Article B-XIV-Contract Work Hours and Safety Standards Act-Overtime Compensation-General Insert the clause from FAR 52.222-4 with appropriate insertions. Article B-XV-Disputes Insert the clause in FAR 52.223-1. Article B-XVI-Officials Not To Benefit Article B-XVII-Convenant Against Insert the clause in FAR 52.203-5. Article B-XVIII-Examination of Records Insert the clause from FAR 52.215-1. The Examination of Records clause in FAR 52.215.1 may be omitted from foreign contracts in accordance with procedures in FAR 25.9. Article XIX-[Reserved] Article B-XX-Assignment: Subcontracting Neither this contract nor any interest therein nor claim thereunder shall be assigned or transferred by the Contractor, except as expressly authorized in writing by the contracting officer. The Contractor shall not subcontract any research or development work under this contract, except as expressly authorized in writing by the contracting officer. Article B-XXI-Reports and Renewal The Contractor shall furnish six (6) copies of the following reports to the appropriate field office. (a) Progress report. The progress report shall briefly describe the scope of investigations undertaken and the significant results obtained. It shall also indicate compliance with the contract requirements and any failures to comply. The report shall indicate the approximate percentage of time or effect which the principal investigator(s) has devoted to the project since the beginning of the current term of the contract and indicate the amount of effort which is expected to be devoted during the remainder of the current term. Technical reports, preprints, and articles prepared for publication shall be listed with bibliographical references. Reprints of all such material not previously submitted shall be appended and material contained therein need not be duplicated in the report. Progress reports shall be submitted approximately 4 months in advance of the expiration of the current contract term and shall give the Contractor's best estimate of the probable events and occurences in regard to the remainder of the current term. Except as DOE may otherwise request, no further progress report will be required for any contract year unless there has been a significant change in scientific results or compliance between the lastest progress report by the contractor and its actual experience which shall be reported promptly. (b) Final report. Upon termination or expiration of the total period of performance, the Contractor shall submit, promptly, a summary of its activities for the entire period, including a list of publications issued during the entire period and copies of any reprints not previously submitted, as well as a comprehensive evaluation of progress in the area of research funded by the contract. (c) Renewal proposals. A renewal proposal, if any, shall be submitted along with the technical progress reports, and each of the two documents shall be separately bound. Renewal proposals are submitted to the DOE contracting officer. Article B-XXII-Foreign travel Foreign travel shall be subject to the prior approval of the contracting officer for each separate trip, regardless of whether funds for such travel are contained in an approved budget. Foreign travel is defined as any travel outside of Canada and the United States and its territories and possessions. Article B-XXIII-[Reserved] Article B-XXIV-Utilization of Labor Insert the clause in FAR 52.220-3 under the conditions prescribed therein. Article B-XXV-Utilization of Small Business Concerns and Small Disadvantaged Business Concerns Insert the clause in FAR 52.219-8. Article B-XXVI-Utilization of WomenOwned Small Business Insert the clause in FAR 52.219-13. Article B-XXVII-Sensitive Foreign Nations Controls Insert the clause at 952.204-71 if the contract involves research in nuclear technology and it is appropriate. The contracting officer should confirm its inclusion with the local security office. Article B-XXVIII-Affirmative Action for Special Disabled and Viet Nam Era Veter ans Insert the clause in FAR 52.222-35. Article B-XXIX-Determination of *(a) The term "Government cost" as used in this contract means DOE's share** of the sum of costs incurred by the Contractor for items included under Article A-11(a) of Appendix A furtherance of the work hereunder, incurred in accordance with the provisions of this contract, and which are reported to DOE in accordance with (b) below. The term "cumulative Government costs" as used in this contract means the total of the Government costs incurred during the initial contract period plus any extension periods. (b) Within 3 months after the end of each contract period set forth in Appendix A, and within 3 months after the termination or expiration of the total period of performance, the Contractor shall furnish a certified statement, executed by an official of the Contractor showing the Contractor's cost and evidencing its performance under the contract, during the contract term just completed. The statement shall show all cost incurred during the pertinent contract term set forth in Appendix A for items under Article A-II(a) of Appendix A, including the Contractor's share, if any, of such costs, and show the extent of the Contractor's contribution of items under Article AII(b)(1) of Appendix A. Costs included in the certified statement may include the following: expenditures of cash, the cost of material and supplies transferred from store's inventory, and the amount due the Contractor for indirect costs in accordance with the rate and factor shown in Appendix A of the contract for the pertinent period. The costs for the pertinent period shall be consistent with the principles of OMB Circular A-21 as constituted as of the effective commencement date of said period. The certified statement shall be in the form set forth in Appendix C. (c) The certified statement should be in agreement with the institution's financial record and shall reflect only expenditures actually made during the period covered, including transfers from inventory. It shall not include commitments as a part of such expenditures for goods or services on order but not received or those received but not paid for, unless the Contractor is operating under an established and consistently applied system of accrual accounting. If this is the case, the certified statement shall be so footnoted. A combination of accrual and cash accounting for cost accumulation and reporting purposes shall not be used. The renewal proposal budget should be footnoted to show the estimated amount of outstanding commitments for property at the end of the current period. The certified statement contains a space in which office should be inserted the actual amount of outstanding commitments for property at the end of the period covered by the statement. This commitment amount is for information only and is not a part of the expenditure calculation. The Contractor understands that DOE expects to rely on this certified statement for determining the Government cost for the period. With respect to any period in which proportionate cost sharing is applicable, the support costs for the pertinent period will be determined by applying the percentage figure included in Article A-III for the pertinent period to the certified cost of items included under Article A-II(a) incurred during the pertinent period. All charges to DOE shall be subject to the approval requirements of this contract. The Contractor is expected to maintain auditable records as contemplated by Article B-II(c) to substantiate the costs incurred for items under Article A-II(a) and to show the extent of the Contractor's contribution of the items listed under Article A-II(b)(1). *If the contract is with a nonprofit organization other than an educational institution or a research foundation established by an educational institution, this article should be revised to provide that the commercial cost principles (FAR 31.2) will be used in determining actual cost. **In those cases in which there is no proportionate sharing of costs, DOE's "share" will be 100 percent. With respect to any period in which proportionate cost sharing is applicable to Article A-III, it is understood that Government cost for that specified period will equal the stipulated percent of the sum of costs incurred by the Contractor during the stated period for items under A-II(a) of Appendix A, not shown in Appendix A of the contract for the pertinent period. The costs for the pertinent period shall be consistent with the principles of OMB Circular A-21 and FAR 31.3 or FAR 31.7 as constituted on the effective commencement date of said period. The certified statement shall be in the form set forth in Appendix C. Article B-XXX-Additional Approvals In addition to such approvals as are specifically required by other provisions of this contract, the Contractor shall obtain DOE's approval for: (a) A change of the principal investigator, co-investigator, or other key people as might be named in this contract or continuation of the research work for any one period in excess of 3 months without direction by an approved principal investigator. The principal investigator may increase or decrease the amount of effort which he devotes to the project without obtaining DOE approval; however, a representative of the institution shall consult with the appropriate DOE Headquarters program representative if the principal investigator plans to, or becomes aware that he will devote substantially less effort to the work than anticipated in Article A-1. The purpose of such consultation will be to determine what effect, if any, the anticipated change will have on the research work and what modification to the contract, if any, may be appropriate. (b) No change in the phenomenon or phenomena under study, i.e., broad category of the research under the contract, shall be made without the specific written approval of the contracting officer. Ordinarily, such changes, if approved by the contracting officer, will be accomplished through a new contract or mutually agreed to modification. The Contractor may change the specific objectives in the research work described in the contract, provided it gives the contracting officer prompt notification of such changes, and the Contractor may continue to follow the new objectives while DOE determines whether it wishes to continue the program under the changed approach. Significant changes in methods or procedures employed in performing the research should be reported in the first technical program report issued subsequent to the changes. (c) Prior approval is required. Acquisition of an item of equipment not itemized in Appendix A, the cost of which is $1,000 or more. Approval is not required if the equipment is merely a different model of an item listed in Appendix A. (If plant and capital equipment funds are provided for the acquisition of equipment with title to be vested in the Government, the total cost of such equipment shall not exceed the amount provided for such equipment unless prior DOE approval has been obtained.) as (d) Prior approval is required. Purchase any general-purpose equipment, such office furniture, air conditioning, automatic data processing equipment, etc., not specifically provided for in Appendix A. (e) Incurring costs for items set forth in Article A-II(a), during the pertinent contract period stated in Appendix A, in excess of 110 percent of the total estimated cost specified in Article A-III. Charges to DOE for any such costs incurred with the approval of DOE shall also be subject to the limitations of Article A-III. (f) Any proposed foreign travel (see Article B-XXII). (g) Prior approval is required. Expenditures for domestic travel if such expenditures exceed the amount shown in Article A-II(a) for such travel by $500 or by 25 percent, whichever is greater. (h) Acquisition of excess personal proper ty. the contractor's certified cost statements will provide an adequate basis for making the required determinations. If the determinations cannot be made on the basis of the reports, visits to and other contacts with the research project during the contract period, and the contractor's certified statements, and the contracting officer determines that the contractor has not satisfied the contractual undertakings, appropriate steps shall be taken to protect the Government's interest. 917.7112-4 Approval of deviations in per formance and other specified actions. (a) Contractors should be advised to inform the contracting officer as soon as possible of contemplated deviations and other proposed actions which require DOE approval. Specific deviations and approval actions include the following: (1) A change of the principal investigator, co-investigator, or other key people as might be named in the contract, or continuation of the research work for any period in excess of three months without direction by an approved principal investigator. The principal investigator may increase or decrease the amount of effort which he devotes to the project without obtaining the contracting officer's approval; however, a representative of the institution shall consult with the appropriate Headquarters program representative if the principal investigator plans to, or becomes aware that he will, devote substantially less effort to the work than anticipated in Article A-I. The purpose of such consultation will be to determine what effect, if any, the anticipated change will have on the research work and what modifiIcation to the contract, if any, may be appropriate. (2) A change in the phenomenon or phenomena under study (i.e., broad category of the research under the contract) requires the specific written approval of the contracting officer; ordinarily such changes, if approved by the contracting officer, will be accomplished through a new contract or modification. The contractor may change the specific objectives in the research work described in the contract, provided it gives the contracting officer prompt notification of such changes; and the contractor may continue to follow the new objectives while DOE determines whether it wishes to continue the program under the changed approach. Significant changes in methods or procedures employed in performing the research should be reported in the first technical progress report issued subsequent to the changes. (3) Acquisition of an item of equipment not itemized in the contract, the cost of which is $1,000 of more. Approval is not required if the equipment is merely a different model of an item listed in the contract. If plant and capital equipment funds are provided for the acquisition of equipment, with title to be vested in the Government, the total cost of such equipment shall not exceed the amount provided for such equipment unless prior approval has been obtained. (4) Purchase of any general-purpose equipment, such as office equipment or furniture, air conditioning, etc., not specifically provided for in 917.7113, Appendix A of the contract will require prior approval. (5) Incurring costs for items set forth in Article A-II(a), during the pertinent contract period stated in 917.7113, in Appendix A, in excess of 110 percent of the total estimated cost specified in Article A-III. Charges to DOE for any such costs incurred with approval of the contracting officer shall also be subject to the limitations of Article III. (6) Any proposed foreign travel (defined as any travel outside of Canada and the United States and its territories and possessions) if requires prior approval. (7) Expenditures for domestic travel if such expenditures exceed the amount shown in Article-II(a) for such travel by $500 or by 25 percent, whichever is greater, requires prior approval. (8) Acquisition of excess personal property. (9) Such other items as, in the judgment of the program office or the contracting officer, in specific cases need to be separately identified in the contract. (When plant and capital equipment funds are provided for the acqui sition of Government property, the program offices shall require that such funds be used only for acquiring the equipment designated in the contract, unless prior approval has been obtained.) (b) The contracting officer will present (in any manner considered appropriate) all such requests for approval to the cognizant program office for consideration, and will issue such authorizations and modifications under the contract as are necessary and appropriate. (c) Contractors should be required to provide such statements of the project's financial and program status as are believed necessary for considering requests for approval. 917.7112-5 Auditing. (a) As a part of the management of the research program accomplished through special research contracts, auditing of participating institutions shall be initiated by the contracting officers administering the contracts. The prupose of this audit program is to corroborate that the participating institutions are properly using the funds and personal property provided by the contracts, and to identify any changes needed in the arrangement or in related administrative requirements in order to further the effectiveness of the contracts in accomplishing their intended programmatic research purposes. In addition to these general objectives, the principal specific objectives of the audits of special research contracts should determine that: (1) The amounts as submitted in the contractor's certified cost statement are accurate and were incurred in connection with the work; (2) Satisfactory documentary evidence is available in support of the costs incurred; (3) DOE approval was obtained where required; and (4) The proportion of total cost charged to DOE is in accordance with the percentage stipulated in the contract. (b) The review of special research contracts should be made on a selective basis with the selected sample including all special research contracts where the contracting officer request ed that an audit be performed pursuant to the provisions of 917.7112-3(b). (c) In the event of termination prior to the expiration date of a special research contract, unless the costs incurred by the contractor are relatively small or can be otherwise adequately corroborated, an audit should be made to determine the nature of the costs and other relevant data for use in arriving at a termination settlement. (d) While audit is not a prerequisite to payment under a contract, the contracting officer, before authorizing final payment, should consider the necessity for an audit to determine whether the charges to the contract are proper. If any such audits result in findings which may be of value to program offices in their determinations regarding selection and renewal of research projects, such findings should be made available to them. 917.7112-6 Security. As а general rule, investigators should not need access to classified information in the conduct of basic research funded by DOE. The contractor should be advised when, in the judgment of the principal investigator, information is developed which should be classified, the DOE field office must be notified immediately. When, in the opinion of the cognizant program office, the work moves into a classified area, prompt steps shall be taken to notify the contractor and appropriate field office. 917.7113 Format for Special Research Contracts (SRC) with educational institutions/or other nonprofit institutions. Contract No. This contract is effective as of the 19-, between the United States of America (hereinafter referred to as the "Government"), acting throught the U.S. Department of Energy (hereinafter referred to as the "DOE"), and (hereinafter re ferred to as the "Contractor"). RECITALS DOE wishes to have the Contractor perform certain research. This contract states the terms and conditions under which the Contractor agrees to perform the work. This contract is authorized by the Department of Energy Organization Act of 1977 and other applicable law. |