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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 modification 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 techni. cal 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 ed that an audit be performed pursuprogram offices shall require that ant to the provisions of 917.7112-3(b). such funds be used only for acquiring (c) In the event of termination prior the equipment designated in the con to the expiration date of a special retract, unless prior approval has been search contract, unless the costs inobtained.)

curred by the contractor are relatively (b) The contracting officer will small or can be otherwise adequately present (in any manner considered ap corroborated, an audit should be made propriate) all such requests for ap to determine the nature of the costs proval to the cognizant program office and other relevant data for use in arfor consideration, and will issue such riving at a termination settlement. authorizations and modifications (d) While audit is not a prerequisite under the contract as are necessary to payment under a contract, the conand appropriate.

tracting officer, before authorizing (c) Contractors should be required to final payment, should consider the neprovide such statements of the cessity for an audit to determine project's financial and program status whether the charges to the contract as are believed necessary for consider

are proper. If any such audits result in ing requests for approval.

findings which may be of value to pro

gram offices in their determinations 917.7112–5 Auditing.

regarding selection and renewal of re(a) As a part of the management of search projects, such findings should the research program accomplished be made available to them. through special research contracts, auditing of participating institutions

917.7112-6 Security. shall be initiated by the contracting As a general rule, investigators officers administering the contracts. should not need access to classified inThe prupose of this audit program is formation in the conduct of basic reto corroborate that the participating search funded by DOE. The contracinstitutions are properly using the tor should be advised when, in the funds and personal property provided judgment of the principal investigator, by the contracts, and to identify any information is developed which should changes needed in the arrangement or be classified, the DOE field office in related administrative requirements must be notified immediately. When, in order to further the effectiveness of in the opinion of the cognizant prothe contracts in accomplishing their gram office, the work moves into a intended programmatic research pur

classified area, prompt steps shall be poses. In addition to these general ob

taken to notify the contractor and apjectives, the principal specific objec

propriate field office. tives of the audits of special research contracts should determine that: 917.7113 Format for Special Research

(1) The amounts as submitted in the Contracts (SRC) with educational insticontractor's certified cost statement tutions/or other nonprofit institutions. are accurate and were incurred in con

Contract No. nection with the work;

This contract is effective as of the (2) Satisfactory documentary evi 19–, between the United States of America dence is available in support of the (hereinafter referred to as the “Govern. costs incurred;

ment”), acting throught the U.S. Depart(3) DOE approval was obtained ment of Energy (hereinafter referred to as where required; and

the “DOE"), and

(hereinafter re(4) The proportion of total cost

ferred to as the "Contractor"). charged to DOE is in accordance with

RECITALS the percentage stipulated in the contract.

DOE wishes to have the Contractor per

form certain research. This contract states (b) The review of special research

the terms and conditions under which the contracts should be made on a selec

Contractor agrees to perform the work. tive basis with the selected sample in

This contract is authorized by the Departcluding all special research contracts ment of Energy Organization Act of 1977 where the contracting officer request and other applicable law.

AGREEMENT Now therefore, the parties hereto agree as follows:

Article 1-The Research To Be Performed

(a) The Contractor shall furnish personnel, facilities, equipment, materials, supplies, and services, except such as are furnished by the Government, necessary for the performance of the research provided for in Appendix A and shall perform the research and report thereon pursuant to the provisions of this contract. It is understood that Appendix A, a guide to the performance of this contract, may be deviated from by the Contractor subject to the specific requirements of this contract.

(b) This work shall be conducted under the direction of or such other members of the Contractor's staff as may be mutually satisfactory to the parties.

NOTE A.–The description of the research in Appendix A may be omitted and Appendix A appropriately modified to incorporated, by pertinent references to the proposal or other documents, the type of data necessary to describe the research as called for by Appendix A; and where there is no cost sharing, other features may be referenced in lieu of insertion in Appendix A. In such cases, the referenced material will be retained as part of the permanent contract file.

ment costs, whichever is less. The Contractor shall be obligated to perform under this contract throughout the agreed-upon period of performance, and to bear all costs which DOE has not agreed to pay; provided how. ever, that the Contractor shall have the right to cease to perform the research provided for in this contract, upon written notice to DOE to that effect, at any time, when or after the cumulative Government cost equals or exceeds the Government ceiling.

(c) The Government ceiling specified in (a) above may be increased unilaterally by DOE by written notice to the Contractor and may be increased or decreased by written agreement of the parties (whether or not by formal modification to this contract). In the event that the stated period of performance is extended, the Government ceil. ing will be revised to reflect any increased DOE funding for the extended period or periods.

(d) Upon termination or expiration of the total period of performance, the Contractor shall promptly refund to DOE (or make such disposition as DOE may in writing direct) any sums paid by DOE to the Contractor under this contract, through direct payment or under letter or credit, in excess of the cumulative Government cost incurred in performance under the contract.

*The term cumulative Government costs refers to the cost of items under A-II(a) of Appendix A, for the initial contract period plus any extension period that may be properly chargeable to DOE. If proportionate cost sharing is involved, the cost is DOE's share of such costs, and does not include the cost of items excluded from Article A-II(a), such as items to be contributed solely by the Contractor or property to be furnished by the Government. Charges to DOE will be reported after the conclusion of each contract period set forth in Appendix A (generally an annual period); in addition to the limitations on charges to DOE provided for by this Article III, charges to DOE for a specified contract period may not exceed the 110 percent limitation mentioned above as well as to the provisions of this Article III.

Article IIThe Period for Performance The period of performance under this contract shall commence on -19–, and expire on --19— Performance may be extended for additional periods by the mutual written agreement of the parties. It is presently expected that this contract will be extended by mutual agreement until 19—.*

*This sentence is optional and may be omitted.

Article III-Consideration (a) In full consideration of the Contractor's performance hereunder, DOE shall furnish the equipment, supplies, materials, and services, if any, listed in Article A11(b)(2) and pay the Contractor the sum of

hereinafter called the Government "Ceiling" which sum shall be subject to adjustments as hereinafter provided.

(b) Payments to the Contractor shall equal the "cumulative Government cost” of performance of this contract, as the term “cumulative Government cost" is defined in Article B-XXIX*; provided however, and notwithstanding any other provisions of this contract, that the Government's monetary liability under this contract shall not exceed the Government ceiling or an amount equal to the cumulative Govern

Article IV-Government Property The following items of property acquired or fabricated by the Contractor are hereb listed as “Government Property;" (List all property and equipment, title to which is to remain in the Government. Insert the word "none" if title to all of the property is to be vested in the Contractor. If title to property acquired of fabricated by the Contractor is to remain in the Government, add appropriate provisions for payment for such property from plant and equipment funds. Such funds should be in addition to, and not a part of, the “Government Ceiling" funds provided under Article III).

Article V-Appendices Appendix A-Performance guide, Appendix B-General Provisions, and Appendix C-Statement of Costs, are hereby attached to and made a part of this contract.

In witness whereof, the parties have executed this contract.

United States of America
Contracting Officer
Contract No.

Contract No.
For the contract period


ever, any individual piece of equipment, the estimated cost of which is over $1,000 will be separately identified. Except where the contract may otherwise specifically provide, equipment for the pupose of this paragraph A-II shall mean an item of personal property having a useful life expectancy in excess of 1 year and an acquisition cost in excess of $500. Failure to identify equipment may result in disallowance of its cost if subsequently pruchased.

(3) Travel. (Show amounts for both foreign and domestic. If none, state none). Domestic Foreign

(4) Other direct costs.

(5) Indirect costs based on applicable rates or predetermined rate of — percent if with a educational institution for FY year(s) Show base or bases of costs to which rate apply.

(b) Items, if any, significant to the performance of this contract, but excluded from computation of Government costs and from consideration in proportioning costs. (See 917.7107-2(d)).

(1) Items to be contributed by the Contractor. In accordance with Article B-II(C), if a proposed Contractor contribution is included in this paragraph (b)(1), the Contractor shall maintain records adequate to permit DOE to determine the extent of the contribution. If the time or effort of the principal investigator(s) is to be contributed by the Contractor and excluded from AII(a) and A-II(b), the contributed time or effort should be listed under A-II(d).

(2) Items to be contributed by the Government.

(c) Time or effort of principal investigator(s) contributed by Contractor but excluded from computation of Government cost and from consideration in proportioning costs. Where covered under A-II(a)

A-II(b) above, state: “None." See 917.7107-2(e).

Article A-III. The total estimated cost of items under A-II(a) above for the contract period stated in this Appendix A is $DOE will pay percent of the actual costs of these items incurred during the contract period stated in this Appendix A, subject to the provisions of Article III and Article BXXIX of Appendix B. The estimated Government cost for the contract period stated in this Appendix A is $

The estimated Government cost is funded as follows:

(a) Estimated unexpended balance from the prior period(s) $

(b) New funds for the current period $

The new funds being added in A-III(b) constitute the basis for advance payments provided under Article B-XI.


Article A-I. Research to be performed by the Contractor. (Insert description of research activity and state the appropriate percentage of time or effort which the principal investigator(s) expects to devote to the work.)

Article A-II. Ways and means of performance. The listing under (a), (b), and (c) below should be in a form to permit determination of which items of costs are to be chargeable to DOE proportionately shared, and which items are to be contributed solely by the Contractor or solely by DOE. The listing should also permit application of the approval requirements of the contract. Excessive detail in listing should be avoided.

(a) Items for which funding will be provided as indicated in A-III below. Do not include in this paragraph (a) any items which are to be contributed solely by the Contractor.

(1) Salaries and wages. State total dollar amount. If any stipulated salary amounts for professional staff members are established in accordance with FAR 31.3 or 31.7 the stipulated amounts, along with any limitations or requirements on the use of such stipulated amounts should be provided for in the contract.

(2) Equipment to be purchased or fabricated by the Contractor. List equipment to be purchased or fabricated by the Contractor and for which title is to remain in the Contractor and state the total dollar amount budgeted for such equipment. Such equipment may be set forth in general classifications as specifically as possible, if it is not feasible to list them individually. How



(c) Subject to their availability, additional funds anticipated for the contract in the amount of $

NOTE.-Do not include this provision in fully funded SRCs.

*If the contract is with a nonprofit organization rather than an educational institution, this article should be revised to provide that the cost principles at FAR 31 as may be modified by 931 depending on the nature of the contractors organization, will be used in determining actual cost.


Article B-III-(Reserved)

Article B-1-Definitions (a) The terms “DOE" means the U.S. Department of Energy or any duly authorized representative thereof, including the contracting officer except for the purpose of deciding an appeal under the article entitled "Disputes.”

(b) The term “contracting officer" means an official designated to enter into or administer contracts and make related determinations and findings.

(c) Except as otherwise provided in this contract, the term “subcontracts" includes purchase orders under this contract.

Article B-IV-Disclosure of Information

This clause should be used in place of the clauses entitled “Security," 952.204-1, and “Classification” 952.204-2, in SRCs with educational institutions for off-site research that are not likely to produce Restricted Data or other classified information.

Article B-II-Inspection, Reports, Records,

and Accounts* (a) DOE shall have the right to inspect, in such manner and at all reasonable times as it deems appropriate, all activities of the Contractor arising in the course of its undertakings under this contract.

(b) The Contractor shall make progress and other reports in such manner and at such time as specified under this contract, as DOE may reasonably require from time to time.

(c) The Contractor agrees to keep records and books of account, in accordance with generally accepted accounting principles and practices, and consistent with the requirements of OMB Circular A-21, and FAR 31.3 or 31.7 as constituted on the effective commencement date of the contract period, covering its costs and expenditures for items included under Article A-II(a) of Appendix A and which are furtherance of the research work under this contract. In the event a contractor contribution is listed in Article A-II(b), the Contractor shall maintain records adequate to permit DOE to determine the extent of the contribution. If professional staff members are included under Article A-II(b), the Contractor shall maintain records on such personnel in accordance with the payroll distribution procedure of section J.6 of OMB Circular A-21.

(d) DOE shall at all reasonable times be afforded access to the premises and to these books and records and to related correspondence receipts, vouchers, memoranda, and other data of the Contractor; and the Contractor shall preserve such books and papers, without additional compensation therefor, in accordance with the retention requirements referenced in Article B-XVIII, Examination of Records.

DISCLOSURE OF INFORMATION (a) It is mutually expected that the activities under this contract will not involve Restricted Data or other classified information or material. It is understood, however, that if in the opinion of either party, this expectation changes prior to the expiration or termination of all activities under this contract, said party shall notify the other party accordingly in writing without delay. In any event, the Contractor shall classify, safeguard, and otherwise act with respect to all Restricted Data and other classified information and material, in accordance with applicable law and the requirements of DOE, and shall promptly inform DOE in writing if and when Restricted Data or other classified information and material becomes involved. If and when Restricted Data or other classified information or material becomes involved, the Contractor shall have the right to terminate performance of the work under this contract and in such event the provisions of this contract regarding termination for the convenience of the Government shall apply.

(b) The Contractor shall not permit any individual to have access to Restricted Data, or other classified information, except in accordance with the Atomic Energy Act of 1954, as amended, and DOE regulations or directives.

(c) The term “Restricted Data" as used in this article means all data concerning the design, manufacture or utilization of atomic weapons, the production of special nuclear material or the use of special nuclear material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to section 142 of the Atomic Energy Act of 1954, as amended.

Article B-V-Responsibility for the Work

(a) The Contractor is solely responsible for the conduct of the work.

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