ML20215M295

Grant: Manuals on Understanding Radiation Guidance Changes, Awarded to Oak Ridge Associated Univs

ML20215M295
Person / Time
Issue date:	06/18/1987
From:	Felling W, Thompson R NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), OAK RIDGE ASSOCIATED UNIVERSITIES
To:
Shared Package
ML20215M268	List: ML20215M265 ML20215M295
References
CON-FIN-G-1116, CON-NRC-G-04-87-100, CON-NRC-G-4-87-100, CON-NRCG-04-87-100, CON-NRCG-4-87-100 NUDOCS 8706260340
Download: ML20215M295 (18)

Text

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U. S. NUCLEAR REGULATORY COMMISSION -

NOTICE OF GRAN1' AWARD

..1. GRANT NUM8ER

2. MODIFICATION NUMBER NRC-04-87-100

3. GRANT PERIOD FROM: 6/1/87 TO: 6/1/89

4. AUTHORITY Section 31a and

5. TYPE OF AWARD 141b of Atomic Energy Act'.

6. GRANTEE TYPE of 1955 as amended Grant

7. GRANTEE NAME AND ADRESS Educational Institute

8. PROJECT TITLE '

0 k Ridge ociated Universities Manuals on Understanding Oak. Ridge, TN 37831 Radiation Guidance Changes

9. PROJECT WILL BE CONDUCTED PER GRANTEE'S PROPOSAL (S)

10. TECHNICAL REPORTS ARE REQUIRED DATED 4/10/87 PROGRESS AND FINAL-AND X

FINAL ONLY APPENDIX A - PROJECT GRANT PROVISIONS OTHER

11. PRINCIPAL INVESTIGATOR (S) NAME

12. NRC PROGRAM OFFICE (NAME AND ADDR Roger J. Cloutier TELEPHONE NO. (301) 443-7986

13. ACCOUNTING AND APPROPRIATION DATA

14. METHOD OF PAYMENT.

t ADVANCE BY TREASURY. CHECK FN.

1 MN REASURY APPN No. 31X0200 607 LETTER OF, CREDIT OTHER(SPECIFY)

15. FUNDING SOURCES SOURCE AMOUNT NRC:

THIS GRANT 150,000.00 PREVIOUSLY OBLIGATED 0

i GRANTEE SHARE:

0 THIS GRANT PRIOR GRANT TOTAL FUNDING 150,000.00 1

1

16. AMOUNT OBLIGATED BY THIS GRANT ACTION:

$.150,000.00 8706260340 870610 h0-.

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17. NRC )SSU2NG Off)CE (N/,ME AND ADDRESS)

U.S. Nuclear Regulatory Comission Division of Contracts Washington, DC 20555 o

18. GRANTEE 19.

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?(Ei Tstghtu're NAME (TYPED)

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Grants. 0fficer TELEPHONE NO.

TELEPHONE NO.

(301) 492-4297

20. GRANT PAYMENT iNFORMATION Payment will be made within thirty (30) days after receipt of the billing unless the bi '

is improper or the grantee has failed to comply with the program objectives conditions, Federal reporting requirements or. other conditions specified in OMB Circula

, grant awar'i A-110.

Payment will be made by:

U. S. Nuclear Regulatory Commission Office of Administration ~ and Resources Management Division of Accounting and Finance, ATTN:

GOV /COM ACCOUNTS Washington, DC 20555 Vouchers should be submitted in an original and one (1) copy to the above address A copy of the voucher should also be forwarded to the Division.of Contracts.

21. lttached is a _ copy of the "NRC Prodct ' Grant Provisions for Institutions o and Other Nonprofit Organizations."

u on when federal f unds are used on this grant project. Acceptance of these terms and conditions is a i

'22. ORDER OF PRECEDENCE the terms of the Notice of Grant Award shall prevail".fn the event of a j

23. By this Grant Award, the Grantee certifies that payment of any audit-related debt will not reduce the level of performance of any Federal Program.

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i CHANGES TO APPENDIX A - GRANT PROVISIONS 1

1.

Delete all references to " Division of Technical Information and Document Control" and substitute "Information Resources Management."

2.

Page 12., clause 13. _ Patent Rights, paragraph g. (2) is deleted in.

entirety and the following is substituted therefore: _

'"In all other subcontracts, regardless of tier, for experimental, develop '

mental or research work the grantee will comply with the Federal Acquisi-tion Regulation, Part 27."

3.

Page 1., clause 2. a. Frequency of Performance Reports:. delete. ".. 90 days after the expiration of the. grant period indicated.on the face page."

and substitute " June 1, 1989."

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h 3 /:?6-c s o 7 APPENDIX A a

NRC PROJECT GRANT PROVISIONS FOR INSTITUTIONS OF HIGHER EDUCATIO AND OTHER N01 PROFIT ORGANIZATIONS This grant is subject to the following provisions:

1.

General

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This grant is composed of a grant face page (which any incorocrate a.

the grantee's proposal by reference) and the NRC Project Grant Provisions for Institutions of Higher Education and Other Nonprofit i

Organizations.

b.

This award constitutes acceptance by the U.S. Nuclear Regulatory Commission (NRC) of the grantee's proposal and budget unless otherwise indicated on the face page.

The grantee is obligated to conduct such project oversight as may c.

be appropriate, to manage the funds with prudence, and to comply with the provisions outlined herein.

Within this framework, the Principal Investigator (PI) named on the grant face page 'is responsible for the scientific or technical direction of.the project and for preparation of the project performance reports.

d.

This grant is funded on a cost reimbursement basis not to exceed the amount awarded as indicated on the face page and is subject to a refund of unexpended funds to NRC.

This grant award is subject to the policies prescribed in OMB e.

i Circular A-110, dated July 30, 1976.

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2.

Reporting Program Technical Performance E

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.

Frequency of Performance Reports a.

Performance reports will be submitted in letter format within 30 calendar days after the end of every second calendar quarter t

and a final report no later than 90 days after the ex date of the grant period indicated on the face page. piration b.

Copies of Performance Reports 1

One copy of the letter report shall be submitted to the Division _of Contracts, three copies to the NRC Program Office (at the address I

indicated on-the face page), and two copies to the NRC Division' of Technical Information and Document Control addressed as follows.

U.S. Nuclear Regulatory Commission Division of Technical Information and Document Control Document Management Branch Washington D.C.

20555'

I c.

Content of performance Report The report content shall be as follows:

1 (1) A comparison of a'ctual accomplishments with the goals established for the period, the findings of the investigator, or both.

If the output of programs or projects can be readily quantified, such quantitative data should be related to cost data for computation of ~ unit costs.

(2) Reasons why established goals were not met.

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

(4) Between the reavired performance reporting dates, events may occur that have significant impact upon the project or program, in such instances, the recipient shall inform the I;uclear Regulatory Comnission 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 f

objectives, prevent the meeting of time schedules and goais, er preclude the attainment of project work units by established time periods.

This disclosure shall be accompanied by a. statement i

of the action taken,'or contemplated, and any l

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 Attachment J to Circula'r A-110, the grantee shall submit a request for badget revision.

d.

Publication of Results The general conditions of the assistance instrument will specify the publications requirements of the award and a pr.Dvision for the granting to the Government a r.oyalty'fr(e, nonexclusive, irrevo-cable license to reproduce, translate, publish', use and dispose of.

all copyrightable material first produced or composed in,the grantee's/

cooperator's performance under the grant or cooperative agreement.

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Exercise of this option requires that the firlal de'aftp(subse-

.j quent to peer review) of the journal article be submitted byk j

letter to the NRC Division of Technical Information and Docum Control (NRC/11DC) for processing for accession by the Publicpit Document Room at the time it is submitted to the journal. When the journal artjcle is published, the draft must be replaced with a copy of,theijournal article by sending an autjor?S copy.,

properly identi'fied, to NRC/TIDC.

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shall contain tne fylcMng statement:

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findings, cu expressed hereihore those of the author (s),'i < y%, ( 'g and do not; nMt)ssarily reflect the ' views, of' ri T

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4 If requested O/ NAJcurnal or* othir pShhisher.to trfns'feb the copyright, %Mbuthor shall respondho the joyinQ or.f }.

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4 of wnership. Accordingly, we hereby expressly transfer and assign our rights of ownership in the above cited work to (name of publisher).

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

The submitted manuscript has been authored by a contractor

- (grantee) of the U.S. Government under contract (grant)

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

Sincerely, 1

e.

Reprints of Publications

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At such time as any article resulting from work unser tne grant i

is published in a scientific, technical or professional journal or publication, two reprints of the publication should be sent to the cognizant NRC Program Officer, clearly labeled with the grant numcer and otner appropriate identifying information.

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3.

Suseension or Temination fur Cause i

When in the opinion of HRC, a grantee has materially failed to a.

comply with tre terms and Conditions of a grant, NRC may (1) suspend the grant or (2) terminate the grant for cause.

b.

NRC prefers that deficiencies be corrected whenever practicable.

i 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 Dy letter of the nature of the problem and that failure to correct tne deficiency may result in suspension or termination of the grant. The grantee will be requested to respond in writing within 30 days of receipt of such letter, cescribing tne action taken or the plan designed to correct the deficiency. Copies of sucn corresponcence will be furnished to tne Frincipal Investigator (PI) and to the NRC Program Officer.

If a satisfactory' response is not received within 30 days of receipt of such a letter, tne Grants Officer may issue a notice suspending authori y to furtner coligste t

grant funds, in wnole or in part. The notice of suspension will be sent by certified mail (return receipt reouestec) to the grantee witn a copy to the P!. The notice will set fortn the activities covered by the susoension and its effective cate. and tne correc-ive l

action required oy the grantee in order o lift tne sus:ensicn.

j riewever, tnis policy does not preclude imediate suspension or ter-mination when such action is reasonable uncer the circumstances snc necessary to protect the interests of the Goverr ent, i

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allowable under.the s6spended grant other than necessary;and.

l pt'oper costs tr.at the' grantee could not reasorebly avoid during the, period of suspension; provided that such costs would other-j' f wise be allowable understhe appliceble Federal cost prirciples.

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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 9 ve assurances satisfactory to HRC that 1

corrective action will.be taken.

In that event, the Grants Officer wHl issue a notification, to the grantee, that the suspension is lifted, e.

In the event the deficiency is not corrected to the setisfhetion of NRC,'.the Grants Officer may issue c notice of temination. The=

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notice will. establish the rear 0ns for the action and'its effective.

date.

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If i grant is tenninated pursuant to this ' articles financial.

l-obligations incurred by the grantee' prior, to the effective date of termination shall be allowable to the extent they would have been ellowable had the grant not been terminated, except that'no obligation incurred during the p siod.in which the grant was suspended.(except those allowed pursuant to c.. above)'will be -

allowed.

The settlement of termination costs will be. in accordance I

1 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.

4.

Ter.mnation for Conven,ience Circumstances may arise in which either NRC or the grantee wishes a.

to terminate'its performance of a project in whole or. in part.

If both parties agree, the grant may be terminated by mutual ~

agreement.

b.

If the grantee wishes to terminate the project, it shall advise?

the HRC Grants Officer, with a copy to the cognizant NRC Program-Officer.

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c.

. If NRC wishes to terminate the project, the Grants Officer'will l

advise the grantee with copies to the PI and the cagnizant NRC 1

j Program Officer.

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Unless otherwise provided in the gra.nt instrument, the grantee may copyright any books, publications, films, or other copyrightable materials developed in the course of or under this grant.

However, any such copyrighted materials shall be subject to a royalty-free, e

irrevocable, worldwide, n'one.xclusive. license in the United States j

Government to reproduce, perfom, translate, and otherwise use and I

to authorize others to use such materials for Goverrenent purposes.

13.

Patent Richts (Small Busihess P. ira's 'or Non-Profit Organizations, 1

bly,1981)

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a.

Definitions l

-(l)

"Invention" means any invention t,r discovery which is or may be patentable or otherwise protectable under Title 35 of the United States Code (USC).

(2)

" Subject Invention" means any invention of the grantee con-ceived or first actually reduced to practice in the perform-ance of work under this orant.

(3)

" 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

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the invention is being utilized and that its benefits are, to j

the extent permitted by law or Government regulations, avail-(;

able to the public on reasonable terms.

(4)

"Tude" when used in relation to any invention means the con-ception or first actual reduction to practice of such invention.

(5)

"Small Business firm" means a small business concern as defined at Section 2 of Public Law 85-536 (15 USC 632) and implementing regulations of the Administrator of the Small Business Adminis-tration.

For the purpose of this clause, the size standard for small business concerns involved in ' Government procurement, contained in 13 CFR 121.3-8, and in subcontracting, contained in 13 CFR 121.3-12, will be used.

(6)

"Non-profit Oroanization" means universities and other institu-tions of hicher education of an organization of tIIe type des-cribed in section 501(c)(3) of the Internal Revenue Code of (y

1954 (26 USC 501a) or any non-profit scientific or educational

. organization qualified under a state -non-profit orcanintion

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statute.

b.

Allocation of Principal Richts The grantee may retain the entire right, title, and interest through-out the world to each subject invention subject to the provisions

,of this clause.

With respect to any subject invention in which the

• grantee retains title, the Federal Government shall have a non-jexclusive, nontransferable, irrevocable, paid-up license to prac-i tice or have practiced for or on behalf of the United ~5tates any subject invention throughout the world for which.the grantee has elected to retain title.

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i d.

Forfeiture of Title (1) The grantee will convey to the NRC, upon written request, title to any subject invention:

i (1)

If the grantee fails to disclose or elect the f

subject invention within the times specified j

in c above, or elects not to retain title.

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(ii)

In those countries in which the grantee fails to file patent applications within the times specified

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

(iii)

In any country in which the grantee decides not to continue the prosecution pf any application for, to j

pay the maintenance fees on, or defend in a reexam-ination or opposition proceeding on, a patent on a subject invention e.

Minimum Rights to Grantee The grantee will retain a non-exclusive, royalty-free license throughout the world in each subject ir.vention to which the Government obtains title except if the grantee fails to disclose the subject invention within the times specified in c above.

This license extends to and is revocable and transferable, as specified in Part Sb(2) of Office of Federal Procurement Policy Bulletin 81-22 dated June 30, 1981.

f.

Grantee Action to Protect Government's Interest (1) The grantee agrees to execute or to have executed and' promptly deliver to the NRC all instruments necessary to:

(i)

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

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

(2) The grantee agrees to require, by written agreement, its employees, other than clerical and non-technical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the grantee each subject invention

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made under this grant in order that the grantee can comply with the disclosure provisions of c above and to execute all papers necessary to file patent applications on subject inven-tions and to establish the Government's rights in the subject inventions. The disclosure fonnat should require, as a minimum, the information requested by subparagraph c(4) above.

The grantee

'shall instruct such employees through the employee agreements or other suitable educational programs on the importance of reporting inventions in sufficient time to permit the filing of patent appli-cations prior to U.S. or foreign statutory bars.

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

(4) The grantee agrees to. include, within the spe~cification of any United States patent application and any patent issuing thereon covering a subject invention, the following statement, "This invention was made with Government support under (identify the-grant) awarded by the Nuclear Regulatory Comission.

The Govern-ment has certain rights in this in 'ention."

g Subcontracts (1) The grantee will include this clause, suitably modified to identify the parties, in all subcontracts, regardless of tier, for experimental, developmental or-research work to be performed in the United States by a small business firm or a non-profit organization.- The subcontractor will retain 'all rights provided for the grantee in this clause, and the grantee will not, as part of the consideration for awarding the subcontract, obtain rights in the subcontractor's subject inventions.

(2) The grantee will include in all other subcontracts, regardless of-tier, for experimental, developmental or research work the patent rights clause required by Federal Procurement Regulation 1-9.107-5(a).

h Reporting' on Utilization of Subject Inventions The grantee 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 grantee or its licensees or assignees. Such reports shall; include information regarding the status of development, date.of first commer-cial sale or use, gross royalties received by the grantee,,and such other data and information as the NRC may reasonable specify. The-grantee also agrees to provide additional reports as may be requested by the HRC in connection with any march-in proceeding undertaken by the NRC in accordance with paragraph j of this clause.- To the extent data

or information supplied under this section is considered by the grantee, its licensee or assignee to be priviledged and confidential and is so marked, the NRC agrees that, to the extent pennitted by 35 USC 202(c)(5), it will not disclose such information to persons outside the Government.

i.

Preference for United States Industry Notwithstanding any other provision of this clause, the grantee 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 or produced through the use of the subject invention will by manufac-tured substantially in the United States.

However, in individual cases, the requirement for such an agreement.may be waived by the NRC upon a showing by the grantee, or its assignee that reasonable but unsuccessful efforts have been made to grant licenses or similar terms to potential licensees that would be likely to manufacture substantially in the United States or that urder the circumstances domestic manufacture is not connercially feasible.

j.

March-in Rights The grantee agrees that with respect to any subject invention in which it has acquired title, the NRC has the right in accordance with the procedures in OMB Bulletin 81-22 to require the grantee, an assignee or exclusive licensee of a subject invention to grant a non-exclusive, 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 grantee assignee, or exclusive licensee refuses such a request, the NRC has the right to grant such a license itself if the NRC determines that:

(1) Such action is necessary because the grantee or assignee has not taken, or is not expected to take within a reasonable time, effec-tive steps to achieve practical application of the subject inven-tion in such field of use; (2) Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the grantee, assignee, or their licensees; l

(3) Such action is necessary to meet requirements for public use specified by Federal regulations and such requirements are not reasonably satisfied by the grantee, assignee, or licensees; or (4) Such action is necessary because the agreement required by para-graph i of this clause has not been obtained or waived or because a licensee r r the exclusive right to use or sell any subject inven-tion in the United States is breach of such agreement.

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Special Provisions for Grants with Non-profit Organizations If the grantee is a non-profit organization, it agrees that:

(1) Rights to a subject invention in the United States may not be assigned without the approval of the NRC, except where such assignment is made to an organization which has as one of its primary functions the management 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 inven-tion or be in competition with embodiments of. the invention (pro-vided that such assignee will be subject to the same provisions as the grantee);

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

(i) five years from 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 pre-market 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 of use in one field of use will not be deemed commercial sale or use as to other-fields of use, and a first coramercial sale or use with respect to a product of the invention will not be deemed to end the exclusive period to different subsequent pro-ducts covered by the invention.

(3) The grantee will share any royalties collected on a subject inven-tion with the inventor; and

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(4) The balance of any royalties or income earned by the grantee with respect to subject inventions, after 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.

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Notice and Asr 9...::e Recordin; o

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The provisions cf thi: clause shall be applicable only if the amount of

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this grant exceeds 510,000.

The grantee shall report to the grants officer, promptly and in a.

reasonable written detail, each notice or claim of patent or 4

copyright infringement based on the performance of this grant of which the grantee has knowledge.

b.

In the event of any claim or suit against the Government on account of any alleged patent or copyright infringement arising out of the perfomance of this grant or out of the use of any supplies furnished or work or services perfomed hereunder, the grantee shall furnish to the Government when requested by the Grants Officer, all evidence and infomation in possession of j

the grantee pertaining to such suit or claim.

Such evidence and information shall be furnished at the e.xpense of the Government except where the grantee has agreed to indemnify the Government.

i This clause shall be included in all subcontracts.

c.

15.

Reoorting of Royalties i

If this grant is in an amount which exceeds $1'0,000 and if any royalty l

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 tne Patent Counsel, NRC (with notification by Patent Counsel t' ihe j

Grants Officer) during the perfomance of this grant and prior tr.ts completion or final settlement the amount of any royalties or other i

payments paid or to be paid by it directly to others in connection with tne perfomance of this grant together with the names and addresses of licensors to who suen payments are made and either the patent numbers involved or such other information as will pemit 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 patent under which a royalty or payments are made.

16.

Procurement Standards a.

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

W b.

In addition, unless these provisions provide otherwise, prior 1

written approval shall be obtained from the NRC Grants Officer j

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before:

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

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

NRC approvals will be made by the Grants Officer, who will c.

specify which requirements of this grant must'be flowed-down i

to satisfy the purposes of OMB Circular A-110.

1 d.

Grantee requests for approvals shall include an explanation of f

the need for tne contracting, a proposed performance statement, justification for the price or estimated cost (including)a s

detailed budget for cost-reimbursement type arrangements, and the basie 9m nolod&LMrue.h

- i.,.

17c kevisiun of financial Plans Grant budget activity under this grant is L.Ljett to the requirements of OMB Circular A-110, Attachment J.

18.

Program Income Program income is subject to the policy prescribed by OMB Circular A-110 Attachment D.

19.

Statutory Recuirements a.

Civil Rights This grant is subject to Title VI of the Civil Rights Act of 1964 (P.L.88-352); Title IV, Sex Discrimatier

<t the Energy Reorganiza-u tion Act of 1974, and Executive Order 11246, as amended, Parts 11 III, and'IV (for grants over 510,000 within a twelve month period).

The grantee agrees.that no person in the United States shall, on the ground of race, sex, color or national origin, be excluded from participation in, be deprived the benefits of, or be otherwise subjected to discrimination under any program or activity for which the grantee receives financial support from NRC.

b.

Nondiscrimination Under Federal Grants This grant is subject to the provisions of the Rehabilitation Act of 1973, Public Law 93-112.

The grantee therefore agrees that, "No otherwise cualified handicapped individual in the United States (as defined in section 7(6) of the Act), shall solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance." Further, this grant is subject to the provisions of the Age Discrimination Act of 1975 (42 U.S.C. 6101).

The grantee therefore agrees that no age discrimination will occur under this Federally assisted program.

c.

Clean Air - Clean Water (Applicable only if the grant exceeds $100,000, or a facility to be used has been the subject of a conviction under the Clean Air Act (42 U.S.C.1857c-B(c)(1) or the Federal Water Pollution Control Act (33 U.S.C.1319(c), and is listed by EPA.

(a) The Grantee agrees as follows:

(1) To comply with all the requirements of section li4 of the Clean Air Act, as amended (42 U.S.C.1857, et seq., as amended by Public Law 91-604) and section 308 of the Federal Water Pollution Control Act (33 U.S.C.1251 et seq., as amended by Public Law 92-500), respectively, relating to inspection, monitoring, entry, reports, and information, as well as other requirements specified in section 114 and section 308 of the Clean Air Act and the Water Act, respectively, and all regulations and guidelines issued thereunder before the award of this grant.

17

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(2). That no portion of the work required by this grant will be performed in a facility listed on the Environmental Protec-tion Agency List of Violating Facilities on the date"that this grant was awarded unless and until the EPA eliminates the name of such facility or facilities from such listing.

(3) To use his best efforts to comply with clean air standards and clean water standards at the facility in which the L

grant is being perfomed.

(4) To insert the substance of the' provisions of this clause into any nonexempt subcontract, including this paragraph (a)(4).

(b) The tems used in this clause have the following meanings:

(1) The term " Air Act" means the Clean Air Act, as amended (42 U.S.C.1857 et seq... as amended by Public Law 91-604).

(2) The term " Water Act" means the Federal Water Pollution Control Act, as -amended (33 U.S.C.1251 et seq., as amended by Public Law 92-500).

(3) The tem " clean air standards" means any enfor:eable I

rules, regulations, guidelines, standards, limitations, orders, controls, prohibitions, or other requirements which are contained in; issued ~under, or.~ otherwise adopted pursuant to the Air Act or Executive Order 11738, an applicable implementation procedure as g

described in section 110 (d) of the' Clean Air Act j

(42 U.S.C.1857c-5(d-), an. approved implementation 4

procedure or plan under section 111(c) or section.111(d) -

respectively, of the Air Act (42 U.S.C.1857c-6(c) 'or (d), or an approved implementation' procedure under section 112(d) of the Air Act (42 U.S.C. 1857c-7(d).

(4) The tem " clean water standards" means any enforceable.-

limitation, control, condition, prohibition, standard. -

or other requirement which is promulgated pursuant to the Water Act or contained in a pennit' issued to a discharger by the, Environmental Protection Agency.or.

-l by a State under an approved program..as authorized by section 402 of the Water Act (33 U.S.C.1342).or by.

local Government to ensure compliance with pretreatment regulations as required by section 307 of the. Water Act, (33 U.S.C. 1317).

(5) The tem " compliance" means compliance with cle' n air -

a

. or water standards. Compliance shall also mean compliance with a schedule or plan ordered or approved by a. court of.,

competent, jurisdiction, the Environmental Protection Agency-or an air or water pollution control agency in accordance-with the _ requirements of the Air Act or Water Act and.

~

regulations issued pursuant thereto.

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a (6) The tem " facility" means any building, plant, installa-tion, structure, mine, vessel or other floating craft, 3'

location, or site of operations, owned, leased, or super-vised by the grantee or subcontractor, to be utilized in the performance of work under a grant or subcontract.

1 Where a location or site of operations contains or includes more than one building, plant, installation, or structure, the entire location or site shall be deemed to be a facility except where the Director, Office of Federal Activities, Environmental Protection Agency, detemines that independent facilities are collocated in 1

one geographical area.

j 20.

Liability and Losses j

NRC assumes no liability with respect to any damages or loss arising out of any activities undertaken with the financial support of this grant.

i 21.

Chances in Principal Investicator or Technical Objectives i

The grantee shall be permi';ted to change the methods and procedures a.

employed in perfoming 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 methodology or experiment is proposed as a specific stated objective of the research work, it shall not be changed without approval of the Grants Officer, b.

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

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

of research, shall not be changed except with the prior approval of the NRC Grants Officer.

d.

The grantee shall obtain the approval of the NRC Grants Officer to change the principal investigator, or to continue the resecrch work

~

during a continuous period in excess of three months without the participation of an approved principal investigator.

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

cipal investigator plans to, or becomes aware that he wiil, devote substantially less effort to the work than that anticipa ted in the approved proposal. If NRC determines that the reduction of effort would be so suostantial as to impair the successful prosecution of the research, it may request a change of-principal investigator or other appropriate modification of the grant or may suspend or terminate the grant pursuant to clauses 4 and 5 nerein entitled, Suspension or Termination for Cause and Termination by Mutual Acreement, respectively.

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's 22.

Site Visits j

J The NRC, through authorized representatives, has the right, at all reasonable times, t6 make site vists to review project accomplishments and management control systems and to provide such technical assistance as may be required.

If any site visit is made by the HRC on the premises of the grantee or a contractor under a grant, the grantee shall provide and shall require his contractors to provide all reasonable facilities

)

and assistance for the safety and convenience of the Government representa-tives in the perfomance of their duties. All site visits and evaluations shall be perfomed in such a manner as will not unduly delay the work.

23.

Title to Ecuiement Unless otherwise specified in the grant instrument, title to equipment purchased or fabricated with NRC grant funds by a college or university, other nonprofit organization, or a unit of State or local Government shall vest in the grantee institution, with the understanding that such equip-ment (or a suitable replacement obtained as a trade in) will remain in use for the specific project for which it was obtained.

24, Oroanizational Prior Aoproval System l

In order to carry out its responsibilities for monitoring project a.

performance and for adhering to grant terms ar,d conditions, each perfoming organization shall have a system +,o ensure that appro-priate authorized officials provide necessa"y organizational reviews and approvals in advance of any action tha'.: would result in either the perfomance or modification of an hLsupported activity where such approvals are required by the grar.c instrument, including the obli:;ation.or. expenditure of funds where the governing cost principles either prescribe conditions o.

require approvals.

b.

The organization shall designate an appropriate official or officials to review and apprme the types of actions described in a, above. Preferably, the official (s) should be the same official (s) who sign (s) or countersign (s) those types of requests that require submission to and approval by NRC.

The designated official (s) shall not be the principal investigator or any official having direct responsibility for the actual conduct of

, the project, or a subordinate of such individual, 25.

Audit and Records Financial records, supporting documents, statistical records, a.

and other records pertinent to this grant shall be retained by the grantee for a period of 3 years from submission of the Final Report.

(1) Records that relate to audits, appeals, litigation, or the settlement of claims arising out of the performance of the project shall be retained until such audits, appeals, litigation, or claims have been disposed of,bmission. y event but in an not less than 3 years after final report su

- 20 (2) Records relating to projects subject to special project income provisions shall be retained until 3 years from the end of the grantee's fiscal year in which the grant instrument requirement for reporting income expires.

b.

The NRC and the comptroller General of the United States, or any of their duly authorized representatives, shall have access to any pertinent books, documents, papers, and records of the grantee organization, and of the performing o"ganization, if different, to make audits, examinations, excerpts and transcripts. Further, any contract in excess of $10,000, made by the grantee shall include a provision to the effect that the grantee, NRC, the Comptroller General, or any of their duly authorized represen-tatives, shall have access to pertinent records for similar purposes.

In order to avoid duplicate recordkeeping, NRC may make special c.

arrangements with grantees to retain any records that are needed for joint use. NRC may request transfer to its custody of records not needed by the grantee when it determines that the records possess long-term retention value. When the records are transferred to or maintained by NRC, the 3 year retention requirement is not applicable to the grantee.

In the event that these provisions are exercised, NRC will negotiate a mutually agreeable arrangement with the grantee regarding reimbursement of costs.

26.

Standards for Financial Manacement Systems i

NRC grantees shall have financial management systems that meet the i

requirements of Attachment F to OMB Circular A-110.

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