ML20236Y628

Cooperative Agreement NRCG-33-98-181, Financial Assistance for Pdrs, Awarded to Univ of Utah,Marriot Library

ML20236Y628
Person / Time
Issue date:	07/06/1998
From:	Mearse S, Moriearty J NRC OFFICE OF ADMINISTRATION (ADM), UTAH, UNIV. OF, SALT LAKE CITY, UT
To:
References
CON-NRC-G-33-98-181, CON-NRCG-33-98-181 NUDOCS 9808120358
Download: ML20236Y628 (46)

Text

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h U.S. NUCLEAR REGULATORY COMMISSION NOTICE OF COOPERATIVE AGREEMENT l

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1. COOPERATIVE AGREEMENT NO. 2. MODIFICATION NO. 3. COOPERATIVE AGREEMENT PERIOD NEW AWARD FROM: 7/6/98 TO: 7/5/99 NRC-33-98-181

4. AUTHORITY 5. TYPE OF AWARD 6. Cooperative AgreementEE TYPE l

l ~ Pursuant to Section 31a and 141b of ths Atomic Energy Act of 1954, as Cooperative Agreeement Public Library I

amznded

7. COOPERATOR NAME AND ADDRESS 8. PROJECT TITLE:

University of Utah, Marriott Library " FINANCIAL ASSISTANCE FOR LOCAL PUBLIC DOCUMENT Documents Division ROOMS" 295 S.1500 East RM Dock Salt Lake City, Utah 84112-0860

10. TECHNICAL REPORTS ARE REQUIRED

9. PROJECTWILL BE CONDUCTED PER PROGRESS AND FINAL

- COOPERATOR'S PROPOSAL (S) FINAL ONLY DATED 6/1/98 AND APPENDIX A-PROJECT X OTHER (Quarterly Report)

COOPERATIVE AGREEMENT PROVISIONS 11 PRINCIPAL INVESTIGATOR (S) NAME 12. NRC PROGRAM OFFICE (NAME & ADDRESS)

AND ADDRESS U.S. Nuclear Regulatory Commission Office of Chief information Officer Ms. Jill Moriearty ATTN: Sandra Northern, LPDR Coordinator Mail Stop T6-08 (801) 581-8394 same address as #7 Washington, D.C. 20555 Telephone Number: (301) 415-6879

13. ACCOUNTING & APPROPRIATION DATA 14. METHOD OF PAYMENT APPN. NO: 31X0200.810 X ADVANCE ELECTRONIC PAYMENT B&R NO: 810-15-32-40-15 __.OTHER (SPECIFY)

JOB CODE: -D2416 BOC. NO: 252A

15. FUNDING SOURCES SOURCE NRC:

THIS COOPERATIVE AGREEMENT ACTION $ 3.290 60 PREVIOUS OBLIGATION $ 0 -.

. COOPERATOR SHARE:

0 Qh \

THIS COOPERATIVE AGREEMENT ACTION $

0 PREVIOUS OBLIGATION qq $

,, / , s .vw TOTAL FUNDING $ 3.290.60

16. AMOUNT OBLIGATED BY THIS COOPERATIVE $3.290.60 l AGREEMENT ACTION

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9808120358 980706 PDR CONTR NRCG-33-99-181 PDR ,

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17. NRC ISSUING OFFICE (NAME AND ADDRESS)

U.S. Nuclear Regulatory Commission

! Division of Contracts and Property Management Office of Administration Washington, D.C. 20555

18. COOPERATOR 19. GRANTS OFFICER o'

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.(SignNt'u re) (Date) 45ignature) (Date)

NAME (TYPED) Jill A. Morienrtv NAME (TYPED) Sharon D. Mearse TITLE Head Documents / Microforms niviaion TITLE Grants Officer l

TELEPHONE No. (801) 581-8394 TELEPHONE No. (301)415-7315

20. Cooperative Agreement PAYMENT INFORMATION L Payment will be made within thirty (30) days after receipt of the bilkng unless the bill is improper or the Cooperative Agreementee has failed to comply with the program objectives, Cooperative Agreement award conditions, Federat reporting requirements or other conditions specified in OMB Circular A-110.

Payment will be made by; h

U.S. Nuclear Regulatory Commission fs2 d 73 Office of Administration EIE Ti Division of Accounting and Finance, ATTN: GOV /COM Accounts @ 7 Washington, D.C. 20555 ;9 "q;" , il h2 ~

Vouchers should be submitted in an original and three (3) copies on Form 270 to:

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U.S. Nuclear Regulatory Commission  ? n

" W Division of Contracts and Froperty Management Mail Stop 17-12 Washington, D.C. 20555 l

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21. Attached is a copy of the 'NRC Project Cooperative Agreement Provisions for Institutions of Higher Education and Other Nonprofit Organizations? Acceptance of these terms and conditions is acknowledged when Federal funds ara used on this Cooperative Agreement project.

22. ORDER OF PRECEDENCE in the event of a conflict between the Cooperative Agreementee's proposal and this Notice of Cooperative Agreement Award, the terms of the Notice of Cooperative Agreement Award shall prevail.

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23. By this Cooperative Agreement Award, the Cooperative Agreementee certifies that payment of any audit-related a debt will not reduce the level of performance of any Federal Program.

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l STATEMENT OF WORK ,

I COOPER _ATIVE AGREEMENT (LPDR) l 1. BACKGROUN_Q The information Services Branch within the Office of the Chief information Officer, U. S.

Nuclear Regulatory Commission (NRC), is responsible for the overall establishment and .

maintenance of local public document rooms (LPDRs). The Information Services Branch recommends, develops, and implements programs, plans, objectives, and activities of local public document rooms, as well as coordinates the distribution of documents to LPDRs.

The LPDR program provides scientific and technical information relating to nuclear ,

power plants and other nuclear facilities. The document collections permit and encourage the free exchange of ideas and criticisms by the general public in the licensing of nuclear power plant construction and operation. The LPDRs are located in libraries maintained by state / local governments, institutions of higher education and nonprofit organizations (hereinafter, the " Cooperator") in the vicinity of nuclear power plants and other licensed facilities.

The Information Services Branch has established a cooperative agreement program to provide financial remuneration for services performed by the LPDRs and to insure that a uniform program of document maintenance and information services is provided for LPDR patrons.

L PERIOD OF PERFORMANCE The period of performance hereunder shall commence on 7/6/98 and shall continue through 7/5/99. The period of performance may be extended at the request of the NRC.

The Cooperator will be required to submit requested cost proposals.

3. NRC RESPONSIBILITY The NRC anticipates that they will provide documents on a weekly basis to be added to )

each local public document room collection (collection). NRC will provide all supplies {

necessary for maintaining collection, a User's Guide, filing instructions, etc. Also, the ]

NRC, when notified by a library, will promptly replace any documents found missing from the collection. NRC will periodically visit each library to review the collection, provide guidance and instructions to the library staff, monitor contractor performance, and identify / resolve problems or discrepancies l l

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4. MAINTENAftCE AND OPERATION OF THE LPD_8 The Cooperator shall perform the following services relative to the maintenance and operation of the LPDR:

a. Properly fde microfiche /hardcopy documents received from the NRC within one week of receipt in accordance with the filing system provided by NRC. To meet ine particular needs of library patrons, this filing deadline may be extended upon the expressed approval of thb NRC's LPDR Program Staff.

b. Refile microfiche /hardcopy documents used by patrons within the next business day.

c. Prepare files, folders and labels when necessary.

d. Promptly file as well as display reference tools and finding aids provided by NRC (such as the LPDR Hotline toll free labels and signs which identify the collection) as instructed.

e. Maintain a file of explanatory and instructional material sent to the LPDR library by the NRC.

f. Documents in the collection are not allowed to leave the LPDR library unless instructed to do so by the NRC's LPDR Program Staff.

g. Work with the NRC's LPDR Program staff and other NRC representatives, as necessary, to answer questions and provide information on the availability of docurnents and services, retum documents sent in error, make arrangements for l handling non-routine matters as they arise, such as Freedom of Information Act responses.

h. Maintain the local public document room collection and NRC-fumished equipment as a physically unified collection.

i. Report promptly to the NRC's LPDR Program Staff the identification of documents found or reported to be missing from the collection.

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j. Ensure that LPDR collection patrons alwoys have access to the NRC owned microfiche reader printer.

5. USER ASSISTANCE

a. Provide patrons with reference assistance, including online assistance at libraries where this capability exists, in locating documents and sufficient instructions to familiarize users with the filing system, the local public document room collection, the collection's reference tools and finding aids, the indexing system used for microfiche and hardcopy records, and the use of all govemment fumished equipment.

b. Provide users access to operable reproduction equipment for making paper copies of the collection, as needed.

u - _ _ ____ _ _ _ ___---_________ _________ _ _ __-.______ _______---._____________ _ _ _ _ _ - - - - _ _ _ _ _ _ _

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i l 6. ADMINISTRATIVE SFmRVICES

a. Insure that the NRC microfiche reader printer is in good operating condition. In the event the equipment requires repair or servicing, the library staff (cooperator)

MUST receive authorization from the Project Officer by calling the toll free telephone number (800-638-8081) BEFORE ANY REPAlR CAN BE ARRANGED OR PERFORMED. The Project Officer willinform cooperator of current l payment / billing procedures.~NRC MAY NOT BE RESPONSIBLE FOR PAYMENT OF REPAIR OR SERVICING IF PRIOR AUTHORIZATION IS NOT RECEIVED.

b. Promptly inform the NRC's LPDR Program Staff, either by the toll free telephone number (800-638-8081) or in writing, of problems regarding the use or maintenance of the collection.

7. SPACE REQUIREME. fits Provide the following:

a. Adequate shelf or other filing space to maintain the collection.

b. Adequate space near the collection to locate the microfiche reader printer, the microfiche file cabinet (s), and table and chairs for patrons using the collection.

c. Adequate reading space, lighting, heating and cooling, for users to review the documents in the collection.

8. SUPPLY REQUIREMENTS The Cooperator shall maintain an adequate supply of the following items marked with an "X" below:

X_ Paper for microfiche reader printer

__ Paper for computer printer X_ Electric lamps (bulbs) for reader printer X_ Toner for the microfiche reader printer l 1

NOTE: The charges for the above supply requirements are not allowable expenditures l under this cooperative agreement and will not be reimbursed. The Cooperator may charge for copies made from the microfiche reader printer to recoup expenses but the charge may not exceed $0.25 per page copy without approval of the NRC Grants Officer.

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9. GOVERNMENT FURNISHED PROP _ERTY The following items, marked with an "X", are to be furnished to the Cooperator, as needed, to support the collection.

X -CANON MP-60 microfiche reader printer, Serial No. AQ300794, NRC Tag No. (1 ea.)

- _ CANON PC 80 microfiche reader printer, Serial No.

NRC Tag No. (1es-)

__ANACOMP Micro Copy 1000 microfiche reader printer, serial no. ,

NRC Tag No. ( ea.)

_ DATAMATE 1000 microfiche reader printer, Serial No. , NRC Tag No. (1 ea.)

_ Vertical visible upright cabinet for cards and microfiche,4 x 6 size,7-drawers,40" high,16" wide,27" deep, with high leg base, steel,12" high, Shaw-Walker, Model C-1419. ( ea.) i

_ Reader Printer Sit-Down Stand,30" high, top 36 x 30, Bell & Howell, Catalog No.

123001. (1 ea.)

_ IBM Computer 8530E21 System Unit, NRC Tag No.

_ IBM Graphics Printer, NRC Tag No.

_ IBM 8513 Color Display, NRC Tag No.

_ Smarteam 2400 baud modem. NRC Tag No.

_ Anderson Jacobson modem, NRC Tag No.

_ Zoom Modem, NRC Tag No.

_ Smarterm 400 Software, Control No.

_ Pro Comm Plus 2 Software, Control No.

_. PS DOS 2.10 Software, Control No. ,

_ Workstation, TAB Computer workstation

.X. Microfiche cabinets,10 drawers /3 trays, (2 ea.)

._, Other:

The Cooperator is authorized, without cost to NRC, to install a coin operated attachment to the reader printer; however, the cost a Cooperator may charge for copies from the reader printer may not exceed $0.25 per page copy without approval of the NRC Grants Officer.

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10. REPORTING REQ 111REMENTS

a. A quarterly performance report, utilizing the format as specified in A'.mchment, i shall be submitted within 20 days after each quarter end to NRC's LPDR Coordinator at the address listed below.

Billing can be made either quarterly, semi-annually, or annually, (PREFER ADVANCE ANNUAL BILLfMG), using Form 270, REQUEST FOR ADVANCE OR REIMBURSEMENT, or by using Cooperator's own letterhead voucher / invoice. Originalinvoice and three copies should be submitted to the Division of Contracts and one copy to the LPDR Coordinator at the addresses listed below.

Sandra S. Northern, LPDR Coordinator l

U. S. Nuclear Regulatory Commission Mail Stop: T 6-D-8 Washington, DC 20555-0001 l

U. S. Nuclear Regulatory Commission l Division of Contracts l Mail Stop: T 7-1-2 l Washington DC 20555-0001

b. Financial Reports in accordance with OMB Circulars A-110, Attachment G and/or A-102, Attachment H, as applicable, the Cooperator shall use the Standardized Financial Status Report to report the status of funds for all nonconstruction projects or programs. Please note the NRC will exercise the option to waive the filing of the Standardized Financial Status Report since the Request for Advance or Reimbursernent and/or Report of Federal Cash Transactions has been determined to provide adequate information, except that a final Financial Status Report shall be required at the completion of the project when the Request for Advance or Reimbursement form is used only for advances.

iTTACHMENT TO S0W LOCAL PUBLIC DOCUMENT ROOM COLLECTION

. QUARTERLY REPORT FORM (Updated 2/98)

Library Name/ City / State:

Cooperative Agreement No.:

- Quarter No.: Period Covered:

PLEASE COMPLETE THIS FORM ACCURATELY.

A; Use of the Collection:

Estimate the number of times the collection was used this quarter.

(Example: 1 person using 4 times = 4 uses)

B. Condition of the LPDR Collection:

1. Has filing been kept up-to-date? ,_YES _NO If no, please explain.

2. Have all exchanges /updatesto the NUDOCS microfiche been made and returned?

_YES _NO If no, please explain.

3. Have documents been reported missing during this quarter? _YES ._NO If yes, list missing documents.

C. . Filing and Assistance:

1. Indicate the amount of time spent each week during this quarter:

TIME ACTUALLY SPENT Filing microfiche received: Minutes / Week 1)

Filing paper records received: Minutes / Week 2)

. Refiling records used by patrons: Minutes / Week 3)-

2. Indicate the amount of time spent each week assisting patrons to use and/or Hours Minutes /Per

' locate information in the collection.

week o___ _ __ _ _z _ __ _ --__ _ __ _ --____ _ _ _ _ ___ _ __ _ _ _--_-_- _ _ _ __ _ __ _ _ ___------ _ __

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D. Equipment Maintenance: . {

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1. Does your library have an NRC owned microfiche reader printer? Y N

( Canon Anacomp Datamate)

If yes, is the microfiche reader printer operational? Y N

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2. 1 If no, has NRC been notified? Y N If no, please explain.

3. Does your library charge for copies made on the NRC owned microfiche reader printer? Y N Per Copy E. Corrections:

Indicate below, where necessary, any information which has changed during this quarter:

1. Administrative contact:

2. Collection recipient:

3. Collection contact:

4. Telephone number: ,

5. Fax number:

6. Internet/email address: f

7. Mailing Address:

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8. Hours of operation:

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l F. Problems / Suggestions:

Attach a separate sheet or write on back of form and describe any problems that have occurred with the maintenance and use of the collection which have not been reported to, t or resolved by, the NRC LPDR PROGRAM siaff Also, let us know of any ideas you l l may have that would help us improve the NRC LPDR Program.

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DATE SIGNATURE / TITLE Send completed form along with (1) copy of invoice to:

Sandra S. Northern, LPDR Coordinator l

Mail Stop: T6-D8  !

U. S. Nuclear Regulatory Commission  !

Washington, DC 20555-0001 1

APPENDIX A 3150-0107 l

(01/92))

NRC GENERAL PR0!!SIONS FOR GRANTS AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 1

1. General 1

2. Reporting Program Technical Performance 4

3. Suspension or Termination for Cause 5

4. Termination for Convenience 6

5. Olspute Review Procedure 6

6. Travel C

7. Use of U.S. Flag Carriers 7

8. Allowable Costs 8

9. Retention and Custodial Requirements for Records 8

10. Payment and Fir.ancial Reporting Requirements 8

11. Property Management Standards 8

12. Copyright 8

13. Patent Rights (Small Business Firms or Non-Profit Organizations, July, 1981) 14

14. Notice and Assistance Regarding Patent and Copyright Infringement 15

15. Reporting of Royalties 15

16. Procurement Standards 15

17. Revision of Financial Plans 15

18. Program Income 16

19. Statutory Requirements 18 i

20. Liability and Losses 18

21. Changes in Principal Investigator or Technical Objectives 19

22. Site Visits 19

23. Title to Equipment r

19

24. Organizational Prior Approval System 20

25. Retention and Custodial Requirements for Records 20

26. Standard for Financial Management Systems 20

27. Audits

28. Certification and Disclosure Regarding Payment to Influence 21-29 Certain Federal Transactions (APR 1991)

29. Certification Regarding a Drug-Free Workplace (JUL 1990) 30-35 Electronic Payment 36 30.

'RC GENERAL PROVISIONS FOR O

GRANTS ...J COOPERATIVE AGREEMENTS AUARDE INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS This award is subject to the following provisions:

1. General

a. This award is composed of an award face page (which may incorporate the recipient's proposal by reference) and the NRC General Provisions for Grants and Cooperative Agreements Awarded to Institutions of Higher Education and Other Nonprofit Organizations.

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

c. The recipient is obligated to conduct such project oversight as may 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 award face page is responsible for the scientific or technical direction of the project and for preparation of the project performance reports.

d. This award 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.

e.

This award is subject to the policies prescribed in OM5 Circular A 110. dated November 29, 1993, as amended.,

2. Reportina Proaram Technical performance Recipients 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. Freauency 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 the expiration date of the award 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 and Property Management, three copies to the NRC Program Office (at the address indicated on the face page).

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NRC GENERAL PROVlSIONS FOR GRANL AND COOPERATIVE AGREMENTS ASAL0 TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS

c. Content of performance Report l

The report content shall be as follows:

(1) A comparison of actual accomplishments with the goals l established for the period, the findings of the l

! investigator, or both. If the output of programs or l 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 high unit costs.

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

j may occur that have significant impact upon the project or program. In such instances, the recipient shall inform the ]

Nuclear Regulatory Commission as soon as the following types of conditions become known:

(a) problems, delays, or adverse conditions that will materially affect the ability to attain program objectives, prevent the meeting of time schedules and goals, or preclude the attainment of ptoject 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 recipient discloses the need for change in the budget estimates in accordance with the criteria established in Circular A-110, the recipient shall submit a request for budget revision.

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d. Publication of Results .

l 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 ro mity free, nonexclusive, irrevocable license to reproduce, translate, publish, use and l dispose of all copyrightable material first produced or composed in the recipient's performance under the grant or cooperative l,

agreement.

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NRC GENERAL PROVISIONS FOR

'O GRANTS . COOPERATIVE AGREEMENTS AWARDE' INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS Recipients may be required to produce reports to be published by NRC in accordance with the provisions of NRC Handbook 3.8 and NRC Manual Chapter 3206 or be given the option of publication in a recognized technical journal.

Each journal article submission must be accompanied by the following statement:

"The submitted manuscript has been authored by a recipient .

of the U.S. Government under Award No.

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

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

This paper was prepared with the support of the U.S.

Nuclear Regulatory Commission (NRC) under Award No.

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

If requested by the journal or other publisher to transfer the I copyright, the author shall respond to the journal or other pub-lisher, in writing, in accordance with the sample letter shown below:

i 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 j ownership. Accordingly, we hereby expressly transfer and assign '

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

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

The submitted manuscript has been authored by a contractor (recipient) of the U.S. Government under contract (award)

Accordingly, the U.S. Government No. .

has a nonexclusive, royalty-free license to publish or l

' reproduce the published form of this contribution, or allow cthers to do so, for U.S. Government [nrposes.

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l Sincerely, 1

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NRC GENERAL PROVlSIONS FOR GRAN,a AND COOPERATIVE AGREEMENTS ABAn0E0 TO f

INSTITUTIONS OF MIGH2R E00 CAT 10N AND OTHER NONPROFIT ORGANIZATIONS l

l e .- Reprints of Publications l

At such time as any article resulting from work under the award l

' 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 l award number and other appropriate identifying information.

3. Suspension or Termination for Cause When in the opinion of NRC, a recipient has materially failed to f a.

' comply with the terms and conditions of an award, NRC may (1) suspend the award or (2) terminate the award for cause.

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b. NRC prefers that deficiencies be corrected whenever )

practicable. When it is believed that a recipient has failed to comply with one' or more of the terms and conditions of an award, the Grants Officer will advise the recipient by letter of the {

nature of the problem and that failure to correct the deficiency The l may result in suspension or termination of the award.

recipient will be requested to respond in writing within 30 days of receipt of such letter, describing the. action taken or the plan designed to correct the deficiency. Copies of such correspondence will be furnished to the If aPrincipal Investigator satisfactory response (PI) and to the NRC Program Officer.

is not received within 30 days of receipt of such a-letter, the Grants Officer may issue a notice suspending authority to The notice further obligate award funds, in whole or in part.

l of suspension will be sent by certified mail (return receipt requested, to the recipient with a copy to the PI.) The notice l will set forth the activities covered by the suspension and its l effective date, and the corrective action required However,by the this policy i

recipient in order to lift the suspension.

does not preclude immediate suspension or termination when such i action is reasonable under the circumstances and necessary to protect the interests of the Government. 1

c. If an award is suspended pursuant to this article, no f obligations incurred by the recipient during the period of l suspension will be allowable under the suspended award other j than necessary and proper costs that the recipient could not reasonably avoid during the period of suspension) provided that j such costs would otherwise be allowable under the applicable  !

Federal cost principles.

d. The suspension will remain in effect for a maximum of 90 days ]

during which time the recipient will take corrective action to the satisfaction of NRC or give assurances satisfactory In that event, theto NRC Grants that corrective action will be taken.

9C GENERAL PROVlSIONS FOR ]

GRANTS n.J COOPERATIVE AGREEMENTS AUARDE INSTITUTIONS OF HlGHER EDUCAT10N AND OTHER NONPROFIT ORGANIZATIONS Officer will issue a notification, to the recipient, that the suspension is lifted, e.

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

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

f.

If an award is terminated pursuant to this article, financial obligations incurred by the recipient prior to the effective date of termination shall be allowable to the extent they would have been allowable had the award not been terminated, except that no obligation incurred during the period in which the award was suspended (except those allowed pursuant to c, above) w"1 be allowed. The settlement of termination costs will be in accordance with the applicable Federal cost principles,

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

4. Termination for Convenience

a. Circumstances may arise in which either NRC or the recipient wishes to terminate its performance of a project in whole or in part.

If both parties agree, the award may be terminated by mutual agreement.

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

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

d. 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.

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 "Otspute Review Procedure."

f. The' recipient shall not incur new obligations for the terminated portion after the effective date, and shall cancel as many outstanding obligations as possible. The Nuclear Regulatory Commission shall allow full credit to the recipient for the '

Federal share of the noncancellable obligations, properly incurred by the recipient prior to termination.

NRC GENERAL PROVISIONS FOR GRAN AND COOPERATIVE AGREEMENTS AUA,_ D TO 1NSTITUT10NS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS

5. Dispute Review Procedure

a. Any request for review of a notice of termination or other adverse decision should be addressed to the 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 recipient'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 Administration, who shall appoint a review committee consisting of a minimum of three persons.

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

e. The termination review committee will request the Grants Officer who issued the notice of termination to provide copies of all relevant background materials and documents. It may, at its discretion, invite representatives of the recipient and the NRC program office to discuss pertinent issues and to submit such additional information as it deems appropriate. The chairman of the review committee 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/her dicision.

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

l, All common carrier travel reimbursable hereunder shall be via the 1 east expensive class rates consistent with achieving the objective of the travel. If not available, reimbursement vouchers will be l

l l annotated that economy class accommodations were not available.

First-class air travel is not authorized. l i

7. Use of U.S. Flac Carriers j

a. The Comptroller General of the United States, by Decision B-138942 of June 17, 1975, as amended, provided guidelines for implementation of Section 5 of the International Air l l

l Transportation Fair Competitive Practices Act of 1974, l

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NRC GENERAL PROVISIONS FOR GRANTS COOPERATIVE AGREEMENTS ASARDE" "O INSTITUT?0NS OF HlGHER EDUCAT10N AND OTHER NONPROFIT ORGANIZATIONS

b. Any air transportation to, from, between, or within a country other than the U.S. of persons or property, the expense of which will be assisted by NRC funding, must be performed on a U.S.

flag carrier if services provided by such carrfer is "available."

c. For the purposes of this requirement:

(1) Passenger or freight service by a certificated air carrier is considered "available" even though:

(a) Comparable or a different kind of service by a noncertificated air carrier costs less, or (b) Service by a noncertificated air carrier can be paid for in excess foreign currency, or (c) Service by a noncertificated air carrier is preferred by the recipient, contractor, or traveler needing air transportation, or (d) Service by a noncertificated air carrier is convenient for the recipient, contractor, or traveler needing air transportation.

(2) Passenger service by a certificated air carrier is considered to be " unavailable":

(a) When the traveler, while enroute, has to wait 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> or more for an available U.S. carrier, or (b) When any flight by a U.S. flag carrier is interrupted by a stop anticipated to be 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> or more for refueling, reloading, repairs, etc., and no other flight by a U.S. air carrier is available during the 6 hour6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> period, or (c) When the flight by a U.S. air carrier takes 12 or more hours longer than a foreign carrier.

8. Allowable Costs

a. The allocability of costs and cost allocation methods for work performed under this award, up to the amount specified in the award instrument, shall be determined in accordance with the applicable Federal Cost Principles in effect on the effective date of the award and the terms of the award.

b. The Federal Cost Principles applicable to specific types of recipients are as follows:

(1) Institutions of higher education. OMB Circular A-21 is applicable to both public and private institutions of higher education.

(2) Nonprofit Organizations - OMB Circular A-122

e NRC GENERAL PROVlSTONS FOR GRAh.., AND COOPERATIVE AGREEMENTS ASArwED TO INSTITUT10NS OF HIGHER EDUCAT10N AND OTHER NONPROFIT ORGANIZATION 5

9. Retention and Custodial Requirements for Records Recipients shall retain and permit examination of records as required by OMB Circular A-110. Recipients shall place appropriate requirements on sub grantees as specified.

10. Payment and Financial Reportina Requirements Payments by NRC will be made by the method indicated on the face page. Recipient requests for payment, NRC payments, and recipient financial reporting requirements shall be made in accordance with OMB Circular A-110.

11. Property Manaaement Standards Property shall be accounted for and managed in accordance with OMB Circular A-110.

12. Copyriaht Unless otherwise provided in the award instrument, the recipient may copyright any books, publications, films, or other copyrightable materials developed in the course of or under this award. However, any such copyrighted materials shall be subject to a royalty-free, j 1rrevocable, worldwide, nonexclusive license in the United States J l

Government to reproduce, perform, translate, and otherwise use and to authorize others to use such materials for Government purposes.

13. Patent Rights (Small Business Firms or Non-Profit Organizations, July, 1981)

a. Definitions (1) "Inver; tion" means any invention or discovery which is or '

i may be patentable or otherwise protectable under Title 35 of the United States Code (USC).

(2) " Subject Invention" means any invention of the recipient conceived or first actually reduced to practice in the performance of work under this award.

(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 the invention is being utilized and that its benefits are to the extent permitted by law or Government regulations, available to the public on reasonable terms.

"9C GENERAL PROVlSIONS FOR 1

GRANTS i. COOPERATIVE AGREEMENTS AWARDET INSTITUTIONS OF HIGHEP, EDUCAT10N AND OTHER NONPROFIT ORGANIZATIONS "Made" when used in relation to any invention means the con-(4) ception or first actual reduction to practice of such invention.

(5) "Small Business Firm" means 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 Administration.

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 Organization" means universities and other '

institutions of hiaher education of an organization of t "

type described in Section 501(c)(3) of the Internal Revenue Code of 1954 (26 USC 501a) or any non profit scientific or educational organization qualified under a state non profit organization statute.

b. Allocation of Principal Riahts The recipient may retain the entire right, title, and interest throughout the world to each subject invention subject to the provisions of this clause. With respect to any subject invention in which the recipient retains title, the Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the United States any subject invention throughout the world for which the recipient has elected to retain title. I

c. Invention Disclosure Election of Title and Filina of Patent Applications by Recipient (1) After a subject invention has been disclosed in writing by the inventor (s) to recipient personnel responsible for the administration of patent matters, the recipient will:

I (i) Disclose such invention to the Nuclear Regulatory Commission (NRC) within six months; (ii) Elect whether or not to retain title to any such l invention by notifying the NRC within twelve months of disclosure to the recipient; (iii) File its initial patent application on an elected invention within two years after election; and (iv) File patent applications in additional countries within either ten months of the corresponding initial patent application, or six months from the date a iMe'se is granted by the Commissioner of Patents and

-g-

NRC GENERAL PROVISIONS FOR GRAN. AND COOPERATIVE AGREEMENTS AMAH _0 TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS Trademarks to file foreign patent applications when such filing was prohibited for security reasons.

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

(i) Disclosure to the NRC shall be made immediately after recipient personnel responsible for the administration of patent matters become aware of any manuscript describing the invention accepted for publication, or any publication, on sale or public use of such invention; and (ii) In any case where publication, or sale or public use has initiated the one year statutory period wherein valid patent protection can still be obtained in the United States, the period for election of title and filing of a United States patent application may be shortened by the NRC to a date that is no more than 45 days prior to the end of the statutory period.

(3) Requests for extension of the time for disclosure to the NRC, election and filing, where reasonable, will normally be granted.

(4) The disclosure to the NRC shall be in the form of a written report and shall identify the award under which the invention was made and the inventor (s). It shall be sufficiently complete in technical detail to convey a clear understanding of the nature, purpose, operation, and, to the extent known, the physical, chemical, biological or electrical characteristics of the invention. The report shall also identify any publication, on sale or public use of the invention and whether a manuscript describing the invention has been subraitted for publication and accepted at the time of disclosure,

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

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

L (ii) In those countries in which the recipient fails to

! file patent applications within the times specified in c above; provided, however, that if the recipient has filed a patent application in a country after the times specified in c above but prior to its receipt of the written request of the NRC, the recipient shall  ;

continue to retain title in that country; or 1

NRC GENERAL PROVISIONS FOR

'O GRANTS > COOPERATIVE AGREEMENTS AUARDE INSTITUTIONS OF HIGHER EDUCAT10N AND OTHER NONPROFIT ORGANIZATIONS (iii) In any country in which the recipient decides not to continue the prosecution of any application for, to pay the maintenance fees on, or defend in a reexamination or opposition proceeding of a patent on a subject invention

e. Minimum Richts to Recipient The recipient will retain a non-exclusive, royalty-free license throughout the world in each subject invention to which the Government obtains title except if the recipient fails to disclose the subject invention within the times specified in c above. This license extends to and is revocable and l

transferable, as specified in Part 5b(2) of Office of Federal Procurement Policy Bulletin 81-22 dated June 30, 1981.

f.

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

(i) Establish or confirm the rights the Government has throughout the world in those subject inventions for which the contractor retains title; and (ii) Convey. title to the NRC when requested under (d) above and to enable the Government to obtain patent

' protection throughout the world in that subject invention.

(2) The reciDient 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 recipient each subject invention made under this _ award in order that the recipient can comply with the disclosure provisions of c above and to execute all papers necessary to file patent applications on subject inventions and to establish the Government's rights in the subject inventions. The disclosure format should require, as a minimum, the information requested by subparagraph c(4) above. The recipient 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 applications prior to U.S. or foreign statutory bars.

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

NRC GENERAL PROVlSIONS FOR GRANT MD COOPERAT!VE AGREEMENTS AMARL . TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS (4) The-recipient agrees to include, within the specification of any United States patent application and any patent issuing thereon covering a subject invention, the following statement, "This invention was made with Government support under (identify the award) awarded by the Nuclear Regulatory Commission. The Government has certain rights in this invention."

g. Subcontracts (1) The recipient 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 noa profit organization. The subcontractor will retain all rights provided for the recipient in this clause, and the recipient will not, as part of the .

consideration for awarding the subcontract, obtain rights in the subcontractor's subject inventions.

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

h. Reportina on Utilization of Subject Inventions The recipient 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 recipient or its licensees or assignees.

Such reports shall include information regarding the status of

-development, date of first commercial sale or use, gross royalties received by the recipient, and such other data and information as the NRC may reasonably specify. The reciDient

- also agrees to provide additional reports as may be r'., quested by the NRC in connection with any march-in proceeding undertaken by the NRC in accordance with paragraph j of this clause. To the extent data or information supplied under this section is l

L considered by the recipient, its licensee or assignee to be privileged and confidential and is so marked, the NRC agrees that, to the extent permitted by 35 USC 202(c)(5), it will not disclose such information to persons outside the Government.

1. Preference for United States Industry Notwithstanding any other provision of this clause, the recipient 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 be manufactured substantially in the United States. However, in individual cases, the requirement

"RC GENERAL PROVISIONS FOR 0 GRANT 5 . s COOPERATIVE AGREEMENTS AMARDE' INSTITUT10NS OF HlGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS for such an agreement may be waived by the NRC upon a showing by the recipient or its assignee that reasonable but unsuccessful efforts have been made to grant licenses or similar terms to potential licensees that would be likely to manufacture substantially in the United States or that under the circumstances domestic manufacture is not commercially feasible.

J. March-in Riahts The recipient agrees that with respect to any subject invention in which it has acquired title, the NRC has the right in accordance with the procedures in OMB Bulletin 81-22 to require the recipient, an assignee or exclusive licensee of a subject invention to grant a non-exclusive, partially exclusive, e-exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances, and 'if the recipient assignee, or exclusive licensee refuses such a request, the NRC has the right to grant such a license itself if the NRC determines that:

Such action is necessary because the recipient or assignee (1) has not taken, or is not expected to take within a reasonable time, effective steps to achieve practical application of the subject invention in such field of use; (2) Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the rectoient, assignee, or their licensees; Such action is necessary to meet requirements for public (3) use specified by Federal regulations and such requirements are not reasonably satisfied by the recipient, assignee, 1 or licensees; or Such action is necessary because the agreement required by (4) paragraph i of this clause has not been obtained or waived or because a licensee or the exclusive right to use or sell any subject invention in the United States is breach of such agreement.

k. Special provisions for Awards _with Non-profit Organizations If the recipient is a non profit organization, it agrees that:

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

NRC GENERAL PROV1510NS FOR GRAh.. AND COOPERATIVE AGREEMENTS ASAhuc0 TO l INSTZTUT10NS OF HIGHER EDUCATZON j AND OTHER NONPROFIT ORGANIZATIONS l

embodiments of the invention (provided that such assignee w1*' be subject to the same provisions as the recipient);

(2) The recipient 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 premarket clearance, unless on a case-by-case basis, the Federal agency approves a longer exclusive license. If exclusive field of use licenses are granted, commercial sale of use in one field of use will not be deemed commercial sale or use -

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

(3) The recipient'will share any royalties collected on a subject invention with the inventor; and (4) The balance of any royalties or income earn,- by the recipient with respect to subject invention., 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.

14. Notice and Assistance Regarding Patent and Copyright Infringement The provisions of this clause shall be applicable only if the amount of this award exceeds $10,000. -

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

b. In the event of any claim or suit against the Government on account of any alleged patent or copyright infringement arising out of the performance of this award or out of the use of any supplies furnished or work or services performed hereunder, the recipient shall furnish to the Government when requested by the Grants Officer, all evidence and information in possession of the recipient pertaining to such suit or claim. Such evidence and information shall be furnished at the expense of the

! Government except where the recipient has agreed to indemnify the Government.

c. This clause shall be included in all subcontracts.

_u_

NRC GENERAL PROVISIONS FOR TO GRANTS .0 COOPERATIVE AGREEMENTS AWARD INSTITUTIONS OF llIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS f

l 15. Reportina of Royalties If this award is in an amount which exceeds $10,000 and if any royalty payments are directly involved in the award or are reflected in the award price to the Government, the recipient agrees to report in writing to the Patent Counsel, NRC-(with notification by Patent Counsel to the Grants Officer) during the performance of this award and prior to its completion or final settlement the amount of any royalties or other payments paid or to be paid by it directly to others in connection with the performance of this award together with the names and addresses of licensors to whom 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 patent under which a royalty or paymer.ts are made.

16. Procurement Standards

a. NRC recipients shall follow the requirements of OMB Claular 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 commercial production or distribution of books, films, or similar materials.

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

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

17. Revision of Financial Plans Award budget activity under this award is subject to the requirements of OMB Circular A-110,

18. Program Income Program income is subject to the policy prescribed by OMB Circular A-110 NRC GENERAL PROVISIONS FOR GRANI AND COOPERATIVE AGREEMENTS ASAL.J TO INSTITUT10NS OF HlGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS

19. Statutory Reautrements

a. Civil Richts This award is subject to Title VI of the Civil Rights Act of 1964 (P.L.88-352); Title IV, Sex Discrimination, of the Energy Reorganization Act of 1974, and Executive Order 11246, as amended, Parts II, III, and IV (for awards over $10,000 within a twelve month period).

The recipient 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 recipient receives financial support from NRC.

b. Nondiscrimination Under Federal Grants and Cooperative Aareements This award is subject to the provisions of the Rehabilitation Act of 1973, Public Law 93-112. The recipient therefore agrees that, "No otherwise qualified handicapped individual in the United States (as defined in Section 7(6) of the Act), shall solely by reason of his/her handicap, be excluded from the participation in, be denied the benefits of, or-be subjected to i discrimination under any program or activity receiving Federal i financial assistance." Further, this award is subject to the l provisions of the Age Discrimination Act of 1975 (42 U.S.C. <

I 6101). The recipient therefore agrees that no age discrimination will occur ur. der this Federally assisted program.

c. Clean Air - Clean Water )

)

l- (Applicable only if the award 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-8(c)(1)) or the Federal Water Pollution Control Act (33 U.S.C. 1319(c)), and is listed by EPA.)

! (a) The Recipient agrees as follows:

l (1) To comply with all the requirements of section 114 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.

l. 1251, et seq., as amended by Public Law 92-500),

l 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 award.

{

1RC GENERAL PROVISIONS FOR 'O GRANiS ....J COOPERATIVE AGREEMENTS A"ARDl INSTITUTIONS OF HfGHER EDUCATION AND OTHER HONPROFIT ORGANIZATIONS That no portion of the work required by this award (2) will be perforti.ed in a f acility listed on the Environmental Protection Agency List of Violating Facilities on the date that this award was awarded unless and until the EPA eliminates the name of such facility or facilitiis from such ifsting.

(3)

To use his/her best efforts to comply with clean air standards and clean water standards at the facility in which the award is being performed.

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

The terms used in this clause have the following meanings:

(b)

The term " Air Act" means the Clean Air Act, as amended (1)

(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 term " clean air standards" means any enforceable 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 described in section 110 (d) of the Clean Air Act (42 U.S.C. 1857c-5(d)), an approved implementation procedure or plan under section 111(c) or section 111(d), respectively, of the Air Act (42 U.S.C.

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

(4) The term " 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 permit issued to a discharger by the Environmental Protection Agency or by a State under an approved program, as authorized by section 402 of the Water Act (33 U.S.C. 1342) or by local government to ensure compliance with retreatment regulations as required by section 307 of the Water Act (33 U.S.C. 1317).

(5) The term " compliance" means compliance with clean air or water standards. Compliance shall also mean compliance with a schedule or plan ordered or approved

NRC GENERAL PROVISIONS FOR GRANs.> AND C00PERA11VE AGREEMENTS AWAx0E0 T0 1 INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 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.

(6) The term " facility" means any building, plant, installation, structure, mine, vessel or other floating craft, location, or site of operations, owned, leased, or supervised by the recipient or subcontractor, to be utilized in the performance of work under an award or subcontract. Where a location or site of operations contains or includes more than one building, plant, installation, or structure, the entire 1. cation or site shall be deemed to be a facility except where the Director, Office of Federal Activities, Environmental Protection Agency, determines that independent facilities are collocated f in one geographical area.

I

20. Liability and losses f NRC assumes no liability with respect to any damages or loss arising out of any activities undertaken by tne grant recipient with the-financial support of this award.

1

21. Chances in Principal Investigator or Technical Objectives

a. The recipient 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 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.

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.

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

e. The recipient shall consult with the NRC Grants Officer if the principal investigator plans to, or becomes aware that he will,

(

devote substantially less effort to the work than that

! i

NRC GENERAL PROVISIONS FOR

'O GRANTS J COOPERATIVE AGREEMENTS AWARDI INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATI0to anticipated in the approved proposal. If NRC determines that the reduction of effort would be so substantial as to impair the successful prosecution of the research, it may request a change of principal investigator or other appropriate modification of the award or may suspend or terminate the award pursuant to clauses 4 and 5 herein entitled, Suspension or Termination for Cause and Termination by Mutual Agreement, respectively.

22. Site Visits The NRC, through authorized representatives, has the right, at all reasonable times, to make site visits 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 NRC on the premises of the recipient or a contractor under an award, the recipient shall provide and shall require his/her contractors to provide all reasonable facilities and assistance for the safety and convenience of the Government representatives in the performance of their duties. All site visits and evaluations shall be performed in such a manner as will not unduly delay the work.

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

24. Organizational Prior Approval System

a. In order to carry out its responsibilities for monitoring project performance and for adhering to award terms and conditions, each performing organization shall have a system to ensure that appropriate authorized officials provide necessary organizational reviews and approvals in advance of any action that would result in either the performance or modification of an NRC-supported activity where such approvals are required by the award instrument, including the obligation or expenditure of funds where the governing cost principles either prescribe conditions or require approvals.

b. The organization shall designate an appropriate official or officials to review and approve 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.

NRC GENERAL PROV1SIONS FOR GRAN.., AND COOPERATIVE AGREEMENTS ABAkutD TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIl ORGANIZATIONS

25. Retention and Custodial Requirements for Records

a. Financial records, supporting document.s, statistical records, and'other records pertinent to this award shall be retained by the recipient for a period of 3 years from submission of the Final Report in accordance with OMB Circular A-110.

(1) Records that relate to audits, appeals, litigatien, 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, but in any event not less than 3 years after final report submission.

(2) Records relating to projects subject to special projec\

team provisions shall be retained until 3 years from the end of the recipient's fiscal year in which the award instrument requirement for reporting income expires.

b. The NRC and 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 recipient organization, and of the performing organization, if different, to make audits, examinations, excerpts and transcripts.

Further, any contract in excess of $10,000, made by the recipient shall include a provision to the effect that the recipient, NRC, the Comptroller General, or any of their duly authorized representatives, shall have access to pertinent records for similar purposes.

26. Standard for Financial Manaaement Systems NRC recipients shall have financial management systems that meet the requirements to OMB Circular A-110.

27. Audits NRC recipients shall be audited in accordance with OMB Circular A-133 which supersedes Attachment F, subparagraph 2h. of OMB Circular A-110.

i NRC GENERAL PROVISIONS FOR GRANTS AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS l

l 52.203-11 Certification and Disclosure Regarding Payments to Influence l

I Certain Federal Transactions. As prescribed in 3.808, insert the following provision:

t CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (APR 1991)

(a) The definitions and prohibitions contained in the clause, at FAR 52.203-12, Limitation on Payments to Influence Certain Federal Transactions, included in this solicitation, are hereby incorporated by reference in paragraph (b) of this certification.

(b) The offeror, by signing its offer, hereby certifies to the best of his 'r her knowledge and belief that on or after December 23, 1989,--

(1) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement; (2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with this solicitation, the offeror shall complete and submit, with its offer, OMB standard form LLL, Disclosure of Lobbying Activities, to the Contracting Officer; and (3) He or she will include the language of this certification in all subcontract awards at any tier and require that all recipients of subcontract swards in excess of $100,000 shall certify and disclose accordingly.

NRC GENERAL PROVISIONS FOR GRANTS AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.203.11 (continued...)

(c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.

(End of provision)

NRC GENERAL PROVISIONS FOR GRANTS, AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.203-12 Limitation on Payments to Influence Certain Federal Transactions.

As prescribed in 3.808, insert the following clause:

LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (JAN 1990)

(a) Definitions.

' Agency,' as used in this clause, means executive agency as defined in 2.101.

' Covered Federal action,' as used in this clause, means any of the following Federal actions:

(a) The awarding of any Federal contract.

(b) The making of any Federal grant.

(c) The making of any Federal loan.

(d) The entering into of any cooperative agreement.

(e) The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

' Indian tribe' and ' tribal organization,' as used in this clause, have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 4508) and include Alaskan Natives.

' Influencing or attempting to influence,' as used in this clause, means making, with the intent to influence, any communication to or appearance before an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered Federal action.

' Local government,' as used in this clause, means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government.

' Officer or employee of an agency,' as used in this clause, includes the following individuals who are employed by an agency:

(a) An individual who is appointed to a position in the Government under title 5, United States Code, including a position under a temporary appoint nent.

I NRC GENERAL PROVISIONS FOR GRANTS, AND COOPERATIVE AGREEMENTS AWARDED T0 INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS l

52.203.12 (continued...)

4 (b) A member of the uniformed services, as defined in subsection '

l 101(3), title 37, United States Code.

(c) A special Government employee, as defined in section 202, title 18, United States Code.  !

l (d) An individual who is a member of a Federal advisory committee, as .

defined by the Federal Advisory Committee Act, title 5, United States Code, appendix 2. ]

' Person,' as used in this clause, means an individual, corporation, l l

company, association, authority, firm, partnership, society, State, i l

and local government, regardless of whether such entity is operated l l

for profit, or not for profit. This term excludes an Indian tribe, l tribal organization, or any other Indian organization with respect to l expenditures specifically permitted by other Federal law.

! ' Reasonable compensation,' as used in this clause, means, with respect to a regularly employed officer or employee of any person, .

compensation that is consistent with the normal compensation for such I

officer or employee for work that is not furnished to, not funded by, or not furnished in cooperation with the Federal Government.

' Reasonable payment,' as used in this clause, means, with respect 1 l

to professional and other technical services, a payment in an amount j

that is consistent with the amount normally paid for such services in l the private sector.

l

' Recipient,' as used in this clause, includes the Contractor and all subcontractors. This term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to l expenditures specifically permitted by other Federal law. {

' Regularly employed,' as used in this clause, means, with respect f to an officer or employee of a person requesting or receiving a .

Federal contract, an officer or employee who is employed by such j

person for at least 130 working days within 1 year immediately 1 preceding the date of the submission that initiates agency consideration of such person for receipt of such contract. An officer or employee who is employed by such person for less than 130 working days within 1 year immediately preceding the date of the submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days.

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NRC GENERAL PROVISIONS FOR GRANTS, AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.203-12 (continued...)

' State,' as used in this clause, means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and multi-State, regional, or interstate

. entity having governmental duties and powers.

(b) Prohibitions.

(1) Section 1352 of title 31, United States Code, among other things, prohibits a recipient of a Federal contract, grant, loan, or cooperative agreement from using appropriated funds to pay any person or influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an. employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract; the making of any Federal grant; the making of any Federal loan; the enteri'ng into of any cooperative agreement; or the modification of any Federal contract, grant, loan, or cooperative agreement.

(2) The Act also requires Contractors to furnish a disclosure if any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or

. will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of.

Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a Federal contract, grant, loan, or cooperative agreement.

(3) The prohibitions of the Act do not apply under the following conditions:

(i) Agency and legislative liab on by own employees.

(A) The prohibition on the use of appropriated funds, in subparagraph (b)(1) of this clause, does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a covered Federal action if the payment is for agency and legislative liaison activities not directly related to a covered Federal action.

(B) For purposes of subdivision (b)(3)(1)(A) of this clause, providing any information specifically requested by an agency or Congress is permitted at any time.

NRC GENERAL PROVISIONS FOR GRANTS, AND COOPERATIVE AGREEMENTS AWARDED TO l INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS l

52.203-12 (continued...)

(C) The following agency and legislative liaison activities are permitted at any time where they are not related to a specific solicitation for any covered Federal action:

(1) Discussing with an agency the qualities and characteristics (including individual demonstrations) of the person's products or services, conditions or terms of sale, and service capabilities.

(2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use.

(D) The following agency and legislative liaison activities are permitted where they are prior to formal solicitation of any covered Federal action--

(1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action; (2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and (3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Pub.

L.95-507, and subsequent amendments.

(E) Only those services expressly authorized by subdivision (b)(3)(i)(A) of this clause are permitted under this clause.

(ii) Professional and technical services.

(A) The prohibition on the use of appropriated funds, in subparagraph (b)(1) of this clause, does not apply in the case of--

(1) A payment of reasonable compensation made to an officer or employee of a person requesting or receiving a covered Federal action or an extension, continuation, renewal, amendment, or modification of a covered Federal action, if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal action or for meeting requirements imposed by or pursuant to law as a co.ndition for receiving that Federal action.

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NRC GENERAL PROVISIONS FOR l GRANTS, AND COOPERATIVE AGREEMENTS AWARDED T0 INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.203-12 (continued...) j

-(2) Any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action or an extension, continuation, renewal, amendment, or ,

I modification of a covered Federal action if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of.any-bid, proposal, or application for that Federal action or for meeting i requirements imposed by or pursuant to law as a condition for l receiving that Federal action. Persons other than offhars or  !

employees of a person requesting or receiving a covered i Federal action include consultants and trade associations. l (B) For purposes of subdivision (b)(3)(ii)(A) of this clause,

' professional and technical servius' shall be limited to advice and analysis directly applying any professional or technical discipline.

For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable.'However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example,. communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.

(C) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law L or regulation and any other requirements in the actual award documents.

NRC GENERAL PROVISIONS FOR GRA4TS, AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.203-12 (continued...)

(D) Only those services expressly authorized by subdivisions l (b)(3)(ii)(A)(1) and (2) of this clause are permitted under this clause.

l (E) The reporting requirements of FAR 3.803(a) shall not apply with respect to payments of reasonable compensation made te regularly employed officers or employees of a person.

(c) Disclosure.

(1) The Contractor who requests or receives from an agency a Federal contract shall file with that agency a disclosure form, OMB standard form LLL, Disclosure of Lobbying Activities, if such person has made or has agreed to make ar.y payment using nonappropriated funds (to include profits from any covered Federal action), which would be prohibited under subparagraph (b)(1) of this clause, if paid for with appropriated funds.

(2) The Contractor shall file a disclosure form at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under subparagraph (c)(1) of this clause. An event that materially affects the accuracy of the information reported includes--

(i) A cumulative increase of $25,000 or more in the amount paid of expected to be paid for influencing or attempting to influence a covered Federal action; or (ii) A change in the person (s) or individual (s) influencing or attempting to influence a covered Federal action; or 1 (iii) A change in the officer (s), employee (s), or Member (s) contacted to influence or attempt to influence a covered Federal action.

(3) The Contractor shall require the submittal of a certification, and if required, a disclosure form by any person who requests or receives any subcontract exceeding $100,000 under the Federal contract.

(4) All subcontractor disclosure forms (but not certifications) shall be forwarded from tier to tier until received by the prime Contractor.

The prime Contractor shall submit all disclosures to the Contracting I

NRC GENERAL PR0 VISIONS FOR GRANTS, AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.203-12 (continued...)

Officer at the end of the calendar quarter in which the disclosure form is submitted by the subcontractor. Each subcontractor certification shall be retained in the subcontract file of the awarding Contractor.

(d) Agreement.

The Contractor agrees not to make any payment prohibited by this clause.

(e) Penalties.

(1) Any person who makes an expenditure prohibited under paragraph (a) of this clause or who fails to file or amend the disclosure form to be filed or amended by paragraph (b) of this clause shall be subject to civil penalties as provided for by 31 U.S.C.1352. An imposition of a civil penalty does not prevent the Government from seeking any ,

other remedy that may be applicable.

(2) Contractors may rely without liability on the representation made by ,

l their subcontractors in the certification and disclosure form. '

(f) Cost allocability.

l Nothing in this clause makes allowable or reasonable any costs which would i otherwise be unallowable or unreasonable. Conversely, costs made specifically unallowable by the requirements in this clause will not be made allowable under any other provision.

(End of clause)  !

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NRC GENERAL PROVISIONS FOR '

GRANTS, AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATIONS AND OTHER NONPROFIT ORGANIZATIONS I

52.223-5 Certification Regarding A Drug-Free Workplace.

As prescribed in 23.505, insert the follow lng provision:

CERTIFICATION REGARDING A DRUG-FREE WORKPLACE (JUL 1990)

(a) Definitions. As used in this provision,

' Controlled substance' means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C.

812) and as further defined in regulation at 21 CFR 1308.11 - 1308.15.

' Conviction' means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug stdutes.

' Criminal drug statute' means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession or use of any controlled substance.

' Drug-free workplace' means the site (s) for the performance of work done by the Contractor in connection with a specific contract at which employees of the Contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance.

' Employee' means an employee of a Contractor directly engaged in the performance of work under a Government contract 'Directly engaged' is defined to include all direct cost employees and any other Contractor. employee who has other than a minimal impact or involvement I

in contract performance.

I

' Individual' means an offeror / contractor that has no more than one employee including the offeror / contractor.

(b) By submission of its offer, the offeror, if other than an individual, who is making an offer that equals or exceeds $25,000, certifies and agrees, that with respect to all employees of the offeror to be employed under a contract resulting from this solicitation, that, it will-no later than 30 calendar days after contract award (unless a longer period is agreed to in writing), for contracts of 30 calendar days or more performance duration; or as soon as possible for contracts of less than 30 calendar days performance duration, but in any case, by a date prior to when performance is expected to be completed--

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_ _ _ _ _ _ _ _ _ _ 1

v NRC GENERAL PROVIS10NS FOR GRANTS, AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATIONS AND OTHER NONPROFIT ORGANIZATIONS 52.223-5 (continued...)

(1) Publish a statement notifying such employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the Contractor's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (2) Establish an ongoing drug-free awareness program to inform such employees about--

(i) The dangers of drug abuse in the workplace; (ii) The Contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (3) Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph (b)(1) of this provision; (4) Notify such employees in writing in the statement required by subparagraph (b)(1) of this provision, that as a condition of continued employment on the contract resulting from this solicitation, the employee will--

(i) Abide by the terms of the statement; and (ii) Notify the employer in writing of the employee's conviction under a criminal drug statute for a violation occurring in the workplace no later than 5 calendar days after such conviction; (5) Notify the Contracting Officer in writing within 10 calendar days after receiving notice under subdivision (b)(4)(ii) of this provision, from an employee or otherwise receiving actual notice of such conviction. The notice shall include the position title of the employee; and NRC GENERAL PROVISIONS FOR GRANTS, AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATIONS AND OTHER NONPROFIT ORGANIZATIONS 52.223-5 (continued...)

(6) Within 30 calendar days after receiving notice under subdivision (b)(4)(ii) of this provision of a conviction, take one of the following actions with respect to any employee who is convicted of a drug abuse violation occurring in the workplace:

(i) Take appropriate personnel action against such employee, up to and including termination; or (ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.

(7) Make a good faith effort to maintain a drug-free workplace through implementation of subparagraphs (b)(1) through (b)(6) of this provision.

(c) By submission of its offer, the offeror, if an individual who is making an offer of any dollar value, certifies and agrees that the offeror will not engage in the unlawful manufacture, distribution, dispensing, j possession, or use of a controlled substance in the performance of the i contract resulting from this solicitation.

(d) Failure of the offeror to provide the certification required by paragraphs (b) or (c) of this provision, renders the offeror unqualified and ineligible for award. (See FAR 9.104-1(g) and 19,602-1(a)(2)(i).)

(e) In addition to other remedies available to the Government, the '

certification in paragraphs (b) or (c) of this provision concerns a matter within the jurisdiction of an agency of the United States and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under Title 18, United States Code, Section 1001.

(End of provision) 1 r

NRC GENERAL PROJISIONS FOR GRANTS AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.223-6 DRUG-FREE WORKPLACE 9JUL 1990) l As prescribed in 23.505(b), insert the following clause:

l (a) Definitions. As used in this clause,

' Controlled substance-means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C.

812) and as further defined in regulation at 21 CFR 1308.11 - 1308.15.

' Conviction' mear.: a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes.

' Criminal drug statute' means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession, or use of any controlled substance.

' Drug-free workplace' means the site (s) for the performance of work done by the Contractor in connection with a specific contract at-which employees of the Contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance.

' Employee' means an employee of a Contractor directly engaged in the performance of work under a Government contract 'Directly engaged' is defined to include all direct cost employees and any other Contractor employee who has other than a minimal impact or involvoinent.

in contract performance.

~

' Individual' means an offeror / contractor that has no more than one employee including the offeror / contractor.

(b) The Contractor, if other than an individual shall--within 30 calendar days after award (unless a longer period is agreed to in writing for contracts of 30 calendar days or more performance duration), or as soon as possible for contracts of less than 30 calendar days performance duration--

(1) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Contractor's workplace and specifying the actions.that will- be taken against employees for violations of such prohibition; I

NRC GENERAL PROVISIONS FOR 4

GRANTS AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.223-6 (continued...) l (2) Establish an ongoing drug-free awareness program to inform {

such employees about--

1 (i) The dangers of drug abuse in the workplace; (ii) The Contractor's policy of maintaining a drug-free I workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (3) Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph (b)(I) of this clause; (4) Notify such employees in writing in the statement required by l subparagraph (b)(I) of this clause that, as a condition of continued employment on this contract, the employee will--

(i) Abide by the terms of the statement; and (ii) Notify the employer in writing of the employee's conviction q under a criminal drug statute for a violation occurring in the j workplace no later than 5 calendar days after such conviction.

I (5) Notify the Contracting Officer in writing within 10 calendar days after receiving notice under subdivision (b)(4)(ii) of this 4

i clause, from an employee or otherwise receiving actual notice of such conviction. The notice shall include the position title of the employee; l

(6) Within 30 calendar days after receiving notice under subdivision (b)(4)(ii) of this clause of a conviction, take one of the following actions with respect to any employee who is convicted of a drug abuse _ violation occurring in the workplace:

(i) Taking appropriate personnel action against such employee, up to and including termination; or l

1

! NRC GENERAL PROVISIONS FOR GRANTS AND COOPERATIVE AGREEMENTS AWARDED TO INSTITUTIONS OF HIGHER EDUCATION AND OTHER NONPROFIT ORGANIZATIONS 52.223-6 (continued. .)

(ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.

(7) Make a good faith effort to maintain a drug-free workplace through implementation of subparagraphs (b)(1) though (b)(6) of this clause.

(c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in the performance of this contract.

(d) In addition to other remedies available to the Government, the Contractor's failure to comply with the requirements of paragraphs (b) or (c) of this clause may, pursuant to FAR 23.506, render the Contractor subject to suspension of contract payments, termination of the contract for default, and suspension or debarment.

(End of clause)

1 1

l Electronic Payment The Debt Collection improvement Act of 19% requires that all payments except IRS tax refunds be made by Electronic Funds Transfer it is the policy of the Nuclear Regulatory Commission to pay vendors by the Automated Cleanng House (ACH) electronic funds transfer payment system. The electronic system is known as Vendor Express. Payment shall be made in acc_rdance with FAR 52.232-33, entitled

" Mandatory information for Electronic Funds Transfer Payment?

To receive payment, the contractor shall complete the " Company information" portion of the Standard Form 3881, entitled "ACH Vendor / Miscellaneous Payment Enrollment Form" found in Section J. The contractor shall take the form to the ACH Coordinator at the financial institution that maintains its company's bank account. The contractor shall discuss with the ACH Coordinator how the payment l identification inform 4 tion (addendum record) will be passed to them once the payment is received by the financial institution. To ensure that adequate payment information will be available to the ,

contractor, the contractor should inform the financial institution that the addendum record must not be stripped from the payment. Further information conceming the addendum is provided on page 2 of this attachment. The ACH Coordinator should fill out the "Financialinstitution information" portien of the form and retum it to the Ofhce of the Controller at the following address: Nuclear Regulatory Commission, Division of Accounting and Finance, Financial Operations Section Mail Stop T-9-H4, Washington, PC 20555, ATTN: ACHNendor Express. It is the responsibility of the cc.* actor to ensure that the financial institution retums the completed form to the above cited NRC address. If the contractor can provide the financialinformation, signature of the financialinstitution's ACH Coordinator is not required. The NRC is under no obligabon to send reminders. Only after the Cffice of the Controller has processed the contractor's sign-up form will the contractor be eligible to receive payments.

Once electronic funds transfer is established for payments authonzed by NRC, the contractor needs to submit an additional SF 3881 only to report changes to the information supplied.

Questions conceming /iCHNendor Express should be directed to the Financial Operations staff at (301) 415-7520.

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