SEC. l PART I-THE SCHEDULE PART il-CONTR ACT CLAUSES

{ I 23 X A SOLICITATION /CONTR ACT FORM 1 Xl 1 l CONTR ACT CLAUStS 2 PART us - List OF OOCUMENTS, ENHIBITS AND OT HE R ATT ACH X 0 SUPPLIES OR SERVICES AND PRICES / COSTS X C DESCRIPTION / SPECS / WORK STATEMENT p XlJ l LIST OF ATTACHMENTS I 31 0 PACK AGING AND MARKING 7 PART IV . REPRESENTATIONS AND INST RUCTIONS X

X E INSPECTION AND ACCEPTAt CE R K REPRESENT ATIONS. CE RTIFIC ATIONS AND p OTHER STATEMENTS OF OF FERORS X F DELIVERIES OR PERFORMANCE G CONTR ACT ADMINISTR ATION DATA 10 L INST AS . CONOS . AND NOTICES TO OF F E R _

X H SPECI AL CONTR ACT REQUIREMENTS 17 M EV ALUATION F ACTORS FOR AWARD X

CONTRACTING OfflCER Will COMI'L E TE ITEM 17 0R 18 AS APPLICA8t f le. AW ARD (Cont ector is not required to este thw document I vau,

17. @ CONT H ACTOR s NEGOTI AT Eo ACRE E MENT (Contre <#ar is 're U"id.! Pot'!",!h'am!"?"U"X".,e n.e.3 ,,;pf,,7jj,o ,7 No,;n,7,7fpf737,n77n,sp;,j,;.,;7,n,gp.,,,,,,,,,,,,, ,, ,,u ,,,,,w y m ,,,,;

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19 A. N AME AND TIT LE OF SIGNE R (7,pe or prints 20A. N AME OF CONT R ACTING OF FICCH Edward F. McGushin. Vice President S Ronald D. Thompson Na tional,jfh t,e ,r g 20C.OAff Shen ('

198 tw AM F,< 19C. O ATE 66GNED 208 UNIT ED $t ATES OF AME RsCg A 7 23.g6 By ~ Y' t m e [ ,) N'(

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(Sagneture of Con tr.eting Offler.)

nb sone e non eV--'ed to attnl NSN 7540-01152 0069 26.tCo ST.AN,*DARD P, .C DeeDvGSA FORM 26 (RE v. 3 0 9 31 kEVIOUS EDITION UNU$AOLE F AR 148 CF l4) 63 2141a)

a Page 2 Section B - Supplies or Services and Prices / Costs B.1 Brief Description of Work

" Continuity of Government Programs (COG)." The objective of this project is to identify and select a contractor to provide legistical and administrative support for the maintenance and functioning of the NRC Continuity of Government Program. The contractor will assist in the development of the essential documents and guidance necessary to establish the revised NRC COG Program at both Headquarters and the Regional Offices; and provide support to the NRC for the implementation of the revised COG Program and training of NRC staff.

B.2 A. Total Estimated Cost........................$ 202,503.00 Fixed Fee...................................$ 18,225.00 _

Total Estimated Cost Plus Fixed Fee.........$ 220,728.00 Section C - Description / Specifications / Work Statement C.1 Statement of Work C.1.1 Background The NRC has recently re-evaluated its role for responding to a national emergency. The Comission believes that is has certain essential functions to perfonn in a national emergency, but, contrary to earlier assessments, the Commission now believes that these functions are interruptible. In this regard, the NRC has so informed the Director of the Federal Emergency Management Agency (FEMA), in ccnformance with Federal Preparedness Circular 60 (Enclosure 1), and requested that FEMA recategorize the NRC as a Category B agency with respect to national emergencies. FEMA is in the process of responding to that request. It 8.

is not expected that this request will be denied since FEMA had suggested that the NRC consider this category rather than Category C.

The reclassification of the NRC as a Category B agency requires a further re-evaluation of how the NRC will carry out this new role.

Although the NRC Category A program had been inactive over the last several years, some earlier work and organization are still in place, but considerably out of date. The Commission has directed the staff to develop a basic program which will fulfill the FEMA raquirements of a Category B agency. Some of the previous work is still applicable and will be updated; other items will be deleted; and some new organizational concepts and procedures need to be put in place which will allow the COG Program to better utilize the organization and accomplishments of the Incident Response Program.

FEMA has developed only general guidance as to how an agency detennines its category of emergency capabilities (Federal Preparedness Circular

60. FEMA, May 3,1984). The limited guidance provided indicates that Category B agencies would reconstitute as soon as conditions permit, for example, immediately af ter a nuclear attack. In addition, a Category B

a Page 3 agency would be expected to establish two executive complements at the national level composed of the minimum number of personnel necessary to form the nucleus for agency reconstitution to carry out national defense emergency assignments.

The NRC role in the most probable national emergencies is one of support to other federal agencies, primarily the Department of Energy (DOE), who would have responsibility for the assessment and allocation of electrical and fossil energy. The NRC has unique authority, knowledge, 1 contacts, and communication paths related to nuclear energy which could be useful to DOE in their consideration of the larger concern of the total electic grid.

In most national emergency scenarios, including those where there is a nuclear attack, there is a period of varying length where agencies can i

do some last-minute planning and direction prior to taking maximum j agency response actions. In this period, it is envisioned that, at least, the Executive Team will meet to: (1) detennine the suitability of

! preplanned actions for the particular situation; (2) agree to a specific

agency approach to that situation; and (3) deploy appropriate individuals to pre-designated relocation sites, as necessary. The

! Executive Team and HQs Incident Response teams will serve as the Alpha l Team. In a like manner, each Regional Incident Response organization will function as their national emergency response organization.

l The integration of the incident response program with the Continuity of

! Government (COG) Program will be accomplished in the following manner:

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HEADQUARTERS: In a national emergency, the Executive Team (ET) will

, act as the ALPHA Team with the support of the incident response team j i members, as necessary. In this situation, the NRC should be placed j _

in a Standby Mode by an ET member since the focus for other agency operations and the most reliable information will be in Washington,

.{

DC. The ET will provide the NRC Regional Offices with guidance as to the number Incident Response and type ofIRC).

Centers p(ersonnel which When they should feel staff the regional it is necessary, the ET will, in consultation with FEMA, designate incident response team members as the BRAVO Team and instruct the regional offices to

! deploy to the Federal Relocation Centers. The Headquarters BRAVO l

Team will report to the FEMA Special Facility to be ready to carry i

out NRC functions when and if the ALPHA Team can no longer carry out its essential functions (Enclosure 2). The BRAVO Team will be

! composed of about six to eight individuals for each of two shifts.

i The BRAVO Team will also be ready to reconstitute the agency in the i event of a nuclear attack. Vital agency records are prepositioned at the FEMA Special Facility. An initial concept of how the composition of each shift of the ALPHA and BRAVO Teams could be constituted is shown below:

l

! ALPHA Team: Executive Team ReactorSafety/ Systems (4)

Health Se:urityPhy(sics

5) / Operational (3)

, Page 4 Resource / Family Manager (2)

Clerical / Administrative (3)

Public Affairs (1)

State Programs (1)

Federal Liaisons (2)

Response Coordination Team (3)

BRAVO Team: Decisionmaker/ET Member or Comissioner (1)

ReactorSafety/ Systems (2)

Health Physics / Operational (2)

Security (1)

ContinuityofGovernmentSpecialist(1)

REGIONAL OFFICES: In a national emergency, the Regional Offices will respond to such a Standby Mode by activating their Incident Response Centers (IRCs) in accordance with ET direction. The Regional Office should await guidance from the ET or consult with the ET before dispatching staff to any of the Federal Relocation Centers. Each Regional Office should plan for deploying a team to only one preselected Federal Relocation Center.

In general, the Regional base teams and deployed teams will be limited to the basic functions that need to be performed. It is anticipated that each of two shifts of the teams will be similar to the following:

Base Team: Decisionmaker/SeniorManagement(1)

Reactor Safety / Systems (2)

Health Physics / Operational (2)

Emergency 1) (ResponseCoordinator(1)

Security Resource /FamilyManager(1) i Clerical / Administrative (1)

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Deployed Team: Decisionmaker/ Senior Management (1)

ReactorSafety/ Systems (1)

Health Physics (2)

Security (1)

ContinuityofGovernmentSpecialist(1)

It is envisioned that only one decisionmaker is necessary for each of the teams, even if manned with two shifts. The decisionmaker should, if possible, be the Regional Administrator or Deputy Regional Administrator. The other team experts should be supervisory or management personnel.

During a national emergency where communications between a utility and the NRC licensing groups have been severed, the Resident Inspector can be important in supporting licensees at nuclear power plant sites. It is anticipated that the Resident Inspectors will, as much as possible, maintain a continuing presence at their respective facilities. The Resident Inspector, however, will not be

4 Page 5 placed in a position of making additional decisions for the NRC in excess of his normal responsibility. He will represent the NRC perspective and should consult with the licensee, as necessary. In this case, the licensee would have the responsibility for determining how the plant should operate during the national emergency where the interests of national security would have a significant impact on operational decisions.

C.1.2 Contract Objectives The purpose of this project is to identify and select a contractor to provide support for developing appropriate guidance for NRC to carry out its responsibilities in the NRC Continuity of Government (C0G) Program.

The contractor will:

1. assist in the development of the essential documents and guidance necessary to establish the revised NRC COG Program at both Headquarters and the Regional Offices; and

2. provide support to the NRC for the initial implementation of the revised COG Program and training of NRC staff.

C.1.3 Scope of Work The contractor shall provide support for developing appropriate guidance for NRC to carry out its responsibilities in the NRC Continuity of Government Program at both NRC Headquarters and- its five Regional Offices.

A. The contractor shall furnish the necessary qualified personnel, resources, materials, and services related to the following tasks in support of the implementation and maintenance of the NRC Continuity Program:

1:

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- Task 1: Review the previous documentation related to the past agency-wide efforts to implement a Category A Continuity of

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! Government Program to gain familiarity with the documentation and guidance of the existing program (Reference NUREG-0728, Revision 1).

The contractor will then assist in the development of two documents which will provide the basis for the new COG Program. These are:

(a) an NRC Manual Chapter which will detail the purpose and scope of the program and delineate the responsibilities of the various NRC Offices and Regional Offices, and (b) guidance for Headquarters and the Regional Offices to implement the COG Program in their respective offices, including a standard format for the Headquarters and Regional plans / implementing procedures.

Task 2: Advise and assist NRC Headquarters in updating and upgrading its COG Program to meet the requirements of the NRC Manual Chapter.

Page 6 Task 3: Consult with, advise, and assist each of the NRC Regional Offices in implementing the Headquarters guidance for establishing a functional COG Program.

Task 4: Using the experience gained in developing and implementing the NRC Continuity of Government Program, develop a training curriculum for the NRC Headquarters and Regional Offices, schedule such training, and conduct the training as directed.

B. The contractor shall assist the NRC in the following tasks to t

develop and implement the COG Program:

HEADQUARTERS

• Develop an NRC Manual Chapter for program implementation at both Headquarters and the Regions.

• Develop Headquarters and Regional guidance for implementing the COG Program.

• Develop a vital records program for the Regions, along with the appropriate implementation guidance.

• Prepare a plan to detennine whether there are any special telecommunications requirements, including those of the Regions.

• Designate NRC staff on incident response teams who would most likely be designated to be called upon to respond to a national emergency, and, where necessary, supplement the incident response teams.

• Develop any special procedures for deactivation and

. reconstitution.

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• Develop a training curriculum for the NRC.

• Schedule and conduct training for.the NRC staff.

• Review and update predelegated emergency authorities and NRC order of succession.

• Assess Regional implementation of the COG Program.

• Participate in COG exercises.

REGIONAL OFFICES j

• Develop Regional procedures for the Regional Incident Response i

Supplement consistent with Headquarters guidance.

• Develop any special procedures for deactivation and reconstitution.

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Page 7

• Develop and conduct Regional training program for keeping staff informed of the COG Program and their responsibilities.

• Develop procedures for maintaining the Regional vital records.

• Develop procedures for maintaining Regional COG rosters, predelegated emergency authorities, and order of succession.

• Participate in COG exercises.

• Make and implement arrangements with FEMA for routine operations at the Federal Relocation Center.

C.2 Meetings and Travel Prior to any of the following trips taken during the period of performance under this contract, the contractor shall obtain verbal or

< written approval of the NRC Project Officer. Any other trips by the contractor shall be approved by the NRC Contracting Officer via a modification to the contract. At the NRC Project Officer's discretion, all meetings shall be convened by the NRC and shall be held at the NRC's facilities.

First Year: One two-day trip to each regional office. (Thesetripswill be combined so that, where possible, two regional offices will be visited during a one-week trip.)

Region I - King of Prussia, PA Region II - Atlanta, GA Region III - Glen Ellyn, IL Region IV - Arlington, TX Region V - Walnut Creek, CA Twelve one-day trips to NRC facilities in Bethesda,

- Maryland.

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Second Year: Two two-day trips to each regional office.

J Eight one-day trips to NRC facilities in Bethesda, Maryland.

' Third Year: One two-day trip to each regional office.

Six one-day trips to NRC facilities in Bethesda, Maryland.

Section D - Packaging and Marking D.1 The Contractor shall use standard connercial packaging for all reports to be delivered. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

. Page 8 Section E - Inspection and Acceptance E.1 FAR Citations The Contractor shall refer to Section I, Clause 52.252-2 for citations incorporated by reference.

Section F - Deliveries and Perfomance F.1 Reports, Documentation and Other Deliverable End Items The reports listed below are to be prepared in accordance with NRC Manual Chapter 3202 (Attachment 3).

F.1.1 Monthly Letter Status Report By the 20th of each month, a brief letter status report shall be submitted to the NRC Project Officer, the NRC Contracting Officer, and the Contract Administrator in the Office of Inspection and Enforcement, NRC, which sumarizes:

• The efforts completed during the period for each task; A sumary of progress to date and any significant results;

• Problems or delays encountered or anticipated and recommendations for resolution; Actual expenditures (Direct Labor, Indirect Labor, Travel, Materials, Overhead, Other) for the reporting period and cumulative to the date of the report.

[ F.1.2 Draft and Final Reports k

Unless othemise specified, the following reporting requirements shall be performed

The Contractor shall furnish a final report in accordance with NRC Manual Chapter 3202 regarding the Continuity of Government Program and l

guidance for the Headquarters and the Regional Offices to implement the l

COG Program during the first year of the contract. The Contractor shall I

submit ten copies of the drafts and final report to the NRC Project l Officer. The schedule for preparing the drafts and final documents are as follows:

l Initial Draft - 3 months after contract award Second Draft - 5 months after contract award Final Version - 1 month after NRC office review Initial Draft of HQS & Regional Guidance - 4 months after award Second Draft of HQS & Regional Guidance - 6 months after award Final Version of HQS & Regional Guidance - 1 month after NRC office review t

Page 9 A schedule for the training curriculum and any other appropriate deliverables will be developed during the second year of the contract.

F.2 Place of Delivery The items to be furnished hereunder shall be delivered, with all transportation charges paid by the Contractor, to:

U.S. Nuclear Regulatory Commission Attention: Bernard H. Weiss Office of Inspection and Enforcement Washington, D.C. 20555 Project Officer (10 copies)

Division of Contracts (1 copy) .

F.3 Duration of Contract Period This contract shall become effective on effective date as specified in Block 3 of the SF-26, and shall continue to completion thereof, three years after said contract is effective.

i e

Page 10 Section G - Contract Administration Data G.1 Consideration Estimated Cost, Fixed Fee and Obligation

1. It is estimated that the total cost to the Government for full performance of this contract will be $ 220,728.00, of which the sum of $ 202,503.00 represents the estimated reimbursable costs, and of which $ 18,225.00 represents the fixed fee.

2. Total funds currently available for payment and allotted to this contract are $ 50,000.00, of which $45,871.00 represents the estimated reimbursable costs, and of which $ 4,129.00 represents the fixed fee.

3. It is estimated that the amount currently allotted will cover performance through the end of November 1986.

G.2 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 rate of 1.05 percent of direct labor.

B. Pending the establishment of final genoral and administrative rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of 12 percent of direct labor, labor overhead and travel.

C. Notwithstanding A. and B. of this Section, said provisional overhead

- and G&A rates may be adjusted as appropriate during the tenn of the contract upon the acceptance of such revised rates by the Contracting Officer.

G.3 Payment of Fixed Fee Payment of fixed fee shall be in accordance with paragraph (b) of clause 52.216-8 entitled " Fixed Fee" and the NRC billing instructions in Part III, Section J.

G.4 Technical Direction A. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer named in Section G.

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

Page 11 lines of inqui ry, fills in details or otherwise serves to accomplish the contractual scope of work.

2. Providing assistance to the Contractor in the preparation of drawings , specifications or technical portions of the work description.

3. Review and where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.

B. 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 as defined in the clause of the General Provisions, entitled " Changes."

3. In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.

4. Changes any of the expressed terms, conditions or specifications of the contract.

C. ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERBAL ISSUANCE. A copy of said written

direction shall be submitted to the Contracting Officer.

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The Contractor shall proceed promptly with the perfonnance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article.

If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categorie:; as l

defined in B(1) through (4) above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, t the Contracting Officer shall issue an appropriate contract j

modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the l

scope of this article and does not constitute a change under the Changes Clause.

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'* . Page 12 D. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor expending funds

, for unallowable costs under the contract.

E. A failure of the parties to agree upon the nature of the instruction ,

or direction or upon the contract action to be taken with respect

! thereto shall be subject to the provisions of the contract clause entitled " Disputes."

G.5 Project Officer

, A. The individual (s) listed in "B" below is (are) hereby designated as i

the Contracting Officer's authorized representative (hereinafter called Project Officer) for technical aspects of this contract. The Project Officer is not authorized to a:) prove or request any action j which results in or could result in an ' increase in contract cost; or j terminate, settle any claim or dis )ute arising under the contract, or issue any unilateral directive w1atever.

The Project Officer is responsible for: (1) monitoring the l Contractor's technical progress, including surveillance and assessment of perfomance, and recommending to the Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) perfoming technical evaluation as required; (4) performing i technical inspections and acceptances required by this contract; and (5) assisting the Contractor in the resolution of technical problems i encountered during perfomance. Within the purview of this l authority, the Project Officer is authorized to review all costs requested for reimbursement by Contractors and submit recomendations for approval, disapproval, or suspension for supplies / services required under the contract. The Contracting e

Officer is responsible for directing or negotiating any changes in tems, conditions, or amounts cited in the contract.

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For guidance from the Project Officer to the Contractor to be valid, it must: (1) be consistent with the. description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of perfomance or contract delivery schedule; and, as stated above, (4) not constitute a basis for any increase in the contract cost.

B. Name and Mail Code: Bernard H. Weiss, MNBB 3302 Office Address: Office of Inspection and Enforcement i

Telephone Number: (301) 492-7053 l ,

• ' Page 13 G.6 Travel Reimbursement The contractor will be reimbursed for the following reasonable domestic travel costs incurred directly and specifically in the performance of this contract and accepted by the Contracting Officer:

1. Per deim shall be reimbursed at a daily rate not to exceed $50.00.

The per diem amount is comprised of lodging expense plus $23.00 for meals and miscellaneous expense, the total of which shall not exceed the daily rate.

2. Should the contractor be required to travel to one of the high-rate geographical areas as detailed in Federal Travel Regulations (FTR),

actual subsistence costs shall be reimbursed at the daily rate specified in the FTR for that area.

3. The cost of travel by privately owned automobile shall be reimbursed at the rate of 20.5c per mile.

4. The cost of travel by rented automobile shall be reimbursed on a reasonable actual expense basis.

5. All common carriar travel reimbursable hereunder shall be via economy class rates when available. If not available, reimbursement vouchers will be annotated that economy class acconinodations were not available. First-class air travel is not authorized.

6. Receipts are required to be maintained in the contractor's internal records for common carrier transportation, lodging, and miscellaneous items in excess of $25,00.

G.7 Payment Due Date h (a) Payments under this contract will be due 30 calendar days after the later of:

(1) The date of actual receipt of a proper invoice (original and 4 copies) to:

U.S. Nuclear Regulatory Consnission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555 or (2) The date the final deliverable product / service is accepted by the Government.

(b) For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of the final deliverable product / service performed in accordance with the terms of the contract.

- . Pace 14 (c) If the final product / service is rejected for failure to conform to the technical requirements of the contract, the provisions in paragraph (b) of this caluse will apply to the new delivery of the final product / service.

(d) The date of payment by wire transfer through the Treasury Financial Communications System shall be considered the date payment is made for individual payments exceeding $25,000. The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.

G.8 Invoice Requirements Invoices shall be submitted in an original and 4 copies to:

U.S. Nuclear Regulatory Comission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555.

To constitute a proper invoice, the invoice must include the following information and/or attached documentation:

(1) Name of the business concern and invoice date.

(2) Contract number or other authorization for delivery of property or services.

(3) Description price and quantity of property and services actually delivered or rendered.

r; (4) Shipping and payment tems.

6:

(5) Name (where practicable), title, phone number, and complete mailing address of responsible official to whom payment is to be sent.

(6) Other substantiating documentation or infomation as required by the contract.

G.9 Interest on Overdue Payments (a) The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken discounts.

(b) Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides that:

> . Page 15 (1) Interest penalties are not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning compliance with the terms of the contract.

(2) Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the payment at the interest rate applicable on the payment date. Interest will be computed from the day after the due date through the payment date.

(c) For purposes of this clause, an expiration invoice is defined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract.

G.10 Method of Payment (a) Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less.

(b) Within seven days after the effective date of the contract, the Contractor shall forward the following infonnation in writing to the Contracting Officer to facilitate wire transfer of contract payments. In the event that the Contractor's financial institution has access to the Federal Reserve Communications System, Contractor shall complete all items except items 7 - 9. In the event the Contractor's financial institution does not have access to the Federal Reserve Communications System, Contractor shall complete all items except item 4.

1. Name and address of organization

- 2. Contact person and telephone number i

3. Name and address of financial institution

4. Contractor's Financial institutions's 9-digit ABA identifying number for routing transfer of funds

5. Telegraphic abbreviation of Contractor's financial institution I 6. Account number at Contractor's financial institution if it receives electronic funds transfer messages through the Federal Reserve Ccmmunications System

7. Name and address of the correspondent financial institution if the Contractor's financial institution does not receive i

electronic funds transfer messages through the Federal Reserve Communicatin s System l

Page 16

8. Correspondent financial institution 9-digit ABA identifying number for routing transfer of funds

9. Telegraphic abbreviation of correspondent financial institution

10. Signature and title of person supplying this information (c) Any changes to the information furnished under paragraph (b) of this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.

Page 17 Section H - Special Contract Requirements _

H.1 Key Personnel (a) The following individuals are considered to be essential to the successful performance of the work hereunder.

Andrew D. Cohen, Principal Investigator Richard K. Shullaw, Core Staff Gerard Smith, Core Staff Ann M. Nichol, Core Staff The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs (b) and (c) hereof.

(b) If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall imediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer or his authorized representative, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.

(c) All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer or needed by him to approve or disapprove the proposed substitution. The Contracting Officer or his authorized

representative will evaluate such requests and promptly notify the g Contractor of his approval or disapproval thereof in writing.

~

(d) If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for defaul t or for the convenience of the Government, as appropriate, or, at the discretion of the Contracting Officer if he finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

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• Page 18 H.2 Safety, Health, and Fire Protection The Contractor shall take all reasonable precautions in the perfomance 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 requMements (including reporting requirements) of the Commission and the Department of Labor. In the event thr.t 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.

H.3 Dissemination of Contract Information (OMB Clearance Number 3150-0112)

The Contractor shall not publish, pemit to be published, or disseminate to the public any information, oral or written, concerning the work perfomed under this contract without the prior written consent of the Contracting Officer. Two copies of any infomation proposed to be published or disseminated shall be submitted to the Contracting Officer.

Failure to comply with this clause shall be grounds for termination of this contract.

H.4 Private Use of Contract Infomation and Data Except as otherwise specifically authorized by Section H., publication 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 perfomance of this contract, shall i be used only in connection with the work under this contract.

H.5 Private Use of Contract Information and Data Except as otherwise specifically authorized by 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 only in connection with the i

work under this contract.

H.6 Proprietary Data and Confidential Infomation In connection with the performance of the work under this contract, the Contractor (trade secretsmay or)be furnished, confidential or may develop or privileged or acquire, technical, business,proprietary or d financial information, including Comission 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

, Page 19 public or has been determined by the Commission to be otherwise exempt from disclosure to the public. Contractor agrees to hold such infomation in confidence and not to directly or indirectly duplicate, disseminate, or disclose such infomation in whole or in part to any other person or organization except as may be necessary to perfom the work under this contract. Contractor agrees to return such information 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 completion or temination of this contract. Failure to comply with this clause shall be grounds for termination of this contract.

H.7 Security (OMB Clearance Number 3150-0112)

(a) It is the Contractor's duty to safeguard National Security information. The Contractor shall, in accordance with the Commission's security regulations and requirements, be responsible for safeguarding National Security infomation and protecting against sabotage, espionage, loss and theft, the classified documents and material in connection with the perfomance of work under this contract.

Performance under the contract will involve Secret National Security infomation requiring "L" (or equivalent) personnel security clearances.) Offerors must have clearances at the award of the contract. Offerors submitting proposals which do not adhere to this provision will be deemed nonresponsible.

If, subsequent to the date of this contract, the security level under the contract is changed by the Commission and such change causes an increase or decrease in the estimated cost or the time required for performance under the contract, the contract costs, delivery schedule, or both and any other provisions of the contract that may be affected

- shall be subject to an equitable adjustment by reason of such increased g or decreased costs. Any equitable adjustment shall be accomplished in

- the same manner as if such changes were directed under " Changes" Clause, Contract Clause No. 52.243-2, Alternate 1, hereto.

(b) Regulations. The Contractor agrees to confom to all security regulations and requirements of the Commission. Security / Classification Requirements, NRC Fom 187, is furnished as Enclosure 5.

(c) Definition of Restricted Data. The term " Restricted Data," as used in this clause, means all data concerning (1) design, manufacture, or utilization of atomic weapons; (2) the production of speciat 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 amended.

(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.

j "s Page 20 (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 regulations 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, Formerly 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 Contractor's control in connection with work under this contract, 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.8 Contractor Organizational Conflicts of Interest (OMB Clearance Number 3150-0112)

(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 otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue g of its performance of this contract.

(b) Scope. The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 CFR

$20-1.5402(f) in the activities covered by this clause.

l (c) Work for Others. Notwithstanding any other provision of this l contract, during the term of this contract, the Contractor agrees to l

l forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees 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. If the Contractor believes with respect to itself or any such l

employee that any proposed consultant or other contractual arrangement with any fi rTn 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.

i Page 21 (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 CFR have 20-1.5402 anya(or

. anizational conflicts of interest, as defined in 41 (2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such temination to be in the best interests of the Government.

(e) Access to and use of infomation.

(1) If the Contractor in the perfomance 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 net to:

(i) Use such infomation for any private purpose until the information has been released to the public; (ii) compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such infomation to the public, whichever is first; j (iii) submit an unsolicited proposal to the Government based on such infomation until one year after the release of such infomation to the public, or (iv) release the infomation 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 financial information under this contract, the Contractor shall treat such infomation in accordance with restrictions placed on use of the information.

(3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been net.

Page 22

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(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 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 prescrip'tions 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 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 (ED0) in accordance with the procedures outlined in

. 620-1.5411.

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Page 23 PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.222-2 PAYMENT FOR OVERTIME PREMIUMS. (APR1984)

(a) The use of overtime is authorized under this contract if the overtime In addition to this dollar ceiling, overtime premium cost does not exceed -0 .

is pennitted only for work--

(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those perfonning duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.

(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--

(1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.

{

(End of clause)

(R 7-203.27 1967 JUN) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).

(APR 1984)--Alternate I. (APR1984)

(a) Definitions.

"Invention" n'eans any invention or discovery which is or may be patentable or otherwise protectable under Title 35 of the United States Code.

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

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

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

Page 24 "Small business firm" means a small domestic business concern as defined at Section 2 of Public Law 85-536 (15 U.S.C. 632) and implementing regulations of the Administrator of the Small Business Administration. For the purpose of this clause, the size standards for small business concerns involved in Government procurement and subcontracting at 13 CFR 121.3-8 and 13 CFR 121.3-12, respectively, will be used. .

" Nonprofit organization" means a domestic university or other institution of higher education or an organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. 501(c) and exempt from taxation under section 501(a) of the Internal Revenue Code (26 U.S.C. 501(a) or any domestic nonprofit scientific or educational organization qualified under a state nonprofit organization statute.

(b) Allocation of principal rights. The Contractor may retain the entire right, ti tl e , and interest throughout the world to each subject invention subject to the provisions of this clause and 35 U.S.C. 203. With respect to any subject invention in which the Contractor retains title, the Federal Government shall have a nonexclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the United States the subject invention throughout the world. The license shall include the right of the Government to sublicense foreign governments and international organizations pursuant to the following treaties or international agreements: or pursuant to any future treaties or agreements with foreign governments or international organizations.

election of title, and filing of patent (c) Invention disclosure, 4 applications by Contractor.

(1) The contractor shall disclose each subject invention to the Contracting Officer within 2 months after the inventor discloses it in writing to Contractor personnel responsible for patent matters. The disclosure to the Contracting Officer shall be in the form of a written report and shall identify the contract under which the invention was made and the inventor (s). It shall be sufficiently complete in technical detail to convey a clear understanding, to

' the extent known at the time of the disclosure, of the nature, purpose, operation, and physical, chemical, biological, or electrical characteristics of g the invention. The disclosure shall also identify any publication, on sale, or

- public use of the invention and whether a manuscript describing the invention has been submitted for publication and, if so, whether it has been accepted for publication at the time of disclosure. In addition, after disclosure to the Contracting Officer, the Contractor shall promptly notify the Contracting Officer of the acceptance of any manuscript describing the invention for publication or of any on sale or public use planned by the Contractor.

(2) The Contractor shall elect in writing whether or not to retain title to any such invention by notifying the Federal agency within 12 months of disclosure; provided, that in any case where publication, on sale, or public use has initiated the 1-year statutory period wherein valid patent protection can still be obtained in the United States, the period of election of title may be shortened by the agency to a date that is no more than 60 days prior to the end of the statutory period.

(3) The Contractor shall file its initial patent application on an elected invention within 2 years after election or, if earlier, prior to the end of any statutory period wherein valid patent protection can be obtained in the United States after a publication, on sale, or public use. The Contractor will file patent applications in additional countries within either 10 months of the corresponding initial patent application or 6 months from the date permission is

Page 25 granted by the Commissioner of Patents and Trademarks to file foreign -patent applications where such filing has been prohibited by a Secrecy Order. 1 (4) Requests for extension of the time for disclosure to the Contracting Officer, election, and filing may, at the discretion of the funding Federal I agency, be granted.

(d) Conditions when the Government may obtain title. The Contractor shall convey to the Federal agency, upon written request, title to any subject invention--

(1) If the Contractor fails to disclose or elect the subject invention within the times specifiad in paragraph (c) above, or elects not to retain title (the agency may only request title within 60 days after learning of the Contractor's failure to report or elect within the specified times);

(2) In those countries in which the Contractor fails to file patent applications within the times specified in paragraph (c) above; provided, however, that if the Contractor has filed a patent application in a country after the times specified in paragraph (c) above, but prior to its receipt of the written request of the Federal agency, the Contractor shall continue to .

retain title in that country; or '

(3) In any country in which the Contractor decides not to continue the prosecution of any application for, to pay the maintenance fees on, or defend in reexamination or opposition proceeding on, a patent on a subject invention.

(e) Minimum rights to contractor. (1) The Contractor shall retain a nonexclusive, royalty-free license throughout the world in each subject invention to which the Government obtains title except if the Contractor fails to disclose the subject invention within the tines specified in paragraph (c) above. The Contractor's license extends to its domestic subsidiaries and affiliates, if any, within the corporate structure of which the Contractor is a r part and includes the right to grant sublicenses of the same scope to the extent I the Contractor was legally obligated to do so at the time the contract was

! awarded. The license is transferable only with the approval of the funding Federal agency except when transferred to the successor of that part of the i

Contractor's business top which the invention pertains.

i (2) The Contractor's domestic license may be revoked or modified by the j funding Federal agency to the extent necessary to achieve expeditious practical

- application of the subject invention pursuant to an application for an exclusive r license submitted in accordance with applicable provisions in the Federal Property Management Regulations and agency licensing regulations (if any). This license shall not be revoked in that field of use or the geographical areas in which the Contractor has achieved practical application and continues to make the benefits of the invention reasonably accessible to the public. The license in any foreign country may be revoked or modified at the discretion of the funding Federal agency to the extent the Contractor, its licensees, or its domestic subsidiaries or affiliates have failed to achieve practical application in that foreign country.

l (3) Before revocation of modificatior, of the license, the funding i

Federal agency shall furnish the Contractor a uritten notice of its intention to i revoke or modify the license, and the Contractor shall be allowed 30 days (or j such other time as may be authorized by the funding Federal agency for good cause shown by the Contractor) after the notice to show cause why the license l should not be revoked or modified. The Contractor has the right to appeal, in l

accordance with applicable agency licensing regulations (if any) and the Federal Property Management Regulations concerning the licensing of Government- owned

)

i "a Page 26 inventions, any decision concerning the revocation or modification of its license.

(f) Contractor action to protect the Government's interest. (1) The Contractor agrees to execute or to have executed and promptly deliver to the Federal agency all instruments necessary to (1) establish or confirm the rights the Government has throughout the world in those subject inventions to which the Contractor elects to retain title, and (ii) convey title to the Federal agency when requested under paragraph (d) above, and to enable the Government to obtain patent protection throughout the world in that subject invention.

(2) The Contractor agrees to require, by written agreement, its employees, other than clerical and nontechnical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the Contractor each subject invention made under contract in order that the Contractor can comply with the disclosure provisions of paragraph (c) above, and to execute all papers necessary to file patent applications on subject inventions and to establish the Government's rights in the subject inventions. This disclosure fomat should require, as a minimum, the information required by subparagraph (c)(1) above.

The Contractor shall instruct such employees through employee agreements or other suitable educational programs on the importance of reporting inventions in sufficient time to pemit the filing of patent applications prior to U.S. or foreign statutory bars.

(3) The Contractor shall notify the Federal agency of any decision not to continue the prosecution of a patent application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a patent, in any country, not less than 30 days before the expiration of the response period required by the relevant patent office.

(4) The Contractor agrees to include, within the specification of any United States patent application and any patent issuing thereon covering a subject invention, the following statement: "This invention was made with Government sup under (identify the contract) awarded by (identify the

- Federal agency)portThe Government has certain rights in this invention."

I (g) Subcontracts. (1) The Contractor shall include this clause (52.227-11

& of the Federal Acquisition Regulation (FAR)), suitably mcdified to identify the

parties, in all subcontracts, regardless of tier, for experimental,

~

developmental, or research work to be perfomed by a small business fim or nonprofit organization. The subcontractor shall retain all rights provided for the Contractor in this clause, and the Contractor shall not, as part of the consideration for awarding the subcontract, obtain rights in the subcontractor's subject inventions.

(2) In the case of subcontracts, at any tier, when the prime award with the Federal agency was a contract (but not a grant or cooperative agreement),

the agency, subcontractor, and the Contractor agree that the mutual obligations of the parties created by this clause constitute a contract between the subcontractor and the Federal agency with respect to those matters covered by this clause.

(h) Reporting utilization of subject inventions. The Contractor agrees to submit on request periodic reports no more frequently than annually on the utilization of a subject invention or on efforts at obtaining such utilization that are being made by the Contractor or its licensees or assignees. Such reports shall include infomation regarding the status of development, date of first comercial sale or use, gross royalties received by the Contractor, and such other data and information as the agency may reasonably specify. The

"s Page 27 Contractor also agrees to provide additional reports as may be requested by the agency in connection with any march-in proceedings undertaken by the agency in accordance'with paragraph (j) of this clause. To the extent data or information supplied under this paragraph is considered by the Contractor, its licensee, or assignee to be privileged and confidential and is so marked, the agency agrees that, to the extent permitted by law, it shall not disclose such infomation to persons outside the Government.

(i) Preference for United States industry. Not withstanding any other provision of this clause, the Contractor agrees that neither it nor any assignee will grant to any person the exclusive right to use or sell any subject invention in the United States unless such person agrees that any products embodying the subject invention will be manufactured substantially in the United States. However, in individual cases, the requirement for such an agreement may be waived by the Federal agency upon a showing by the Contractor or its assignee that reasonable but unsuccessful efforts have t.een made to grant licenses on similar terms to potential licensees that would be likely to manufacture substantially in the United States or that under the circumstances domestic manufacture is not comercially feasible.

(j) March-in rights. (1) The Contractor agrees that with respect to any subject invention in which it has acquired title, the Federal agency has the right in accordance with the procedures in FAR 27.304- 1(g) to require the Contractor, an assignee, or exclusive licensee of a subject invention to grant a nonexclusive, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances, and if the Contractor, assignee, or exclusive licensee refuses such a request, the Federal agency has the right to grant such a license itself if the Federal agency detemines that--

(1) Such action is necessary because the Contractor or assignee has not taken, or is not expected to take within a reasonable time, effective steps to achieve practical application of the subject invention in such field of use; (ii) Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the Contractor, assignee, or their l licensees; i (iii) Such action is necessary to meet requirements for public use

specified by Feoeral regulations and such requirements are not reasonably satisfied by(the Contractor, iv) Such action isassignee, necessaryorbecause licensees; the or agreement required by paragraph (i) of this clause has not been obtained or waived or because a licensee of the exclusive right to use or sell any subject invention in the United States is in breach of such agreement.

(k) Special provisions for contracts with nonprofit organizations. If the Contractor is a nonprofit organization, it agrees that--

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

(2) The Contractor may not grant exclusive licenses under United States l patents or patent applications in subject inventions to persons other than small business firms for a period in excess of the earlier of--

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i Page 28 (1) Five years from first commercial sale or use of the invention; or (ii) Eight years from the date of the exclusive license excepting that time before regulatory agencies - necessary to obtain premarket clearance, unless on a case-by-case basis, the Federal agency approves a longer exclusive license. If exclusive field-of-use licenses are granted, commercial sale or use in one field of use will not be deemed commercial sale or use as to other fields of use, and a first commercial sale of use with respect to a product of the invention will not be deemed to end the exclusive period to different subsequent products covered by the invention; (3) The Contractor shall share royal ties collected on a subject invention with the inventor; and (4) The balance of any royalties or income earned by the Contractor with respect to subject inventions, af ter payment of expenses (including payments to inventors) incidental to the administration of subject inventions, will be utilized for the support of scientific research or education.

(1) Communications. Reserved.

(Endofclause)

(R7-302.23(h)1981JUL)

(R 7-303.23(b) 1981 JUL) 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984)

This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

1. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR 1984)

[ Section F 52.212-13 STOP-WORK ORDER. (APR1984)

Section I 52.202-1 DEFINITIONS. (APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR1984) 52.203-3 GRATUITIES. (APR 1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR 1984) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR1984) 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA.

L (APR 1984) 52.215-23 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA--

MODIFICATIONS. (APR 1985) 52.215-25 SUBCONTRACTOR COST OR PRICING DATA--MODIFICATIONS.

(APR 1985) 52.215-30 FACILITIES CAPITAL COST OF MONEY. (APR 1984) 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY. (APR 1984)

e Page 29 52.216-7 ALLOWABLE COST AND PAYMENT. (APR 1984) 52.216-8 FIXED FEE. (APR 1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS. (JUN 1985) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR 1984) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR1984) 52.222-3 CONVICT LABOR. (APR1984) 52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER. (APR 1984) 52.227-1 AUTHORIZATION AND CONSENT. (APR1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS. (APR1984) 52.230-3 COST ACCOUNTING STANDARDS. (APR 1984) 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS. (APR1984) 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES.

(APR1984) 52.232-17 INTEREST. (APR 1984) 52.232-22 LIMITATION OF FUNDS. (APR1984) 52.232-23 ASSIGNMENT OF CLAIMS. (APR 1984) 52.233-1 DISPUTES. (APR 1984) 52.233-3 PROTEST AFTER AWARD (JUN 1985)

I (a) Upon receipt of a notice of protest (as defined in 33.101 of the FAR) g the Contracting Officer may, by written order to the Contractor, direct the

- Contractor to stop perfonnance of the work called for by this contract. The r order shall be specifically identified as a stop-work order issued under this clause. Upon receipt of the order, the Contractor shall innediately comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.

Upon receipt of the final decision in the protest, the Contracting Officer shall either--

(1) Cancel the stop-work order; or (2) Tenninate the work covered by the order as provided in the Default, or the Termination for Convenience of the Government, clause of this contract.

(b) If a stop-work order issued under this clause is canceled either before or after a final decision in the protest, the Contractor shall resume work. The Contracting Officer shall make an equitable adjustment in the delivery schedule or contract price, or both, and the contract shall be modified, in writing, accordingly, if--

(1) The stop-work order results in an increase in the time required for, or in the Contractor's cost properly allocable to, the performance of any part of this contract; and

I Page 30 (2) The Contractor requests an adjustment within 30 days after the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Officer may receive and act upon the request at any time before final payment under this contract.

(c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer shall allow reasonable costs resulting from the stop-work order in arriving at the termination settlement.

(d) If a stop-work order is not canceled and the work covered by the order is terminated for default, the Contracting Officer shall allow, by equitable adjustment or otherwise, reasonable costs resulting from the stop-work order.

(e) The Government's rights to terminate this contract at any time are not affected by action taken under this clause.

(EndofClause) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR1984) 52.243-2 CHANGES--COST-REIMBURSEMENT. (APR 1984)--Alternate I.

(APR 1984) 52.244-5 COMPETITION IN SUBCONTRACTING. (APR1984) 52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, TIME-AND-MATERI AL, OR LABOR-HOUR CONTRACTS). (APR1984) 52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR 1984) 52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS. (APR 1984) 52.249-6 TERMINATION (COST-REIMBURSEMENT). (APR 1984) 52.249-14 EXCUSABLE DELAYS. (APR 1984) h i

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s Page 31 PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments Attachment Number Title 1 Federal Preparedness Circular 60 (dated May 3,1984)

2 Nuclear Regulatory Commission Essential Uninterruptible 4

Functions 3 NRC Organization Chart 4 NRC Contractor Organizational Conflicts of Interest (41 CFR Part20) 5 Security Classification Requirements (NRC Form 187) 6 NRC Hanual Chapter 3202 7 Billing Instructions I

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ATTACHMENT 1 FEDERAL PREPAREDNESS CIRCULAR 9'67, Federal Emergency Management Agency Washington, D.C. 20472 FPC 60 m-May 3, 1984 TO: HEADS OF FEDERAL DEPARTMENTS AND AGENCIES

SUBJECT:

Continuity of the Executive Branch of the Federal Government in National Emergencies

1. Purpose. This Federal Preparedness Circular (FPC) provides policy guidance to Federal departments and agencies on measures to be undertaken to preserve the continuity of the nonmilitary elements of the executive branch of the Federal Government to ensure executive branch performance of essential functions under all emergency conditions.

2. Suma ry. Federal departments and agencies are responsible for develop-ing and maintaining plans and programs to ensure their performance of essential functions under all emergency conditions.

3. Applicability and Scope. The provisions of this FPC are applicable to all Federal departments and agencies with emergency continuity-of-government responsibilities assigned in Section 102(b) of Executive Order 11490, Assigning Emergency Preparedness Functions to Federal Departments and Agencies, as amended. Provisions of this FPC also apply to the full range of emergencies as described in FPC 2, The Conceptual Framework for Emergency Mobilization Preparedness, issued October 27, 1983.

. 4. Supersession. This FPC supersedes Office of Emergency Preparedness 7

Circular (0EP) 9100.2, Continuity of the Executive Branch of the Federal Government, issued April 12,1972 (also may be identified as FPC 11).

" 5. Authorities,

a. Sections 102(b) and 103, Executive Order 11490, Assigning Emergency Preparedness Functions to Federal Departments and Agencies, October 28, 1969, as amended.

b. Section 2-101, Executive Order 12148, Federal Emergency Management, July 20,1979.

6. Background. It has been necessary for the Federal Government to develop l

and maintain measures to ensure performance of essential governmental i

functions by duly authorized departments and agencies during crises or emergency conditions, including nuclear attacks on the United States. In t

o " ,

e. Departments and agencies are requested to apply the Category A, B, and C criteria to their own emergency functions and organizational elements.

Whenever a change in the category assignment is desired, a request for redesig-nation should be submitted to the Director, Federal Emergency Management Agency (FEMA).

8. Responsibilities.

a. Federal departments, designated components of the Executive Office of the President, and independent agencies in Category A are to be prepared to carry out their national-level essential functions from any one of at least three locations, with the regular headquarters as the primary location and the others as alternate headquarters,

b. Other independent agencies and other components of the Executive Of fice of the President in Category B are to be prepared to reconstitute their organizations and to carry out emergency assignments as soon as conditions permit at regular headquarters or at one or more designated alternate locations.

c. Agencies in Category C do not have emergency assignments requiring advance arrangements for alternate locations for emergency operations.

d. As further insurance against the possibility that all other conti-nuity arrangements may become inoperative, those agencies in Categories A l and B having suitable field organizations shall prepare them to accept

, interim authority and responsibility for performance of essential national functions, consistent with existing law. To the extent feasible, the i regional order of succession to emergency authority will be in accordance with the regional listing presented in Attachment B.

9. Emergency Operating Capability.

a. Organizations in Category A are to establish at least three execu-tive teams, ALPHA, BRAVO, and CHARLIE, at the national level composed of the minimum number of personnel needed to perform essential national func-g tions curing the emergency. As necessary, in the event of an emergency,

" the ALPHA Team would comprise the minimum cadre for continuous departmental i'

or agency leadership from the National Office for initiating emergency operations during nonduty hours and for directin'g them during duty hours; the BRAVO and CHARLIE Teams, respectively, would each report, on instruc-tions, to separate designated emergency operating facilities outside the Washington, D.C., area, one of which is a consolidated emergency operating

( The national office and at least one of the other emergency facility.

l operating facilities are to be suitably prepared for expansion of government activities during national reconstitution and recovery. It is desirable that maximum use be made of existing assets to provide Federal Government l

authorities and their staffs with protection, equipment and supplies, and I

communications capabilities suitable to the performance of essential functions.

One or more individuals designated in the order of succession to the posi-tion of head of the departmer,t or agency will be assigned to each of the teams. Space for the head of the department or agency is to be made l

available at each location. Supporting professional, clerical, and service

[

(

J Where a suitable field structure exists, the successors located outside

' the Washington, D.C., area should include all Regional Directors. Constit-uent bureaus and other appropriate organizational elements should pro-  :

i

' vide comparable depth and distribution of orders of succession. Further 4

guidance is provided in Federal Preparedness Circular 61, Emergency Succes-sion to Key Positions of Federal Departments and Agencies.

b. Predelegation of Emergency Authority. Consistent with all applica-ble statutes and Executive orders, heads of Federal departments and agencies having responsibilities for emergency preparedness and operations shall provide for predelegation of emergency authoritie's. Predelegation i of emergency authority is to be officially recorded and disseminated; it is to include identification of the limits of authority and accountability and the circumstances under which the authority is to be exercised. Any exceptions to the authority of designated successors to exercise agency direction should be stated explicitly and should include the authority to redelegate functions and activities. Further guidance is provided in Federal Preparedness Circular 62, Predelegation of Emergency Authorities.

i

c. Safekeeping of Essential" Records. Records vital to emergency opera-

' tions should be maintained on a current basis at alternate emergency relocation sites. In accordance with Section 2002(5) of Executive Order 11490, as amended, the General Services Administration provides:

". . . instructions and advice on appraisal, selection, preser-vation, arrangements. references, reproduction, storage, and salvage of essential records needed for the operation of the Federal Government af ter attack, on an emergency basis, including a decentralized system."

Additional guidance is provided in A Records Managenent Handbock, issued by the National Archives and Records Service.

i d. Emergency Relocation Sites Supported by Communications and Required l (, Services. Emergency relocation sites, supported by communications and e required services for executive complements previously described, are to be maintained in accordance with criteria issued by FEMA. Arrangements

' for emergency operations at regular headqua'rter's, both in Washington, D.C. ,

and in the field, are to make maximum use of existing space that is most suitable for the continuous performance of essential functions. Relocation sites are to be selected principally from existing facilities. This practice should be followed where additional relocation sites are required, although opportunities provided by new facilities being established for other programs should be considered. Adaptability to expansion and operations in a recon-stitution phase is an important consideration. Cooperation between agencies in the collocation of functionally related organizations is also desirable.

e. Emergency Action Steps. Emergency action steps are to be estab-lished and published for distribution to all appropriate personnel. These Steps should include identification of emergency assignments, emergency duty stations, alerting or notification procedures, and other actions and measures to be taken under various civil readiness levels Relevantor officialcivil orders, including those related to agency reconstitution.

defense instructions and procedures for reporting postattack availability

also are to be included.

FPC-60 ATTACHMENT A CATEGORY A AND CATEGORY B DEPARTMENTS AND AGENCIES

1. CATEGORY A DEPARTMENTS AND AGENCIES EXECUTIVE DEPARTMENTS

• Department of State Department of the Treasury Department of Defense Department of Justice Departnent of the Interior Department of Agriculture Department of Commerce Department of Labor Departrent of Health and Human Services Department of Housing and Urban Development Department of Transportation Department of Energy Department of Education EXECUTIVE OFFICE OF THE PRESIDENT Council of Economic Advisers National Security Council Of fice of Management and Budget Of fice of Science and Technology Policy AGENCIES E Central Intelligence Agency

k. Civil Aeronautics Board e Environmental Protection Agency Federal Communications Commission Federal Emergency Management Agency Federal Reserve System General Services Administration Government Printing Of fice United States Information Agency Interstate Commerce Commission National Aeronautics and Space Administration Nuclear Regulatory Commission Of fice of Personnel Management Selective Service System Tennessee Valley Authority United States Postal Service Veterans Administration

• In order of succession.

A-1

FPC-60 ATTACHMENT B Regional Order of Succession to Emergency Authority for Conduct of Essential National Functions The preferred order for emergency regional succession to authority for conduct of the essential national functions of Federal departments and agencies is indicated below:

FEMA Region Federal Regional Center Federal Regional Council City 111 Olney, Maryland Philadelphia, Pennsylvania VI Denton, Texas Dallas-Ft. Worth, Texas Maynard, Massachusetts Boston, Massachusetts 1 IV Thomasville, Georgia Atlanta, Georgia Vill Denver, Colorado Denver, Coloraoo Bothell, Washington Seattle, Washington X Battle Creek, Michigan Chicago, Illinois V i

IX Petaluma, California k San Francisco, California Denton, Texas Kansas City, Missouri Vil 11 Maynard, Massachusetts New York, New York B-I c ,. o . .. .. a

ATTACHMENT 2

' ' ' "* NUCLEAR REGULATORY COMMISSION

, ESSENTIAL UNINTERRUPTIBLE FUNCTIONS During a national imergency stemming from a nuclear attack, or threat of an imminent attack, the Nuclear Regulatory Commission will be pre-pared to perform or administer the following essential uninterruptible functions. These functions are limited to the preattack, attack, and immediate postattack periods, and will be carried out only as authorized by statutory or constitutional authority.

1. Maintain increased surveillance of the operations of licensed nuclear reactors and fuel cycle facilities to assure minimum hazard to health and safety consistent with National security needs, and as necessary and appropriate:

a. Order shutdown or curtailnent of operations.

b. Order continued operation.

c. Order entry to assume operational control of essential facilities.

d. Stop or curtail the use or transportation of special nuclear material, or order recall of such material.

2. Assess the damage to licensed nuclear facilities to:

a. Identify useable facilities,

b. Estimate the time required for restarting inoperative facilities.

c. Determine all hazardous conditions at these facilities and any hazardous releases from the facilities,

d. Assure that appropriate actions are taken to correct the hazardous conditions and inform and instruct the public to minimize injury and damage to property.

i

1. Assess the threats to special nuclear materials, high-level t

7 3.

radioactivity wastes, and nuclear facilities, and increase security measures as required to counter threats, thefts and sabotage.

4. Order the recapture or order entry into a facility to recapture special nuclear material.

5. Authorize revised safety criteria for licensed nuclear facilities and special nuclear material handling applicable to the changed operating and environmental conditions brought on by the emergency.

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N R C M 2101 apply to perf ormance of this contract, subcontract or other activity SECURITY /CLASSlFICATION REQUIREMENTS COMPL ETE CLASS /FIED ITEMS B Y SEPARA TE CORRESPO4DENCE 1 RE ASON FOR CONTR ACT NUMBER OR OTHER IDEN PROJECT E D 2. THIS SUBMISSION 85-REQUIREMENT TIFYING NUMBER rPr me rcarrwr aener COMPL E TION EFFECTIVE

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6. PROJE CT T eT LE AND OTHE R IDE NTIF vlNG 4NF ORM ATION Development of NRC Continuity of Government (C0G) program.

7. PERFORMANCE WILL REQUIRE YES NO TS S C NSI RD a ACCESS TO NRC F ACILITIESxxxx. X X X

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n ACCESS TO NRC HE ADQU AR TE R$, POSSESSION OF NRC PHOTO y y y IDE NTIF IC ATION OR C ARD K E Y B ADGES

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8. INFORMATION PE RTAINING TO THESE REQUIREMENTS OR THIS PROJECT. EVEN THOUGH SUCH INFORMA-TION IS CONS NCLASSIFl D SHALL OT BE RELEASED FOR DISSEMINATION EXCEPT AS APPROVED By:

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9. SACURITY CLASSIFICATION CEf O. .MENTS

, ,, a GUlO ANCE FURNISMED IN WT;lTING SY AUTHORl240 CL AS$lFIE A AND ATTACHED C2 AS STATED IN 9c BELOW.

b. GulOANCE FURNISHED IN WRITING SY DIV1810N OF SECURITY AND ATTACHED OR AS STATED IN 9e BELOW.

c NATURE OF CLASSIFICATION GUIDANCE to a<,. o. a. w DoeS not apply

10. CLASSIFICATION REVIEW OF CONTR ACTOR /SUBCONTR ACTOR REPORT {$) AND OTHER DOCUMENTS WILL BE CONDUCTED BY NAME OF AND TITLE OF POSITION OF AUTHOal2EO CLASSIFIER O DoeS not apply O oivisiON OF SECuRiTv

11. REQUIRED DISTRIBUTION OF NRC FORM 187 rCheca 4,soroar.dre honesn SPONSORING NRC OF FICE OR OlVISION tire.n flai PRIME CONTR ACTOR firem des X

X DIVISION OF SECU RIT v neem fios SUBCONT R ACTO R istem Sa>

RESPONSIBLE SECURITY OFFICE X DIVISION CF CONTR ACTS Itrem f2't tirems do saa 5a/

SECURITY / CLASSIFICATION REQUIREMENTS FOR SUBCONTRACTS RESULTING FROM THIS CONTRACT WILL BE APPROVED BY THE OFFICIALS NAMED IN ITEMS 12b AND 12c BELOW.

12. THE SECURITY /CLASSlFICATION REQUIREMENTS AND ATTACHMENTS REFERENCED HEREIN HAVE BEEN APPROVED BY THE OFFICIALS NAMED IN 12a AND b BELOW. FINAL CONTRACTING APPROVAL BY THE DIRECTOR, DIVISION OF CONTRACTS OR HIS REPRESENTATIVE IS TO BE INCLUDED IN 12c BELOW.*

1 NAME SIGN ATUR E DATE a OIRECTOR, OFFICE OR DIVISION J e

Edward L. Jordan, Director /

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