Text

Request for OMB Review & Supporting Statement Re Grant & Cooperative Agreement Provisions.Estimated Respondent Burden Is 1,550 H
	ML20206A639
Person / Time
Issue date:	04/02/1987
From:	Norry P; NRC OFFICE OF ADMINISTRATION (ADM)
To:	;
References
	OMB-3150-0107, OMB-3150-107, NUDOCS 8704080121
	Download: ML20206A639 (37)
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. . .Mj y r p p S"'" "" s 3 Request for OMB Review" d ' e c (Pev September 19E3)

Important

' Read instruction . t>etere competing form Do not use the srme SF 83 Send three copies of this form, the material to be reviewed, and for -

13 request both cr. Lxecutve Order 12291 revice and anemvat under paperworL-three copies of the supporting statement, to.

' the P;perwork Recuct:en tet.

Answ:r all questions in Part 1. If this request is for review unoer E.O. Office of Information and Regulatory Aff a'rs

~ 12291c complete Part 11 and s.gn the regutatory certitcat.on if tNs Office of Management and Budget request is for approval under the Paperwork Recucteor Act and 5 CFR

Attention. Doc ket Library. Room 3201

.1320, skip Part 11, compicte Part til and sign the paperwere. cerlification Washington. DC 20503 PART l.-Complete This Part for All Rcquests.

1. Departrr.ent/ agency and Ourcau/of tice onginating reauest 2. Agency code U.S. Nuclear Regulatory Commission 3 1 5 _.01

3. FLmnf person v.ho can test rswer questions r(garu.;w th s reve<t Telephone number Ronald D. Thompson ( 301) 492-4322___

4. Title of information ce!!ectinn or rulemaking Grant and Cooperative Agreement Provisions

5. tee 11 autnonty for inforrrat.nq coMecticn er r u'e (cW Unced State.< Cove. Febh: La.v. er Eaecutne Order) 42 use _22.0_1(ol_

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- r m %. r.e u 7 0 sman tm.neues en rce ma-s PART li.-Ccmpete This Part Gr.ly it ti.c 1. w. a fcr OME Revicw Under Executhe Order 12291

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7. Rett e etan ident?.c< t r " " (r: .:

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- -- -- - t::'~ a y e U B. Type cf subm,ss cn fchtcm cve on cae caterc~y) Type of review requested CI:ssification State r* c'evemp r.en*

O stancarc 1 O uaior i O ereposen er dratt 2 O eending 2 O nonma,or 2 O rino<r rntenmf nat.~tnpriororcpcsai 3 O Emergency 3 0 Firal or entenm fina'. v.rthout poor proposal 4 Statutory or judicial ceadhne

9. CFR section atfEd CFR.

10. Does this regutat on cent.vt report ng cr recordkeen3 requ ements trwt r<. Quire OMB approval under the Paperwork Reduction Act and 5 CFR 1320? - O ves O no

11. lf a vnaer ru!e. is there a regdatery irnpact anatyrs rttact er 1 O yes 2 O No if* No." did OMB war the ana'rs is' 3 0 vcs 4 0 na Certific: tion for Regulatory Submissions in submitting this reque st for OUE re.iew. tne a thovea recuete*> wtact an:' t"e prograrn of final cert:f y that the requirements of E.O 12291 and any app 5 cable pohry directives have been t cn $( d w,th ~

Sigruture cf prograra:;'Sw Date 8704080121 PDR ORG 870402 -

Sigrcture of authorgec regaterj cor tact EUSONS PDR Date

12. (UintB use on))

Pv;vio n editions c t. sci " & 3 ;c9 standvd rerm 83(W < 9 t .

NSri E10 00 034 G4 pr,..f, bed ty c'J.b

$ Cr R 1320 and E O 127'.>1 L

7 PART lil,-Crtnplet ;This Part Cnly if th] R; quat is for Approval (f a C:ll:ction

e f inf rrn ~ tion Under tin PL perwork Reduction Act end 5 CFR 1320.

13. Abstract-cesom reeds. us-s and at'ected oubi;c in so .ords or iess # Grant Administration Agreements" The Division of Contracts uses provisions in its grants and cooperative agreements to ensure: adherence to Public Laws, that the Government's rights are protected, that work proceeds on schedule, and that\ disputes between the parties are settled.

14. Type of inferinat on co:!ection (check only one)

Information collections not contained in rules 1 $ Regular submission 2 O Ernersency subra. won (cert,ricationar ached)

Information collections contained la rules 3 0 Emsting regutat:en(nochargeproposed) 6 Firal or intenm f nal vnthout pr.or NPM8 ' 7. Enter date of espected or actual Federal 4 O Netice of proposed rufemaking(NPRM) A O Reguiar subrnission Registar pubiscat:en at this stage of rui making 5 0 renai. NPRM was previousir pubnshed - B O ' Emergency submission (certif, cation atfached) (month, day, pear):

15. Typ ot review requested (check only ore) 1 Nevv collection 4 O Reinstatement of a previous!y aoptoved coii.ction for .hich approvai has exp <ed 2 I[ Revision of a currently approved collection

'3 Extension of the empiration date of a currently approved cot!ection 5 0 Existing co!!ection :n we without an OMB centrol number witho .t any change in the substance or in the method of collection 1s. Agency repcrt form nurrber(s)(rnclude standard /cptionalform number (s)) 22. Purpose cf information coifectron (check as many as apply) 1 & 4pk8t'en for beaus N/A 2 C Programev3fuat en

' 17. Annual recortrg or disciosure burden ! 3 O Generalpurposestatst:cs 1 Mureer of respordents . 55 4 g aegmrya,companc,,

2 %moer of rW0rses pH respordent. 3.02 5 o pr:g,sm fann,ng or m,,,ren, 3 TetM 1nnut rnpow.es(<ne 1 t.r cs. ore 2) $00 6 U Pnnrch 4 Hours per regps. 9.3 7 O Aad.t 5 Tct3f hcut1(Ira J twes hne 4) $,

1 st. Ann.nl reco Gee; q, burden D3. Frequencf of reccr@eepicd orieoortmg(checA alltt'atJfp/f )

nwo r u reme,,, N/A 3 me,3,;.perg l

. 2 Annua 6 Wi p?r nea'dxeeper. j he thM J fvtal rece rdNecq hcurs (tm I tres i,ce 2) I 2 )C On c ca.on

, 4 Recorcheeping retent on period years 3 0 mm

19. Total annual burder' 4 0 ney 1 Requested lit ne 174 plus hne Id-3) . 1,550 5 ja q,arter,y 2 in current CMS inventory 730 s X] s,mbannuany 3 Doference pne 1 tesslee 2) +820 1 O u.nua'iy Dclanation of difference 3 Bienniany

[ 4 Program change +820 9 g] otne,(ecscre,): at completion of grant or 5 Adjustment . Cooperative agreement

20. Currrnt (mest recent) OMB control number or comment number - 24. Respondents

obhgation to comply (check the stroegest abligation thJtapplies) 3150-0107 i O votuntary

21. Requested en piration date 2 20 Required to obtain or retain a benefit 3/31/90 3 O Mandatory i 25. Are tne respondents primanly educational agencies or institutions or is the primary purpose of tt:e collection related to Federal education programs? Yes M No i

! 26. Do$s the agency use samphrg to select respondents or does the agency recommend or prescrite the use of samphng or statistical analysis l by respondents . Yes U No

21. R;gulatory authority for the information collection CFR :or FR ; cr.Cther(specify)-

' Paperwork Certification in sub.wtt:ng this request for OMB approval. the agency he.sd. the senior of ficial or an authorized representative, cert;f.es that the regwrements of 5 CFR 1320. the Pr:vacy Act. statst: cal standards or directives, and any other apphcable informaton pohey directives have been compted with.

S*gnatum ui p*egrarn of fcat Date

$>gniture of agency heaJ, the senior official or an authorized representative Date

,Patripia G. Norry M 4% Sd7

[ 4 cro : 1984 o - 453-776

, 7 SUPPORTING STATEMENT FOR GRANT / COOPERATIVE AGREEMENT PROVISIONS j A. Justification

1. Need for the Collection of Information The Nuclear Regulatory Comission provides funds for financial assistance for research as well as to support professional meetings, symposia,.

> conferences, national and international comissions and publications to stimulate research. The Division of Contracts is responsible for the awarding of grants and cooperative agreements for the Agency. These l financial assistance instruments provide funding for these programs for a public purpose, f

1 In the awarding and administering of grants and cooperative agreements, the Division of Contracts uses provisions to insure that Public Laws are l adhered to, that rights of the Government are protected, that work proceeds on schedule, and within the general scope of the grant or cooperative agreement, and that disputes, if any, between the parties are settled.

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j 2.. Agency Use of Information o Dispute Review Procedure This provision clearly establishes the mechanism to be used by the flRC should the grantee / cooperator request a review of an adverse action taken by the Comission against the grantee or cooperator. Seeking fairness and

equity, the provision calls for a comittee to review the facts and where

. appropriate, provide a forum for the grantee / cooperator and program personnel to discuss the issues. The grantee / cooperator is required to submit to the Grants Office a copy of a request to review a Grants Officer decision. The comittee reviews the merits of the request and prepares a j recomendation to the Director, Office of Administration who decides the

( particular matter. No other method exists to secure the

( grantee / cooperator request.

L j o Reporting Program Technical Performance h In order to be apprised of the grantee's/ cooperator's progress under the j grant or cooperative agreement, this provision is necessary. Should the report indicate problems, remedial steps can be initiated. Further, this

! provision allows the Comission to review the final draft of a journal l article before publication. The grantee / cooperator is required to submit

) one copy of this report to the Grants Officer who will review the grantee's/ cooperator's progress. No other method exists to secure this f information.

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.o Rights in Inventions This provision is necessary in order for the' Government to determine from

grantee / cooperator supplied: information whether or not the public interest and the equities of the: grantee / cooperator are served -in deciding whether-

. :or not to file:a patent application and in determining the disposition of-an invention or discovery and the title and rights that may result under a patent application.

Further, this provision is required' to protect against public disclosure of information related to inventions or discoveries that would adversely

, affect the patent interests of the NRC or the grantee / cooperator.

Grantees / cooperators' are to send one copy of the information to'the Grants Officer who reviews the material to make the above determinations in consultation with the cognizant NRC attorney. There is no other method of securing this information from grantees / cooperators.

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c. Reporting of Royalties -

i The' requirements of this provision make clear that the Government may

. contest the enforceability validity and title to any patent under which a royalty or payment is made. The provision is also necessary in that it allows the Commission through ' review of grantee / cooperator supplied 2 information to ascertain the patents or basis on which royalties are to be paid. . The grantee / cooperator agrees to report in writing (one copy) to

-the NRC Patent Counsel stipulating the amount of royalties or ~other payments made in connection with performance under the grant or cooperative agreement. No other method exists to secure the information required under this provision.

o Changes in Principal Investigator or Technical Objectives

i. Ensures that the stated objective of the grant / cooperative agreement research effort, the principal investigator or the phenomenon under study will not unilaterally be changed by the grantee / cooperator. NRC Grants

- Officer approval is required for any such changes under the grant / cooperative agreement. The grantee / cooperator must submit one copy of the request to the Grants Officer who reviews the request in r' consultation with the project officer before approving or disapproving the proposed change. There is no other method of obtaining the requested information other than following the dictates of this provision.

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.o Notice and Assistance Regarding Patent and' Copyright

Infringement i

This provision requires the grantee / cooperator to provide the. Commission with all evidence and information known should any claim or suit arise against the Government of any alleged patent or copyright infringement under grant / cooperative agreement performance. This requirement is important to protect the rights and interests of the Government. The grantee / cooperator shall provide this evidence and information in one copy to-the Grants Officer who in consultation with NRC patent counsel reviews the material to decide the best course of action to protect the :

Government's interests. No other method exists to secure the required information.

o Procurement Standards

~This provision sets rules for the grantee / cooperator to follow if the grantee / cooperator. awards a contract (s) under the grant or cooperative agreement. The Government seeks to insure that these contracts are awarded competitively where possible and that negotiated prices are reasonable. Clause stipulates circumstances when the grantee / cooperator must submit requests (one copy) to the Grants Officer for approval. The Grants Officer reviews each request and decides which course of action is in -the Government's best interests. No other method exists to secure these requests.

o Suspension or Termination for Cause Provision protects the Government by stating that it has the unilateral

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right to terminate or suspend the grant / cooperative agreement when the

grantee or cooperator failed to comply with the grant / cooperative i agreement terms and conditions. The provision requires an accounting of funds expended so that the Government can ascertain what monies, if any, should be deobligated from the grant / cooperative agreement and returned to the Government. The grantee / cooperator must respond to the Grants Officer l- (one copy) within 30 days of the Government's letter identifying i deficiencies in grant / cooperative agreement performance. The

grantee / cooperator shall also send one copy to the Principal Investigator and one copy to the NRC Program Officer. The Grants Officer must decide the course of action to follow in consultation with the Program Officer i ^(suspend, terminate or continue grant / cooperative agreement performance).

! No other method exists outside of the aegis of this provision to collect the needed information.

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o ' Termination for Convenience v,

This provision requires the grantee / cooperator to document a-request to t terminate' the grant / cooperative agreement and submit the request in one ,

copy to.the NRC Grants Officer and one copy to the Program Officer and-Principal. Investigator. The Commission then has.a written record to respond to and challenge if it is in its best interests. The Grants.

Officer, .in consultation with the Program Officer and Principal Investigator will come to an understanding with tne grantee / cooperator as to whether to terminate the grant / cooperative agreement or not. No other method exists to secure this needed information.

The reporting /information requirements imposed by the above

grant / cooperative agreement provisions annually affect from 2 to 55 grantees / cooperators depending upon the particular provision. Table I shows the number of respondents. for each provision. The information

collection requirements do not involve surveys. Grantees / cooperators send rep' orts and information to the NRC per grant /cnoperative agreement requirements. All information is collected under the above cited provisions. As indicated in the individual supporting statements, the information is submitted to the Grants Officer with copies going to the NRC Program Officer and Legal Counsel in some instances. In all cases it is the responsbility of the Grants Officer to review the information and decide on the best course of action to follow.

. 3. Reduction of Burden Through Information Technology Due,to the diversity of respondents, variances in presentation of information, and infrequency of submission, further reduction of the

l. burden through automated information technology is not feasible. There j are no legal obstacles to reducing.the burden associated with this t information collection assuming that sensitive information can be protected from improper disclosure.

4. Effort to Identify Duplication The Federal Information Locator System (FILS) was searched and no duplication was found.

5. Effort to Use Similar Information These provisions are not used in any other legal instrument for agency use other than for grants and cooperative agreements.

6. Effort to Reduce Small Business Burden The agency grant / cooperative agreement program is not extended to profit making concerns including small businesses. Program participants only include: nonprofit concerns, universities and other institutions of higher learning, professional societies and state and local governments.

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, 7.- Consequences- of Less Frequent Collection

>If the requested information is' collected -less frequently the. agency could anot adequately track grantee / cooperator progress or ascertain if the work

. being perfomed is within the general scope of the grant or cooperative Lagreement.:

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Most provisions (Dispute l Review. Procedure, Rights in' Inventions, Reporting

' of Royalties, Changes in Principal-Investigator or Technical Objectives.

' Notice and Assistance Regarding Patent and Copyright Infringement,

, Suspension or Termination for Cause and Termination for Convenience) require information only in specific, limited circumstances defined in the

. provision. .The information is necessary to protect the rights of.the parties under the grant or cooperative agreement in those situations.

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8.- Circumstances Which Justify Variation From OMB Guidelines The numbers of _ copies required by the provisions are within OBM guidelines for all provisions except for Reporting Program Technical Perfomance. In order to apprise ' concerned agency personnel of the' progress or lack thereof, to facilitate simultaneous assessment of grantee performance and to pemit timely initiation of remedial action,1 copy of the report is sent to the Division of Contncts, 2 copies (of-the. final report) are sent to the Publication Services Division (PSD) and 3 copies are sent to the cognizant technical Program Office. Direct submission by the Grantee standardizes dissemination of progress-information thus allowing actions to be undertaken to protect the interest of the government without delay.

' Reports are often large bound books which can not be reasonably copied and dissesrinated by the NRC. Therefore, six copies are required to be submitted by the grantee.

9. Consultation Outside the NRC None.

L 10. Confidentiality of Information l

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

11. Justification for Sensitive Questions Information related to litigation, claims, patent or copyright infringement, inventions, grant / cooperative agreement disputes or i

termination would be sensitive from a legal perspective. Certain i cost information. (salaries, indirect cost rates and fee, e.g.,) would be

! sensitive from a corporate perspective. All sensitive information is l properly filed and safeguarded against improper disclosure. This is the l- Grants Officer's responsibility. No sensitive personal information is

! required or requested.

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12. Estimated Annualized Cost to Federal Government.

The cost to'the Agency attributable to the provisions herein is $69,600.

- Table 2 presents such cost by provision. The cost to the Government for U" each provision was derived from experience as to the approximate number of hours contract specialists expend _ in ensuring that grantees / cooperators comply with a particular provision. The hours were then multiplied by the g standard of $60/ hour to arrive at the approximate cost to the Government.

13. Estimate of Burden Table 1 presents the burden estimates for each provision. Such burden estimates were derived from experience as to the approximate. number of grantees / cooperators affected by each'particular provision and the-approximate number of hours each would have to expend to comply with the requirements of the provision.

14. Reasons for Change in Burden The burden estimated herein represents an increase of 820 hours0.00949 days 0.228 hours 0.00136 weeks 3.1201e-4 months over the annual industry burden estimated under the current clearance.- The increase results from the Agency's awarding of cooperative agreements. Heretofore, grants were the only financial assistance instruments awarded by the agency.

Publication'for Statistical Use 15.

Not applicable.

B. Collections of Information Employing Statistical Methods Statistical methods are not used in the collection of information.

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TABLE 1 GRANT / COOPERATIVE AGREEMENT PROVISIONS *

) ** GRANTEE / COOPERATOR NO. OF GRANTEE / COOPERATOR . TOTAL GRANTEE /

PROVISION BURDEN ANNUAL' RESPONSES - ANNUAL . COOPERATOR BURDEN-ANNUAL l

1 j Dispute Review Procedure 15 hours1.736111e-4 days 0.00417 hours 2.480159e-5 weeks 5.7075e-6 months 2 30 hours3.472222e-4 days 0.00833 hours 4.960317e-5 weeks 1.1415e-5 months i Reporting Program 15 hours1.736111e-4 days 0.00417 hours 2.480159e-5 weeks 5.7075e-6 months 55 825 hours0.00955 days 0.229 hours 0.00136 weeks 3.139125e-4 months Tech. Perfomance

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! Rights in Inventions 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months 10 100 hours0.00116 days 0.0278 hours 1.653439e-4 weeks 3.805e-5 months Reporting of Royalties 5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months 10 50 Scars l Changes in Principal 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months 20 200 hours0.00231 days 0.0556 hours 3.306878e-4 weeks 7.61e-5 months Investigator or technical

objectives l Notice and Assistance 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months 10 -

100 hours0.00116 days 0.0278 hours 1.653439e-4 weeks 3.805e-5 months

Regarding Patent and 1 Copyright Infringement Procurement Standards 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months 55 165 hours0.00191 days 0.0458 hours 2.728175e-4 weeks 6.27825e-5 months i Suspension or Temination 20 hours2.314815e-4 days 0.00556 hours 3.306878e-5 weeks 7.61e-6 months 2 40 hours4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months .

for Cause Termination for Convenience 20 hours2.314815e-4 days 0.00556 hours 3.306878e-5 weeks 7.61e-6 months 2 ~

40 hours4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months i

l TOTAL 166 per year 1.550 hours0.00637 days 0.153 hours 9.093915e-4 weeks 2.09275e-4 months I

i *All figures herein are NRC estimates developed by the Division of Contracts and are based on daily experience in Agency grant / cooperative agreement activity 4

i ** The term grantee / cooperator represents those nonprofit oroanizations, universities, other 1 institutions of higher education, professional societies and state and local governments to which the Agency has awarded grants and cooperative agreements.

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i GRANT / COOPERATIVE AGREEMENT PROVISIONS i GOVERNMENT STAFF j PROVISION ACTIONS HOURS / ACTION HOURS - ANNUAL GOV'T COST Dispute Review Procedure 2 25 50 hours5.787037e-4 days 0.0139 hours 8.267196e-5 weeks 1.9025e-5 months $3,000 4

Reporting Program Technical 55 10 550 hours0.00637 days 0.153 hours 9.093915e-4 weeks 2.09275e-4 months $33,000 i Performance Rights ln Invention 10 10 100 hours0.00116 days 0.0278 hours 1.653439e-4 weeks 3.805e-5 months $6,000 Reporting of Royalties 10 3 30 hours3.472222e-4 days 0.00833 hours 4.960317e-5 weeks 1.1415e-5 months $1,800 l

Changes in Principal 20 10 200 hours0.00231 days 0.0556 hours 3.306878e-4 weeks 7.61e-5 months $12,000

! Investigator or Technical Objectives a

Notice and Assistance 10 10 100 hours0.00116 days 0.0278 hours 1.653439e-4 weeks 3.805e-5 months $6,000 Regarding Patent and i Copyright Infringement Procurement Standards 55 .9 50 hours5.787037e-4 days 0.0139 hours 8.267196e-5 weeks 1.9025e-5 months $3,000

. Suspension or Termination 2 20 40 hours4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months $2,400 for Cause Termination for Convenience 2 20 40 hours4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months $2,400 TOTAL 1,150 hours0.00174 days 0.0417 hours 2.480159e-4 weeks 5.7075e-5 months 569,600 1,160 hours0.00185 days 0.0444 hours 2.645503e-4 weeks 6.088e-5 months 9 $60/ hour = $69,600 - NRC Cost i

1 All figures herein are NRC estimates developed by the Division of Contracts and are based on daily grant cooperative agreement activity.

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f a GRANT PROVISIONS l

l eum s

11/14/86

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- - 1 Dispute Review Procedures

a. /wiy request for review of a notjce of termination or other adverse decision should be addressed to3he Grants Officer. - It must be postmarked no later than 30 days after the postmarked date of such notice.

b. The request for review must contain a full statement of the grantee's position and the pertinent facts and reasons in support of such -

position.

c. The Grants Officer will promptly acknowledge receipt of the request for review and shall forward it to the Director Office of Adminis-tration,who shall appoint a review coinnittee consisting of a minimum of tnree persons.

d. Pending resolution of the request for review, the NRC may withhold or defer payments under the gran,t during the review proceedings.

e. Tne temination review committee will request the Grants Officer who issued the notice of termination to provide copies of all relevant background materials and documents. It may, at its oiscretion, invite representatives of the grantee and the NRC program office to discuss pertinent issues and to submit such additional infomation as it deems appropriate. The chaiman of the review comittee will insure that all review activities or proceedings are adequately documented.

f. Based on its review, the committee will prepare its recommendations to the Director, Office of Administration, who will advise the parties concerned of his decision.

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j} u Reporting Program Technical Perfomance Grantees are responsible for the performance under grants and other agreements and, where appropriate, ensure that time schedules are being met, projected work units by time periods are being accomplished, and ,

other performance goals are being achieved. -

a. Frequency of Performance Reports Performance reports will be submitted in letter format within 30 calendar days after the end of every second calendar quarter and a final report no later than 90 days after the expiration date of the grant period indicated on the face page.

b. Copies of Performance Reports One copy of the letter report shall be submitted to the Division of Contracts, three copies to the NRC Program Office (at the address indicated on the face page), and two copies to the Publication Services Division addressed as follows:

U.S. Nuclear Regulatory Commission PublicationServicesDivision(PSD)

Policy and Publications Management Branch Washington, DC 20555

c. Content of Perfonnance Report The report content shall be as follows:

(1) A comparison of actual accomplishments with the goals '

established for the period, the findings of the investigator, or both. If the output of programs or projects can be readily quantified, such quantitative data should be related to cost data for comunication of unit costs.

(2) Reasons why established goals were not met.

(3) Other pertinent infonnation including, when appropriate, analysis and explanation of anticipated cost overruns or high unit costs.

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(4) Between the required performance reporting dates, events say occur that have significant impact upon the project or program.

In such instances, the recipient shall inform the Nuclear Regulatory Commission as soon as the following types of condi-tions become known:

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

(b) Favorable developments or events that enable time schedules to be met sooner than anticipated or more work units to be produced than originally projected.

(c) If any performance review conducted by the grantee discloses the need for change in the budget estimates in accordance with the criteria established in 4

Attachment J to Circular A-110, the grantee shall submit a request for budget revision.

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d. Publication of Results j The general conditions of the assistance instrument will specify ;

the publications requirements of the award and a provision for the- '

granting to the Government a royalty free, nonexclusive, irrevo-l cable license to reproduce, translate, publish, use and dispose of all copyrightable material first produced or composed in the grantee's i

performance under the grant.

Grantees or cooperators may be required to produce reports to be l published by NRC in accordance with the provisions of Manual Chapter 3202 or be given the option of publication in a recognized technical journal. i Exercise of this option requires 'that the final draft (subsequent to peer review) of the journal article be submitted by letter to the NRC i^

Publication Services Division (NRC/PSD) for processing for accession by the Public Document Room at the time it is submitted to the journal.

When the journal article is published, the draft must be replaced with !

a copy of the journal article by sending an author's copy properly identified, to NRC/PSD. .

Each journal article submission must be accompanied by the following ,

statement "The submitted manuscript has been authored by a grantee -;

of the U.S. Government under Grant No. .

l.S. Government has a nonexclusive, royalty-free Accordingly, license to publisthe )h or reproduce the published fonn of this contribu 4

or allow others to do so, for U.S. Government purposes."

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

This paper was prepared with the support of the U.S. Nuclear Regulatory Commission (NRC) under Grant No. . The tpinions.

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

If requested by the journal or'other publisher to transfer the copyright, the author shall respond to the journal or .

other publisher, in writing. in accordance with the sample .

letter shown below:

Sample Letter on Copyright Agreement

Dear :

We recently received a document for signature assigning copyright and republication rights in the submitted article (title) to (name of publication). This letter is offered in lieu of the document as a means of completing the transfer !

of ownership. Accordingly, we hereby expressly transfer and '

assign our rights of ownership in the above cited work to (name of publisher). ,

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

i The submitted manuscript has been authored by a contractor (grantee) of. the U.S. Government under contract (grant)

No. . Accordingly, the U.S. Government has a nonexclusive, royalty-free license to publi'sh or repro- ,

duce the published form of this contribution, or allow others j to do so. for U.S. Government purposes. ;

Sincerely.

e. Reprints of Publications At such time as'any article resulting frcsi work unser tne grant

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is published in a scientific, technical or professional journal or publication, two reprints nf the publication should be sent to the cognizant NRC Program Officer, clearly labeled with the grant number .

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and other appropriate identifying information.

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Rights in Inventions

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Except as otherwise provided in the grant instrument, or where an Institutional Patent Agreement has been executed with the grantee (unless the grant instrument or the terms of the IPA exclude the grant from the operation

cf the IPA), the following provisions will apply

a. The grantee shall furnish NRC with complete information on any invention or discovery that is conceived or first actually reduced to practice in the course of or under this grant; and NRC shall have the right to i determine whether or not and where a patent application shall be filed

and to determine the disposition of the invention or discovery and title

to and rights under any patent application or patent that may result.

In making such a detemination, NRC shall take into account the public j interest pnd equities of the grantee. The grantee, or the inventor with the permission of the grantee, may request that NRC grant greater rights to any such invention or discovery. In any event, the grantee shall retain as a minimum an irrevocable, nonexclusive, royalty-free license j in any such invention or discovery.

I

b. The grantee, for itself and for its employees, agrees to execute all documents and to take all other actions necessary or proper to assist NRC in making the determinations set forth herein and in preparing,

} filing, and maintaining U.S. and foreign patent applications and patents, j c. In order that the public disclosure of information will not adversely 4 affect the patent interests of the NRC or the grantee, grantee shall not publish or otherwise disseminate to the public information concerning any invention or discovery conceived or first actually reduced to practice in the course of or under this grant without first obtaining the permission of NRC. NRC may arrange to have the said inventions or l discoveries described in a printed publication or otherwise disseminated L to the public, but shall consider the possible adverse effect upon the

obtaining of U.S. and foreign patent rights.

I l d. Any ' disclosure of information or use of inventions or discoveries under i these provisions shall be within the limitations of security requirements.

l l e. Except as otherwise authorized in writing by the Contracting Officer, the grantee shall insert in each subcontract having experimental, developmental, or research work as one of its purposes, provisions making this article applicable to the subcontractor and its employees, u

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f. With respect to any U.S. patent application filed by the grantee or his agent on any invention or discovery conceived or first actually reduced to-practice in the course of or under this grant, the grantee will incorporate in the first paragraph thereof the following statement:

"The invention described herein was made in the course of or under a grant from the U.S. Nuclear Regulatory Commission."

g. Reports required under these provisions and requests for retention of rights in such inventions or discoveries, as well as requests for guidance in these matters, should be addressed to the NRC Patent Counsel.

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i Reporting of Royalties i

If this grant is in an amount which exceeds $10,000 and if any royalty

!' payments are directly involved in the grant or are reflected in the

grant price to the Government, the grantee agrees to report in writing to the Patent Counsel, NRC (with notification by Patent Counsel to the Grants Officer) during the performance of this grant and prior to its

completion or final settlement the amount of:any royalties or other -

payments paid or to be paid by it directly to others in connection with the perfonnance of this grant together with the names and addresses of licensors to who such payments are made and either the patent numbers involved or such other infonnation as will permit the identification of 1

the patents or other basis on which the royalties are to be paid. The l approval of NRC of any individual payments or royalties shall not stop

'; the Government at any time from contesting the enforceability, validity or scope of, or title to, any patent under which a royalty or payments .

I are made.

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-[ Changes in Principal Investigator or Technical Objectives i i

a. The grantee shall be pemitted to change the methods and procedures j employed in performing the research without the need to make special

reports on proposed actions or obtain NRC approval. Significant !

changes in methods or procedures shall be reported to NRC in status ;

i reports and final technical reports. However, in the event the i methodology or experiment is proposed as a specific stated objective 4 of the research work, it shall not be changed without approval of the (

Grants Officer. '

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

, c. The phenomenon or phenomena under study, i.e., the broad category {

of research, shall not be changed except with the prior approval

, of the NRC Grants Officer. '

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, d. The grantee shall obtain the approval of the NRC Grants Officer to !

change the principal investigator, or to continue the research work i i during a continuous period in excess of three months without the participation of an approved principal investigator.

e. The grantee shall consult with the NRC Grants Officer if the prin- !

cipal investigator plans to, or becomes aware that he will, devote :

!; substantially less effort to the work than that anticipated in the '

approved proposal. If NRC detemines that the reduction of effort

! would be substantial as to impair the successful prosecution of

} the research, it may request a change of principal investigator or l other appropriate modification of the grant or may suspend or terminate the grant pursuant to the clauses herein entitled, Suspension or Temination for Cause and Temination for Convenience.

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Notice and Assistance Regarding Patent and Copyright Infringement The provisions of this clause shall be applicable only if the amount of

this grant exceeds $10,000.

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a. The grantee'shall . report to the Grants Officer, promptly and in reasonable written detail, ea'ch notice or claim of patent or copyright infringement based on the perfonnance of this grant e

of which the grantee has knowledge,

'. b.

L In the event of any claim or suit against the Government on j

account of any alleged patent or copyright infringement arising e

out of the performance of this grant or out of the use of any supplies furnished or work or services performed hereunder, the

' grantee shall furnish to the Government when requested by the Grants Officer, all evidence and information in possession of-the grantee pertaining to such suit or claim. Such evidence and information shall be furnished at the expense of the Government except where the grantee has agreed to indemnify the Government.

c. This clause shall be included in all subcontracts.

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Procurement Standards

a. NRC grantees shall follow the requirements of Attachment 0 to OMB Circular A-110.

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

(1) Any of the research or other substantive project effort is contracted or otherwise transferred.

(2) Contracting for the comercial production or distribution of books, films, or similar materials.

c. NRC approvals will be made by the Grar.ts Officer, who will specify which reguirements of this grant must be flowed-down -

to satisfy the purposes of OMB Circular A-110.

d. - Grantee requests for approvals shall include an explanation of

' the need for the contracting, a proposed performance statement,

. justification for the price or estimated cost (including)adetailed bu the basis for selecting the contractor.

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. . Suspension or Temination for Cause !

a. When in the opinion of NRC, a grantee has materially failed to comply with the terms and conditions of a grant, NRC may (1) suspend the grant or (2) teminate the grant for cause.

b. HRC prefers that deficiencies be corrected whenever practicable.

When it is believed tnat a grantee has failed to comply with one

' or more of the terms and conditions of a grant, the Grants Officer will advise the grantee oy letter of the nature ni the problem and that failure to correct the deficiency may result in sussension or termination of the grant. The grantee will be requested to respond in writing within 30 days of receipt of such letter, describing tne action taken or the plan designed to correct the deficiency. Copies of such correspondence will be furnished to tne Frincipal Investigator (PI) and to the NRC Program Officer. If a satisisctory response is not received within 30 days of receipt of such a letter, tne Grants Officer may issue a notice suspending authority to furtner ocligate

, grant funds, in wnole or in part. The notice of suspension will be sent by certified mail (return receipt requested) to the grantee with a copy to the PI. The notice will set forta the activities covered by the suspension and its effective date, and tne corrective action required by the grantee in order to lift the suscension.

riowever, tnis pclicy does not preclude imediate suspension or ter -

mination when such action is reasonable ;nder the circunstances sno necessary to protect the interests of the Goverr ent.

c. If a grant is suspended pursuant to this article, no obligations incurred by the grantee during the period of suspension will be allowable under the suspended grant other than necessary and proper costs that the grantee could not reasonably avoid during the period of suspension; provided that such costs would other-wise be allowable under the applicable Federal cost principles.

d. The suspension will remain in effect for a maximum of 90 days during which time the grantee will take corrective action to the satisfactio'n of NRC or give assurances satisfactory to NRC that corrective action will be taken. In that event, the Grants Officer will issue a notification, to the grantee, tha.t the suspension is lifted.

e. In the event the deficiency is not corrected to the satisfaction of NRC, the Grants Officer may issue a notice of temination. The notice will establish the reasons for the action and its effective date.

f. If a grant is terminated pursuant to this article, financial obligations incurred by the grantee prior to the effective date of temination shall be allowable to the extent they would have been allowable had the grant not been terminated, except that no obligation incurred during the period in which the grant was suspended (except those allowed pursuant to c, above) will be allowed. The settlement of temination costs will be in accordance -

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with the applicable Federal cost principles.

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

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f Termination for Convenience

a. Circumstances'may arise in which either NRC or the grantee wishes to terminate its perfomance of a project in whole or in part.

If both parties agree, the grant may be teminated by mutual agreement.'

b... If the grantee wishes to terminate the project, it shall advise the NRC Grants Officer, with a copy to the cognizant NRC Program Officer.

c. If NRC wishes to terminate the project, the Grants Officer will advise the grantee with copies to the PI and the cognizant NRC Program Officer.

d. Within 30 days after receipt of a request from either party for termination by mutual agreement, other party will provide an appropriate written response.

e. In the event of disagreement between the parties, the Grants Officer will make a final decision subject to the review procedures described in the following article entitled " Dispute Review Procedure."

f. The grantee shall not incur new obligations for the teminated portion after the effective date, and shall cancel as many out-standing obligations as possible. The Nuclear Regulatory Comis-sion shall allow full credit to the grantee for the Federal share of the noncancellable obligations, properly incurred by the grantee prior to termination.

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9 COOPERATIVE AGREEMENT PROVISIONS e

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Dispute Review Procedure

a. _ Any request for review of a notice of termination or other adverse decision should be addressed to the Contracting Officer. It must be postmarked no later than 30 days after the postmarked date of such notice,

b. The request for review must contain a full statement of the cooperator's position and the pertinent facts and reasons in support ,

of such position.

c. The Contracting Officer will promptly acknowledge receipt of the request for review and shall forward it to the Director. Office of Administration, who shall appoint a review comittee consisting of a minimum of three persons.

d. Pending resolution of the request for review, the NRC may withhold or defer payments under the cooperative agreement during the review proceedings.

e. The termination review comittee will request the Contracting Officer who issued the notice of termination to provide copies of all relevant background materials and documents. It may, at its discretion, invite representatives of the cooperator and the NRC program office to discuss pertinent issues and to submit such additional information as it deems appropriate. The chairman of the revjew comittee will insure that all review activities or '

proceedings are adequately documented.

f. Based on its review, the committee will prepare its recomendations to the Director. Office of Administration, who will advise the parties concerned of his decision. .

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Reporting Program Technical Performance 5 Cooperators are responsible for the performance under cooperative .

agreements and other agreements and, where appropriate, ensure that time - i schedules-are being met, projected work units by time periods are.being accomplished, and other performance goals are being' achieved.

a. Frequency of Performance Reports Perfonnance reports will be submitted in letter format within 30 calendar days after the end of every second calendar quarter and a final report no later than 90 days after the expiration date of the cooperative agreement period indicated on the face page.

b. Copies of Performance Reports One copy. of the letter. report shall be submitted to the Division of Contracts, three copies to the NRC Program Office (at the address indicated on the face page), and two copies to the Publication Services Division addressed as follows:

U.S. Nuclear Regulatory Commission PublicationServicesDivision(PSD)

Policy and Publications ^ Management Branch Washington, DC 20555

c. Content of Performance Report The report content shall be as fc110ws:

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

data for consnunication of unit costs.

(2) Reasons why established goals were not met.

(3) Other pertinent information including, when appropriate, analysis and explanation of anticipated cost overruns or high unit costs.

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(4) Between the required performance reporting dates, events may ;

occur that have significant impact upon the project or program.

In such instances, the recipient .shall inform the Nuclear Regulatory Commission as-soon as the following types of conditions become known: -

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

(b) Favorable developments or events that enable time schedules to be met sooner than anticipated or more work units to be produced than originally projected.

(c) If any performance review conducted by the cooperator discloses the need for change in the budget estimates .in accordance with the criteria established in Attachment K to Circular A-102,the cooperator shall submit a request for budget revision.

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

Cooperators may be required to produce reports to be published by NRC in accordance with the provisions of Manual Chapter 3202 or be given ,

the option of publication in a recognized technical journal.

Exercise of this option reqdires that the final draft (subsequent to peer review) of the journal article be submitted by letter to the NRC Publication Services Division (NRC/PSD) for processing for accession 3

by the Public Document Room at the time it is submitted to the journal.

When the journal article is published, the draft must be replaced with a copy of the journal article by sending an author's copy properly identified, to NRC/PSD.

Eac6 journal article submission must be accompanied by the~following statement "The submitted manuscript has been authored by a cooperator

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of the U.S. Government under Cooperative Agreement _

No. . Accordingly, the U.S. Government has a nonexclusive, royalty-free license to . publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Government purposes."

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All open literature publications prepared under this cooperative agreement shall contain the following statement: l This paper was prepared with the support of the U.S. Nuclear

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Regulatory Commission (NRC) under Cooperative Agreement No.' . The opinions, findings, conclu- 1 sions and recommendations expressed herein are those of the l author (s) and do not necessarily reflect the views of the NRC. 1 If requested by the journal or other publisher to transfer the l copyright, the author shall respond to the journal or other publisher, in writing, in accordance with the sample letter shown below. j

, ' Sample Letter on Copyright Agreement

Dear :

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

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

I The submitted manuscript has been authored by a contractor I (cooperator) of the U.S. Government under contract (cooperative !

agreement)No. . Accordingly, the U.S. '

Government has a nonexclusive, royalty-free license to publish .

or reproduce the published form of this contribution, or allow others to do so, for U.S. Government purposes. :

Sincerely, ;

l

e. Reprints of Publications r

At such times as any article resulting from work under the ;

cooperative agreement is published in a scientific, technical or professional journal or publication, two reprints of the publication , i should be sent to the cognizant NRC Program Officer, clearly labeled !

with the cooperative agreement number and other appropriate identifying information.

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L Rights in Inventions l

Except as otherwise provided in the cooperative agreement instrument,-or i where an Institutional Patent Agreement has been executed with the cooperator (unless the cooperative agreement instrument or the terms of'

the IPA exclude the cooperative agreement from the operation of the IPA),

j the following provisions will apply:

I a. The cooperator shall furnish NRC with complete infomation on any invention or discovery that is conceived or first actually reduced to -

, practice in the course of or under this cooperative agreement; and NRC shall have the right to determine whether or not and where a patent application shall be filed and to determine the disposition of -

the invention or discovery and title to and rights under any patent-application or patent that may result. In mpHng such a

detemination, NRC shall take into account the public interest and the equities of the cooperator. The cooperator, or the inventor with the pemission of the cooperator, may request that NRC grant

, greater rights to any such invention or discovery. In any event, the cooperator shall retain as a minimum an irrevocable,

nonexclusive, royalty-free license in any such invention or L discovery.

l b. The cooperator, for itself and for its employees, agrees to execute all documents and to take all other actions necessary or proper to assist NRC in making the determinations set forth herein and in preparing, filing, and maintaining U.S. and foreign patent applications and patents.

[ c. In order that the public disclosure of information will not adversely affect the patent interests of the NRC or the cooperator, cooperator.

l shall not publish or otherwise disseminate to the public information i concerning any invention or discovery conceived or first actually reduced to practice in the course of or under this cooperative agreement without first obtaining the permission of NRC. NRC may arrange to have the said inventions or discoveries described in a printed publication or othe shall consider the possible,rwise adverse disseminated effect upon theto the public, obtaining but of U.S.

and foreign patent rights.

l d. A,y disclosure of information or use of inventions or discoveries

! under these provisions shall be within the limitations of security I requirements.

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e. Except as otherwise authorized in writing by the Contracting Officer, the cooperator shall insert in each subcontract having experimental, developmental, or research work as one of its purposes, provisions making this article applicable to the subcontractor and its employees.

f. With respect to any U.S. patent application filed by the cooperator or his agent on any invention or discovery conceived or first actually reduced to practice in the course of or under this.

cooperative agreement, the cooperator will incorporate in the first paragraph thereof the following statement:

"The invention described herein was made in the course of or under a cooperative agreement from the U.S. Nuclear Regulatory Commission."

g. Reports required under these provisions and requests for retention of rights in such inventions or discoveries, as well as requests for guidance in these matters, should be addressed to the NRC Patent Counsel.

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3-Reportino of Royalties If this cooperative agreement is in an amount which exceeds $10,000 and if any royalty payments are directly involved in the cooperative agreement or are reflected in the cooperative price to the Government, the cooperator

agrees to report in writing to the Patent Counsel, NRC (with notification l by Patent Counsel to the Contracting Officer) during the performance of

i. this cooperative agreement and prior to its completion of final settlement.

the amount of any royalties or other payments paid or to be paid by it l

directly to others in connection with the performance of this cooperative agreement' together with the names and addresses of licensors to whca such -

payments are made and either the patent numbers involved or such other information as will permit the identification of the patents or other basis on which the royalties are to be paid. The approval of NRC of any individual payments or royalties shall not stop the Government at any time

! from contesting the enforceability, validity or scope of, or title to, any i patent under which a royalty or payments are made.

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Changes in Principal Investigator or Technical Objectives

- a. The cooperator shall be permitted to change the methods and procedures employed in performing the research without the need to make special reports on proposed actions or obtain NRC approval. Significant changes in methods or procedures shall be reported to NRC in status reports and final technical reports. However, in the event the methodology or experiment is proposed as a specific stated j

objective of the research work, it shall not be changed without '

approval of the Contracting Officer. !

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b. The stated objective of the research effort shall not be changed. l except with the approval of the NRC Contracting Officer.

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

d. The cooperator shall obtain the approval of the NRC Contracting Officer to. change the principal investigator, or to continue the research work during a continuous period in excess of three months without the participation of an approved principal investigator,

e. The cooperator shall consult with the NRC Contracting Officer if the principal investigator plans to, or becomes aware that he will, devote substantially less effort 'to the work than that anticipated in the approved proposal. If NRC determines that the reduction of effort would be so substantial as to impair the successful prosection of the research, it may request a change of principal

, investigator or other appropriate modification of the cooperative agreement or may suspend or terminate the cooperative agreement pursuant to the clauses herein entitled, Suspension or Termination for Cause and Termination for Convenience.

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Notice and Assistance Regarding Patent and Copyright Infringement The provisions of this clause shall be applicable only if the amount of ,

this cooperative agreement exceeds $10,000. 1 l

a. The, cooperator shall report to the Contracting Officer, promptly and in reasonable written detail, each notice or claim of patent or copyright infringement based on the performance of this cooperative i agreement of which the cooperator has knowledge. i

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 cooperative agreement or out of the use of any supplies furnished or work or services performed hereunder, the cooperator shall furnish to the Government when requested by the Contracting Officer, all evidence and infonnation in possession of the cooperator pertaining to such suit or claim. Such evidence and information shall be furnished at the expense of-the Government except where the cooperator has agreed to indemnify the Government.

c. This clause shall be included in all subcontracts.

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. , a Procurement Standards

a. NRC cooperators shall follow the requirements of Attachment 0 to DM8 Circular A-102. -

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b. In addition, unless these provisions provide otherwise, prior written approval shall be obtained from the NRC Contracting Officer before:-

(1)# Any of the research or other substantive project effort is contracted or otherwise transferred.

(2) Contracting for the commercial production or distribution of books, films, or similar materials.

c. NRC approvals will be made by the Contracting Officer, who will specify which requirements of this cocperative agreement must be flowed-down to satisfy the purposes of OMB Circular A-102.

d. Cooperator requests for approvals sha11' include an explanation of the need for the contracting, a proposed perforvence statement, justification for the price or estimated cost (including a detailed budget for cost-reimbursement type arrangements), and the basis for selecting the contractor.

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r, Suspension or Termination for Cause

a. When in the opinion of NRC, a cooperator has materf ally failed to compl with the terms and conditions of a cooperative agreement, NRC '

may (y) 1 suspend the cooperative agreement or (2) terminate the cooperative agreement for cause.

b. NRC prefers that deficiencies be corrected whenever practicable.

When it is believed that a cooperator has failed to comply with one-or more of the terms and conditions of a cooperative agreement, the Contracting Officer will advise the cooperator by letter of the nature of the problem and that failure to correct the deficiency may ,

result in suspension or termination of the cooperative agreement.

The cooperator will be requested to respond in writing within 30 days of receipt of such letter, describing the action taken or the plan '

designed to correct the deficiency. Copies of such correspondence

, will be furnished to the Principal Investigator (PI) and to the NRC l Program Officer. If a satisfactory response is not received within r 30 days of receipt of such a letter, the Contracting Officer may issue a notice suspending authority to further obligate cooperative l agreement funds, in whole or in part. The notice of suspension will be sent by certified mail (return receipt requested) to the cooperator with a copy to the PI. The notice will set forth the

. activities covered by the suspension and its effective date, and the

! corrective action required by the cooperator in order to lift the l_ suspension. However, this policy does not preclude innediate i suspension or termination when such action is reasonable under the circumstances and necessary to protect the interests of the

~ Government,

c. If a cooperative agreement is suspended pursuant to this article, no obligations incurred by the cooperator during the period of suspension will be allowable under the suspended cooperative

agreement other than necessary and proper costs that the cooperator could not reasonably avoid during the period of suspension; provided j that such costs would otherwise be allowable under the applicable l

Federal cost principles. .

l

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

e. In the event the deficiency is not corrected to the satisfaction of NRC, the Contracting Officer may issue a notice of termination. The .

notice will establish the reasons for the action and its effective date.

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f. If a cooperative agreement is terminated pursuant to this article, financial obligations incurred by the cooperator. prior to the

. effective date of termination shall be allowable to the extent they would have been allowable had the cooperative agreement not been terminated, except.that no obligation incurred during the period in

~

, which the cooperative agreement was suspended (except those allowed I

pursuant to c, above) will be allowed. The settlement of termination costs will be in accordance with the applicable Federal cost principles.

g. Within 90 days of the effective date of termination, the cooperator -

will furnish an itemized accounting of funds expended for allowable costs prior to the effective date of termination and the unexpended cooperative agreement balance.

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.. r-v oe Termination for Convenience

a. Circumstances may'arise in which either NRC or the cooperator wishes to terminate its performance of a project in whole or in part. If both parties agree, the cooperative agreement ney be terminated by smtual agreement.

b. If the cooperator wishes to terminate the project, he/she shall advise the NRC Contracting Officer, with a copy to the cognizant NRC Program Officer.

! c. If NRC wishes to terminate-the project, the Cnntracting Officer will advise the cooperator with copies to the PI and the cognizant NRC Program Officer.

d. Within 30 days after receipt of a request from either party for tennination by mutual agreement, the ot.her party will provide an appropriate written response.

e. -Within 30 days after receipt of a request from either party for termination by mutual agreement, the other party will provide an appropriate written response. In the event of disagreement between the parties, the Contracting Officer will make a final decision subject to the review procedures described in the following article entitled " Dispute Review Procedure."

l f. The cooperator shall not incur new obligations for the terminated

! portion after the effective date, and shall cancel as many I

outstanding obligations as possible. The Nuclear Regulatory-Commission shall allow full credit to the cooperator for the-Federal share of the noncancellable obligations, properly incurred by the cooperator prior to termination.

l O

o ..

ML20206A639

Text

Dear :

Dear :

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