ML20238C877

Cooperative Agreement: Maint & Operation of Lpdr, Awarded to Joseph Mann Library

ML20238C877
Person / Time
Issue date:	09/04/1987
From:	Heitkemper E, Niemeyer E NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), WISCONSIN, STATE OF
To:
Shared Package
ML20238C824	List: ML20238C823 ML20238C877
References
CON-NRC-10-87-443 NUDOCS 8709100425
Download: ML20238C877 (19)

Text

+i U. S. NUCLENR REGULAiORY COMMISSION NOTICE OF COOPERATIVE AGREEMENT

l. COOPERATIVE AGREEMENT NUMBER 2. MODiflCAT10N fiUMBER 3'. C00FERATIVE AGREEMENT PERIO NRC-10-87-443 FROM: 9/27/87 10: 9/26/88 I AUTHORITY Section 31a and 5. TYPE OF AWARD 6.C00PERATOR TYPE

- 141b of Atomic Energy Act of 1954, as amended. Coopera tive Agreement i ag

.C00PERATOR HAME AND ADDRESS 8. PROJECT TITLE *

' Joseph Mann Library " Maintenance and Operation of The 1516 16th St. Local Public Document Room (LPDR)"

Two Rivers, Wisconsin 54241 i' 9. PROJECT WILL BE CONDUCTED PER 10. TECilNICAL REPORTS ARE REQUIRED l C00PERATOR'S PROPOSAL (S)

PROGRESS AND FINAL DATED AND ,

FINAL ONLY I APPENDIX A - PROJECT COOPERATIVE AGREEMENT X OTHER (Quarterly Reports)

PROVISIONS

11. PRINCIPAL INVESTIGATOR (S) NAME AND 12.'NRC PROGRAM OFFICE (14AME AND ADDRESS)

ADDRESS U.S. Nuclear Regulatory Commission LPDR Branch-ATTN: Jona L. Souder,.Chiet same as Block 7 Divisica of Rules & Records Wash., DC 20555 Office of Adm.(800)

Talophone_.No . 438 8031 l

13. ACCOUNTING AND APPROPRIATION DATA 14. METHOD OF PAYMENT

ggg no,. 46-20-25-302 _

'AuVANCE BY TREASURY CHECK lo X REIMBURSEMENT BY TREASURY f FIN: CHECK-LETTER OF CREDIT APPN: 31X0200.407

15. FUNDING SOURCES SOURCE AMOUNT NRC:

II/pg.

RATIVE $ lH2Chuarterrs_at $528, plus $50.00 for nil.scellaneous PREVIOUSLY charges)

OBLIGATED 0.00 ,

COOPERATOR SilARE:

. Tills COOPERATIVE $

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AGREEl1ENT PRIOR COOPERATIVE $

0.00 AGREEMENT 2,162.00 TOTAL FUNDING $

16. AMOUNT OBLIGATED BY THIS COOPERATIVE $ byg AGREEl1ENT ACTION:

87091004 87 I h-10-67443).PDR

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17. NRC liSU3nG Of fIC[ (!;in /d:D ADDR[55)

U.S. Nuclear Regulatory Coninission Division of Contracts / Office of Administration Washington, DC 20555 6

18. COOPERATOR 19. HRC GRAH1 Of flCER Y - . f b.'w j an Y.$}

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Date ) '[

Signat n.)

(5Ignaturi)

Elsic M. lle i t k e m p e r NAME (TYPED) Eileen Niemeyer llTLE Director l;

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TELEPHONE NO. 414-793-5585 1ELEPH0t4E HO. (301)592 7570_

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• 0. COOPERATIVE AGREEliENT PAYMENT If4 FORMATION 4

. Payment will be made within thirty (30) days after receipt of the hilling unless the billing is improper or the cooperator. has failed to comply with the program objectives, cooperative I agreement award conditions, Federal reporting requirements or other conditions specified in l I

OMB Circular A-102/A-110, whichever is applicable.

l, Payment will be made by:

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U. S. Nuclear Reaul6 tory Commission

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Office of Resource Management Division of Accountirig and finance, Allt GOV /COM A Mash;ngton, i DC 2(CQUN15 0 >:;5 Vouchers should be submi t ted in an or iginal and one (1) copy to the above address, on form (270 " Request for Advance or Reimbursement" (copy attached) .

21. A t t o t hed i s a c o py o f the "NRL Pro. ject Cooperative Agreement Provisions for institutions of .

Higher Education and Other Nonprofit Organizations and State / Local Governments." Acceptance of f these terms and conditions is acknowledged when. federal funds are used on this cooperative agreement project.

I P2. ORDER Of PRECfDENCL I In the event of a conflict between the cooperator's proposal and this Notice of Cooperative !

Agreement Award, the terms of the Notice of Cooperative Agreement Award shall prevail l

23. By this Cooperative Agreement Award, the cooperator certifies tha t payment of any audit.- i related debt will not reduce the level of performance of any federal Progne '

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• STATEMENT OF WJRK COOPERATIVE AGREEMENT (LPDR)

1. BACKGROUND The Local Public Document Room Branch within the Division of Rules and Records, Office of Administration, U. S. Nuclear Regulatory Comission (NRC), is responsible for the overall establishment and maintenance of local public document rooms (LPDRs). The LPDR Branch recommends, develops, a nd implements programs, plans, objectives, and activities of local public document rooms, as well as coordinates the distribution of docurents to LPDRs.

l The LPDR program provides scientific and technical information relatino to nuclear power plants. The document collections pemit 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 onvernnents, institutions of hi the " Cooperator") gher in the education vicinity and nonprofit of proposed organizations nuclear power plants. (hereinaf ter, The LPDR Branch has established a cooperative agreement program to provide financial remuneration for services perfomed by the LPDRs and to insure that a uniform program of document maintenance and information services is provided for LPDR patrons.

2. PERIOD OF PERFORFJsNCE

< a. 1he period of performance hereunder shall commence on T/27[r/

end shall continue through 94 G/ 98 , unless scener teminated or extended.

1 I b. The Cooperator and the NRC, by mutual agreement, may extend the l period of perfomance through the execution of supplemental agreements to this cooperative agreement, not to exceed a total of five (5) years. At the end of each year the Cooperator will be required to submit a cost proposal to the NRC for the following year.

3. NRC RESPONSIBILITY l The NRC anticipates that they will provide documents on a weekly basis to tre added to each local public document room collection (collection). NRC v.ill provide file folders, binders, labels, postcards for reporting rissir.g documents, envelopes for use in communicating with NRC, a User's Cuide, filing and document retention instructions, etc. Also, the hRC, 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 perfomance, and identify /rcscivt problems cr discregncies.

' incorporate ir.to resultant Cooperative Agreereret.

L_________________________ _ _ _ _ _ _ . _ . . _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ __ _ _ . _ . _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _

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4. MAINTENANCE AND OPERATION OF THE LPDR I The Cooperator shall perform the followino services relative to the maintenance and operation of the LPDR l

a. Properly file paper copy documents or microfiche received from NRC within one week of receipt in accordance with the filing system ,

provided by NRC. To meet the particular needs of library patrons, i this filing deadline may be extended upon the expressed approval of l I

the Program Officer.

1 Pefile docurnents or microfiche used by patrons within the next b.

business day.

c. Prepare file folders and folder labels when necessary.

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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 1 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 j ur.less instructed to do so by the LPDR Branch, NRC. . j m

9 Vork with the LPDR Branch staff and other NRC representatives, as necessary, to answer cuestioris and provide information en the availability of documents and services, return documents sent in  ;

error, make arrangements for handling non-routine matters as they )

arise, such as freedom of Information Act responses.

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

i. Report promptly to the Program Officer the identification of docunents found er reported to he missing from the collection.

5. USER ASSISTANCE

a. Provides patrons with reference assistance in locating documents' and suf ficient instructions to familiarize users with the filino system, the local public document room collection, .the collection's reference tools and finding aids, the indexing system used for paper copies and microfiche copies of the collection, and use of the microfiche reader printer.

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

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6. ADMINISTRATIVE SERVICES i

a. Insure that the NRC microfiche reader printer is in good operating condition. In the event the equipment requires repair or servicing, the libri.ry staff shall arrange to have an authorized serYIce l i

representative repair or service the equipment. The invoice of charges should be forwarded for payment to the NRC in accordance with the instructions in USNRC LPDR Branch Newsletter entitled "LPDR UPDATE" (ATTACHMENT 1). A copy of the stoned work order should be submitted with the quarterly report and advance / reimbursement Form

1. 270.

If the cost estimate exceeds $200.00, the Cnoperator staff shall first contact the Program Officer by calling the toll free number 800-638-8081.

b. Promptly inform the LPDR Branch of the NRC, either by the toll free l telephonenumber(800-638-8081) or in writing, of problems regarding the use or maintenance of the collection.

c. As the need arises, the Cooperator shall acquire necessary miscellaneous office supplies (storage boxes, hole punches, etc.) for performance of the work required under this coccerative agreement.

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. Approval of the NRC Program Officer is required prior to purchase of I

these supplies. Payment should be requested on the next quarterly advance / reimbursement Form #270. Receipts for the supplies must accompany Form #270. Charges for paper and lamps for the NRC micrefiche reader printer are not allowable exper.ditures and will not be rein.bursed.

7. SPACE REQUIREMENTS Provide the following:

a. Adequate shclf or other filino space to mainteir the local public docunent collecticn.

b. Adeauate space near the decurent collection tc lccate a microfiche reader printer, a table for the reader printer, a microfiche file cabinct(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.

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8. SUPPLY REQUIREMENTS a.

Maintain adequate supply of paper for the microfiche reader printer, b.

Maintain printer.

adequate supply of electric lamps for the microfiche ' reader

9. GOVERNMENT FURNISHED PROPERTY The support following items are to be furnished to the Cooperator, as needed, to the collection.

a.

3M "800" nicrofiche reader printer, Model NolI73~dI6', Serial No.

3 01 MO , NRC Tag No. c>o 9/o 1 5' (1 ea.)

b.

Vertical visible upright cabinet for cards and microfiche, 4x6 size, 7-drawers, 40" high,16" wide, 27* deep, with hioh leg base, steel, 12" high, Shaw-Walker, Model C-1419. ( / ea.)

c.

Reader printer sit-down stand, 30" high, top 36" x 30", Bell &

Howell, Catalog No. 123002. (1 ea.)

For newly established LPDRS or LPDRS receiving a microfiche reader printer m for the first time, the NRC will provide the initial box of paper and an extra lamp for the microfiche reader printer. Thereafter, responsibility to maintain an adequate supply of paper and electric tamps rests with the Cooperator.

(Paper: 3M Dry Silver Paper, Type 795, 8 1/2 x 250, 4 rolls per carton; Lamps: 3M, Order No. 78-8012-3601-5.) NRC authorizes the Cooperator to charge fcr copies made on the reader printer, to recoup

> cxpenses fcr paper and lamps.

The Cooperator is authcrized, without cost to NPC, tc install a coin operated attachment to the reader printer; however, the cost a Cooperator i may charge for copies from microfiche may not exceed $0.25 per page copy, unless it can be demonstrated to the Program Officer that operating costs require a higher per-page cost.

l 10. REPORTING REQUIREMENTS

a. Performance Reports l A quarterly performance report, utilizing the fnrnet as specified in Attachment 2 shall bt submitted within 20 days after each quarter's end to the addressees listed below. For administrative purposes, it is requested the quarterly advance / reimbursement (form #270) be submitted simultaneously with this performance report, along with any receipts for miscellaneous supplies and signed work orders covering Incorporate into resultant Cooperative Agreement.

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repairs or servicing of NRC furnished microfiche reader printer.

However, for Cooperators who qualify for advance payment, the first quarterly report will be sut>mitted with Form #270 for payment of

.second quarter.

U.S. Nuclear Regulatory Comission .-

' ATTN: Jona L. Souder, Chief  :)

local Public Document Room Branch Division of Rules & Records Office of Administration Washington, OC 20555 l

U.S. Nuclear Regulatory Commission Small Purchases & Regional Operations Branch ,

Division of Contracts j Office of Administration Washington, DC 20555 U.S. Nuclear Regulatory Conrnission Division of Accounting & Finance ATTN: GOV /COM Accounts Section Office of Resource Management  ;

Washington, DC 20555 1

b. Financial Reports l

l In accordance with OMB Circulars A-110, Attachment G and/or A-102, l Attachment H, as applicable, the Cooperator shall use the l Standardized Financial Status P.eport to report the status of funds for all nonconstruction projects or progrees. Please note the NRC will exercise the option to waive the filing of the Standardized Financial Stetus Report since the Request for Advance or Reimbursement and/or Report of Federal Cash Transactions has been determined to provide adequate information except that a final e

Financial Status Report shall be required at the completion of the project when the Request for Advance or Reimbursement form is uscd only for advances.

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• I APPENDIX A NRC PROJECT COOPERATIVE AGREEMENT PROVISIONS FOR STATE AND LOCAL GOVERNMENTS / NONPROFIT ORGAN!ZATIONS/ .

EDUCATIONAL INSTITlfil0NS I i

l This cooperative agreement is subject to the following provisions:

1. Definitions

4. The term " grant officer" means the person executing this cooperative agreement on behalf of the Government and includes his successors or any duly authorized representative of any such person,

b. The term " cooperator" means the party entering into this cooperative agreement with the U.S. Nuclear Regulatory Commission (NRC).

c. The term " program officer" means the person in NRC Headquarters who is responsible for the technical aspects of this cooperative agreement.

d. The term " Circular A-102" refers to Office of Management & Budget ,

Circular A-102 (Revised), Uniform Requirements for Assistance to j State and Local Governments (January 1981). i

e. The tem " Circular A-87" refers to Office of Management & Budnet

- Circular A-87, Cost Principles for State and local Geyere.mcnts (January 28,1981).

f. The tem " Circular A-110" refers to Office of Management & Budoet Circular A-110, Unifom Administrative Requirements for Grants and Agree nents with Institutions of Higher Education, Hospitals, and  ;

Other Nonprofit Organizations (July 30,1976). I

g. The term " Circular A-21" refers to Office of Maragement & Budget Circular A-21 (Revised), Cost Principles for Educational Institutions (February 26,1979) and A-21 (Revised) Transmittal Memorandun No. 2, Cost Principles for Educational Institutions (June 4,1986).

h. The tem " Circular A-122" refers to Of fice of Management & Budoet Circular A-122, Cost Principles for Nonprofit Organizations (July 8, 1980).

2. General l

e. This cooperative agrtement is composed of a cooperative agreement ,

face page (which may incorporate the Cooperator's proposal by reference) and the NRC Project Cooperative Agreement Provisions for State and Local governments / Nonprofit Organizations / Educational Institutions.

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b. This award constitutes acceptance by the NRC of the Cooperator's proposal and budget unless otherwise indicated on the face page,

c. The Cooperator 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 cooperative agreement face page is responsible for the scientific or technical direction of the project I and for preparation of the project performance reports. j 1

d. This cooperative agreement 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 cooperative agreement award is subject to the Unifom Administrative Requirements &' Cost Principles of the following applicable Office' of Management and Budget (OMB) Circulars which are A hereby incorporated by reference as though fully set forth herein.

copy of these circulars are hereby attached for your reference.

A-102 (Revised) " Uniform Reoufrements for Assistance to State and Local Governments" (January 1981)

A-87 " Cost Principles for State and Local Governments"

(January 28,1981)

A-110 "Unifonn Administrative Requirements fnr Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations" (July 30,1976)

A-21 (Revised) " Cost Principles for Educational Institutions" (February 26, 1979) and A-21 (Revised) Transmittal l

l Memorandum No. 2 " Cost Principles for Educational i Institutions" (June 4, 1986)

A-122 " Cost Principles for Nonprofit Organizations" (July 8,1980)

3. Reportino Prooran Technical Perfomance h

Cooperator is responsible for the perfomance under this cooperative agreement and other agreements and, where appropriate, ensures that time schedules are being met, projected work units by time periods are being accomplished, and other perfonnance goals are being achieved.

4 Suspension or Termination for Cause

a. When, in the opinion of NRC, a Cooperator has failed to comply with the terms and conditions of a cooperative agreement, NRC may (1) suspend the cooperative agreement or (2) terminate the l

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i cooperative agreement for cause, in accordance with OMB Circulars - l' A-102, Attachment L and/or A-110. Attachnent L, as applicable.

b. NRC prefers that deficiencies be corrected whenever practir.able.

When it is believed that a Cooperator has failed to comply with one or more of the terms and conditions of a cooperative agreement, the Grant Officer will advise the Cooperator by letter of the rature of the problem and that failure to correct the deficiency meV result in l suspension or temination of the cooperative agreement. The Cooperator will be requested to respond.in writing within 30 days of receipt of such letter, describing the action taken or the plen 1 designed to correct the deficiency. Copies of such correspondence will be furnished to the Principal Investigator (PI) and to the NRC Program Officer. If a satisfactory response is not received within  ;

30 days of receipt of such a letter, the Grant Officer may issue a l notice suspending authority to further obligate cooperative agreement i funds, in whole or in part. The notice of suspension will be sent by l certified mail (return receipt requested) to the Cooperator with a i copy to the Pl. The notice will set forth the activitier, covered by j the suspension and its effective date, and the corrective action  !

required by the Cooperator in order to lif t the suspension. However, this policy does not preclude immedigte suspension or termination when such action is reasonable under the circumstances and necessary to protect the interests of f.he Government.

, c. If a cooperative agreement is suspended pursuant to this article, no obligations incurred by the Cooperator during the period of '

suspension will be allowable under the suspended cooperative  ;

agreement other than necessary and proper costs that the Cooperator i could not reasonably avoid during the period of suspension; provided that such costs would otherwise be allowable under the applicabic Federal cost principles,

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

e. In the event the deficiency is not corrected to the satisfaction of NRC, the Grant Officer may issue a notice of temination. The notice will state the reason (s) for the termination and its effective i date. The effective date shall reflect the fact that NRC may require a minimum of ninety (90) days to relocate the document collection.

f. If a cooperative agreement is terminated pursuant to thi,s article, financial obligations incurred by the Cooperator prior to the E--_________________ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - . - - - - - - . - _ _ _ _ _ _ _ _ _

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effective date of termination shell be allowable to the extent they would have been allowable had the cooperative agreement not been terminated, except that no oblication incurred durino the period in which the cooperative agreement was suspended (except those allowed pursuant to c., above) will be allowed. The settlement of termination costs will be in accordance with the applicable Federal cost principles.

g. Within ninety (90) days of the effective date of termination, the Cooperator will furnish en itemired accounting of funds expended for allowable costs prior to the effective date of temination and the j unexpended cooperative agreement balance.

5. Termination for Convenience  !

I Circumstances may arise in which either NRC or the Cooperator wishes a.

to teminate the cooperative agreement in whole or in part. If ,

both parties agree, the cooperative agreement may be teminated by  !

mutual agreement, in accordance with OMB Circulars A-102, Attachment L and/or A-110, Attachment L, as applicable.

b. If the Cooperator wishes to terminate the cooperative aoreement, he/she shall advise the NRC Grant Officer, in writino, with e, copy to the cognizant NRC Program Officer.

? c. If NRC wishes to teminate the cooperative agreement, the Grant Of ficer will advise the Cooperator, in writing, with copies to the PI and the cognizant NPC Program Officer. j

d. Within ten (10) days af ter receipt of a request from either party for temination by mutual agreement, the other party will provide a written response agreeing or disagreeing with the request for temination. In the event of disagreement, the Grant Officer will make a final decision and will give written notice to the Cooperator.

If the decision is to terminate, the Grant Officer will also advise the Cooperator of the effective date of the termination. The effective date shall reflect the fact that NRC may recuire a mininum l cf r.irety (90) dcy! tc rciccate tFe clocumcot c(llectier;. The firal ckcificn shell b( sutject to the review procedures described in Article 6 entitled, " Dispute Review Procedure ," below.

l l e. The Cooperator shall not incur new obligations for the teminated ,

cooperative agreenent (or the terminated portion thereof, as the case may be) af ter the effective date, and shall cancel as many l

outstanding obligations as possible. The NRC shall allow full credit to the Cooperator for the Federal share of the noncancellable obligations, properly incurred by the Cooperator prior to i termination.

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6. Dispute Review Procedure l

a. The Cooperator may request a review of a notice of terinination or other adverse decision. The request should be in writing and addressed to the Grant Officer. It must be postmarked no later than thirty (30) days after the postmarked date of the notice of tennination,

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

of such position. j

c. The Grant 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. If the request for review has not been resolved by the effective date  !

cf the termination set by the Grant Officer, the NRC may withhold or defer payments under the cooperative agreement until the review has  ;

been resolved. l l

e. The termination review committee will request the Grant Officer who issued the notice of termination to provide copies of all

/ relevant background materials and documents. It may, at its discretion, invite representatives of the Cooperator and the NRC 1

program office to discus's pertinent issues and to submit such l additional information as it deems appropriate. The chairman of the I review committee will insure that all review activities or i proceedings are adequately documented,

f. Based on its review, the committee will prepare its reconrnendations to the Director, Office of Administration, who will advise the ,

parties concerned of his/her decision. If the decision is to sustain the termination, the Director, Office of Administration, r.ay reaffirm the effective date for termination set by the Grant Officer or rnay J establish a new termination date.

7. Allowable Costs l

l a. The allocability of costs and cost allocation trethods for work performed under this cooperative agreement,Jup to the amount specified in the cooperative agreement instrunent, shall be determined in accordance with the applicable Federal Cost Principles in effect on the effective date of the cooperative agreement and the j terr.s of the cooperative agreener.t.

l b. T ht federal Cost Principles applicable to (1) State and Local goverreents, (2) Nonprofit Organizations, and (3) Educational Institution cooperators are respectively as follows:

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1 (1) Circular A-87 (2) Circular A-122 (3) Circular A-21

8. Retention and Custodial Requirements for Records l Cooperators shall retain and perinit examination of records in accordance with OMB Circulars A-102, Attachment C and/or A-110 Attachment C, as applicable. Cooperators shall place appropriate requirements on sub-cooperators as specified by that attachment.

a. Audit and Records financial records, supporting documents, statistical records, and other records pertinent to this cooperative agreement shall be retained by the Cooperator for a period of three (3) years from submission of the Final Report.

(1) Records that relate to audits, appeals, litigation, or the settlement of claims arising out of the perfonnance of the project shall be retained until such audits, appeals, s litigation, or claims have been disposed of, but in any event

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not less than three (3) years after final report submission.

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

l (3) The NRC and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access to any pertinent books, documents, papers, and records cC the Cooperator's 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 Cooperator shall include a provision to the effect that the cooperator, NRC, the Comptroller General, or any of their duly authorized representatives, shall have access to pertinent records for similar purposes.

(4) In order to avoid duplicate recordkeeping, NRC may make special l

arrangements with cooperators to retain any records that are needed for joint use. NRC may request transfer to its custody of records not needed by the Cooperator when it determines that the records possess long-tem retention value. When the records l

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I (1) Circular A-87 (2) Circular A-122 (3) Circular A-21

8. Retention and Custodial Requirements for Records Cooperators shall retain and permit examination of records in accordance with OMB Circulars A-102, Attachment C and/or A-110, Attachment C as3 applicable. Cooperators shall place appropriate requirements on sub-cooperators as specified by that attachment,

a. Audit and Records Financici records, supporting documents, statistical records, and other records pertinent to this cooperative agreement shall be retained by the Cooperator for a period of three (3) years from submission of the Final Report.

(1) Records that relate to audits, appeals, litigation, or the settlement of claims arising out of the performance of the project shall be retained until such audits, appeals, s

litigation, or claims have been disposed of, but in any event not less than three (3) years after final report submission. ,

(2) Records relating to projects subject to special project income provisions shall be retained until three (3) years from the end of the cooperator's fiscal year in which the cooperative agreement instrument requirement for reportino income expires.

(3) The NRC and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access to any pertinent books, documents, papers, and records of the Cooperator's organization, and of the performing organization, if dif ferent, to make audits, examinations, excerpts and transcripts. Further, any contract in excess of

$10,000, made by the Cooperator shall include a provision to the effect that the cooperator, NRC, the Comptroller General, or any l Of their duly authorized representatives, shall have access to pertinent records for similar purposes.

(4) In order to avoid duplicate recordkeeping, NRC nay make special arrangements with cooperators to retain any records that are needed for joint use. NRC may request transfer to its custody l

of records not needed by the Cooperator when it determines that l the records possess long-term retention value. When the records l

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7 are transferred to or maintained by NRC, the three (3) year retention requirement is not applicable to the Cooperator. In the event that these provisions are exercised. NRC will negotiate a mutually agreeable arrangement with the Cooperator regarding reimbursement of costs.

9. Payment and Financial Reportino Requirements Payments by NRC will be made by the method indicated on the face page.

Cooperator requests for payment, NRC payments, and Cooperator financial reporting requirements shall be made in accordance with the following applicable OMB Circulars A-102, Attachments H and J and/or A-110, Attachments G and I, as applicable,.

a. Methods of Payment

1. Letters of Credit The letter of credit system may be used to provide funds to Cooperator organizations only under the following conditions.

When these conditions exist, use of the letter of credit method of payment is mandatory, except as noted below:

o the cooperative agreement must be for a period of at least twelve (12) months; r

o the cooperative agreenent (or cooperative agreements) from l

a Federal grantor agency to a Cooperator organization must total at least $120,000. Note: The direct Treasury check method of payment must be used, in lieu of the letter of credit rethod, when the total of cooperative agreement (s) is betecen $120,000 and $250,000 and where the Federal grantor agtncy and the Treasury Dcpartment find a stiong basis for waiving the generel rulc.

o the Cocperator has established (or demonstrated its willingness to establish) procedures that will minimize the l

time elapsing between the receipt of Federal funds and their disbursement by the Cooperator; o the Cooperator's financial management system meets the standards for fund control and accountability prescribed in Attachnent G to OMB Circular A-102, revised, for State and local governments, or Attachment F to Circular A-110 for institutions of higher education, hospitals, and other nonprofit organizations; and l

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9 o the Cooperator agrees in writing to withdraw cash only when actually needed for its disbursement, and to timely report cash disbursements and balances to the federal grantor agency, and to impose the same standards for time and amount of withdrawals on any subcooperator organizations with the understanding that failure to adhere to these provisions is just cause for revocation of the unobligated balance of the letter of credit.

2. Direct Treasury Check (Advance Payment)

The direct Treasury check method (advance payment) is to be used under the following conditions: l o the cooperative agreement is for a period of less than twelve (12) months, or the cooperative agreement (s) from a single Federal grantor agency total less than $120,000 (or less than $250,000 if the orantor and the Department of the Treasury agree on a waiver);

o the Cooperator has established (or demonstrated its willingness to establish) procedures that will minimize the tirre elapsing between the receipt of Federal funds and their disbursement by the grantee; k the Cocperator agrees to impose the same standards fnr amount ar.d timing of withdrawals en any subcooperater organizations, and; o the Cooperator's financial management system meets the standards for fund control and accountability as prescribed j in Attachment G to OMB Circular A-102, revised, for State and Local Governments. Or Attachment F to Circular A-110 for institutions of higher education, hospitals, and other nonprofit organizations, whichever is applicable.

3. Direct Treasury Check (Reirnbursement Basis) l Reimbursement by Treasury chect is the preferred rnethW c.f  !

paying a Cooperator organization whenever either:

1 o it has not established (or demonstrated its willingness to l establish) procedures that will minimize the time elapsing  !

between the receipt of Federal funds and their disbursement i by the Cooperator; or  !

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o its financial rnanagement system does not meet the standards j for fund control and accountability prescribed in l Attachment G to OMB Circular A-102, revised, for State and  ;

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Local Governments, or Attachnent F to Circular A-110 for institutions of higher education, hospitals, and other nonprofit organizations.

10. Property Managerent Standards i

Property shall be accounted for and managed in accordance with OMB j Circulars A-102, Attachment N and/or A-110 Attachment N, as applicable.

11. Procurement Standards  !

a. NRC Cooperators shall follow the requirements of the following )

applicable OMB Circulars: A-102 Attachment 0; A-Il0, Attachment O.

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

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

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

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c. NRC approvals will be made by the Grant Officer, who will I specify which requirements of this cooperative agreenent must be flowed-down to satisfy the purposes of OMB Circulars A-102, Attachnent 0 and/or A-110. Attachment 0, as applicable.

d. Coop (rator recuests 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.

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12. Revision of Financial Plans Cooperative agreement budget activity under this cooperative agreement is subject to the requirements of OMB Circulars A-102, Attachnent K and/or A-110 Attachment J, as applicable.

l l 13. Procram income l

l Program income is subject to the policy prescribed by OMP Circulars A-lF2, Attachment E and/or A-110, Attachment D, as applica'ble.

I-t u_______m._-..________ __ _ _ . _ . . . . - _ _ _ . _ _ _ _ _ _ _ . _ _ _ . _ _ . _ _ _. . _ _ . _ . _

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I 14 . Statutory Requirements  !

a. Civil Richts This cooperative agreement is subject to Title VI of the Civil Rights q Act of 1964 (P.L.88-352); Title IV, Sex Discrimination, of the i Energy Reorganization Act of 1974, and Executive Order 11246, as- I amended, Parts II,111, and !Y (for cooperative agreements over

$10,000 within a twelve month period).

The Cooperator 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 cooperator receives financial support from NRC.

b. Nondiscrimination Under Cooperative Agreements This cooperative agreement is subject to the provisions of the Rehabilitation Act of 1973, Public Law 93-112. The Cooperator 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 handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity Federal financial assistance."

Further, this cooperative agreement is subject to the provisions' of the Age Discrimination Act of 1975 (42 U.S.C. 6101). The Cooperator therefore agrees that no age discrimination will occur' under this 1 Federally assisted program. )i

15. Liability and Losses NRC assumes no liability with respect to any damages or loss arising out l of any activities undertaken with the financial support of this cooperative agreement.

16. Site Visits i

The NRC, through authorized representatives, has the richt,'at ill 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 Cooperator or a contractor under a cooperative acreement, the Cooperator shall provide and shall require his contractors to provide all )

reasonable facilities and assistance for the safety and convenience of th' 1 Government representatives in the perfomance of their duties. All' site visits and evaluations shall be performed in such a manner as will not l unduly delay the work.

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17. Title to Equipment Unless otherwise specified in the cooperative agreement instrument, title to equipment purchased or fabricated with NRC cooperative agreement funds by a college or university, other nonprofit organization, or a unit of State or local Government shall vest in the Cooperator institution, with the unckrstanding that such equipment (or a suitable replacement obtained ,

as a trade in) will remain in use for the specific project for which it 1 was obtained. ,

18. Organizational prior Approval System

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a. In order to carry out its responsibilities for rnonitoring project perfonnance and for adhering to cooperative agreerrent terms and conditions, each performing organization shall have a system to ensure that appropriate 6uthorized officials provide necessary organizational reviews and approvals in advance of any action that l would result in either the perfonnance or modification of an NRC-supported activity where such approvals are required by the cooperative agreement 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 I sign (s) or countersign (s) those types of requests that require submission to and approval by NRC. The designated official (s) shall l not be the principal investigator or any official having direct i responsibility for the actual conduct of the project, or a subordinate of such individual.

19. Star.dards for Financial Management Systems Cooperators shall have financial management systems that meet the requirements of OMB Circulars A-102, Attachment G and/or A-110 Attachment F, as applicable.

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• FY-87 MICROFICHE READER PRINTER REPAIR NUMBER The FY-87 purchase order number for repairs to NRC-furnished microfiche reader printers is DR-87-0315. Invoices for repairs made between December 2, 1986, and September 30, 1987, should include this number as we'll as the serial number of the machine and the NRC tag number.

Invoices should be submitted on 3M stationery to:

Division of Accounting and Finance Office of Resource Management U. S. Nuclear Regulatory Commission Washington, DC 20555 Since the purchase order agreement is with 3M, NRC can honor only those invoices submitted by 3M. If the company repairing your reader printer is authorized to repair 3M equipment but is a private firm not affiliated with 3M, their invoices must be submitted to:

Mr. Bill Jones 3M Business Products Service Center 8301 Greensboro Drive McLean, VA 22102

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i Bills for microfiche reader printer paper and lamps should not be sent to P NRC.

1 Contracts and agreements stipulate that the library is responsible for the purchase of those items. Libraries have the option of charging for prints to defray the cost of these supplies. .. ..

Questions regarding the repair of NRC-furnished microfiche equipment should be directed to your LPDR Coordinator on the LPDR HOTLINE.

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