ML19323G458
| ML19323G458 | |
| Person / Time | |
|---|---|
| Issue date: | 03/27/1979 |
| From: | Chilk S NRC OFFICE OF THE SECRETARY (SECY) |
| To: | |
| Shared Package | |
| ML19323G455 | List: |
| References | |
| CON-NRC-10-80-662 NUDOCS 8006020526 | |
| Download: ML19323G458 (12) | |
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PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec.
20-1.5401 Scope and policy.
l 20-1.5402 Definitions.
20-1.5403 Criteria for recognizing contractor organizational 4
conflicts of interest.
20-1.5404 Representation.
20-1.5405 Contract clauses.
20-1.5405-1 General contract clause.
20-1.5405-2 Special contract provisions.
20-1.5406 Evaluation, findings, and contract award..
20-1.5407 Conflicts identified after award.
20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-l'.5410 Subcontractors.
20-1.5411 Waiver.
20-1.5412 Remedies.
L AUTHORITY:
Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (NRC)(a) It is the polig of the U.S. Nuclear Regulatory Comission to avoid, eliminate or s:.:tralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.
(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest.
It is not possible to prescribe in advance a specific metnod or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy.
NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance.
The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased,,
or where it may have an unfair competitive advantage?
(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only.
Individuals or firms who have other s
relat4cnships with NRC (e.g., parties to a licensing proceeding) are not -
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covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC goosaaosa6
7590-01
%.--- ats with other government agencies, international ' rganizations, o
, or state, local or. foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate.
I20-1.5402 Definitions
-(a) " Organizational conflicts of interest" means that a relationsnip exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which:
(1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a
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biased work product, or (2) may result in its being given an unfair competitive advantage.
(b) "Research" means any scientific or technical work involvi.79 theoretical analysis, exploration, or experimentation.
(c) " Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.
l (d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of. its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; arid preparation of preliminary designs, specifications, or i
statements of work.
(e) " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).
(f) " Contractor" mr.ans any person, firm, unincorporated association, joint venture, co-sponstor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key perscr.nel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.
(g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).
.(h)' "Subeontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.
(1) " Prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.
7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract.
The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give i
rise to an' actual conflict or which must be reported to the contracting officer for investigation if they arise during contract perfomance.
I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:
(1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the perforn.snce of the contract?
The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts disclosed and the work to be l
performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on rsgulatory activities, future procurements, and research programs.
(b) Situations or relationships which may give rise to organizational i
conflicts of interest.
(1) The offeror or contractor shall disclose information concerning relationships which may give rise to organizational i
conflicts of interest under the following circumstances:
(i) Where the offeror or contractor provides advice and recomendations to the NRC in a technical area in which it is also providing consulting assistance in the same area to any organization regulated by the NRC.
(ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.
. (iii) Where the offeror or contractor ewluates its own products or services, or the products or services.of another entity where the offeror or contractor has been substantially involved in their development or marketing.
(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NP,C or may otherwise result in an unfair competitive advantage for the offeror or contractor. :
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7590-01 (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances:
l (1) Where the offeror or contractor prepares specifications which are to be used in competitive procurements of products or services j
l covered by such specifications.
i (ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.
l (iii) Where the offeror or contractor is granted access to information J
not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.
(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
(v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment i
may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.
(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1) Example.
The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor componeni; as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently performing similar analyses for the reactor manufacturer.
Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performkg various I
projects for several different utility clients. None of the ABC Corp.
projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
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7590-01 j
Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict.
For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
(3) Example. As a result of operating problems in a certain type of connercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public.
Only one manufacturer has' extensive experience with that type of-plant.
Consequently, that i
company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable i
time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
l Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.
Since the nature of the work required is vitally important in tenns of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4)
Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co.
has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.
Guidance. A contract could be awarded to the ABC Co. provided that the centract stipulates that no information produced under the contract i
will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors i
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will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others.
Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used. - -.
7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt.
In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(1), ABC Corp. infonns the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.
Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of 5 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.
4 (d) Other considerations.
(1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a detemination of the existence of such conflicts prior to the award of a contract.
(2)
It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
520-1.5404 Representation-(a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.
(b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all
-l solicitations and unsolicited proposals for: ~ (1) Evaluation services or activities; (2) technical consulting and management support services; 1
(3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in tne resulting contract.
This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.
7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an existing contract ooes ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1).
(c)
Instructions to offerors.
The following shall be included in all NRC solicitations:
(1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer.
If the contracting officer determines that organizational conflicts exist, the following actions may be taken:
(1) Impose appropriate conditio7s which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 520-1.5411.
(2) The refusal to provide the representation required by 5 20-l.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.
(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically 4
prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals.
If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as' unacceptable.
l (e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission.
5 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause ;
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7590-01 All contracts of the types set forth in 520-1.5404(b) shall include the following clauses:
(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b) Scope.
The restrictions described herein shall apply to perfornance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause.
(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.
The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.
If the l
contractor believes with respect to itself or any such employee that any l
proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.
(d) Disclosure after award.
(1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).
(2) The contractor agrees that if after. award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer.
This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contrac't for convenience if it deems such termination to be in the best interests of the government.
(e) Access to and use of information.
(1) If the contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the contractor agrees not to: (i) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Conmission based 4
7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.
(2)
In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.
(3) The contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
(f) Subcontracts.
Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms " contract," " contractor," and
" contracting officer," shall be appropriately modified to preserve the government's rights.
(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
(h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined
'in 520-1.5411.
520-1.5405-2 Special contract provisions.
(a)
If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision.
If appropriate, the offeror may negotiate the terr.s and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:
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7590-01 (1) Hardware exclusion clauses which prohibit the accectar.ce of production contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use.
(b) The following additional contract clause may be included as section (i) in the clause set forth in; 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.
(i) Follow-on effort.
(1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract.
Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.
(2)
If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractuai effort which is based on such statement of work or specifications.
The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply.
(3) Nothing in this phragraph shall preclude the contiactor from offering or selling its standard commercial items to the government.
5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of 120-1.5404(b) and other relevant information. After evaluating this information against the criteria of 3 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror.
If it has been determined that conflicts of interest exist, then tne contracting efficer shall either:
(a)
Disqualify the offeror from award,
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7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 520-1.5411.
I20-1.5407 Conflicts identified after award.
If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.
520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 520-1.5404(b) from subcontractors and consultants.
The contracting officer shall require the contractor to include contract clauses in accordance with ! 20-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.
520-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director.
Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the ED0 may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
Such action shall be strictly limited to those situations in which:
(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict.
For any such waivers, the justification and approval documents shall be placed in the Public Document Room. _
7590-01 520-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
Dated at Washincton. D.Cthis 27th day of March 1979.
For the Nuclear Regulatory Commission 3
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Samuel J. Chilk Secretary of the Commission e
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(10 763 NRC-10-80-662 DIVISION OF CONTRACTS MCCIFICATION NUMBER U.S. NUCt.! AR REGULATORY CCMMISSION WASHINGTON, D.C. 20553 D.NED D MO31FICATlCN O THE R (:vecifyl NOTIFICATION OF CONTRACT EXECUTION CCNT9ACT BASEO ON:
To:
Daniel J,. Do'noghue, Director AuTsORIZATION NUMBER ITatiel
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ADM-80-662 Offiice of Administration DATE
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TYPE OF CONTRACT SBA 8(a) Region I Boston CPFF & T&M PROJECT TITLE.
PERIOD OF PERFCRMANCE through April 28, 1981 Converson of Licensing Inspection Planning Profile PRINC PAL INVESTIGATOR Victor Wai Kan NHC AUTHORIZEO REPSEJENTAilvE Jack Frost & Cnarles Troutman B!.R NUMEErt FIN NU?.iEER 43-20-25-702 31X0200.400 Ar.10UN T l
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Acoropriation Amount 43-20-25-72 31X0200.400
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oWANrITY UNir UNIT PflCE AhoONT Conversion of Licensing and Inspection Planning Profile System The contractor shall provide the necessary personnel, facilities and equipment to perform the tasks described herein. The subcontractor's
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PHASE I
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sM t sace 2s. Name or coveraActino oppecta t ryp..e pr.r/
- 29. sArt sioneo 3'
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Contract No. NRC-10 662
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Page 2 SPECIAL8(a)'5[USCONTRACTCONDITIONS The Small Business Administration (SBA) has entered into Contract No. NRC 10-80-562;with the U.S. ' Nuclear Regulatory Commission (NRC) to furnish the supplies or services as described therein.
A copy of said contract is attached hereto and made a part hereof. As used in this subcontract, the reference to "the Secretary or his duly authorized representative" in the " Disputes" clause of,this 5.ubcontract (Article 12 of Standard Form 32, General Provisions) shall be' deemed Commission or his duly authorized reof the U.S. Nuclear Regulatory to mean, respectively, the Chairman presentative.
Systems Architects, Inc hereafter referred to as the s'ubcontractor, agrees and acknowledges as follows:
a.
That he will, for and on the behalf of the SBA fulfill and perform all of the requirements of Contract No. NRC-10 662.for the consideration stated therein and that he 'has read and is familiar with each and every part of said contract.
'b.
That the SBA has delegated responsibility for the administration of this subcontract to the NRC with complete authority to take any action on behalf of the Government under.the terms and conditions of this subcontract.
c.
That he will not subcontract the performanc.e on any of the requirements of this subcontract to any lower tier subcontractor without the prior written approval of the SSA and the designated
~
Contracting Officer of the NRC.
Payments, including any progress payments,'under this subcontract will be made directly to the subcontractor by the NRC.
"c'e W s/ M *s E "iY.J W AWARD / CONTRACT YI PtO. P90C. etG. ta lCFat i.t e.10 8
- 3. CONTRAC7 (Pr.r. l.g. l.a.&f NQ.
mtMc@c.cm l 3.
8 1980
%^*"'
DATI
$ 3. AfQUl$lnON/PUACHASE ttGUEST/PtCJECT No.
- 4. CIAnFitD PCR NATICNAL Dif4N54 UNDER 803A
- 3. ISSUED BY CODEi
- 6. ADme*57ttfD SY CODE l l7. ceuveny (if.ober th.n blah 3)
- O *90g OtsTl.
Small Business Administration U.S. Pluclear Regulatory Commission
^" "
60 Batterymarch Division of Contracts.
orwin(s.
Boston, MA 02110 Washington, DC 20555
- e. CcNTnAcrea CODEi i
raceury CODE ;
- 9. oisCouNr,on emarr,AmeNr NAME AND ADDRESS UystemsArchitectsInc.
U 50 Thomas Patton Drive
.'U O.
Randolph,t1A 02368
.ad LIP s.ne)
- 10. SUanit tNYOtCt$
(. c.,ses.. lass.therwnse s,ecrfe4A 70 ADeatSS SMCWN IN SLOCK i t.
SMiP TO/MAaK FCA CODE l l
- 12. PAYMENT W4L BE MADE av CODEj U.S. fluclear Regulatory Commission Office of the Controller See Article II Washington, DC 20555 10 u.S.C. 230. ( li )
- 13. THis PROCL;REMENT WAS Q ADVfffl1ED.
NfGOftAftD. PuasuANT 70.
u.s.C. 252 io15 a nd 15 U. S. C. 637 (a )
4:
- 14. ACCOUNTNQ AND APPSCPflADON DATA B&R Aporopriation Amount 43-20-25-702 31X0200.400
$ 93,350.00 I
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stem No. I suePursistaviCas ouANtity unir unit retC Amount Conversion of Licensing and Inspection Planning Profile System PHASE I
$67,614.00 The contractor shall provide all necessary personnel, facilities, and equipment to perform PHASE II 25,736.00 the tasks described herein. The contractor's proposal, dated January 18, 1980 and revised proposal dated February 22, 1980 are incorporated herein by reference.
21 TOTAL AMOUNT CF CCNTRACT 5 93,3b0.00 CONTRACTING OFFICER WILL CO3tPLETE BLOCK 22 OR :6 AS APPLICABLE
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CONTRACT SCHEDUI.E Page 2 ARTICLE I O
STATEMENT OF. WORK PROJECT: Conversion of LIPP System from Infonet (Univac 1108) to NIH (IBM 370/168)
===1.
Background===
Overview The Nuclear Regulatory Commission developed a comprehensive plan reflecting the objectives, specific actions, and resource require-ments compatible with a projected nuclear energy posture for the next five years. Throughout the planning period, the Commissi-on's focus was on nuclear reactors and nuclear material safety. The commercial nuclear reactor environment is dominated by Light Water Reactors, 65 of which are currently licensed to operate as of June 30, 1977. To assure that the Commission will be able to meet its regulatory obligations, annual.resourc'e projections f,or both manpower and funds had to be developed. This requirement led to the development of an automated Licensing and Inspection Planning Profile System, commonly known as the LIPP system. This system was designed as a management tool to assist'NRC with the planning for resource commitments made necessary by requests to process nuclear power plant licensing applications.
LIPP Svstem Descriotion The Licensing and Inspection Planning Profile System (LIPP) was designed to describe the cooperative effort contributing to the successful review of each licensing application and, assuming the varied input of applica-tions, resolve the manpower required for both casework and monitoring power plants for the future.
Input data for the LIPP system is comprised of manpower rates, salaries, contract costs, license fees, overhead rates, subprograms, organizations, and milestones..The,resulting information provides a graphi'c representa-tion of the manpower requirements for each organization by milestone.
This graahic representation'of data is known.as a profile. Profiles are broken down into two-categories:
1.
Model Profiles 1.
Plant Profiles Profilesaremathem$ticalmodelsidealizedoveratimeperiod. A plant is a modal profile containing additional nuclear power plant descriptor items sceas to characterize it-as part of the licensing process pipeline.
By using the LIPP system the user can project what impact in eithar manpower or a change of license applications dates along the pipeline will have on the total licensing process. This becomes extremely valuable in tem.s of estimating ccsts and manpct.er utili:ation.
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Page 3 Organizations The following is a list of the various organizations currently pro-viding input to the system:
NRR (Nuclear Reactor Regulation) - This organizatio'n is made up of five divisions:
01 - DPM (Division of Project Management) 02 - DSS (Divisicn of Systems Safety) 03 - DSE (Division of Safety and Environmental Analysis) 04 - 00R (Division of Operating Reactors) 05 - AIG (Anti-Trust Indemnity)
IE (Inspection and Enforcement ELD (Executive Legal Director)
ACRS (Advisory Committee on Reactor. Safeguards)
ASLBP (Atomic Safety Licensing Board Panel)
ASLAP (Atomic Safety Licensing Appeal Panel)
All organizations mentioned above may have entries listed for the following programs:
01 - Safety 02 - Environment Safeguards 04 - Anti-Trust OS - Vendor 06 - RESIP (Resident Inspectors) 07 - Part (Performance Appraisal Review Team)
For each organization reported, data cumulations and totals are given at the various milestones along the licensing process.
Milestones The following is a list of the m'ilestones established on the critical path of review of an app.lication for a nuclear power plant.
O.
CP TENDER (Construction Permit Tender)
- 1. 'CP DOCKET (Construction Permit Docket) 2.
LWA ISSUE (Limited Work Authorization Issue) 3.
CP ISSUE (Construction Permit Issue) 4.
OL TE!'CER -(0perating License Tender) 5.
GL DCCXET (Operating Licensa Docket) 6.
OL ISSUE (Operating License Issue) 7.
Begin ccemrcial pcwer production 8.
Terminate commercial power production d
Page 4 Reoorts Reports generated by the LIPP system allow the user to analyze data in several pre-determined formats and detail. The system has a current capability of producing at least eighteen differ'ent reports.
i.
They are as follows:
1.
birectManyearsbyMilestone' 2.
Indirect Manyears by Milestone 3.
Total Manyears by Milestone 4.
Direct Expense by Milestone (Direct Salaries and Program Support) 5.
Indirect Expense by Milestone (Indirect Salaries and Program Support) 6.
Total Expense by Milestone (Total Salaries and Program Support 7.
Detailed Data by Plant (Input Data Format) 8.
Listing of Fees by Milestone 9.
ListingofHeaderData(PlantDescriptions)
- 10. Listing of Milestone Completion Dates
- 11. Direct Manyears by Time Period (Periods of 1, 3 or 12 years) 12 Indirect Manyears by' Time Period (Periods of 1, 3 or 12 years)
- 13. Total Manyears by Time Period (Periods of 1, 3 or 12 years).
- 14. Direct Expense by Time Period (Indirect Overtime) 15.
Indirect Expense by Time Period (Indirect Salaries Overtime)
- 16. Total Expense by Time Period (Total Solaries and Program Support Overtime)
- 17. Milestone Turnover Report (Forecast and History of Milestone Events and equivalent plant years)
- 18. Milestone Fee Report (License Fee Schedule Forecast)
- 19. Detail Analysis; Direct Manyears by time Graohs Graphs generated by the LIPP sys' tem present to the user a visual display i
of various combinations of manyears, expenses, and workloads overtime, location, etc.
Hardware Conficuration The LIPP syst'em is manipulated through use of the ccmputar terminal. The terminal is connected via telephona lines to a remote computer. Access to the computer facility is made en a time-sharing basis with direct chirges being made to fiRC for time utilized.
g e
I
1 Paga 5 The following list represents the types of terminals used by the LIPP system:
1.
Tektronix 4051 2.
Digital Decwriter 2 3.
Tektronix Peripheral Equipments -
a.
Interactive Digital Plotter b.
Hard Copy Unit 4631 c.
Tektronix 4924 Cassette Copier d.
Tektronix 4641 Hard Copy Printer There are approximately 150 FORTRAN programs in the LIPP system.
These programs are written in FORTRAN V and now reside on a Univac j
computer'. In addition to the programs, there are 15 table files, several data files containing information on 40 models and 600 plants, and 10 GPS command files (used for terminal communications). Come of the FORTRAN programs are us'ed to generate data for graphs produced using the DISPLA software package on the Tektronics terminal. None of the existing programs are structured.
The NIH IBM 370/168 system uses FORTRAN IV language and compilers.
Interactive systems on NIH's facilities run under TSO. TSO cccmunica-tions.are handled through NIH's RHB249 routine. The DISPLA software package do a exist at NIH.
2.
Scope of Work A.
The contractor shall provide analyses, programming and documentation for the conversion and maintenance of the LIPP system.
B.
The system is an on-line system with a combination of interactive and batch processing, which is under the operational control of the Office of.the Controller.
C.
Following is the identification of the tasks associated with this effort.
PHASE I Task 1.
Analysis and evaluation of conversion.
The contractor shall review all available documentation of the LIPP system, and related INFONET and NIH Manuals.
At the conclusion of Task 1, the contractor shall deliver to the Project Officsr, a detailed work plan and GANTT Chart to reflect specific activities, manpower estimates, and relative begin/end dates for each activity.
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Page 6 Task 2.
Conversion specifications The contractor will write specifications for the conversion of all data, programs, command language and identify any changes necessary due to differences in compilers, vendor supplied software, and computer capabilities (Disk file formats, access techniques, blocking factors,etc.)
Task 3.
Programming I
The contractor shall accomplish all conversions as outlined in the j
specifications of Task 2, and unit test (debug) the system. All ADP guidelines, standard conventions and industry accepted programming practices will be followed. Deviations from these standards must be approved in writing by the NRC Project Officer; programs not following this practice will not be accepted as a deliverable under this contract.
The system and all programs will be sufficiently tested by the con-tractor prior to Task 4.
a 1
Task 4.
System Test I
Once the contractor has thoroughly tested the system t,o his satisfaction, a complete system test will be conducted jointly by the contractor, user representative and a representative from the Division of ADP Support.
Two weeks prior to the formal system test, the contractor will deliver to the Project Officer, a detailed test plan in accordance with NRC Manual Chapter Appendix 0903. The results of the system test shall be reviewed and approved by the Project Officer.
The system test will include every function and capability of the system, including backup / recovery procedures.
Uponcompletionoftesting,thec5ntractorshallsubmitatestanalysis report and'a plan / schedule for resolution of all identified problems.
l Task 5.
Training.
The contractor shall develop a training plan and schedule. Tnis plan shall include training at a minimum for NRC personnel responsible for the following aspects of the system.
(a) User personnel who maintain the Data Base via 02*1 Entry and Reports.
(b) Urar personnel who only use the system for queries and Recorts.
4 9
W
~~
Page 7 (c) User personnel responsible for operation of equipment, running system backups, initiating batch jobs, etc.
(d) ADP personnel responsible for system maintenance.
Task 6.
Parallel processing' Upon completion of all system testing, training, data conversions and draft copies of documentation, a period of processing will be run in parallel to the current operational version of the system.
The contractor must carefully plan for this parallel process to ensure that NRC has sufficient information, documentation and training in order to evaluate the results of this process.
Task 7.
Documentation All LIPP System documentation must be modified and/or rewritten in order to accurately describe the newversion of the system.
Draft copies of the documentation must be available for use no later than two weeks prior to the system test. The documentation will be reviewed and revised as necessary during the system test and parallel processing tasks. Final approved (by NRC) copies of all documentation will be delivered by the contractor within one month following the completion of successful parallel processing.
PHASE II Task 8.
Syston Maintenance The contractor shall provide nc e2:ary personnel to accoeglish changes, corrections, and enhancements required in support of the operational version of the LIPP System.
Orders under "this task will be issued by formal Work Order signed by the Contracting Officer. Each Work Order will be negotiated on a case by case basis, and may be issued as Firm Fixed Price Orders, Cost Plus Fixed Fee Orders, Time and Material Orders, Labor Hour Orders, of combinations thereof. Each order shall specify the changes to be accomplished, the deliverables, the schedule within which the work must be accomplished, any special reporting requirements, and level of effort and cost ceiling, where applicable. Work orders may be issued at the sole discretion of the Commission and it is'under-stood and agreed that the Commission undertakes no obligation to issue work or' der hereunder.
NOTE: To facilitate future work order placements the contractor shall propose loaded hourly rates for the necessary and applicable
~
labor categories for use in implementing Time and Material and/or Labor. Hour. work orders. These rates will be negotiated and set forth in any forthcoming contract which results from this solicitation.
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Page 8
)
NEGOTIATED RATES A.
Labor Basic Contract Period - Loaded Rates The following rates shall apply to all Time and Material or Labor Hour Task Orders placed under Phase II of this contract.
Basic Contract Basic Contract
- Basic Contract Classification Estimated Hours Hourly Rate
-Amount (PHASC II)
Programmer Manager 50
$38.19
$1909.50 Senior System Analyst /
500 25.56 12780.00 Senior Programmer Programmer 400 21.48 8592.00 Secretary Support 80 11.93 24235.00 TOTAL ESTIMATED HOURS:
1030 TOTAL ESTIMATED AMOUNT:$24235.00 Notwithstanding the contractor's revised proposal PHASE II may be implemented by the issuance of a Task Order at any time during the contract's period of performance.
- The negotiated basic contract hourly rates above are regarded as
" loaded rates" inasmuch as they include full consideration for labor overhead, including fringe benefits, general and administrative expenses, and fee or profit.
B.
Local Travel - Basic Contract Period Local Travel shall be reimbursed at the rate of 18.Sc per mile. The total estimated travel amount for PHASE II is $500.00.
C.
Direct Material The estimated direct material cost for the PHASE II of this contract is $1,000.00.
Allowable costs of direct materials will be determined by the Contracting Officer in accordarce with Section 1-15 of the Federal Procurement Regulations in effe:t on the date of this contract. Material expenses shall be reimburs,ed at cost. The contractor will be reimbursed for items and services purchased directly for the contract only when cash, checks, or other forms of actual payment have been made for such purchased items. Direct materials, as referenced herein, are defined as those materials which enter directly into the end product or which are used or consumed directly in connection with the furnishing of such end product.
~ stal estimated ccat of PHASE II:
525,736.00 i
Page 9 3.
Standards and Limitaticns All Federal Information Processing Standards Publications (FIPS Pub) are applicable in the performance of work performed under this centract.
Converted FORTRAN programs must comply with FORTRAN AttSI Standard X3.9 -
1973.
NRC Manual Chapter 0903 Automatic Data Processing Standards and its appendix shall be followed unless otherwise agreed to,by NRC Project Officer.
The DISPLA software package at the NIH facility shall be used for all graphics unless otherwise agreed to by NRC Project Officer.
~
Decisions of the Project Officer on the matter of standards waiver will be final.
ADP personnel proposed for this project must be thoroughly knowledgeable on the use of IBM 370, OS/MVS, Univac 1108 (Infonet), FORTRAN IV, FORTRAN V, DISPLA, TSO, interactive systems and related terminals, tektronics graphics terminals, and the various techniques and programming conventions for the use of this hardware and software. Personnel must have a minimum of five years related programming and analysis experience.
4.
Project Status Reporting Project status reports with GANTT charts are required to be submitted to the Project Officer on the 15th and last day of each month, reflecting work accomplished during previous reporting period, work planned, problems encountared or anticipated, and the resolution of previous or anticipated problems.
Reports will reflect appropriate tasks and activities contained in project plans or schedules, or specific work orders assigned.-
i
Eage 10 ARTIC' E II DELIVERY A. Time of Delivery The following items shall be delivered in accordance with the below listed schedule:
ITEM QUANTITY DELIVERY Work Plan and GANTT chart 2*
1 month after the (See Task 1) effective date of this contract (EDC) o Detailed Test Plan 2*
4 months EDC (See Task 4)
System Test Results 2*
6 months EDC Training Plan and Schedule 2*
5 months EDC (SeeTask5)
LIPP System Documentation Draft 2*
6 months EDC (See Task 7)
LIPP System Documentat.cn Final 2*
One month after completion (SeeTask7) of Task 6 Project Status Reporting 2*
Semimonthly on the 15th (See Item 4 on Article I of and last day of each month this contract)
- dne copy shall be delivered to each addressee in B below.
PHASE II deliveries will be detailed in each order
y Page 11 B.
Place of Delivery
~
' All deliverables regt ' red under this contract shall be submitted F0B destination to the beicw listed address:
U.S. Nuclear Regulatory Commission Office of Administration Division of Automatic Data Processing Support 7920 Norfolk Ave.
Bethesda, MD 20555 Attn: C0AR U.S. Nuclear Regulatory Ccomission Office of Administration Division of Contracts 7915 Eastern Avenue Silver Spring, MD 20910 All deliverables submitted through the mails shall be postpaid, fully insured, and addressed to:
U.S. Nuclear Regulatory Commission
- Office of Administration Division of Automatic Data Processing Support Washington, DC 20555 Attn: C0AR U.S. Nuclear Regulatory Commission.
Office of Administration Division of Contracts Washington, DC 20555 Regardless of which means the Contractor selects to submit deliverables, such submittal, by the times specified in paragraph A above, and in a form specified in Article I to this contract shall be the sole responsibility of the Contractor.
END OF ARTICLE II
~.
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Page 12 ARTICLE III PERIOD OF PERFORMANCE The period of performance shall commence on the effective date of this contract and shall not extend beyond twelve (12) months.
ARTICLE IV PLACE OF PERFORMANCE The work required under this contract shall be principally performed at the Contractor's office facilities.
ARTICLE V CONSIDERATION A.
~1 is estimated that the total cost to the Government for full performance of this contract will be $67614, of which the sum of $62614 represents the estimated reimburseable costs, and of which $5000 represents the fixed fee.
B.
There shall be no adjustment in the total amount of the Contractor's fixed fee by. reason of differences between any estimate of cost for performance of the work under this contract and the actual cost of performance of that work.
C.
The amount presently obligated by the Government with respect to this contract is $ 93,350.00 ARTICLE VI OVERHEAD / GENERAL AND ALMINISTRATIVE RATES Pending the establishment of final overhead and general and administrative rates' which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for such allowable costs hereunder at the provisional rates of 70%
for labor overhead and 30% for general and administrative. This applies to PHASE I'only. See Article I for PHASE II loaded labor rates.
ARTIrtE VII DESIGNATION OF CONTRACTING OFFICER'S AUTHORIZED REPRESENTATIVE (C.O.A.R.)
A.
Performance of the work under this contract shall be subject.to the written technical direction of the Contracting Officer's Authorized Represeni&tive t
(C0AR). The term " technical direction" is defined to' include, without l
limitation:
d i
As Paga 13 4
j 1.
Directions to the Contractor which redirect the contract effort, shift work emphasis between work areas or a task, require pursuit of certain lines of inquiry, fill in details, or otherwise serve to accomplish the contractual work requirements.
2.
Provisica of written information "to the Contractor shall assist in the interpretation of drawings, specifications,'or technical portions of the work description.
3.
Review and, where rcquired by the contract, approval of technical reports, drawings, specifications, and technical information to
- be dalivered by the Contractor to the Government under the contract.
i S.
Technical direc: ion must be Within the scope of work stated in the contract. The COAR does not have the authority, and may not, issue technical direction which:
1.
Constitutes an assigrment of additional work outside tFg sec;e o.f the contract.
2.
Ocnstitutes a cnange as defined in the contract clausa entitled
- " changes".
3.
In any manner 'causes an increase or decrease in the total estimated contract cost of the time required for contract parformance.
4 4.
Changes er waives any of tha expressed terms, conditions, or specifications of the contract.
5.
Interferes with the Contractor's right to perform the terms and conditicrs of the cor. tract.
6.
Givas supervision t'o Contractor's empl:yees.
~
^
C.
If, in the opinion df the Contractori any 'nstruction or direction by the CCA?, is within one o~f the catescries ai defined in Paragraph S, above, the,Cor. tractor shall not proceed but shall notify the Contractin; Officar in writing within five (5) ucrking da'yc aftar recaipt of any such instruction or direction and shal;l reqcsst the Ccatracting Officer to mcdify the centract accordingly. Upcn receiving th,e notification frec.
the Centractot, the Centracting Officar will do enc of the Collowing:
1.
Advise the Contracter that the technicTi directicn ic u!!hin the
~
cccpe of the contract effort and does not constitute a change under the " changes" clause of the ccc:ract; 2.
Inform tha C ntractor not to pcrfccm undar the'directicn and to cancel the directicn; or
~
3.
. Initiate a modification to the contract.
1 n.g m
Page 14 Failure of the Con:rsc:or to notify the Covernment, in accordance vi:h may feci fsils within the sb'ove instruction, of COAP. ditections which 4-one of the six (6) circums:snces described in P,: ee n " above, shall be dec=cd by the'Covernmen: as the Conersc:or's acc-e.u.ce of the c
di'rection as not f alling within one of the specified categories.
Should tho Contractor notify the Gcvern. ent of directicns which,it fee'is, falls within one of the above six (6) categories, and the Contracter and
- Centracting Officer fail to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto, resolution of the mattar shall be subject to the provisions of the-contra.
clause entitled " Disputes."
D.
The Conersctin4 Of ficer will designs:c n CnAP. vithin s even (7) eslendar days of the eff ec:ive-date of this contract. A copy of the letter of desigancion vill-be forwarded to the Contractor inmedistely felleuing designation.
~
ARTICLE VIII INSPECTION.CD ACCE?!ANCE A.
Inspection of the services and deiiverables called for hereunder shall be performed by the CO*R.
8.
Acceptance of the serv. ices and deliver:bles c. ailed for-hereunder shall be ac:cmplished by the Contracting Officer, tr the COAR.
ARTIcL5 Ty BILLING,.NST2t*CTIONS FOR NRC COST-!Y?F CONTP_iCTS Tha Contracter shsil subni: vouchers in the = saner and for:s: described below sad as illusers:ad in the sample voucher.
A.
. Fo re..
Invoices shall be submit:cd en the Con:rsc:or's la::erhead,- invoice for=,' or on the Covern=2n:'s Standard For= 1024, "Public Voucher
~
for Puchases., td Services Other Than Persen:1," sud COntinuncien For= 1035. Th me f o r=.S are sesil:ble fr:c the l'.S. Covern..cn: Prin ing Office, 710 North Cspi:o1 Strea:, N.W., Usshing:an, D.C. 20501.
.Invoicos shall be submit:ed in sa c.riginni sEl four 3.
Nunber of' Conies.
(4) ccpies to :ha address indiestad below in Psrssrsph H.
C.
Frcquenev of Eilitul. Tha Conersetor shall ith I: invoices no = ora frequen:ly,thsn ence cach month unicsa othe: wise au:hori:cd by the Centr'setin; Officer.
9 9
Page ' 15 (c) Pavne's Mare and Address.
Shee the name of the cc.1 tractor as it
, appears in tne cen:ract and its correct address;: except when an approved assignment has been made by the C:ntrac' tor, or a differen-pay.ee has been designated, then insert the name' and address of the p ayee.
'( f) Centract Amount.
Insert the total estimatid ccst of the centract',
exclusive of fixed-fee.
For incrementally funded centracts e'nter
'the amcunt currently cbligated and available for payment.
, g)
Fixed Fee.
Insert total fixed-fee (vhere applicable).
(
(h)
Billine Peried.
Insert.the beginning and ending dates (day, mcnth, anc year; of the peried in which costs were incurred and for which reimbursement is, claimed.
(i) Direct Cests.
Insert the major ccst elements -
(i)(1) Direct Labor. This censists of salaries and wages paid (cr accrucc0 for cirec: performance of the c:ntract.
(i)(2) Frir.ce Bene #its.
This represants frings benefits applicable to direc: laccr anc oilled as a direct cost.
Fringe benefits
" ncluded in direct ccs.ts shcuid not be identified here.
i
-(i)(3) Cacitalized Monex endable Ecui: ent.
For educational instituticns list eaca itsa costing 51,000. or more; for c:ntractors *other then educational instituticas list ecch itam casting 5200. or more. and having a life e.xpect:ncy of more than ene year. List caly thesa items of equi; man; for which reictursement is requested. A raftracce shall bu cada to the follcaing,(as aor.licable):
(1) the itac number f5r the specific piece of equi;=ent listed in the Pr:per y Schedule: (2) the C:ntracting Officer's A;;reval Lettar, if the equi;= ant c:vered by the Prep' arty Schedula; or (3) be preceded by an asterisk (*) if the equipment is belcw the approval level.
Further itemi:stica of vouchers shall caly be required for itans having specific limitations set forth in the c:ntract.
(i)(4) Ma:srials. Sur:1f es. and Nent::itali:ed Ecui esnt. This is consu=co'.e ca:ertais anc suppi:as anc equipmen: c:ner tnan that descritid in (i)(3) abeve.
(i)(5) pesaiu: Pav.
This is rcruneration in e.xcess of the basic hourly rs:e.
(t)(6) Concul: ant:' Fee. Thase are fees. paid to consultants.
(t)(7) I?sva!.
00:e;;1c travel is travil within :he Uni:ad Stat s, its terh::rtes, pos:essiens, and Canada; it sh uid ba billed 1
i 1
Page 16 o
s D.
Billina Followin: Expiration of the Contract.
If allowable costs are incurred during thu contract period, but in/oscing for s,uch costs takes place after.che con:rac has expired, the specific period' during which the invoiced cos:s were incurred shall be cit,ed by the Contractor.
E.
Currenev.
Billings m.sy be cupressed in the currency normally utilized by :he Contra::or in main:aining his accoun:ing records. Payments will be cade in that currency. houaver', the U.S. dollar equivalent
.at the ti=e of billing 'for all inve'--a paid under this contrac: shall not exceed the total U.S. Dolldrs addherituG nMws contract.
a.
F.
Withholdinz of Fee. Fifteen percent (15%) of the' fee negotiated under this centract (See Article V, Consideration) shall be withheld by the Contracting Officer. This shall be accomplished by subtracting fif:cen percen: of the a cunt billed as fee due from each invoice su':=it:ed in accordance herevich. Such wi:hheld a=:un:s shall be retained until the execution and delivery of a release by the Con:: actor at the c nclusien of tha ; cried of perforr.ance of the contract.
G.
Maintenance'of Accounts. The Contractor shall kecp and maintain records and be:ks of account which show accurately, and in an adequate manner, the bcsis for receiving cc=pensation under this contract. The Contractor shall preservu such records and books of ac:oun: for a period of three (3) years af ter the date of finsi pay =ent under this contract.
The Govern =ent shall, at all reasonable tinas, prior to and after the date of final payment under this contrac:, have tha right to exa=ine and cake copies of such records and books.
H.
Precaration and Iteminatien of the Voucher.
The Contractor shall furnish the infor:stice set for:h below. The belov listed explanatory notes are keyed to the,a:ple vcucher f uund as at:ach ent #7 to this solici:a: ion.
(a) Paver's Xana and Address. Address th? original veucher (ui:h 4 cepies) to:
U.S. Nu: lear Re;ulatory Cen:21ssion, Division of Accountin;,
Office of the Controller, ATTX: COV/CC" Accounts Section, k*ashin; en,-
DC 20355.
(b) Ycucher Number.
Insert the appr:priate serial number of the veccher.
This is to be in se;;ential order becinning with C01 as the nutter to be
.used for the first reu.:her sut:it:ed undar this c:ntract.
.( c) date of You:her. In:ert the date the 'veucher is prepared.
(d) Cnntract tiu.frer and Oste.
In: art the centract nuche. and the d2tc Cf.~.ie C;n;r0C:.
D 4
eo 4
5 2-revs.g 7 h
separately frca foreign trave,1.
(i)(3) Other. List all other direct ecsts in total unles,s significant in. amount.
If significant, list ccst elements and dollar accunt separately, e.g., subcentracts.
w.
Indirect Costs--Overhead. Cite the formula (rate "and base) in (j) effect during tne time the cos't was incurreo 4nd for which refaburse-ment is claimed.
(k) Fixid-Fee.
If the centrset provides for e fixed-fee", it must be claimac as provided for by the centract.
Cite the formula or crethod of cceputatica in accordance with Paragraph F above.
(1) Acount Silled for Current Fericd.
Insert the accunt billed for the majer cost eie: ants, acjustrant, ar.d adjustad a: cunts for the pericd.
Cuculative a cunt frc= Incect' ion to Date of this Billinc. ' Insert (c) tne cumula:1"e accur.:s piilac icr taa maJer ccst eie en;s and adjustad ancants claimad during this centract.
~
(n) Total :*.incents C1cir:sd, Insert the total amcunts claimed for the curren: anc cc:us a;:ve periods.
This includcs accunts ccnceded by the centractor, (o). Adjustments.
cuestancing '.uspansicas, and dist;provals subject to ap;eal.
(p) Grand Totals END OF A?. ICLI IX b
Am.
('
ARTICLt X Pag 318 t,
t
' PRESERVATION / PAC 1'A' INC/PACKIljE
~
~
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All materials to be 2e' livered under this contract.shall be afforded the degree of packaging (preservation and packing) required to prevent dcterieration niid/or daccge's due to hatsrds of shipment, handling,
'and storaca. Such pac,hasins shall be acco=plished in such a.msnner as to insure sa.fe delivery at destination.
. ARTICIS. XI KEY PERSor EL The following indisiduals are designated as " Key Personnel" under this centract, and as such, are regarded by the Covernment to be essential
^
to the work being performed thereunder. The Contractor shall notify ~
the Centracting Of ficer or the COAI; at least thirty (30) days prior to diverting any of the belou liste'd individuals frc= service under this contract.
Mr. Vic. tor Kan Mr. Jaim Lau Dr. Henr/ Kam
's
-" Ms. Hs'in-M in Lei
?
i Mr. Bruce.Ga.t.teman ARTICLE XII GOVE?I!E::T FURNISF.ED MATERIAL Title to all sourca data and esterials furnished by the Government, togeth'er with all pl:ns, dr. wings, reports, and all ochar iters pertaining to
-the verk and sarvi:es to be perforced purruset te this contract shall re_. sin vested in c; e covern=ent. The follo ting ::aterial shall be prov*ded by the Govercar.t to the Contractor within ten (10).crking days after the ef fective date of this contract and is thus des!-;nated as Gover=ent Furnished
!!aterial in acccr:'ance with this article:
D G
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Page 19
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~ 'Paop 20 ARTICLE XVI ~ ~ GEtir.RAL PRGVISIOlis Afl0 ALTERATIGfl5 THERETO The General Fro.isions of this contract consist c' the "Appendii A - Ger.eral Provisions, Cost Type Contracts with Concerns Other:Than Edu:ational Institutions," dated Fe,bruary 15, 1978, included herein as Attach::ent.f 3...These. General Provisions ar'e hereby inco,rporated, in their entirety as a purt of -this cont'ract. A. The following clause entitled"" Utilization of Smal Business Concerns and Small Business Concerns Owned by Socially and Economically Disadvantaged Individuals" is added as Clause 62 to the General Provisions. The Clause entitled "Special. 8(a) Centract Conditions," al FPR 1-713.3 ks B. added as Clause 63 to the attached General Provisions. e e e W e 4 = 9 6 + 4
Page 21 ~ ~ Federal Register (44 FR 23610 April 20,1979 and 44 FR 35058 June 18,1979) i Utilization of Small' Business Concerns and Small Business Concerns. Owned ar.d controlled By Socially and Economically Disadvantaced Individuals (a) It is the policy of the Onited States that small business cor.cerns and s=all business concern's owned r$d ccntrolled by s:cf ally and economically disadvantaged individuals shall have the maximum practicable opportuni,ty to participate in the performance of contracts let by any Federal asency. (b) The c:ntractor hereby ag'rees' to carry out this policy in the awarding of subcontracts to the fullest extent. consistent with the efficient perfer:ance of this contract. The contractor further acrees to cocperate in any studies or surveys that may be conducted by the Small Eusiness Administration or. the centracting _ agency which may be necessary to determine the extent of the contractor's compliance with this clause. (c) (1) The ters,"small. business c:ncern" shall mean a small business as defined purs'Jant to Section 3 of the Scall Business Act and in relevant regulations promulgated pursuant thereto. ~ I (2) The term "small business conceen owned and c:ntrolled by socially and economically disadvantaged individuals" shall mean a sns11 business concern-4 (i) which is at least 51 per centum owned by c'ne or more socially and ec:nomically disadvantaged individuals; or in the case of any publicly owned business, at least 51 per centum of the stock of which is owned by on's or more socially and econcaically disadvantaged individuals; and (ii) whcsa canagement and daily business operatiens are controlled by one or more of such individuals. The contractor shall presure that socially and econc ically di: advantaged individu .nclude Black Americans, Hispanic Am2ricans. Native Americans, and other minorities, or any other individual fcund to be disadvantaged by the Small Su:iness Administration pursuant to section S(a) of the .5:211 Susinacs Act. -(d) C ntracters acting in goed faith =ay rely on written re;resentattens by their sube:ntractors as either a small business cor.cern or a small business concern' cuned and c:ntrel.ed by s:cially and ec:ncaically~~ disadvantaged -ir.dividuais. b
h ( ,,\\ Page 22 l C' AUSE HO. 63 SPECIAL 8(a) C0tiTRACT C0l!DITIOil5 The Small Business Administration (SBA) agrees as follows: 1. To furnish the supplies or services set'forth in this contract according to the specifications and the terms and conditions hereof by subcontracting with an eligible concern pursuant to the provisions of Section 8(a) of the i Small* Business Act, as amended'(15 U.S.C. 637(a)). ~ 2. That in the event SBA does not award a subcontract for all or a part of the work hereunder, this contract ma; be terminated either in whole or in part without cost to either party. l 3. SBA hereby delegates to the U.S. Nuclear Regulatory Ccmmissicn (NRC) the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditiens of the subcontract: Provided, however, that the flRC shall give advance notice to the SBA before it issues a final notice i terminating the right of a subcentractor to proceed. with further performance, t either in whole or. in part, under the subcontract for default or for the i convenience of the Government. . l 4. Payments to be made under any subcontract awarded under this contract will be made directly to the subcc.ntractor by NRC. I 5. That t.he subcontractor awarded a subcontract hereunder shall have the right to appeal frcm decisions'of the Contracting Officer cognizable under the " Disputes" clause of s' aid subcontract, which clause shall be identical with that set out in Article 12 of Standard Form 32. It is further understood and agreed that the subcontract to be executed between the SBA and SBA's subcontractor sha'll also include a clause as follows: For the purpose of this subcontract, the reference to the " Secretary or his duly authorized representative" in the " Disputes" clause of this subcontract (' Article 12 of Standard Form 32,. General Provisions) shall be deemed to mean, respectively, the Chairman of the U.S. Nuclear Regulatory Cccmissicn or his duly authori:ed representative. e
page23 PART IV - ATTACHitEi!TS Th'e.following' attac. 6r.t's are found in this part: Attach.ent tio. Ite:n f 1 - NRC 14anual Chapter 3202, '" Publication o'f' Unclassified ~ Regulatory and Technical Documents Prepared by !!RC - Contractors, including Reports Prepared Under or. . Pursuant to Interagency Agree..ents." - 2 Sampie Vouche'r 3 General Provisions, Cost Type Contracts With " Con erns Other Than Educational Institutions '4 Contractor Organi::ational Conflicts of Interest. ( 6 6 e e l 1
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S U'.'4 2 *Tu w. '. (a) P:yc 's ;la e a=0 At.d:ssa ~ (b) Voucce: No. The U. S. Nuclear Regulatory Ccm is:icn Division of Acc:unting, CCa (c) ra o Tc::.::: Prepa:ed Attantion: Gov /cc. Acets Sectica Hashingten, DC 20555 (d) Ces::::: so. a=d 2:2:e (e) 7,7as's : Tame and Adc ess (f) Total Is t=.stad Cost of Cc ::sc: 12C C0.'.?C? *".'IC:f 1CO !** * " Strost in;.<here, L*.S.I. " ora The *isticn:12:=h,1:c the:2 U. S.1. (g) Tots.1 Fiand-Tee Assi =ee for 1:0 C ; :stics 1:~ rots:t, G.S.A. ('e.e. Fr-2r:t: m e 1:ci:.e d i r (t) Ot..3 7:ue:20 :s;;:ss :s :si==1.::ca-la ecs:s f::: Jui-1 10 7 7 th:: a. = J 2.- 11, 1c72 _ i (1/4::us: 3111ed (=)c--- ' a:1 e for C ::e=t 1==u t 7:== Perica I::r;ti== to Iate of this (i) Direct C :ts 8111/_ _-
- 1) 1 Dir:ct Labe:
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il 2 ?:ir.s2 2ecofita 600 1,:co J 1)(j) C ;it:11: 'le C:y.f.;::st $,CCC 8,c00 (1)(b) *S:: i:1:, ? ;; lies sr.d . Ten::;it:11:2d ~4:17:::.t 2,000 1;,cCo 1 (5) ??. iu: 727 1CC 130 i 5/ C :. :.*.::::'s 7:e 1CO 1cc i (7) T::tal cessti: 200 2y., ?::1Lv. 2CQ 2:0 (i)(3) ctta -o- .c. T ts.1 2irect 00:ts $11,:CC $20,:i30 ,(.) .v.. . w.-,
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