ML20031C726
| ML20031C726 | |
| Person / Time | |
|---|---|
| Issue date: | 08/10/1981 |
| From: | Felton J NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Coffman W AFFILIATION NOT ASSIGNED |
| References | |
| FOIA-81-261 NUDOCS 8110080157 | |
| Download: ML20031C726 (3) | |
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NUCLEAR REGULATORY COiVjMISSION W
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Mr. Wayne A. Coffman 4405 Bel Pre Road IN RESPONSE REFER Rockville, MD 20853 TO F0I A-81-261 J. 9
Dear Mr. Coffman:
This is in response to your letter dated July 5,1981 in which you requested, pursuant to the Freedom of Information Act (F0IA), five categories of infonnation pertaining to the contract awarded under Request for Proposai RS-NRR-80-138.
This confirms the information relayed during the telephone conversation between you and Linda Robinson on July 24, 1981.
The information requested in categories one and three of your request is provided in Appendix B of the enclosed copy of Contract No. NRC-03 130.
With regard to category two, you will note on page one of the enclosed contract that the total amount of the contract is $4,786,872.00.
Article 3.3, Payment of Indirect Costs, page 25 of the basic contract, contains such information as the requested rates, which is confidential business (proprietary) information. This information is being withheld from public disclosure pursuant to exemption (4) of the Freedom of Information Act (5 U.S.C. 552(b)(4)) and 10 CFR 9.5(a)(4).
Pursuant to 10 CFR 9.9 of the Commission's regulations, it has been determined that t 1 information is exempt from production or disclosure, and that its production or disclosure is contrary to the public interest.
The persons responsible for this denial are the undersigned and Mr.
Edward L. Italman, Director, Division of Contracts.
This denial may be appealed to the Ccamission's Executive Director for Operations within 30-days-from the receipt of this letter. -As provided N :. * !
in 10 CFR 9.11, any such appeal must be-in writing, addressed to the w
- 4 Executive Director for Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, and should clearly state on the envelope and in the letter that it is an " Appeal from an ' Initial FOIA Decision"; ~ "
With regard to categories 'four and five of your request inquiring about.
certain actions by the contractor, we are unable to provide the requested information since we do not require the~ contractor'to provide'to NRC any records containing information of this nature. The F0IA requires an agency to disclose existing agency records; it does not require an 8110000157 81081'O PDR FOIA COFFMAN81-261 PDR e
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Mr. Wayne A. Coffman '
4 agency to create records in response to a request.
We suggest you contact The Franklin Institute for information about small business subcontracting opportunities.
Sincerely,
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Felton, Director Division of Rules and Records Office of Administration
Enclosures:
As stated
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a LISTING OF CONTRACT ARTICLES Section 1.0 Description of Work Article 1.1 Scope of Work Article 1.2 Reporting Requirements Article 1.3 Level of Effort Section 2.0 Performance;and Delivery Article 2.1 Period of Performance Article 2.2 Place of Performance Article 2.3 Options to Extend The Terms and Increase the Number of Reactor Licensing Actions of the Contract Sectioc 3.0 Consideration and Payment Article 3.1 Estimated Cost, Base Fee, Award Fee, and Obligation of Funds Article 3.2 Award Fee and Performance Evaluation Articic 3.3 Payment of Indirect Costs Article 3.4 Payment of Base and Award Fee Articic 3.5 Letter of Credit Articic 3.6 Billing Instructions Article 3.7 Provisional Award Fee Payment Section 4.0 Inspection and Acceptance Articic 4.1 Inspection Article 4.2 Acceptance Section 5.0 Special Provisions Article 5.1 Identification of NRC Project Officer Article 5.2 Responsibilities of NRC Project Officer Article 5.3 Technical Direction Article 5.4 Private Use and Protection of Unclassified Government Information and Control Information Data Articic 5.5 Protection of Proprietary and Company Confidentia,1 Information Article 5.6 Disclaimer Article 5.7 Continuity of Services Articic 5.8 Key Personnel Article 5.9 Government Furnished Material / Data' Article 5.10 Representation and Certification Article 5.11 Subcontracts Article 5.12 Guidelines for Work Flow Article 5.13 Small Business and small Disadvantaged Business bubcontracting Plan (negotiated)
Section 6.0 Cencral Provisions Article 6.1 Cencral Provisions Article 6.2 Alterations to Cencral Provisions Section 7.0 Contract Documents i
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Tile CONTRACT SCllEDULE 4
Section ;.0 Dr.scription of Work
.s Article 1.1 Scope of Work 1
Independently, and not as an agent of the Government, the contractor shall manage and review 300 Reactor Licensing Actions associated with the engineering disciplines listed below.
The specific licensing actions will be selected from the topics listed below for each discipline or similar topics of equivalent complexity. The specific review assignments will be made in accordance with the procedure set forth in Article 5.12 below.
Specific Topics 1.0 Reactor Systems Engineering 1.1 Reactor Vessel Overpressure Protection s
Incidents have occurred at pressurized water reactors involving over-pressurizing the reactor vessel while the reactor was in a solid cold shutdown condition.
The NRC staff has required that licensees propose plant modifications to provide an overpressure mitigating system and j
technical specifications to govern the availability and operation of the mitigating system.
The systems proposed generally include electrical control and mechanical pressure relief features.
The contractor will review the licensees proposals for compliance with NRC criteria and model technical specifications.
1.2 Conversion to Standard Technical Specifications Each nuclear power plant operating license is restricted by a set of specifications for safe operatica referred to as the plant technical I
specifications.
These specifications include requirements for the minimum number of safety systems which must.be operable in the various permissible modes of plant operation and other general safety requirements.
Th~e NRC 'staf f -has developed a set of standard technical specifications for each of the major types of. licensed power reactors.
However, these standard technical specifications have not been backfitted across the board to all existing reactors.
j Licensees occasionally propose amendments to existing technical specifications for operating' convenience and improved safety.
In i
addition the NRC staf f has. instituted a program for the orderly conversion of existing plant technical specifications to standard
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technical specifications all reactors when practical.
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,f 36 The contractor will review proposed individual technical specification amendments and ccmplete conversions of technical specifications for compliance with the NRC standard sat for the type of reactor involved.
Proposed deviations frcm the NRC standard technical specificatiens will be evaluated from an overall nuclear safety systems point of view.
Plant specific inputs required for the standard technical specifications will be evaluated against the individual plant systers design.
1.3 Boron Solubility Durino Lono Te'rm Coolino Followino a LOCA During Icng term cooling follcwing a LOCA, the concentration of boric acid in the reactor vessel should be maintained belcw the solubility
. limits to avoid precipitation by providing a flushing flow of coolant through the reactor vessel. This flushing is,acccmplished either by simultaneous cold and hot leg injections of coolant, or by simultanecus cold leg. injection and hot leg suction of coolant. Either method is j
acceptable; hcwever, at ?as of concern have arisen en the long term
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acceptability of these methods.
Five CE plant owners (Millstene 2, 5
St. Lucie 1, Palisades, Ft. Calheun 1, and Calvert Cliffs 1 and 2) hav.
been requested to address these concerns. The contractor will review the responses of the licensees and provide wri,tten technical evaluations to the NRC.
2.0 Electrical Encineerino 2 '.1 Status Annunciator and Indication Instrumentation Power Sucoly Systems Safe operation of a nuclear plant requires that sufficient information be available to operators at all tires to bring the plant to a safe shutdown condition in the event of a loss of offsite power or so:ae other amergency.
The contractor will review information provided by the licensees to determine if the power supply and. bus arrangenents for the status annunciator systems and indication instrunentation are adequate to assure that at least one channel of information is availabl-at alletimes. The pcwer supply system status annunciator system will als s be. reviewed to determine if it is adequate to assure that the operators will be aware of any degradation which may have occurred.
2.2 Deiraded Voltace of _0ffsite and Onsite Pcwer Distribution System and Interaction i
of the Offsite and Onsite Emergency Pcwer Sys tens The contractor will review and cvaluate licensee's submittals concerning l
onsite emergency pcwer and distribution systems to assess the susceptibility of the associated redundant safety-related electrical equipment to:
a)
Sustained degraded Voltage conditions at the offsite power source.
b)
Interaction of the of fsite and onsite emergency power systems.
c)
Voltage drop of the offsite and onsite pcwer distribution systems.
The centractors evaluation will be based cn' criteria and positions established' by the NRC staff.
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- 2.3 RPS Power Supolies During the review of Hatch 2 operating license application, JtRC questioned l
the capability of the Class 1E reactor, protection system (RPS) (and other Class 1E systems and components pcwered from the RPS power supply) to accoradate the effects of possible sustained abnorral voltage and freq-These abnorr.al power ucacy conditions from the non-Class 1E supply.
conditions could be caused either by combinations of undetected single These abnonral failures or by multiple failuni c'aused by earthquakes.
power conditions could result in darage to the Class 1E systems and components with the attendant potential loss of capability to perform their intended safety function.
NRC has determined that all BWRs may be volnerable to the same potential failure as Hatch 2. -
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GE has proposed a' design in conceptual form which" will resohe NRC's
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The proposed rodifications consist of the addition of two i
concerns.
Class IE " protection packages" in series between each motor generator
~ i set and its respective RPS bus, and the addition of two similar packages in series between the alternate power source and the RPS bus.
Each pro-l tective package would include a breaker and associated overvoltage, Each protective package wculd undervoltage, and underfrequency relays.
i Some be testable and seismically qualified as Class 1E equipment.-
facilities may adopt the GE design; others are proposing plant-specific i:
codifications.
the contractor will review the submittals of the licensees which request installation of the protective packsges to make sure that they meet NRC criteria and provide written te:hnical ev.luations to the NRC.
2.4 Diesel Generator Reliability _
i, Operation of a nuclear. plant requires that the diesel generators supplying onsite energency power are available on demand for safe shutdown of the A report has reactor in the event of an accident or loss of offsite power.
l been completed NUREG/CR-0560, " Enhancement of Onsite Emergency Diesel.
Tnis report addresses operating experience problems Generator Reliability.
l that have had an effect on the reliability and availability of onsite emergency diesel generators at various nuclear plants, and reconnendations l
for corrections of these problems.
The report identifies thirteen problem l
areas which, with one exception, are generic to all-en2rgency generator i
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installations.-- The one exception applies to plants using emergency genera _
tors driven by diesel engines ranufactured by the Electro-Motive Division l
i Information requests concerning these recomend-l of General Potors (EMD-GM).
The licensees ations have been forwarded to all licensees of operating plants.
stating how they meet or will meet the -
will respond to these request:
reconnendations.
The Contractor will evaluate these responses-to -assure
. that each licensee has complied with and will implement the rece=endations of NUREG/CR-0560.
The end product will be' the preparation of a Safety Evaluation Report (SER) for each operating plant.
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t I'pge 6 of 36 3.0 Fechanical Eno[neerina and Ecuictent Qualification 3.1 Electrical and Mechanical Eauic ent Environtmntal Oualification The NRC staff has undersay a program to systentically evaluate the ability of safety related equip ?nt to function in the severe hostile environtrent it could be exposed to ddring a design basis accident (e.g., LOCA Main Steam De licensees and applicants for licenses are submitting Line Break).
doc'.mantation (topical reports., test reports, etc;) to demonstrate the ability
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of the equipaent to functicn as recuired.
Tne centractor will review this documentation for C0mpliance with NRC criteria.
3.2 Seismic and Vibration Equipcent Qualification Equipment important to safety must be qualified.to function in any vibratory The environment that could result from normal operation or a seismic event.
utility licensees and applicants for licenses are required to provide data and analyses to demcnstrate the qualificatien of this equipment. The contractor will review the licensees and applicants submittals for compliance with NRC criteria using a set of review guidelines to be developed by the NRC and contractor for different classes of plants and approved by the NRC prior to beginning the reviews.
The review guihlines will, be based on Regulatory Guide 1.100, IEEE Std. 344-1975, and the NRC Standard Review Plan Sections 3.9.2-, 3.9.3, and 3.10.
3.3 PWR Feeddater Line Cracks Cracks, cracklike indications, or fabrication defects have been found in the vicinity of feedwater nozzles at pressurized water' reactors.
The primary cause of cracking is thermal fatigue due to significant temperature differences between the top and bottom of the pipes when the facilities are at hot. standby conditions and during startup and shutdown when the feedwater heaters are not being used.
De NRC FWR Pipe Crack Study Group has inv5tigated the safety implication of this cracking incidence and will reccr: rend both short term and long term corrective actions to minimize the potential for further cracking.
De contractor will assist the staff to review-the' applicants / licensees __
surveillance programs to ensure that both short, term and long. term corrective.
measures to be recdmnded by the Pipe Crack Study Group are appropriately included in their surseillance progra. s.
This work will require a strong m
background in the areas of stress and fatigue analyses, thermal hydraulics and reactor syst 2m operation, materials engineering, and ASME Code Sections III and XI.
3.4 BWR Fee.kater lio::le and Control Rod Drive Return Line (CRDRL) Nozzle Cracking Cracking in feedwater nozzle blend radius or bore region has been observed over the past few years in the majority of operating SWRs with feedwatcr nozzle /
Tne initiation of cracking is due to high cycle fatigue caused sparger systems.
by fluctuations in water temperature within the vessel in the sparger-nozzle region during periods of Icw feedwater temperature when the flew may be Once initiated, the cracks are driven deeper by unsteady and inter.1;i: tent.
the larger pressure and themal cycles associated with startup and shutdcwn.
Cracks similar to these found in fecNater no::les were also detected in CRDRL no:Iles.
The cause of cracking appears to be thermal fatigue.
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The resolution of these issues was recently published in NUREG-0619 which i
centains the staff positions on implementation of corrective reasures.
The contractor will review the applicants / licensees surveillance program to ensure that the recommar.ded corrective ac'tions will be implemented.
The contractor should have expertise in the areas of stress and fatigue analyses, reactor systsa operation, and materials engineering.
Some knowledge of ASME Code Sections III and XI is also desirable.
4 3.5 piping and Support Rean,alysis There have been several cases over the past couple of years where licensees 4
have been required to perform piping and support reanalyses.
These cases resulted from the discovery of
.'ther incorrect modeling assumptions or ccmputer code errors.
To resolve this type o'f problem the licensee must nake an assessment of the extent of problem, obtain either verified modeling data or computer codes, perform reanalysis of the affected piping and supports i
and make any required field modifications.
The pntractor wi,ll be required to i
review and evaluate the information subm'tted by the licensee to document the appropriateness of his actions.
This work will require a strong background in piping analysis and support desig'n and experience in the application of the ASME Code,Section III, 4
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k Par,c 8 of 36 4.0 Paterials Engineering 4.1 Stress Corrosion Cracking in EWR Pressure Boundary Pfoing Leaks and cracks in the heat-affected zones of welds that join austecatic stainless steel piping and associated' components in SWRS have been observed c
in 304 stainless steel with diamters of 8 inches or less.
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cracking has also been observed in scae large diametar (>20 inches) stainless steel piping in a foreign country. All th'e cracks were attributed to intergrarolar stress corrosicn cracking (IGSCC) due to the ccmbination of high loc.d stress, sensitization of material, and high ox3 9en content in the wa ter.
The NRC staff will shortly issue an implementation documnt, NUREG-0313, Revision 1, whid sets forth the revised acceptable mthods to reduce the IGSCC susceptibility of BWR Coda Class press ~ure.bcundary piping.
Con tractor perscanel with a strong background in stress corrosion cracking problems and inservice inspection of nuclear piping will review the BWR applicants /
i licensces technical specifications to detemine if they comply with the staff's positions to be specified in NUREG-0313,Revisicn 1.
1 5.0 Radiolocical Engineerino and Health Physics 5.1 Radiological Effluent Technical Specifications '(RETS) Imole' mentation for Operating Reactors The technical specifications which govern the cperation of a pcser reactor presently incluoe limits on the amount of radioactivity which raay be released in effluents.
Those technical specifications for operating power reactors must be amnded to implement the requiremnts of 10 CFR Part 50, Appendix I and 40 CFR Part 190.
1he NRC staff has sent the model standard RETS to operating reactors as an example of an acceptable method of imple-m ntation.
The operating reactor licensees have submitted proposals to amend their technical specifications.
The RETS include specifications on -
effluent monitoring, environa. ental radiological monitoring, and radsaste equipment operation.
Also, the RETS are supported by an Offsite Dose Calculational Manual ard 'a (Solid Radwaste) Frocess Control Program. The contractor will review Be licensee's proposed amndants and supporting
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doctmants for compliance with.NRC criteria. _
5.2 Radiat..sn Monitoring-to-Allow-Containment Purging and Vent Value i
Closure During Power Operation The NRC is presently ccmpleting a generic review of the radiological consequences of containment venting or purging during power operation.
The generic evaluation includes an assessment of the thyroid and whole body doses at the site boundary for the expected normal operation, for ~
operation at the maximum permissible values of coolant activity levels and coolant leakage, and under accident conditions ranging from a small leak to the cesign basis LOCA.
Based on the conclusions of this generic study, NRC will require limitation of coritair. ment venting / purging operations to assure tha the radiolog % l consequences are within the O
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Depending on the specific plant paraceters, operating reactor licensees may submit technical specifications which differ from the geryeric evalua-The contractor is to review such submittals to detemine: (a) tions.
the applicability of the generic evaluation to the specific plant and site, (b) the need to codify the generic requiremen+.s for venting /
purging, and (c) evaluate the radiological consequer.ces of any deviations from the generic evalntion.
The contractor is to document his review in a plant-specific technical ~cvaluation report.
5.3 Radiolocical Steam Generator Reclacement Proorams Steam generators at several PWRs are experiencing continued tube degra-At three plants (Surry, Turkey Point, and Palisadas) the dation.
i degradation has become severe enough to warrar t replacerrent of the All three licensees have submitted their plans for steam generators.
i replacement to the NRC.
NRC review of the Surry Plan is complete and replacerents (replacement is complete at Surry II) will involve occupaa
.j its review of the Turkey Point Plan is almost complete.
These planned l'
tional doses on the order of 2000 man-rems p'er reactor unit.
The contractor will review other licensees plans for crmpliance with NRC criteria and Tne revicw will include the preparation of. Technical Evaluation regulations.
Reports, Environmental Statencnts, and expert testi:cny for ASLB hearings on the subject.
The NRC criteria will be those established in the Surry 1
and Turkey Point reviews covering such topics as:
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- 1) Occupational radiation exposure estimates,.-
- 2) Radiological effluent estimates, and
- 3) Licensee efforts to raintain occupational radiation exposure as low as is reasonably achievable.
5.4 _Centrni of Heavy loads Over Scent Fuel Pool _,
Overhead tandling systems are used to lift heavy objects in the vicinity If a., heavy object, e.g., a spent of spent fuel in both PWRs and SWRs.
fuel shipping cask or shielding block, were to fall or tip onto spent fuel in the storage pool or the reactor core during refueling and damage the fuel, there could be a release of radioactivity to the environment NRC and a potential for radiation over-exposure to inplan.t personnel.
l has initiated a generic review of the potential for such accidents at For those facilities where this review indicates l
all operating reactors.
that damage co spent fuel, as a result of a heavy load drop, cannot be l
ruled out, it will be necessary to perfom calculations regarding the The contractor will radiological consequences of such ar. accident.
perform the radiological consequences calculations, including an analysis of the releases resulting from the failed fuel, transport of the radio active material to the environment, and calculation of on-site and off-site doses.. The contractor may review the licensee's submittais of the radiological consequences of such an accident.
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Pag.c 10 of 36 5.5 Post LOCA Hydrogen Control Hydrogen is generated following a loss-of coolant accident as a result of metal-water reacton in the core and by radiolysis of water.
Several methods are typically used in order to maintain hydrogen at safe concentrations in the post accident containment atmosphere.
These include:
inerted atmosphere, hydrogen recombiners, and containment venting. The contractor will calculate the radiological consequences'of venting the containment for post-accident hydrogen control.
The analysis e
includes.the calculation of decay factors for a source term specified by NRC, the transport of radioactive materials to the environment, and the resulting doses at the site boundary and low population zone boundary.
The contractor may review the licensee's calculations of the radiological consequences of venting the containment. The contractor will review o n, licensee's proposed licensing amendments and supporting documents for compliance with NRC criteria.
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of 36 6.0 HUMAN FACTORS ANALYSIS OF NFP CONTROL ROOMS, PROCEDURES AND PERSONNEL I
Control room layouts found in present day nuclear p0wer plants have been designed to 'accomodate the function to be perforced rather than firstly i
relating to the human operator.
This la.ck of human engineering in control room design as well as procedures to be utilized during all plant operating modes can lead to undesired consequences such as those which occurred during the TMI-2 acciden.t.
Therefore, several types of reviews and audits cust be made to assure the adequacy of current day procedures, operator training and control room design. The contractor will review the licensee proposals, i.e., licensing actions, for imple-rentation of NRC criteria developed in response to the TMI Action Plans.
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6.1 Emercency Ooeratino procedures
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The contractor will assist NRC in the preparation of guidelines to be implemented in a review of plant emergency operating procedures.
Using l
these guidelines the contractor will reviet the procedures and prepare Technical Evaluation Reports to document the results of their reviews.
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The initial reviews will include the emergency operating procedures for such accidents as a small break LOCA, Steam generator tube rupture Main Feedsater transient cnd inadequate core cooling.-
6.2 Control Room Layout A review of control room layouts will be performed using detailed guide-lines furnished by the Staff. The contractor may be required to review and comment on the guidelines before beginning the reviews.
It is antici-pated that the reviews will include the use of ccanon human factors monitoring equipment (e.g., light neters, noise level indicators).
A Technical Evaluation Report will be generated for each control room reviewed.
6.3 Doerator Qualifications The contractor will revies licensee's operat'o'r qualification and training programs against a set of NRC requirements with specific emphasis on:
Adequacy of licensee's-examination p'rogram.for replacement operators a.
,see NUREG-0094, NRC Operator Licensing Guides l). ---- -
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Adequacy of licensee's requalification/ certification program for existing operators and training facilities.
In addition the contractor will~ assist the NRC in developing" requirements for licensee's training instructors and review the training programs for -
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Page 12 of 36 7.0 _ Structural Enoineerinq 7.1 Spent Fuel Pool Modifications _
Modifications are frequently proposed by licensees to increase spent fuel storage capacity.
The increase is accomplished by using higner density storage racks. The new spent fuel storage rack designs are reviewed for str0ctural desinn, materials aspects, analysis procedures for~ all loads including seismic and impact loadings, loading cerbinations and structural acceptance criteria, and quality control for the fabrication and installa-tion.
The review is perforred in accordance with Sections 3.7 and 3.8 of the Standard Review Plan and the associated branch technical position I.
on spent fuel storage.
The contractor will review t.he Itcensee proposed rodification for compliance with NRC criteria.
7.2 Structural Reevaluations for New or increased Plant loads _
The staff occasionally finds it necessary to re-evaluate nuclear power plant structures in the~ light of new seismic and plant accident data.
Experience indicates that, on reassessment, seismic inputs tend to be raised and new plant accident loads are developed that require the reeval-uation of plant structures to withstand these loadings.
The contractor will perform qualitative and quantitative assessments of the suitability of plant structures to resist such loads as ceasured against current or modified acceptance criteria.
This work requires background,and knowledge of nuclear structural analysis procedures and industry concrete and steel design codes and practices.
Article 1.2 Reporting Requirements The cc>ntractor shall furnish a monthly 1ctier-type progress report by the fif teenth of the month for'the previous month being reported. This report shall state in concise form:
A short description of the project and objectives; a.
b.
A brief statement on what was actually -accomplished -in completing'nn- - -_---
each assigned task during the reporting period; 9
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Page, of 36 Funds committed during the reporting period; l
c.
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What is planned for accom lishment during the next reporting perod; Preliminary or interim results, conclusions, trends, or other c.
items of information that the contractor feels are of timely interest; f.
Problems or delays that the contractor has experi,enced in the conduct of his ef fort; 1
g.
Specific action that the contractor would like NRC to undertake to j
alleviate a problem; i
h.
Updated task and sub-task schedules, network flow chart, program nilestone chart, program management summary, personnel assignments, and funding from those initially submitted in the plan of work and methodology.
The contractor shall prepare a report for each licensee submittal at the completion of his review.
This report shall as a minimum include:
The licensee's submittals should be reviewed to determine the adequacy of the information presented with the information requirement stated by the staff.
If the submittals are found to be incomplete, the contractor will provide requests to be transmitted to the NRC staff for forwarding to licensees to obtain additional information.
The contractor will determine the extent to which the liccusee's design criteria comply with criteria provided by the, staff.
The contractor will provide a written technical evaluation for each plant addressing the acceptability of the licensee's proposed design and technical specification modifications as appropriate and the adequacy of these modifications.
Copies of all progress reports shall be submitted in accordance with the above criteria and shall be forwarded to the following NRC personnel:
Fee Determination Official (FDO)
Darrell Eisenhut Performance Evaluation Board (PEB) -
Evaluation Coordinator A.. F. Glagola
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Performance Monitors All current monitors The contractor shall prepare and arrange the~ monthly progress meeting to be held each month. Final arrangements for-the meeting (i.e.,
agenda, date, time, and location) shall be made with the NhC Project Of ficer named in Article 5.1-Sec.5.0.
Cencrally, these meetings will be held at the contractor's facilities in Philadelphia, Pennsylvania.
O E. Butcher, M.J. Mattia, J. Donohew, C. Lainas, J. Olshinski.
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Article 1.3 Level of Ef fort the contractor agrees to Druing the performance of work under this contract, utilize personnel in the following categories for the.spproximate time 1-indicated.
Approximate Person-11ours_
Category for Franklin Resesrch Center _
L 1,500 Department Director 3,000 Laboratory Manager 6,000 Principal Scientist / Engr.
14,712 Sr. Staff Scientist / Engr.
19,500 Sr. Research Scientist / Engr.
Res. Scientist I/Res. Engr. 1 9,000 Res. Scientist II/Res. Engr. II 6,000 1,800 Research Assistant i
Res.' Scientist III/Res. Engr. III 3,000 1,500 Report Preparation - Technical 1,500 i
Report Preparation - Tying TOTAL 67,512 The contractor agrees to use his best efforts to accomplish all the work outlined or referenced above.
Ilis obligation will be deemed complete if the work is performed in accordance with high standards of scientific and professional skill, and the approximate Icvel of effort has been digligently including applied; except, however, all other requirements must be met delivery of reports and materials as may be required under the contract.
Section 2.0 Performance and Delivery Article 2.1 Period of Performance Performance of this contract shall begin on April 3, 1981 and shall not extend beyond April 3, 1984, unless the, period is extended by amendment of the contract.
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Article 2.2 Place of Performance l
The work under this contract shall be performed.at _the Contractor's i
facilities located in Philadelphia, Pennsylvania.
Article 2.3 Option to Extend the Terms and Increase the Number of Reactor Licensing Action under the Contract
. The Government may at-its option increase the number of Licensing Actions-to be reviewed up to a maxbnal of 300 and extend the term of the contract l
for an additional one, two or three (3) years. The contracting officer shall give preliminary notice of the Government's intention to exercise said option at least 120 days before this contract is to expire. The l
Government at anytime within this 120 day period may exercise this option, if at all, by written or telegraphic notice signed by the Contracting Officer and sent within the option period specified.
(suchaprelimjnary l-k s.
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notice will not be'uecmed to commit the Governm6at to exercise of said option.)
Within thirty days after receipt of the written notice of the Government's the Contractor shall submit a cost proposal and a Small and intent to renew, Disadvantaged Business Subcontracting Plan, if required to the Government.
If the Government exercise this option for a one year period, the contract as renewed shall be deemed to include this option provision.
However, the total duration of this contract, including the exercise of any options under this clause, shall not exceed (6) years.
Section 3.0 Consideration and Payment Article 3.1 Estimated Cost, Base Fee, and Award Fee 1.
The estimated cost to the Government for all allowable costs, and award fee shall not exceed $4,786,872.00.
The Contractor shall be reimbursed for all allowable costs incurred, 2.
and accepted by the Contracting Of ficer, not to exceed the estimated amount of $4,273,993.00.
3.
Award Fe may also be earned under this contract es provided by Article,
2, Award Fee.
4.
Total funds currently available for payment and allotted to this contract is $750,000. 00 of which $683,952.00 represents the estimated reimbursable costs, and of which 66,048.00 represents the award fee for the period April 3, 1981 through September 30, 1981.
For further provisions on funding, see the General Provision entitled:
" Limitation of Funds", clause No. 3.
5.
It is estimated that the amount currently allotted hereby will cover
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the performance period April 3,1981 through october 31, 1981.
i Article 3.2 Base and Award Fee An award fee pool of ?66,048. 00 is hereby established for the period April 3,1981 through September 30,1981.,, Evaluation of award fee carned for the period April 3, 1981 th.ough September. 30, 1981 shall be accomplished quarterly. Evaluation of award fee carned for the period l
April 3, 1981 through April 3, 1984 shall be accomplished as follows:
1 April 3,1981 throu gh June 30, 1981 September 30, 1981 July 1, 1981 _
March 30, 1982_ ___.__
October 1, 1981.._
April 1, 1982 September 30, 1982 October 1, 1982 March 30, 1983 April 1, 1983 September 30, 1983 October 1, 1983 December 30, 1983 January 1, 1984 April 3, 1984 Preliminary evaluation shall be conducted by a Performance Evaluation Board (PEB).
The board shall recommend the fee award to the NRC Fee Determination Official (FD3).
The final evaluation and interim determination as to the amount of award fee earned during an evaluation
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Article 3.3 - Payment of Indirect costs Pending establishment of fit.a1 indirect. cost rates for any period, billing and reimbursement of indirect cos*.s pursuant 'to General Provision No. 5.5, Negotiated Overhead Rates, the following provisional rates applied;to the bases identified shall be in effect unless otherwise modified:
l Base j
Identification of Type of Rate Rate
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i Total Direct Labor and
(,
Overhead Fringe Benefits See below See Below G&A on the first
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on all FRC costs, and on the subcontract on the next,
and ' l'on the balance.
i The above provisional rates apply for the period April 3, 1981 through
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January 1, 1982.
"Ihe following provisional rates apply to bases identified and shad apply for the period April 3, 1981 through December 31, 1981 unless otherwise modified:
A provisional G & A rate of..
is applied to all FRC costs except subcontracting costs. A provisional C & A rate of ' ~ is applied to the first of each subcontract.
A fixed G & A rate ofa sis applied to those
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subcontracting costs in excess of
.but not to exceed,
A fixed C & A rate of. ' is applied to each for each subcontract.
subcontracting cost s exceeding. '
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e Article 3.4 Payment of Base and Award Fee Tne fees provided for.in Article 3.1, " Estimated Co'st, Base Fee, Aw'ards F e l
, d Obligation of Funds", shall be paid as specified in Attachment A, an Article 3.5 Letter of Credit This contract shall be funded under a Nucle'ar Regulatory Corr. mission (fiRC) letter of Credit, agains t which the Contractor will withdraw funds pursuant to I RC Letter of Credit Procedures and Instructions for Recipient Organizations as approved by the U. S. Department of Treasurv'on April 1,1977.
rne Contractor shall request ' cash drawdowns only as and when actually needed for its disbursements, and shall make timely reporting as required by tiRC with
- che understanding that failure to adhere to these cor:aitments may cause the unobligated portion of the Letter of Credit to be revoked.
In no event shall the accumulated total of funds withdrawn for the account of this contract against such Letter of Credit exceed the presently obligated amount in the contract as covered by Ar?icle 3.1 subparagraph 4.
When so requested in writing by the Contra : ting Officer, the Contractor shall repay to the Government such part of the unifquidated balance of the advance payments as shall, in the opinion of the Contracting Officer, be in excess of the Contractor's current needs or in excess of the contract's estimated cost.
If upon completion or tarmination of this contract, all amounts obtained by the Centractor under this lettar of Credit have not been fully liquida ted by authorized charces under.the contract, the balance thereof shall be deducted frcm any sums othersise due to the Contracto'r from the Government, and any excess funds shall be repa,id by the Contractor to the Government upon demand.
The Letter of Credit Identification Number for The Franklin Institute is 31-00-0002 pf.... ;.. :
Upon the happening of any of the folloQing events of default, (1) termination of this contract by reason of fault of the. Contractor;. (2) a finding by the Adfainistering
, Office that the Contractor (i).has failed to observe any of the covenants, conditions, or warranties of these provisions or has failed to comply with any material provision ~ ~
of this contract, or (ii) has so failed to make progress, or is in such unsatisfactory e
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i or (iii) financial condition, as to endanger performance of this contracct, has allocated inventory to this contract substantially exceeding reasonable requirements, or (iv) is delinquent in payment of taxes of the costs of in the ordinary course of business; (3) performance of this contractreeciver or liquidator for all or a substantial part N
appointment of a trustee, of-the Contractor's property, or institution of bankruptcy, reorganization, i
(4) arrangement or liquidation proceedings by or against the contractor; levy of execution, or service of any writ of a t tachment, to the Special Bank Account ; or (5) the garnishment proceedings with respect commission of an act of bankruptcy; the Government, without limiting any ll rights which it may otherwise have, may, in its discrction and upon written Ba'k
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notice to the Contractor, withhold further withdrawals from the Special n
Account and withhold further payments on this contract. Upon the continuance of any such events of default for a period of thirty (30) days af ter such written notice to the Contractor, the Government may, in its discretion, and take the without limiting any other rights which the Covernment may have, following additional actions as it may deem appropriate in the circumstances:
(1) Withdraw all or any part of the balance in the 3pecial Bank Account by-checks payable to the Treasurer of the United States signed solely by the Countersigning Agency and apply such amounts in reduction of advance payments then outstanding hereunder and in reduction of any claims of the Government (2) Charge interest on advance payments outstanding against the Contractor; the rate established by the Secretary during the period of any such default at of the Treasury pursuant to Public Law 9 2-41, 85 S t a t. 97 for the Benegotiation Board:
shall be charged for advance payments made hereunder, except No interest interest during a period of default as provided in the preceding paragraph.
the rate established by the Secretary The Contractor shall charge interest at of the Treasury pursuant to Public Law 92-41; 85 Stat. 97, for the Renegotiation Board on subadvances or downpsyments to subcontractors, and such However, interest interest will be credited to the account of tlye government.
need not be charged in subadvances on subcontracts with nonprofit educational or research institutions for experimental, developmental.or_research work.
i Article 3.6 Billing 16structions In addition to the procedures specified in Attachment D,- U.S. N.R.C letter oft
=
Instructions for Recipient Organizations, c the Contractor shall forward Credit j
concurrently two (2) copics of each monthly invoice to the Contracting Officer.
Art,icle 3.7 - Provisional Award Fee Payment i
to exceed Provisional payment of award fee shall be made in an amount not
$256,440.00 (based on one-half of the award fee and representiag the " expected level of effort").
the Contractor may bill During the period April 3,1981 - April 3, 1984,.
the rate of 1/2 of the total award fee for provisional payment of award fee at These billings shall be made i
dollars available for the evaluation period.
monthly and prorated accordingly.
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.,, Interim fee payment wili. cease when:
g 1.
The fee awarded exceeds the provisional fee.
2.
The Contracting Of ficer determines that the proje'c.ted award fee
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will be less than the fee paid under-this provision.
c Payments under the provisions of this Article shall be credited to any amount awarded under Article 3.2 - Award Fee.
In the event that the payment under the provisions of this Article should" exceed that amount which can be awarded under the provision's of Article 3.2 - Acard Fee, then such overpayment may be deducted from allowable costs due and payable or paid under this contract.
Section 4.0 Insoection and Acceotance-l
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Insaection_
Article 4.1 I
Inspection of the services and deliverables called for hereunder shall be,
performed by the tiRC Project Officer specified in Article 5.1.
Acceotance Article 4.2 Acceptance of the services and deliverables calked for hereunder shall be accomplished by the Contracting Officer, or his duly authorized representative, who for the purposes of this contract shall be the i:RC Project' officer named in Article 5.1.
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Section5.b Soecial Provisions Article 5.1 Identification of t:RC Project Officer l
- r. J. Donohew is designited by the Contracting Officer as Project Officer' under this contract. Authorities and responsibilities as delineated in Article's 5.2 and 5.3.
Article 5.2 Resconsibilities of the ;;RC Project Offict.
(a) The Project Officer is resocnsibia for:
(1) Mcnitoring the contractor's.tachnical prcgress, including the surveillanca and assessment of ;:arformanca anc racc=ending to the Centracting Officer changes in recuirerents; (2) intarpreting the sta aman:
of work; (3) performing technical evaluaticn as raquirec; (2) performing tachnical inscacticas anc ac:actancas reccirad by i
this cor. trac:; ar.c (5) assisting the ::ntric:or in :he resolutica of technical or:ciacs anc:un:arec curf ac : arf:r anca.
'4ithin the ;urview of this authcrit/. :ne recrasanEa'tive is authorized to accrove ;ay: ant vcuchers for supcifes /tarvices reouired uncer :ne cen:rac.
D.e Centrac:ing Cf fic::r is t
respcnsibic f:r dira*c:ing cr nega:f acing nay changes in :arr.s,
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i (c)
If the contractor receives guidance from the Project Of ficer which the contractor fects is not valid under the criteria cited above, j
the contractor shall immediately notify the Project Officer.
If the 7
two are not able to resolve the question within five days, the contractor shall notify the Contracting Officer.
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rticle 5.3 Technical Direction
,e is (a) The NRC Project Of ficer named in Article 5.1' of this contract l'
responsibic for guiding the technical aspects of the project and for the general surveillance of the work performed.
The Project Officer I
,is r.ot authorized to make any commitments or-cay changes which cor stitute work not within the general scope of this contract, change the expressed terms and conditions incorporated into this or constitute a basis for any increase in contract price
- contract, or extention of the contract Period of Performance.
(b) Technical direction must be within the general scope of work state The Project Of ficer does not have the authority to i
in the contract.
and r.._y not issue any technical direction which:
(1)
Constitut!s an assignment of additional work outside the o
general scope of the contract.,,
l (2)
Constitutes a change as defined in the cicuse of the Cencral Provisions, entitled " Changes.".
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5 (3)
In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.
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(4)
Changes any of the expressed terms, conditions or J
specifications of the contract.
(c) ALL TECHNICAL DIRECTIONS SHALL BE ISSUED BY THE PROJECT OFFICER OR HIS AUTIIORIZED REPRESENTATI"" IN WRITING OR SHALL BE CONFIRMED BY HIM IN WRITING WITHIN TEN (10)
WORKING DAYS AFTER VERBALLY AUTHORIZED:
A copy of said written authorization shall be submitted to the Contracting Of ficer.
If the t
contractor receives guidance from the Project Of ficer or his authorized representative which the contractor feels is not valid
. nder the criteria cited above, the contractor shall immediately u
notify the Project Officer.
If the Project Officer and the contractor are not abic to resolve the question within five days, the contractor shall notify the Contracting Of ficer.
(d)
In the event the Project Of ficer desires a change to the contract within one or more of the categories as defined in (1) through (4) of paragraph B above, he must direct such request to the Contracting Officer.
The Contracting Office will handle the request in accordance with applicable laws and regulations.
(c) Any unauthorized commitment or dire,c,ti6n iss6ed 'by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the contractor expending his funds unallowable ccsts under the contract.
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( f) For guidance f rom the Project Of ficer to the contractor to be valid, it must:
(1) be consistent with the description of work set forth in this contract; (2) not constitute new assignment of work or change to the expressed terms, conditions, or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of permformance or contract delivery schedule; (4) not constitute a basis fo'r any increase in the contract price.
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,Page 22 of 36 Article 5 4 Private Use and ?rotaction of Unclassified Government information_
and tentrac: ;r.:o rra :1:n and Cata (a) Except as specifically authorized by tnis c,cntract, or as otharaisa ' approved by the Centracting Officer, records, data, informatien, documents and matarial ceveloped'or accuired by or furnished to the contrac' tar in the perfcr=an'ca of this contract sna11 be used only in connecticn with the work per-formed under this contract.
The c:n:rac ce shall, ucen compiation or termination of this centract,. transmit to the Ccmmissien all. records or other information, documents and caterial, and any copies thereof, furnished by the C:=missicn to the contractor in tne performar.ce of this contract.
(b) The centractor shall be respcnsible for safeguarding frcm t
unauthori:ed discicsure any information or other documents and cateriai ' exempt fecm public discicsure by the C mmissica's reculaticns and made available to the contrac:Or in cennecticn with the performance of the work under :nis c ntract.
The contractor agrees to conform to all regulaticns, recuirements, and directica of the C mmissicn with respect to such material.
(c) The centractor's duties under this clause shall not be c nstrued to limit or affect in any way the c:n:ractar's cbligati:n to conicrm to all securi:y regulatiens and recuire-ments, of the C mission pertaining to classified informaticn and catarial.
Article 5.5 ?rotec icn of orcerietary cnd C moany Ccnfidential !nformaticn If proprietary or ccccany confidential data is provided to the contractor by the Government in c nnectica with this c:ntract, the contractor acraes :o safecuard such informaticn and acrees not :o
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release such informa:icn to any person n'ot directly involved in the l
perfor=anca of werk under this centract unless such release is authorized in writing by the Contracting Officer.
Upcn c:=oletica or termination of this contract, all' croies of any such or:prietary or ecmpany ccnfidential data shall he returned to the C:mmission.
iArticle 5.6 Disclc'r The fcilcwing notica shall be added to any recor precared under
- he provisiens of this contract:
"This reocr: was crecared as an account of work sconsored by an agency of the United States Scverncant.
Neither the United 5:atas Goverr. men; nor any 3gency chareof, ce any of their ecoloyees, makes any warran y, ex:ressac or inc' icd, or assume any legai lia':ili y or rescensibili y for any third :ar:y's usa, or the results cf suchusa, Of any informa:icn, accart::s.
prGcuC: cr process :i3CICseo in Onis recor. Cr re:r?s&Sts Ina its use by such thi.-d ;ar y -culo not infringa ;riva:ely :wned rig.':s."
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Articic 5.7
_ Continuity of Services In recognition of the fact that the~ functions covered under this contract i
' arc in support of i:RC programs, and require unintarrupted performance;'that upon expiration of this contract, the services hereunder may be provided by
.'the Government or a successor Contractor, as a result 6f a competitive solici-tation, and any successor will require phasa-in train,i,ng; that the retention of '
personnel experienced 'in the work covered hereunder by any successoi-is 'important to the Govemment; the Coritractor agrees as follows:
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- 1. 'To provide the necessary resources to co.:plete those w' rk items commenced during the period of this. contract or any renewal thereof, o
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which yould not other.<ise ha've been cocpleted, wit?}in such a perio.d.
i To provide phase-l'n, phase-out -services for a per'iod not to e.xceed' 2.
sixty (60) days, connencing the day after expiration of the contract, to the extent required by the Government, and exneditiously negotiate an equitable adjustment to the estimated cost of the co'ntract for such services, to be provided by continuing the assignment of qualified personnel then currently assigned to. the, contract.
3.
Upon s'elec-ion of a successor Contrac$or, to jointly prepare with said successor, a cu:ually agre'eable nian for phase-in,
' phase-ou: operations.
Said plan shall set for:h in detail the training program for the successor with a propcsed'date,by which the sucesssor will assuce responsibility for work performance.
Prior to said date the contractor shall re:2in full respor.sibility for work performed.
This plan shall be submitted to the Contracting Officer for *nis accroval orier to exoiration of this contract, and" irplementatien in' 'accordiace therewi th. Hewever, it is unders tood and agreed that the foregoing is subject to the "Limitatica of Cost" or
" Limitation of Funds" clause of this contract.
Article 5.8 - !;ey Personnel
" Pursuant to General Pr'ovision fio.-2.3 entitled, " Key Per'sonnel", the
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following individuals are considered to be essential to the work being performed hereunder:
llame Title Dr. 't.. Zudans Project Director Dr. S. Carfagno Project !!anager fir. C. Crane Assistant Project !!anager a.
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Article 5.9 - Covernment Furnished Material / Data The Covernment shall furnish to the contractor all vital and necessary data / material in order for the contractor to perform the work above.
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Article 5.10 - Representations and Certifications The offeror representations and certifications submitted in response to RF.P No. RS-NRR-80-138 as modified by the Contractor's letter dated August 28, 1981.
Article 5.11,- pubcontracts The contractor is hereby authorized to enter into negotiations with its
. (l' forward to the proposed subcontractors and upon consummation of negotations, Contracting Officer the necessary documentation as required by Cencral l
n Provision No. 2.S entitled subcontracts.
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Article 5.12 - Guidelines for Work Flow NRC will forward to FRC preliminary work assig'nments identified as Tentative All such work. assignments must be signed by the Work Assignment A.B.C.,
etc.
Project Officer.
Specific NRC individuals will be identified in the letter as authorized point (s) of contact regarding that particular assignment.
Franklin will review the tentative assignment, provide its comments, propose a schedule for completion of the work, and estimate the technical staf f resources required in a letter to the Project Officer.
Af ter receipt at NRC, the Franklin propond schedule will be discussed, and following agreement with FRC, final work assignments identified as Assignment
- 1, 2, 3, etc. will be issued by the Project Of ficer.
The work performance period will be in accordance with the mutually agreed upon schedule in the final assignment letter. The schedule may be modified by mutual agreement.
Prior to receipt of the final assignment letter,, Franklin personnel should not begin any work.unless authorized by the Project Officer. Any verbal authorization to begin work will be verified in writing within 10 working days.
Following agreement _and receipt of a final work assignment, Franklin may enter into discussions-or-correspond with any. of.the_ individuals identified in the ------
work assignment (s).
Franklin is not to conduct any discussions with licensees for any purpose whatsoever without NRC representation either at physical meetings or through conference telephone conversations except as authorized either verbally or in writing by the Project Of ficer or his authorized representative.
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ARTICLE 5.13 5:dLL JUS!::ESS At:0 5 MLI. DISADVA::TAGED ECS':;ES'S SUSCC::!P.ACT!NG fLt:1 D:E3GT!ATED) 1, A.
The offeror acknowledges that it is aware of the subcontracting ~ plan requirener. s ir.
this provision, and, if it is the apparent successful offeror, agrees to negotia':2 a
plan uhich includes :
1.
Percentage goals (expressed in terms of percentage of total planned subcor. tract.
ing dollars) for the utilitation as subcontractors. of small business concerns and small business concerns owned and controlled by socially and economically disadvantaged individuals; (For the purposes of.the subcontracting plan, :he contractor shall includa all purchases which contribute to the performar.ca of the contract, including a proportionate share of products, services, etc. whose costs are nomally allocated as indirect or overhead costs.)
/ 2.
The name of an individual within the employ of the offeror who will administer-
., the subcontracting program of the offeron and a description of the duties of such individual; A description of the efforts the offeror will'take to assure that small busi-3.
ness concerns and small business concerns owned and controlled by socially an:
econcmically disadvantaged individuals will have an equitable opportunity to compete for subcontracts; Assurances that the offeror will include the clause entitled Utilization cf 4.
Small Business Concerns and Small Susiness Concerns Owned and Centrolled by Socially and Economically Disadvantaged Individuals in all subcontracts which further subcontracting opportunities and to require all subcontractors (ex:5::
small business concerns) who receive subcontracts in excess of 5500,000, er in tne case of a contract for the construction of any public facility, 51,000,00".
to adopt a plan similar to the plan agreed to by the offeror; Assurances th2t the offaror will submit such periodic reports and cocperd:e 5.
in any studies or sun eys as may be required by the contracting agency or the Small Business Administration in order to detennine the extent of compliar.ce by the offeror with the subcontracting plan; and A recitation of the types of records the offeror will maintain to descastrate 6.
procedures which have been adopted to comply with the requirements and coals set forth in the plan, including the establishment of source lists of small business concer.ns and small business concerns owned and controlled by socially and econcmically disadvantaged individuals; and efforts to identify and award subcentracts to such small business concerns.
B.
-The offeror understands that:
No contract will be awarded unless and until an acceptable plan is negotiated 1.
an acceptable plan will be incorporated with the contracting of ficer and that into the contract, as a caterial part thereof.
An acceptaMe plan must, in the determination of the contracting officer, provide the maximum practicable opcortunity for small business concerns and 2.
small business concerns owned and controlled by socially ano econ:mically disadvantaged parsons to participate in the 'perfor. ance of the contract.
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Page 20 of 36 If a subcontracting plan acceptable.to the contracting officer is a 3:
h ll be ineligible for an 1..ar:.
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f his reis-s within the time limits prescribed, the of faror s a 3.
The contracting of ficer shall notify tna contractor in writing o Such notice sha*' te for determining a subcontracting plan to be unacceptable.
ctor to c::tfy given early encugn in :he negotiation process to allow the contrajj h
the plan within the time limits prescribed.
d Prior compliance of the offeror with other such subcontracting pla fficer in determinin; ths vious contracts will be considered by the contracting o 4.
responsibility of the of feror for award of the contract.
l-It is the offeror's responsibility to' develop a satisfactory subcent ll business concerns o..med with respect to both small business concerns and sma 5.
i iduals and t..ac.
and controlled by sdcially and ecencaically disadvantaged ind v l
f the otr.er each such aspect of the offeror's plan will be judged independent y o Subcontracting plans are not rcquired-of small business concerns.
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faith with (1) the
'C.
The failure of any contractor or subcontractor to cceply in good Business.Concerr,s clause entitled Utilization of Small Business Concerns and S l
r (2)
D.
Owned and Centrolled by Socially and Economically Disadvantagad Ind d
taged Business.
an apprnved plan required by this' Scall Business and Small Disa van f of sucn Subcontracting Pian (Negotiated). provision, will be a matari,a1 breach o contract or subcontract.
f Defensa Manpc..'ar Nothing contained in this provisien supersedes the requirements o E.
Policy 4A or any successor policy.
'i ed If the prime contract is for a ccamerical product (defin'et belcw), the re f the item ger.: rally subcentracting plan may relate to the company's produ r.
In such cases, solely to the item being procured under the governmen l plan to be into a price con-reviewed for approval by the first agency with which he enters The apprc.ed l year.
tract (which requires a subcontracting plan) during the fisca plan will remain in effect for the entire fiscal year.
l in substan-Commercial products are defined as products in regular production so blished market or tial quantities to the general public and/or industry at esta
~ atalog prices.
k into ac::unt In negotiating subcontracting plans, the contracti,ng officer shall ta c
isting "make-or-tuy' a prime contractor's stated inability to subcontract due to an ex l
d ccm:c-
' G.
A "make-or-buy" policy concerns the major subsystems, assemb c
nents which the contractor manufactures, develops, or assem policy.
ties, and those which it obtains eiscwhere by contract.
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Page [ of 36 SECTION 6.0 GENERAL PROVISIONS ARTICLE 6.1 -- GENERAL PROVISIO!1S/ALTERATI0ils
- t This contract is subject to the attached provisions of Appendix A, General Provisions, entitled " Cost Type Research and Development Contracts With Commercial Organizations," dated 11/80.
J ARTICLE 6.2 - ALTERATIONS TO GENERAL PROVISIONS
'The following clauses are added:
6.2.1 Labor Surplus Area Subcontracting Program (1-1.805-3(b))
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(a) The Contractor agre'es to establish and conduct a program which will encourage labor surplus area concerns to compete for subcontracts within their capabilities. In this connection, the Contractor shall--
(1) Designate a liaison officer who will (i) maintain liaison with duly authorized representatives cf the Government on labor surplus area matters, (ii) supervise compliance with the Utilization of Concerns in Labor Surplus Areas cl'use, and (iii) administer the Contractor's " Labor Surplus Area Sub-a contracting Program;"
(2) Previde adequate and timely consideration of the potentialities of labor surplus area concerns in all "make-or-buy" decisions; j
(3) Assure that labor surplus area concerns will have an equitable g
opportunity to compete for subcontracts, particularly by arranging solicitations, time for the preparation of bids, quantities, specifications, and delivery schedules so a!. to facilitate the participation of labor surplus area concerns; (4) fiaintain records showing the procedures which have been adopted to comply with the policies set forth in this clause and report subcontract awards (see 41 CFR l-16.804-5 regarding use of Optional Form 61).
Records maintained pursuant to this clause will be kept available,for review by the Government until the expiration of 1 year after the award of this contract, or for such longer period as may be required by any'other clause of this contract or by applicable law or regulations; and l
(5) Include the Utilization of Concerns in Labor Surplus Areas clause j
in subcontracts which offer substantial labor surplus area subcontracting opportunities.
(b)
(1) The tem " labor surplus area" means a geographical area identified by the Department of Labor as an area of concentrated unemployment or under-employment or an area of labor surplus.
(2) The term " concern located in a labor surplus area" means a labor surplus area concern.
(3) The tem " labor surplus area concern" means a concern that, together with its first-tier subcontractors, will perform substantially in labor surplus areas.
(4) The tem " perform substantially in labor surplus areas" means that the costs incurred on account of manufacturing, production, or appropriate s,ervices in labor surplus areas exceed 50 percent of the contract price.
(c) The Contractor further agrees to insert, in any subcontract hereunder i
.which may exceed $500,000 and which contains the Utilization of Concerns in Labor Surplus Arcas clause, provisions which shall ccnform substantially to the lanpage of this clause, including this paragraph (c), and to notify the Contracting m
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6.2.2 Utilization of Women-Owned Business Concerns (0ver $10,000)
I (a)
It is the policy of the United States Government that Women-owned businesses shall have the maximum practicable opportunity to particip' ate in the l
performance of contracts awarded by any Federal agency.
(b) The Contractor agrees to use his best efforts to carry out this policy in the award of subcontracts to the fullest extent consistent with the efficient performance of this contract.
As used in the contract, a " women-owned business" concern means a business that is at least 51% owned by a woman or women who also control and operate it.
" Control" in this context means exercising the power to make policy decisions.
" Operate" in this context means being actively involved in the day-to-day management.
" Women" mean all women business owners.
6.2.3 Women-0wned Business Concerns Subcontracting Program (0ver $500;000 or
$1,000;000 for Construction of Any Public Facility)
(a) The Contractor agrees to establish and conduct a program which will j
enabic women-owned business concerns to be considered fairly as subcontractors and suppliers under this contract.
In this connection, the contractor shall:
(1) Designate a liaison officer who will administer the Contractor's
" Women-0wned Business Concerns Program."
(2)
Provide adequate and timely consideration of the potentialities of known women-owned business concerns in all "make-or-buy" decisions.
(3)
Develop a list of qualified bidders that are women-owned businesses and assure that known women-owned business concerns have an equitable opportunity to compete for subcontracts, particularly by making information on forthcoming opportunities available, by arranging solicitations, time for the preparation of bids, quantities, speci-fications, and delivery schedules so as to facilitate the participation of women-owned business concerns.
(4) Maintcin records showing (i) procedures which have been adopted to compy with the policies set forth in this clause, including the establishment of a source list of women-owned business concerns; (ii) awards to women-owned businesses on the source list by minority and non-minority women-owned business concerns; and (iii) specific efforts to identify and award contracts to women-owned business concerns.
(5)
Include the " Utilization of Women-Owned Business Concerns" clause in subcontracts which offer substantial subcontracting opportunities.
(6) Cooperate in any studies and surveys of the Contractor's women-owned business concerns procedures and practices that the Contracting Officer may from time-to-time conduct.
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e (7) Submit periodic reports of subcontracting to women-owned business concerns with respect to the records referred to in subparagraph (4) above, in such form and manner and at such time (not more of ten than quarterly) as the Contracting Officer may prescribe.
l (b) The Contractor further agrees to insert, in any subcontract hereunder which may exceed $500,000 or $.1,000,000 in the case of contracts for the construction
[
of any public facility and which offers substantial subcontracting possibilities, provisions which shall conform substantially to the language of this clause, including this paragraph (b), and to notify the Contracting Officer of the names of such subcontractors.
(c) The contractor further agrees to require written certification by its i
subcontractors that they are bona fide women-owned and controlled business concerns in accordance with the definition of a women-owned business concern as set forth in the Utilization Clause 1(b) above at the time of submission of bids or proposals.
i 6.2.4 Price keduction for Defective Cost or Pricing Data (1-3.814-1(a))
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If any price, including profit or fee, negotiated in connection with this contract or any cost reimbursable under this contract was increased by any sioni-ficant sums because:
(a) The Contractor furnished cost or pricing data which was not accurate, complete and current as certified in the Contractor's Certificate of Current Cost or Pricing Data; (b) A subcontractor, pursuant to the clause of this contract entitled
" Subcontractor Cost or Pricing Data" or " Subcontractor Cost or Pricing Data -Price Adjustments" or any subcontract clause therein required, furnished cost or pricino data which was not accurate, complete and current as certified in the subcontractor's Certificate of Current Cost or Pricing Data; (c) A subcontractor or prospective subcontractor furnished cost or oricing data which was required to be accurate, complete and current and to be submitted to support a subcontract cost estimate furnished by the Contractor but which was not accurate, complete and current as of the date certified in the Contractor's Certificate of Current Cost or Pricing Data; or (d) The Contractcr or a subcontractor or prospective subcontractor furnished any data, not within (a), (b) or (c) above, which was not accurate as submitted:
the price or cost shall be reduced accordingly and the contract shall be modified in writing as may be necessary to reflect such reduction.
However, any reduction in the contract price due to defective subcontract data of a prosoective subcon-tractor when the subcontract was not subsequently awarded to such subcontractor, will tie limited to the amount (olus apolicable overhead and profit markuo) by which the actual subcontract, or actual cost to the Contractor if there was no subcontract, was less than the prospective subcontract cost estimate submitted by the Contractor:
Provided, The actual subcontract price was not affected by defective cost or pricino data.
(;ote: Since the contract is subject to reductio ~n under this clause by reason of defective cost or pricing data submitted in connection with certain subcontracts, it is expected that the Contractor may wish to include a clause in.cach such subcontract requiring the subcontractor to appropriately indemnify It is also expected that any subcontractor subject to such the Contractor.
inder.nification will generally require substantially similar indemnification for defective cost or pricing data required to be submitted by.his low tier subcontractors.)
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6.2o5 Price Reduction for Defective Cost or Pricing Data - Price Adjustments
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(1-3.814-1(b))
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(a) This clause shall become operative only with res'pect to any modification of this contract which involves aggregate increases and/or decreases in costs plus appl' cable profits in excess of $100,000 unless the modification is priced on the basis of adequate price competition, established catalen or market prices of ccmeri.ial items sold in substantial quantities to the general public, or prices set by law or regulation. The right to price reduction under this clause is limited i
to defects in data relating to such modification.
(b)
If any price, including profit, or fee, necotiated in connection with any price adjustment under this contract was increased by any significant sdms because:
(i) The Contractor furnished cost or pricinq data which was not accurate, complete and current as certified in the Contractor's Certificate of l
Current Cost or Pricing Data; (2) A subcontractor, pursuant to the clause of this contract entitled
" Subcontractor Cost or Pricing Data" or " Subcontractor Cost or Pricing Data--Price Adjustments" or any subcontract clause therein required, furnished cost or pricing data which was not accurate, complete and current as certified in the subcontractor's Certificate of Current Cost or Pricing Data; (3) A subcontractor or prospective subcontractor furnished cost or pricing data which was recuired to be accurate, complete and current and to be
- ebaitted to support a subcontract cost estimate furnished by the Contractor but which was not accurate, ccmplete and current as of the date certified in the Con-tractor's Certificate of Current Cost or Pricing Data; or (4) The Ccntractor or a subcontractor or prospective subcontractor furnished any data, not within (1), (2) or (3) above, which was not accurate, as submitted; the price shall be reduced accordingly and the contract shall be modified in writing as may be necessary to reflect such reduction. However, any reduction in the contract price due to defective subcontract data of a prospective subcon-tractor, when the subcontract was not subsequently awarded to such subcontractor, will be limited to the amount (plus applicable overhea'd and profit markup) by which the actual subcontract, or actual cost to the Contractor if there was no subcontract, was less than the prospective subcontract cost estinate submitted by the Contractor.
Provided the actual subcontract price was not.affected by defective cost or pricing data.
(Note: Since the contract is subject to reduction under this clause by reason of defective cost or pricinq data submitted in connection with certain subcontracts, it is expected that the Contractor may wish to include a clause in each such subcontract requiring the subcontractor to appropriately indemnify the Contractor.
It is also expected that any subcontractor subject to such indemnifi-cation will generally require substantially similar indemnification for defective cost or pricing data required to be submitted by his. lower tier subcontractors.)
(c) failure to agree on a reduction shall be a discute concernino a question of fact within the meaning of the " Disputes" clause of this contract.
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6.2.6 Subcontractor Cost and Pricing Dat,a (1-3.814-3(a))
I (a) The Contractor shall require subcontractors hereunier to submiE,' '
actually or by specific identification in writing, cost or pricing data under the
,t following circumstances:
(1) Prior to the award of any subcontfact the amount of which is expected to exceed $100,000 when entered into;
.I (2) Prior to the pricing of any subcontract modification which involves aggregate increases and/or decreases in costs plus applicable orofits expected to exceed $100,000; except where the price is based on adequate price competition, established catalog or market prices of commercial items sold in substantial quantities to the general public, or prices set by law or regulation.
i (b) The Contractor shall require subcontractors to certify, in substantially the same for'm as that used in the certificate by the Prime Contractor to the Government, that to the best of their knowledge and belief, the cost and pricing data submitted under (a) above is accurate, complete, and current as of the date of agreement on the negotiated price of the subcontract or subcontract change or modification.
(c) The Contractor shall insert the substance of this clause includino this paragraph (c) in each subcontract hereunder which exceed,s $100,000 when entered
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fnto except where the price thereof is based on adequate price competition,
.!stablished catalog or market prices of commercial items sold in substantial quantities to the general public, or prices set by law or regulation.
In each such expected subcontract hereunder in excess of $100,000, the Contractor shall insert the substance of the following clause:
SUBCONTRACTOR COST OR PRICING DATA-PRICE ADJUSTMENTS (a) Paragraphs (b) and (c) of this clause slall become operative only with respect to any modification made pursuant to one or more provisions of this contract
. hich involves aggregate increases and/or decreases in costs plus applicabic profits w
expected to exceed $100,000. The requirements of this clause shall be limited l
to such contract modifications.
(b) The Centractor shall require subcontractors hereunder to submit.
actually or by specific identification in writing, cost or pricing data under the
[
following circumstances:
(1) Prior to award of any subcontract, the amount of which is expected to exceed $100,000 when entered into; (2) Prior to the pricing of any subcontract modification which involves aggregate increases and/or decreases in costs plus applicable profits expected to exceed $100,000; except where the price is based on, adequate price competition, established catalcg or market prices of commercial items sold in substantial i
quantities to the yneral public, or prices set by law or regulation.
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page 32 of 36 6.2.6 Subcontract Cost and Pricing Data (1-3.814-3(a)) Cont'd
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(2) The Contractor shall require subcontractors to certify, in substait'ially the same form as that used in the certificate by the Prime Contractor to the Government, that to the best of their knowledge and belief the cost and' pricing data" submitted under (b) above is accurate, complete, and current as of the date of agreement on the negotiated price of the subcontract or subcontract change or modification.
(d) The Contractor shall insert the substance of this clause including this paragraph (d) in each subcontract hereunder which exceeds $100,000 when entered into.
6.2.7 Cost hccounting Standards--Nondefense Contract (1-3.1204-2(a))
(a) Unless the Administrator of General Services has prescribed ru'les or regulations exempting the Contractor or this contract from standards, rules, and regulations promulgated by the cost Accounting Standards Board, the Contractor, in connection with this contract, shall:
(1) Follow consinently the cost accounting practices established or disclosed as required by regulations of the Cost Accounting Standards Board and administered under the Administration of Cost Accounting Standards clause.
If any change in disclosed practices is made for purposes of any contract or subcontract subject to those disclosure requirements, the change must be applied in a consistent manner to this contract.
(2) Comply with all cost accounting standards which the Contractor is required to comply with by reason of concurrent. performance of any contract or subcontract subject to the Cost Accounting Standards clause (4 CFR 331) and administered under the Administration of Cost Accounting Standards clause.
The Contractor also shall comply with any cost accounting standard which hereafter t
becomes applicable to such a contract or subcontract.
Such compliance shall be l
required prospectively from the date of applicability to such contract or i
subcontract.
Compliance shall continue until the Centractor completes per-
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.ormance of work under this contrv.t.
(3) Agree to an equitable adjustment (as provided in the Changes clause of this contract, if any) if the contract cost is affected by a change which, pursuant to (2) above, the Contractor is required to make to his estab-lished cost accounting practices whether such practices are covered by a Dis-closure Statement or not.
(4) Negotiate with the Contracting Officer to determine the terms and conditions under which a change to either a disclosed cost accounting practice or an established cost accounting practice, other than a change under (a)(3) above or (a)(6) below, may be made. A change to a practice may be proposed by j
either the Government or the Contractor, Provided, however, That no agreement j
may be made under this provision that wilt increase costs paid by the United l
States.
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6.2.7 Cost Accounting Standards--Nondefense Contract (1-3.1204-2(a)) Cont'd.
(5) Agree to an adjustment of tihe contract price or cost allowance, as appropriate, if it or a subcontractor fails to comply with the applicable Cost Accounting Standards or to follow any practice disclosed or established pursuant to subparagraph (a)(1) or (a)(2) above and such failure results in any increased costs paid by the United States. Such adjustment shall proeide for recovery of the increased costs to the United States together with jnterest thereon computed at the rate determined by the Secretary of the Treasury pur-suant to Pub. L. 92-41 (50 U.S.C. App. 121S(b)(2)), or 7 percent per annum, whichever is less, from time the payment by the United States was mde to the time the adjustment is effected.
(6) Negotiate an equit le adjustment (as provided in the Changes clause of this contract, if any) when the parties agree to a change to either a disclosed cost accounting practic2 or an established cost accounting practice.
(b) The Contractor shall pemit any authorized representatives of the head of the agency, of the Cost Accounting Standards Board, or of the Comptroller General of the United States to examine and make copies of any documents, papers, or records relating to compliance with the requirements of this clause entil the expiration of 3 years after final payment under this contract or such lesser time specified in the Federal Procurement Regulations (FPR) part 1-20.
(c) Unless a subcontract or Subcontractor is exempt under rules or regu-lations prescribed by the administrator of General Services, the Contracto*:
(1) shall include the substance of this clause including this paragraph h) in all negotiated subcontracts under this contract with,ubcontractors that are currently performing a national defense contract or subcontract that contains the clause entitled to Cost Accounting Standards and that are currently required to accept the cluse in applicabic,ational defense awards, and (2) shall include the substance of the Consist, icy of Cost Accounting Practices--Non-defense Contract clause set forth in i 1-3.1204-2(b) of the FPR tr. negotiated subcontracts under this contract with all other subcontractors.
The Contractor.
may elect to use the substance of the solicitation hotice set forth in 51-3.1203-2(b) of the FPR in his determination of applicability cost accounting standards to subcontracts.
l (d) The terms defined in 5 331.20 of Part 331 of Title 4, Code of Federal l
Regulations, shall have the same meaning herein.
As there defined, " negotiated subcontract" means "any subcontract except a firm fixed-price subcontract made by a contractor or subcontractor after receiving offers from at least two fims not associated with each other or such contractor or subcontractor, providing i
(1) the solicitation to all competing fims is identical, (2) price is the only j
consideration in selecting the subcontractor from among the competing fims solicitied, and (3) the lowest offer received in compliance with the solicitation i
from among those solicited is accepted."
1 (e) The administration of this clause by the Government shall be accom-plished in conjunction with the administration of the C.ontractor's national defense contracts and subcontracts subject to rules a.nd regulations of the Cost Accounting Standards Board, pursuant to the Administration of Cost Accounting Standards clause. For the purposes of the Actninistration of Cost Accounting Standards clause contained in this contract, references to the Cost Accounting i
Standards clause shall be deemed to include this Cost Accounting Standards--
Nondefense Contract clause and reference to the Disclosure and Consistency of Cost flccounting Practices clause shall be deemed to include the Consistency of Cost Accounting Practices--Nondefense Contract clause.
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e 6.2.8 Administration of Cost Accounting Standards (1-3.1204-1(b))
For the purpose of administrating Cost Accounting Standards requirements under this contract, the Contractor shall:
..(a) Submit to the cognizant Contracting Officer a description of the accounting change end the general dollar magnitude of the change-to reflect the sum of all increases and the sum of all decreases for all contracts containing, the Cost Accounting Standards clause or the Disclosure and Consistency of Cost Accounting Practices clause:
(1) For any change'in cost accounting practices required to comply with a new cost accounting standard in accordance with paragraph (a)(3) and (a)(4)(A)
' the Cost Accounting Standards clause within 60 days (or such other date as may be mutually agreed to) after award of a contract requiring such change; ance with paragraphs (a)(4)ge to cost accounting practices proposed in accord-(2) For any chan (B), (a)(4)(C) of the Cost Accounting Standards clause or with paragraph (a)(3) or (a)(5) of the Disclosure and Consistency of Cost Accounting Practices clause not less than 60 days (or such other date as may be mutually agreed to) prior to the effective date of the Proposed change; or (3) For any failure to comply with an applicable Cost Accounting Standard or to follow a disclosed practice as contemplated by paragraph (a)(S) of the Cost Accounting Standards clause or with paragraph (a)(4) of the Dischsure and Consistency of Cost Accounting Practices clause within 60 days (or such other date as may be mutually agreed to') after the date of agreement of suc'.
noncompliance by the Contractor.
(b) Submit a cost impact proposal in the form and manner specified by the cognizant Contracting) Officer within sixty (60) days (or such other date as may be mutually agreed to after the date of determination of the adequacy and compliance of a change submitted pursuant to (a)'(1), (2), or (3), above.
(c) Agree to appropriate contract and subcontract amend ents to reflect adjustments established in accordance with paragraphs (a)(4) and (a)(S) of the Cost Accounting Standards clause or with paragraphs (a)(3), (a)(4), or (a)(5) of the Disclosure and Consistency of Cost Accounting Practices clause.
(d) When the subcontract is subject to either the Cost Accounting Standards clause or the Disclosure and Consistency of Cost Accounting Practice clause so state-in the body of the subcontract and/or in the letter of award. Self-deleting clauses shall not be used.
(e) Include the substance of this clause in all negotiated subcontracts containing either the Cost Accounting Standards clause or the Disclosure and Consistency of Cost Accounting Practices clause.
In addition, include a pro-vision in these subcontracts /hich will require sech subcontractors, within 30 days after receipt of award (or such other date as may be mutually agreed to) to submit the following information to the Contract Administration Office Cognizant of,the subcontractor's facility.
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D 6.2.8 Administration of Cost Accounting Standards (1-3.1204-1(b)) Cont'd.
s (1) Subcontractor's name and subcontract number.
(2) Dollar amount and date of award.
(3) Name of Contractor making the award.
(4) A statement as to whether the subcontractor has made or proposes g
to make any changes to accounting practices that affect prime contracts or r
subcontracts containing the Cost Accounting Standards clause or Disclosure and t
Consistency of Cost Accounting Practices clause unless such changes have already been reported.
If award of the subcontract results in making a cost accounting standard (s) effective for the first time, this shall also be reported.
(f) For negotiated subcontracts containing the Cost Accounting Standards clause, require the subcontractor to comply with all Standards in effect on the date of final agreement on price as shown on the subcontractor's signed Certificate of Current Cost or Pricing Data or date of award, whichever is earlier.
(g) In the event an adjustment is required to be made to any subcontract hereunder, notify the Contracting Officer in writing of such adjustment and agree to an adjustment in the price or estimated cost and fee of this contract, as appropriate, based upon the adjustment established under the subcontract.
Such notice shall be given within 30 days after receipt of the proposed sub-contract adjustment, and shall include a proposal for adjustment to such higher tier subcontract or prime contract as appropriate.
(h) Wnen either the Cost Accounting Standards clause or the Disclosure and Consistency of Cost Accounting Practices clause and this clause are included in subcontracts, the term " Contracting Officer" shall be suitably altered to identify the purchaser.
6.2.9 Cost Accnunting Standard Withdrawal
. Cnst Accounting Standard 414--Cost of money as an element of the cost of facilities capital--shall not be reimbursed as an allowable cost under this contract.
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Section 7.0 Contract Documents Article 7.1 - Documents Incorporated Physically The following listed documents are physically incorporated in this contract:
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Cover Sheet Award / Contract-SF26 Listing of Contract Atticles Contract Articles The Schedule Attachment A Award Fee Determination Plan Attachment B Letter of Credit Instructions for Recipient Organizations
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Appendix A Cencral Provisions lC Appendix B
-Subcontracting Plan for Utilization of Small, Women Owned, Labor Surplus, Socially and Economically Disadvantaged Businesses i
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ATTACllMENT A AWARD FEE DETERMINATION Pl.AN FOR CONTRACT NO. NRC-03-81-130 WITil Tile FRANKLIN INSTITUTE FOR 'lilE PERIOD April 3, 1981 TilROUCil April 3.1984 Contents Part A.
Introduction B.
Organization Structure for Award Fee administration C.
Evaluation Requirements D.
Methods for Determining A. card Fee E.
Change in Plan Coverage 4
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Introduction 1.
This plan covers the administration of the award fee provisions of contreet No. NRC-03-81-130 with The Franklin Institute for the evaluation period starting April 3,1981 through April 3,1984.
2.
The following matters, among others, are covered in the contract.
The centractor is required to manage and review a backlog of 300 a.
operating reactor licensing actions as determined by the Nuclear Regulatory Commission (NRC).
I b.
The award fee pool is $512,879.00.
l
. e' c.
The estimated cost, and award fee pool are subject to equitable adjustments on account of changes or other contract modifications.
d.
The award fee carned and payable will be determined as specified elsewhere in this p'an by the Fee Determination Of ficial (FDO) in accordance with this plan.
The FD0 is Mr. Darrell Eisenhut.
e.
Aa.ard fee determinations are not subject to the Disputes clause of the contract.
f.
Alterations, if any, of the award fee plan during the course of the contract will bo the subject of negotiations, and this plan will be modified accordingly. Any agreed upon alterations must be made thirty days prior to the start of the quarterly period to be effective.
3.
The objective of the award fee provisions of the centract is to afford the contractor an opportunity to earn increased fee commensurate with the achievement of optimum performance in pursuit of contract objectives and goals. Optimum performance is not necessarily equated with the highest level of performance.ac.hievable in all incentivized areas. Rather, it represents the most favorable degree of performance.
obtainabic considering the achievement of contract objectives in light of the contractor's most ef fective utilization of availabic resources.
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b CPA? CONTRACT PERFOR!:ANCE REPORTING REVIEW AND EVALUATION PROCEDURE Letter of Performance and Award 1 r 3
CONTRACTOR FEE DETERMINATION OFFICIAL (FDO)
I Darrell Eisenhut
/L Fee Award Recommendation Performance Evaluation Report PERFORMANCE EVALUATION BOARD (PEB)
A e Monthly Reports e ALL REPORTED EVENTS G. Lainas J. Donohew E. Butcher M. J. Mattia J. 01shinski EVALUATION COORDINATOR (
CONTRACTOR A. F. Glagola A
A e Contractor's Report of Individual Performance Event o Monthly Reports e INDIVIDUAL EVENTS REPORTS Performance Monitors Performance Monitors Performance Monitors 9
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B.
ORGANIZATIONAL STRUCTURE FOR AWARD FEE ADMINISTRATION The following organizational structure is established for administering the award fee provisions of the contract.
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Fee Determination Officini (FDO) n.
The FD0 is D'. G. 2TSE!UlUT b.
Primary FD0 responsibilities are:
(1) Determining the award fee carned and payable for each evaluation period as addressed in Part D.
(2) Changing the matters covered in this plan as addressed in i
Part E, as appropriate.
2.
Performnnee Evaluation Board (PEB)
I t*
a.
A Chairman of the PEB will f.e established from the following voting members:
4 Ms. M. J. Mattin I
Mr. E. Butcher Mr. C. Lainas Mr. J. Donohew Mr. J. Olshinski i
b.
The Chairman may recommend the appointment of non-voting members to assist the Board in performing its functions.
c.
Primary responsibilities of the Board are:
I u.-
(1) Conducting ongoing evaluations of contractor performance and the submission of a Performance Evaluation Board Report (PEBR) to the FDO l
covering the Board's findings and recommendations for each evaluation period, i
t as addressed in Part D.
' :F-(2) Considering proposed changes in this plan and recommending
' l-these it detennines appropriate for adoption by the FDO, as addressed in Part
,)
'3.
performance Monitors (PMs)
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a.
A PM will be assigned to each performance area to be evaluated.
The assignment will be made by the PEB Chairman as addressed in Part D.
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b.
Each PM will be responsible for compi ing with the Cencral Instructions for Performance Monitors, At tachment D-1, and any specific re, instructions of the PEB Chairman as addressed in part D.
Primary PM responsibilities are:
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e (1) 1!onitoring, evaluating and assessing contractor ;.erformacce an ansigned arcas.
(2) Periodically preparing a Performance !!onitor Report (PMR) for the l'EB, as appropriate.
4 (3) Recommen'ing appropriate changes in this plan for consideration, as addr in Part E.
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EVA1UATION REQUIREMENTS i
The applicabic evaluation requi emer.ts are attached as indicated I
below:
Requirement Attachment 1.
Evaluation Periods and Maximum Available Award Fee for Each A-1 2.
Performance Areas and Evaluation Criteria A-2 3.
Grading Table A-3 The percentage weights indicated in Attachment A-2, the Attachment A-3 grading table.
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MEr500 FOR DETIIMI:1 :10 A'*/,AD TE
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.t period A determination, of the award fee earned for each evaluation vill be cade pro =pely by the PVO af ter the end' of the period.
The =ethod to be followed in =enitoring, evaluating and assessing contractor perfor~
cance during the period, as well as for deter =ising the svard fee earced, is describ ed *oelev.
s l'.'
Th e ?E3 Chairman vill assi'gn' a FM f,or each p e rf o r=ance area to be evaluated under the contrace.
FMs vill be selected on the basis of their exper:ise relative to prescribed per'et:ance. area emphases.
?M personnel ad=icistration vill be in addition to,. or an extension of, resular esponsibilities. The PE3 Chair =an cay change FM assigacents at O r_ny, t i= e a
without advance notice to the contractor.
The Centracting ricer will notify the contractor prcmptly of all FM assi ncents.
5
- 2..The ?F3 C'hairman vill require that e.ach FM reces.ves the follow-ing:
~
A copy of th e contract and all codifications.
A copy of this plan along vith any changes =ade in acco'rdance vich ? art I.
Appror,riate orientation zsd guidance.
3 Sp4cific instructions applicable to FM-assigned perf or=a nce areas.~
r 3.
?Ms vill =onitor, evaluate and-assess. entractor perfor=ance in accordance with the General Instructions for -P-arfer ance M:nitors. At ach-cent 0-1, and the specific instructions and.ouidance furnished b~v the PEB Chaircan.
4
?Hs will. submi coachly ?MP.s and, df requir:d, cake v e rb al Prese.n:2tio s to the ?E3.
5.
.is ap p rop ria t s, th e ?E3 Chai:rza vi"
-> quest and cStain per-fretrzec e. info rmation from other units ir pa *onsel nor ally involved in
. obs e rving coc eractor perfor=ance.
6.
Periodically. ihe.?I3 :-ill consider P...~S ard othar perfor=an<:e in f o r=a tdon it o b t ain.s and discuss the repor s a=r inf o r.a r_ ten vi ch ?!is or other personnel, a.s appropriate.
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7.
Pro:nptly af ter the end of each evaluation period, the PEB will meet with the Contractor and discuss overall perfomance during the period.
Prior to this meeting the Contractor shall submit to the Evaluation Co-ordinator a written self assessment of its perfomance durin's the evaluation period including the amount of award fee it feels it has carned. As requested by the PEB chaiman, PM's and other personnel involved in perfor=ance evaluations vill attend t!.a meetina,s and participate in discussions.
8.
Af ter meeting with the contractor, the PEB will consider matters presented by the contractor and establish its findings and recc=mendations for the PEBR.
9.
The PE3 Chaiman will prepare the PEBR for the period and submit it to the FD0 for use in c*.:temining the award fee earned. The report will i
include a reco:=ser 2cd range of award fee with supporting documentation.
When submitting the report, the Chaiman will infom the FD0 uhether or not the contractor desires to present any matters to the FD0 before the award fee decemination is made.
- 10. The FD0 vill consider the PE3R and discuss it with the PE3 Chair =an or other personnel, as appropriate. If requested by the contractor, or if the FD0 considers it approp: ste, the FD0 vill meet with the contractor for discussions. If requested by the FDO, the PE3 Chaiman and any other personnel involved in performance evaluation may be required to attend the meeting with the contractor.
- 11. The Foo vill detemine the amount of award fee earned during the period.
The amount detemined vill no't result solely from mathematical su= ming, averaging or the application of a for=ula. 1he FD0's determination of the mount of award fee carned and the basis for this deceminatiou will l
be stated in the Award Fee Determination Report (AFDR). The report vill be signed by the FD0 and given to the contractor for attach =ent to its vcucher requesting payment of the award fee.
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Richt to nake C ances n
Any matters covered in this plan may be changed by mutual I
agreement of the parties prior to the beginning of an evaluation period by timely notice to the contractor in writing.
The changes will be made by formal modification of the contract.
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2.
-Meched for Changin*e Plan Covhraee
.I l
The =ethod to be followed for changing plan coverage is described b el,cv.
a.
Personnel involved in the ad=inist' ration of the award fee provisions of the contrac: are encouraged to recoc=end changes in plan
. coverage vich a view covard changing :.anage=ent e= phases.
=o tiva ting
- higher perfor sace levels, or inproving th e award fee d e t e r=_ina t ion
. process. Recoc= ended changes should be sent.co the ?E3 for consideration and draftin3 b.
The PE3 vill coordinate proposed changes 'vich the contractor.
c.
Prior 'to th e end of each evaluiries period, the ?E3 vill sub=it i.h an g-s applicable to the nexc evaluation period for approval by th e 730 vith appropriate coc=ents and justifiestion, or inform the
.tO t'at no changes are reco== ended for the_ next period.
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ATTAC11 MENT A-1 TO AFDP FOR Contract No.
NRC-03-81-130 With Franklin Research Center l
EVALUATION PERIODS AND MAXIMUM i
AVAILABLE AWARD FEE FOR EACH i
Evaluation Period l
Maximum Avail-l No.
Duration Ending able Award Fee 1
3 months June 30, 1981
$ 21,369.00 2
3 months September 30, 1981 g 44,679.00 3
6 months March 30, 1982
% 89,358.00 4
6 months September 30, 1982 6 89,358.00 l
5 6 months March 30, 1983
% 89,358.00 6
6 months September 30, 1983
$ 89,358.00 7
3 months December 31, 1983
$ 44,679.00 1
8 3 months April 3, 1984
% 44,720.00 e.
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ATTACllMENT C-2.1 to AFDP FOR i
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l i-CONTRACT NO. NRC-03-81-130 WITil Tile FRANKLIN INSTITUTE I
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EVALUATION CRITERIA FOR PERFORMANCE AREA NO. 1 (AREA IDENTIFICATION PER ATTACllMENT C-2)
APEA WEIGilT 50 Description of Area:
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Technical - 50 Points To what extent does the contrac tor consistently produce high quality technical products without requiring excessive technical or administrative direction from the N.R.C.
6 a)
"Ihoroughness and Accuracy of Work 20 pts.
(
To what extent does the contractor submit technical work products which are thorough, accurate and d not require extensive rework by the contractor.
~
b)
Technical Independence and Initiative 20 pts.
l To what extent does the contractor's technical effort exhibit independence and initiative that does not require day-to-day technical or administrative direction by the N.R.C.
l c)
Clarity and Consiseness 10 pts.
To what extent does the contractor donsistently submit work products j
that are cicar and provide an adequate technical basis for N.R.C.
staf f safety evaluation reports.
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ATTACHMENT A-2 TO AFDP FOR CONTRACT NO.'NRC-03-81-130 WITH THE FRANKLIN INSTITUTE EVALUATION CRITERIA FOR PERFORMANCE AREA NO. 2 (AREA IDENTIFICATION pER ATTACHMENT C-2)
AREA WEIGHT 35_
4 II.
Management and Schedule to what extent does the contractor ef fectively manage the program to produce technical products in a timely manner that meet the needs of the NRC by effectively utilizing resources and work efficient methods.
a}
Ability to meet Schedule Milestones 10' pts.
To what extent does the contractor meet schedule milestones and completion dates in developing technical work products.
r b.
Management Independence and Initiative 15 pts.
To what extent does the contractor demonstrate management independence and initiative in developing, proposir.g and implementing after approval plans and procedures for climinating-existing and potential it:: pediments to the work flow process.
To '
what extent does the contractor act independently to expedite the flow of work both inside and outside his organization with the minimum expenditure of NRC resources to analyze and propose measures to correct problems.
c)
Ability to Adjust to Changing Needs 5 pts.
To what extent does the contractor exhibit the ability to adjust to the changing needs of the NRC.
d)
Ef fectiveness of Liaison Ef fort 5 pts.
To what extent does the contractor provide effective liaison with the NRC, licensees and cthers in order to efficiently manage the program and to facilitate the development of technical products.
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ATTACID1ENT A. 2.3 TO AFDP FOR CONTRACT NO. NRC-03-81-138 WITH rile FRANKLIN INSTITUTE EVALUATION CRITERIA FOR PERFORMANCE AREA NO.
3 (AREA IDENTIFICATION PER ATTACIDiENT C-2)
AREA WEIGHT 15 III. Cost And Contract Administration To what extent does the contractor conduct the work in a cost effective manner and to what extent has he effected improvements to further reduce the cost of developing technical work products.
To what extent is the contract administration effective.
a)
Business Management 10 pts.
To what extent does the contractor effect improvements and efficiencies in his program which are reflected in lower cost of developing technical work products.
b)
Contract Administration 5 pts.
To what extent is the contract administration to be most cost effective to the NRC including purchasing and subcontractor system, award fee administration, and report procedures.
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O ATTACHMENT A-1 TO AFDP FOR t-
. t' Contract No.
NRC-03-81-130 With -
n and Hn nornnrch c
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, GENERAL INSTR 11CTIONS FOR PERFORPANCE MONITORS *.
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PMs will conduct 1
. cooperative spirit so that a fair and accurate evaluation is ob tained.
This vill enhance contractor receipt of information fro:s which to plan i= prove ents in perfor ance., positive perfor=ance a~ccesplishcents should j
.be e phasi:ed just as readily as negative ones.
b.. Af ter an assenscent,. the FM vill discuss the results with.
- j appropriate PE3 -
personnel, noting any observed. deficiencies and/or acco:panying reco==e: 'ations. Adverse ite=s *or ar'eas of poor perfo r=ance vil's be covered to af ford the contractor an opportunity to clarify possible misunderstandings and to correct or resolve. deficiencies.
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?Ms =ust resenber that coccaces and visits with contractor personnel are to be accocplished within the context of official contrac-tual relation ~ ships. FMs vill avoid any activity or as socia tion hich night cause, or give the appearance of causing, a conflict o,f in t e r e s t. -
. ?M discussions vich conc:acco: [e:sonnel are *co t d.
to be used to
.instruct,' to direct, to supervise, or as an attecyc to ' control these -
personnel in the perfo.ance of the contract.
The rele of the ?M is to
=enito r, assess and av,alua t e, not to canage the contractor's effort.
2.
_Docu=entine Iva16attee/As sessment Ivaluations and assessments conducted res=lts obtained, a=d discus-sions with concractor personnel vill be docu=ented as follows:
(Specify fomat and ch'- =s infor=a tion I
requirements)
- 3. _ i' valuation / Assessment Reoorts
?Ms vill prepa're a "o rmal PMR in accon3ance wi t h-th e following instructions and submit it to the ?I3, or others, if appropriate, at The end of each =onth:
(Specify "for=at and nin'aun info r:a cion requirements) iha n e.,.ms 4.
?.s.uil1 '.he *;yra.pa red to. sake verbal eports recuired by the ?E3 as T'h airman.
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ATTACHMENT A-3 C ADIbiG TAB [4
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PROPOSED EVALUATIO GRADES Adjective Grade
!!umerical Grade Defini'tior$
Superior g6 to 100 Perf6rmance is outstandir.g in essentially all respects, and represents the very best which could be expected of any contractor.
This grade repre-sents a practical goal, to be awarded for a desme of performance which is real and attainable, not theoretical.
Excelle'nt 86 to 95 Performance ranges from substantially better than ayerage to outstanding.'
In this range the contractor
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- has improved all facets. of his operation beyond that level described for in the range below.. The con-tractor has greatly exceeded the schedules, output, '
'and overall performance which would be expected of an average contr' ctor'. ' Areas of deficiencies are a
- few and overall are considered relatively 6nimportant.
Contractor shows initiative in executing' t.ne job and in invoking improvements.
The degree.to which the contractor exceeds schedules, achieves objectives, eliminates areas of deficiency, etc., determines his grade in this range.
Good 80 to 85 This gra' de, the top of the good range, represents average performance and the point of reference for the grading system.
The contractor at this point
., has met most needs, schedules, expectations in a fashion which* corresponds to average or standard
- performance by a qualified contractor. Areas of below-average performance are about balanced by areas of abov'_-average performance.
76 to 80 In this range the c'ontractor is below, but apprcach-ing, average performance.
The degree to which the contractor has slipped below performance, has missed schedules, or shown uncompensated deficiencies determines the grade in this range.
Sa tis factory 70 to 75 Performance is below the average or standard per-formance expected of a qualified contractor.
The contractor at this point is halfway between average performance and performance which is considered unsa tis fac tory.
66 to 70 In this area the contractor is deficient in a significant number of areas, and these deficiencies are not offset by areas of above-average perfor.%nce.
The contractor's grade in this area will be determir.sc by the extent of the deficiencies and his proxi.7ity to ensatisfactory performance.
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spnerical Grade Definition
(,0 to 65 Performance is deficien. in substantial areas o'f t
effort, and is sufficiently far below performance 8?
as to be overall unsatisfactory.
Inmediate improve-rnent.is required in order to permit continuation
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of the contract.
g, Selow 59 There is zero award fee for performance below this rating.
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U. S. NUCLEAR REGULATORY COMMISSION LETTER OF CREDIT INSTRUCTIONS FOR RECIPIENT ORGANIZATIONS 1.
The following instructions are for use by State and local governments, educational institutions and any other public and private organizations which have been awarded NRC contracts financed under the Letter of Credit payment method.
2.
Selection of Commercial Bank Upon conclusion of contract negotiations and upon a determination a.
that such contract will be financed under the Letter of Credit method of financing, officials of your organization shall select a commercial bank and establish an account with such commercial bank for the purpose of processing payment vouchers on Letters of Credit.
The commercial bank must be a member of the Federal Reserve System or an " insured" bank within the meaning of the act creating the Federal Deposit Insurance Corporation.
b.
Recipient organizations must furnish the following information to the Division of Accounting, NRC:
the name and address of the bank selected;
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Letter of Credit Instructions for 3;.
Recipient Organizations 2
the title of the account established; a
a copy of the agreement (if a special account) with the bank; i
and 1
i the identity and location of the Federal Reserve Bank or Branch i
through which the commercial bank will clear the payment vouchers.
i c.
The recipient organization should request the selected bank to j
process payment vouchers expeditiously.
I 3.
Authorized Signature Card for Payment Vouchers -
Before a Letter of Credit may be issued in your favor, an official a.
of your organization shall designate one or more officials to sign payment vouchers and shall have suc.h designated officials affix their signatures to two copies of Standard Form 1194, Authorized l
Signature Card for Payment Vouchers on Letter of Credit (Exhibit 1).
L The responsible designating official shall affix his signature to i
l both copies in the space provided in the lower left-hand corner of Standard Form 1194.
The responsible official of your organization will indicate whether one or more signatures are required on a i
payment voucher by completing one of the two spaces provided for i
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t Letter of Credit Instructions for Recipient Organizations Both sined copies of Standard Form 1194 will be such purposes.
g returned to the Division of Accounting, NRC.
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b.
NRC may require the responsible designating : *ficial to present proper evidence that he has the authority to designate who will sign payment vouchers.
One or more officials should be designated as authorized alternates c.
to sign payment vouchers to provide for cases of absence of the principal official.
However, recipients should limit the authority to draw on Letter of Credit to the smallest practicable number of officials.
d.
Upon return of the two signed authorized signature cards to the Division of Accounting, NRC, one copy will be forwarded to the Treasury Department, Washington, D. C., for transmission to the appropriate Federal Reserve Bank or Branch servicing the commercial l
bank selected by you.
The second copy will be retained by NRC for 1
the purpose of comparing the signature' appearing thereon with the s
l signature or signatures appearing on individual payment vouchers.
i 4
l e.
Complete new signature cards should be submitted immediately when l
l there is a change (addition or deletion) in officials authorized to sign payment vouchers.
The new card must contain the signatures of all officials who will sign payment vouchers and the signature of the designating official.
A change in the position or title of an 3
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e Letter of Credit Instructions for Recipient Organizations official does not by it's' elf require a new signature card.
Facsimile signatures are not acceptable.
4.
Processing letters of Credit The Letter of Credit, Standard Form 1193 (Exhibit 2) is an a.
authorization from NRC to a Federal Reserve Bank or Branch to advance funds to a designated recipient, upon presentation of payment vouchers by the recipient to its commercial bank.
b.
Upon receipt of the two copies of Standard Form 1194 referred to in paragraph 3 above, the Division of Accounting, NRC, will issue a Letter of Credit in your favor.
The original and one copy, together with one copy of Standard Form 1194, will be forwarded tu the Treasury Department, Washington, D. C., for transmission to the appropriate Federal Reserve Ban 9., A signed copy of the Letter of Credit will be concurrently forwarded to you and will serve as a notice to you that credit has been established with the Treasury Department.
It must be noted that you should not submit a Form TFS 5401, " Payment Voucher on Letter of Credit," to your bank for funds until the signed copy of the Letter of Credit is forwarded to you by NRC.
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Letter of Credit I
fnstructions for l
Recipient Organizations
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5.
Amendments to the Initial Letter of Credit
~ ~~
l" Subsequent amendments to the initial Letter of Credit may be for one a.
of three purposes:
(1) to change the amount of the Letter of j
Credit, (2) a change in the name of your organization, or (3) a change in the title of the bank account designated to be credited i
with funds advanced under a 1.etter of Credit, or.a change in the l
w name of the bank.
1 i
b.
New contracts or amendments increasing obligational amounts under contracts financed under the Letter-of-Credit System will form the basis for increasing the amount authorized.
I i
The amendments will be signed by an NRC official and forwarded c.
i directly to the Treasury Depart' ment, Wasnington, D. C.
A signed i'
copy of each amendment will be forwarded to your organization.
I 6.
Letter of Credit Amounts Initial amounts.'uthorized under a Letter of Credit (SF-1193) and changes in these amounts will be determined by mutual agreement between the NRC
)
i Contracting Of ficer and the recipient organization.
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Letter of Credit Instructions for Recipient Organizations 7.
How to Obtain Cash Upon receipt of the signed copy of the Letter of Credit, or a.
amendments thereto, fill in the Form TFS 5401, Payment Voucher on f
Letter of Credit (Exhibit 3).
Care must be taken to insure that the
" Agency Station Symbol" nuniar placed on Form TFS 5401 is in agreement with the Agency Station Symbol number shown on the Letter of Credit against which 'the payment voucher is being processed.
Care will also be taken to insure that the proper Letter of Credit number is shown on each Form TFS 5401 which you process.
b.
The "date drawn" on the payment vouchers is the date of actual presentation to the recipient's bank.
T,he official who actually submits the voucher to the bank is responsible for the correct date.
Submit the original, duplicate and triplicate copies of Form TFS 5401 c.
(without snap-out -separation) together with a bank deposit slip to your bank.
Also send a facsimile copy with details of the payment voucher amount by NRC contract number to the NRC Division of Accounting.
After your bank account balance has been increased, you may proceed to issue checks or withdraw cash.
Retain the quadru-plicate copy for your files.
(see i. below.) To take advantage of the float on checks 'uutstanding, whenever possible, recipient organizations should delay drawdowns on Letters of Credit until f
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e Letter of Credit Instructions for Recipient Organizations
$5,000,000.
The amount drawn (advanced) should generally not exceed a
$1,000,000.
When disbursements by the recipient amount to less than 1
$5,000 in any calendar month, only one payment voucher should be drawn during the month to cover the amount needed.
Whenever it is necessary for a recipient to process individual payment vouchers in excess of $5,000,000, the Letter of Credit'must be annotated by NRC 4
4 as follows:
" Vouchers in excess of $5 million are authorized."
i.
Where possible, it would be desirable for the recipient to make arrangements with its bank to credit the recipient's account I
immediately upon presentation of the payment vouchers.
O the rwise, 4
i the commercial bank will credit the recipient's account upon acceptance of the payment voucher by the Federal Reserve Bank or Branch holding the Letter of Credit.
This may be the same day, or-may take longer, depending on the location of the Federal Reserve Bank or Branch.
The recioient should review with its bank any 3
apparent delays in receiving credit to its account.
j.
Payment vouchers will not be accepted by the Federal Reserve Bank or Branch if any of the following conditions occur:
Signed by an official whose signature is not on file at the i
bank.
Stamped with facsimile signatures.
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Letter of Credit Instructions for Recipient Organizations i
Missing or erroneous information.
4 Letter-of-Credit ceiling exceeded.
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The recipient will be informed when a payment voucher is not i
accepted and the reason for nonacceptance.
1 k.
Although Form TFS 5401 has pro'vided space for a countersignature,
/
the use of a countersignature is not required except where you have so indicated in completing Standard Form 1194, Authorized Signature 1
Card for Payment Voucher on Letter of Credit.
The use of counter-signatures is dependent upon the policies of your organization.
n 8.
Frequency of Withdrawals E
The recipient must consider the following factors in determining the a.
minimum amount of the withdrawal:
Actual or estimated cash on hand for all contracts combined under the Letter of Credit.
Estimate or actual cash disbursements.
Experienced variations in disbursement cycles.
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Letter of Credit Instructions for Recipient Organizations Processing time foN' payment ~ vouchers, b.
Federal funds should be drawn only as required to meet the Federal share of estimated or actual disbursements.
Minimum required cash is defined as the amount needed to cover c.
d disbursements scheduled within the time cycle for processing payment vouchers in the minimum amount of $5,000.
The recipient must know the time required to process a payment voucher from its initial preparation to the crediting of the recipient's bank account with i
Federal funds.
The longer the time cycle, the more difficult it may be to correlate disbursements.
The time cycle should, therefore, be shortened as much as possible.
J d.
The recipient should strive to draw daily, if disbursements are made daily ia amounts exceeding $5,00p, and if this is administratively feasible.
Many recipients, however, process disbursements in batches, such as semiweekly, weekly, semimonthly, or even monthly.
In this event, recipients should draw semiweekly, weekly, semi-monthly, or even monthly, so as to match the withdrawal pattern with the disbursement pattern.
This matching of withdrawals with disbursements is extremely important to the maintenance of minimum t
required cash.
Disbursement patterns should be analyzed to provide a basis for e.
predicting the Federal share of disbursements.
A graphic display 10
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Letter of Credit Instructions for Recipient Organizations 4
which matches cumulativ'e disbursements and cumulative withdrawals by i
date for all contracts will show whether withdrawals are excessive.
I j
To prepare a graphic display of this type only requir's the e
recipient to find a starting point where the balance of cash on hand can be determined and then to accumulate withdrawals and disbursements i
from that point for comparative analysis.
1 1
f.
The processing of the withdrawal voucher should be timed so as to be credited the day before or the day when disbursements will be made.
4 If the processing time by the bank is not pr oictable, the recipient i
should request the bank to review its processing of payment vouchers to determine if processing time can be stabilized.
If payment vouchers are processed on a daily basis, the recipient may have two, three, or four payment vouchers in varying stages of the process J
cycle.
9.
Fiscal Control OverWithdrawals i
)
t To fully achieve the objective of the Letter of-Credit System, cash
~
control records are essential.
The system of fiscal control used by each recipient should be developed to meet its individual organizational pattern.
The system should nevertheless provide that:
The authorized signatory official in.the recipient organization is a.
continually aware of the cash position of each Letter of Credit.
11 t
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t Letter of Credit s
Instructions for Recipient Organizations 4
4 I
b.
Cash on hand for all con' tracts combined is.the minimum amount needed to cover disbursements within the time cycle ~ required to process j
payment vouche'rs in the minimum amount of $5,000.
This requires a system for matching the withdrawal pattern with the disbursement pattern.
Total withdrawals do not exceed the Letter-of-Credit ceiling.
The -
c.
central maintenance of a log would suffice.
If the ceiling is l
inadequate, the recipient should request its revision.
Excess funds should not be drawn in one period to cover disbursements in the following ).eriod as a means to overcome an' inadequate ceiling.
d.
No withdrawn cash is applied toward any disbursement amount which exceeds the contract authorized amount.
Such disbursements'will be made from non-Federal funds, at the recipient's risk.
Likewise,_no cash will be drawn with the intent of applying it toward disburse-ments where the recipient has not received a contract authorization, or where the contract is not authorized, to be financed through Letter of Credit.
Practices which are' contrary to the requirements i
i set forth by this subparagraph are also contrary to achievement of the objective of the Letter of-Credit System and, therefore, can result in cancellation of the Letter of Credit.
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Letter of Credit Instructions for Recipient Organizat' ns 10.
How to Obtain Form TFS 5401 and Standard Form 1194 An additional supply of forms may be obtained by submitting a request to NRC.
The request should be addressed to the official who signed the Letter of Credit.
11.
Cancellation of a Letter of Credit Cancellation of a Letter of Credit is a matter for administrative determination by NRC.
Any of the following conditions may result in cancellation of a Letter of Credit:
Where the annual aggregate financing falls below $120,000 annually.
a.
4 If the reduced level is only temporary, the letter of Credit may remain in force.
b.
Where the business relationship between NRC and the recipient is completed nr terminated.
~
Where NRC determines that progress is not satisfactory toward c.
achieveaent of the objective of the Letter of-Credit System.
In the event that a Letter of Credit is canceled, an altgrnative payment procedure will be implemented.
13
1 c
c Letter of Credit Instructions for Recipient Organizations t..
12.
Preparation and Submission o'f' Monthly Statement of Transactions s.-
NRC Form 265,' Letter of Credit Monthly Statement of Transactions a.
(Exhibit 4), is designed to be used by NRC contractors operating under the letter of credit method to report advances, disbursements, and balances of Federal funds on a daily basis.
This information will be used by NRC to monitor the difference, if any, between the total amount of payment vouchers drawn and disbursements made against the NRC program.
It will also be used by NRC in the preparation of semiannual reports to the Department of Treasury.
b.
NRC Form 265 must be maintained on a daily casis.
For those days with receipt and/or disbursement activity, the total of that' day's activity must be recorded on the applicable " Day of Month" line.
If there is no activity, e.g. weekends and holidays, the " Day of Month" line for each inactive day must b,e left blank.
The balance of Federal funds brought forward from either the previous m~onth or the preceding day of the month with activity must be adjusted by the net
~
amount of receipts and/or disbursements on the next day of the month' with activity.
The NRC share of refunds, rebates, audit adjustments, or other-c.
recoupments of program disbursements should be credited to the accounts and included on the NRC Form.265 as a reduction 'of disbursements for the day on which the refund was received.
14
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Letter of Credit Instructions for Recipicr.t Organizations d.
The holding of Federal cash in excess of current-disbur ament-needs is contrary to the objective of the letter of credit (see para-graph 11.).
4t no time should Federal funds be deposited in an interest earni.ig account.
Nevertheless, any interest earned on Federal funds must be immediately returned to NRC for deposit as miscellaneous receipts.
Recipients must s.ot deduct unpaid obligations or accrued costs from
's.
Federal cash received in reporting the balance.
However, where NRC is sharing in administrative or overhead expenses of the recipient, the recipient should report the NRC share of these expenses as a disbursement of Federal funds.
Withdrawals of Federal funds by payment vouchers where authorized for administrative or c erhead I
expenses will nevertheless be correlated, to the extent feasible, with the disbursement pattern for these expenses.
f.
The original of the completed NRC Form-265 must be mailed by the i
third workday of the following month to:
U. S. Nuclear Regulatory Commission 4
~
Office of'the Controller l
Division of Accounting Financial Operations Branch i
j Washington, D. C.
20555 15 i
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13.
Preparation and Submission of Monthly Cost Report for Contract Under Letter of Credit NRC Form-266, Monthly Cost Report for Contract Under Letter of 3
a.
Credit (Exhibit 5) is designed to be used by NRC contractors to report the details of cost incurred as the result of work performed in accordance with a specific NRC contract.
The details will include, but not be limited to, direct labor and materials, contract
[
related travel of personnel, capital equipment acquisitions, and all cost incurred by subcontractors.
Overhead must be presented in terms of the base, e.g. direct labor, cost of sales, etc., the base amount for the report period, and the overhead rate.
Space is also provided for the reporting of prior period adjustments.
All prior period adjustments should be presented with sufficient detail to provide an adequate audit trail.
The difference between total-to-date contract costs and paymen,t vouchers credited under I
letter of-credit represents u'nreimbursed costs.
b.
The informatio from NRC Form-266 will be used by NRC to record the cost incurred under the contract being reporten.
Tt no point should the total-to-date drawdowns exceed total-to-date contract costs.
If this occurred, NRC would have to review the circumstances which lead to tha't situation.
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j 16
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letter of Credit Instructions for Recipient Organizations
^1.
The original of the completed NRC Form-266 must be mailed by the c.
eighth worday following the month being reported to:
U. S. Nuclear Regulatory Commission Office of the Controller Division of Accounting Financial Operations Branch Washington, D. C.
20555 i
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17
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t Exhibit 1 s..a..
..- n.4 lx tter of Credit Noinber
$54-,".*'"*
AUTHOrtlZED SIGNATUllE CAllD (1) r.oi s.~.
- -~ d A.. - -
Folt PAY 31ENT VOUCllElts I e ml Rmrve Bank ON LETTER OF Cl(EDIT (2) 1/:tter of Credit Issued in Favor of(Recipient)
Issued by (Federal Agency)
(4)
(3) j
_ _ _ = = = _
m SIGNATURES OF INDIVIDU A LS AUTHORI7,ED (5)O outv.o" sic"Aiuac siou <iD ou rAv-cui voucHt s TO DRAW ON Ti1E CITED LETTER OF CREDIT C Any two sionAiunts trou;ctD to sics oR counttisics Typed Name and Signature Typed Name and Signatuie (6)
(6)
Typed Name and Signature Typed Name and Signature (6)
(6)
I CIR'ITY TH AT THE stGNAlusEs A60vt ARE Of THE It4DiviouAts Au1HCR. Af f Rovto IZED lo DRAW PAYMit4T YOUCh(Rs f oR THE CliE D Lt11[R Of CREDIT.
(7)
(8)
DAll AND SIGN &lutt Of AGENCY (181stTING 08flCtt D Alt AND 5:GN AIUst Of A UTHORIZlNG Of PICI AL (fes.p. MJ e,
1If4-iOI Ef. 3. 00VLHMtENT FMIN14%G 07 TsCE : 35:2 0. o3 116 (1)
Letter of Credit number will be assigned by NRC.
If recipient is signing revised signature cards, the recipient must fill in the Letter of Credit number assigned by NRC.
(2)
Enter the name of the Federal Reserve Bank or Branch serving the selected a
commercial bank.
(3) Enter the name and the address of the recipient organization.
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z-Exhibit 1 (4) This block will be filled in 'y NRC.
If the recipient is submitting b
revised signature cards, the recip'ient must fill in this block, if not preprinted with the' name of the " Issuing Agency" as shown on the Letter of Credit.
(5)
Check the appropriata block:
FIRST BLOCK--A check in this block will authorize any one of the signatures in item (6) to issue a payment voucher (Treasury Form TFS 5401).
SECOND BLOCK--A check in this block will indicate that the recipient s
requires a countersignature.
Any' combination of two authorized signatures, on the payment" voucher will be considered a countersignature.
If the recipient wants to authorize certain individuals only to countersign payment vouchers, the notation " countersign only" must be shown next to their signatures on the signature card in item (6).
Countersignatures are not required, however, by the Department of the Treasury.
4 (6)
Enter the typed names and signatures cf persons authorized to sign payment vouchers.
Facsimile signatures are not permitted.
If more than four persons are authorized, use additional signature cards.
O 2
c 1
Exhibit 1
' -... L (7)
Enter the date, signature, and title of the official who has been
.y.k t
delegated authority from the governing body to approve the persons designated in the b' locks in item (6) and certify to the authenticity of their signatures.
The authorizing officer must sign e'ach card submitted.
If the authorizing officer will also sign payment vouchers, his name and signature must also appear in a block in item (6).
(8) To be completed by NRC.
~
NOTE:
Two completed signature cards are required for subraittal to NRC..
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Exhibit 2e
- c. is v,ua r s a :::o ISSUING AGENCY LETTER tunR Or Caton f.uentR 0F CREDIT A uth: Inc.AsuRY ccPAHTMcNT CIRCULAR tio.107s. Revised AMEf4DMEt4T IJUMDER AGEtICY STATION SYMf3OL (rOR AGEt4CY' USE)
ErrECTIVc DATE TO: The rederal Reserve Bank, ORANCH DANK AT e
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fn acccrdance with the authorization of the Fiscal Assistant Secretary, Treasury Department, there is hereby authoriicd for the account and responsibility of the issuing agency a letter of credit:
IM FAVOR OF f OR DEPOSIT ONLY TO ACCOUNT AMOUNT AUTHORi2 E l'RIOR AUTHORIZATION THIS CliANGE O r.ACH MONTO O EACl{ QUARTER Increase
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O WIT 3'OuT Tiuc tiuiT occrease D
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O The unpaid balance of this letter of credit will remain availat!a until you are advised in writing by tha Treasury Departmer that this le!!ct has be in revcked.*-
OR The unpaid balance of this letter of credit is revoked at the end of each period indicated and the full amount reestab ishe.
at the beginning of the fo!!owing period e'ntil you are advised in writing by the Treasury Department that this letter has bee revaked.'
The amount of th;s letter of credit is hereby certified to be drawn against, upon presentation to you of Form TUS 5401, Payme.,
Vcucher en lettcr of Credit, by the official (s) of the recipient orgcnization whcse signature (s) appear (s) on the Standard Fctr 1194, Authorized Signature Card for Payment Vouchers en Letter of Credit, attached hereto or previously or subsequen!!y fus nishedyou through the Treast y Department.
The smount of each payment voucher paid by ta Federal f?eserve Bank or branch to a designated commercial bank f:
credit to the acccunt of the recipient organization sha!! constitute paymcnt to the re:ipient organization by the United States.
I certify to the Treasury Department that the payments authorized herein are correct and proper for payment'from 12.
approp.iations or funds lega!!y coinmitted and available for the purpose. when paid in acccidance with the terms and cond; tier cited above.
~
'This ! citer of credit is irrevocable to the extent the recipient organization has obligated funds in good faith thereun in executing the authorized Federal program in accordance with the grant, contract, or other agreement.
O 9
DATE CER11FIED AuTHoRl2c0 CcR1tfYING ortlCcR k *
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e Exhibit 3 y
FORM TFS'5401 AND INSTRUCTIONS
>x FOR PREPARATION AND DISTRIBUTION 9
PAYRAENT VOUCHER ON LETTER CREDIT u
Q ')l q q 8') q ~5/ '
f 6 UN 1000 GT BE COLT.ECTED A5 A NON*C ASH ITEMI Ls LLv
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. The erswer's bank shall be the egent of the.frawer for the co!!ection of thle SERI AL NO.
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instrument and each sub*equent collecting commercial bank shall be the sub-ga 2e
.sent of the dr. wee.
SYfmol IJ-865 VDUCME R no.
LEfitR OF CRE0if NO.
AGENCY ST ATION SYuBOL D ATE WouCMCR CA AWN AucuMT EE S
gg n Aut Ann ADDRESS OF CR AWCR
u-
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gO m Aut AND ADDRESS OF U. S. AGE NCY I certify that this payrnent voucher has been dram 1s in accordance with the
-C terms and conditions of the letter of credit cited and that the erneune for whick -
draw =n is properly for credit to the account of the drawer et the drawer's bank.
D '5 (Signa t ure)
(Title) au lJ<
(C o unt e r s sg na ture)
(Tatte) -
3 fer suihorization of FJsc al Assistant Secretary, Department of the FOR FEDER AL RESERVE S ANK USE ONLY O
Tre asury, debit the general account of the U. S. Tr e a s u ry a nd pa y t o
{
the presenting bank the amount showra above.
(Dste f>ebned)
( Authorazed Signature) o 7,. 3 r "" 54oi F RMERLY T US FORM 5401,
" E,EP A RTMEN T OF THE T RE ASURY - FISC AL S ERVICT s-7s REv. u-o, wsiCH u Av nE usEo.
53 evacau or covcar. tcu r ri~ Auci ' oaca.rieur t-_..
.. = _ _
m (1) This preprinted " Serial No." is provided for use by the U. S. Department of the Treasury in reconciliation of payment vouchers.
The recipient is not required to maintain accountability for. these serial numbers; vouchers which are spoiled during pre.,aration may be discarded.
- However, payment vouchers furnished by one Faderal Agency will not be used by the recipient for any other Federal Agency.
1 (2) For each new letter of credit, payment vouchers are numbered sequentially begining with "1."
Alphabetic or fiscal ear designations will not be r
-'C
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Exhibit 3 e
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used.
Neither the closing of fiscal years nor amendments to the letter of credit will interrupt the sequentia'l numbering of payment vouchers.
(3) Enter the letter of-credit number from t!.e ?etter of' credit.
Do not I
enter amendment numbers which may appear on the letter of credit.
(4) Enter the NRC Agency Station Symbol from the letter of credit.
(5) Enter the date the payment voucher is presented to the commercial bank.
This space may have to be'left blank when the payment voucher is initially typed; it must then be filled in later by -the final signatory to show the date the voucher is presented to the commercial bank.
s f
(6) Enter the amount needed to meet current disbursement requirements, but not to exceed t' e amount authorized under the specific letter of credit.
referenced in (3) above.
(7) Enter the title of the person or the name df the recipient organization i
as shown on the Letter of Credit.
Also, enter the address of the recipient organization.
4' 4
i (8) Enter the name and address of the commercial bank that will process the
{
payment voucher to the federal Reserve Bank or Branch.
I' 2
q I
L Exhibit 3 n;
(9) Enter the name of the Federal Reserve Bank or Branch shown on the signature card and the Letter of Credit.
(10) Enter the following address:
U. S. Nuclear Regulatory Commission Office of the Controller Division of Accounting Financial Operations Branch Washington, D. C.
20555 (11) Obtain signature (and countersignature, if necessary) and title (s) of authorized official (s), for whom s'ignature cards have been submitted.
(12) Leave blank (for use by the Federal Reserve Bank).
-s Note
- Submit the original, duplicate and triplicate copies of Form TFS 5401 (without snap out separation).together with a bank deposit slip to your bank.
Retain the quadruplicate copy for your files.
On the facsimile copy of the payment voucher, the drawer will show the details by NRC contract number of the payment voucher amount.
Send the facsimile copy to the address in Block (10) above.
6 3
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LET T ER Ol' CliEDIT f.'.ONTliLY ST AT El.1ENT OF 1 R ANSACTIONS f.itC CD'J16f ACI OR
_J t L 11L si or L fit f ait f.u *l.L H (1)
(2)
UArdi; rJ A PAE L;Arar. ACCQUra l TJUP.iblH (3)
(4)
'>oN T oln A s f C DER Al FUNDS 5)
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3 A L ANCE (8)
DAY OF (6)
(7)
DISOURSE D RErriv0D
- f. ION T H s
1 S
S 5
6 7
8 9
11 12 13 24 l
15 s
16 17 19
]
_J 20 21 22 23 24 25 l
2G 27 28 29 l
30 31
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s (10) s (11) l TOTAL J
1artify t* sat the d.sta reportedabove is correct to the test of my i noa tedy=.
SIGN A T U RE TITLE DATE
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Pd A C f O R M 265 (2 778
{'
f Exh'ibit 4 TheNRCForm265shouldbecompletSdasfollows(thenumberscorrespondto 4,,
~
those on the form):
(1) Enter the official name of the contractor.
It should be the same as that I'
used on the contract.
1 (2) Enter the letter of credit r. amber assigned by NRC.-
This must be the same I
number that is reflected on each payment voucher that is included on this
^
statement.
(3) Enter the official name of the commercial bank where NRC letter of-credit funds are maintained.
g 5
(4) Enter the commercial bank account number of the account 'which has been
~
specifically designated for receipt and disbursement of funds in accordance with the letter of credit noted in (2) above.
(5) Enter the month and year being reported on the statement, e.g. 2/77..
(6) Enter the total amount of payment vouchers that have been credited to the account identified in (4) above for each day of the month being reported.
(7) Enter the total amount of actual disbursements (checks written) of Federal funds received via letter of credit for each day ofthe month being reported.
All refunds, rebates, audit adjustments, or other 2
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a Exhibit 4 w..
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recoupments of'previously disbursed Federal funds must be included in this column as a reduction of current disbursements.
(8) Enter the balance of Federal funds at the end of each day of activity.
(9) Enter the total amount of all payment vouchers credited to the account noted in (4) above isc the entire month being reported.
(10) Enter the total amount of Federal funds disbursed from the commercial bank account noted in (4) a'oove for the entire month ~being reported.
(11) Enter the balance of Federal funds at the end of the month being reported.
This balance must be brought forward to the next month's
~
statement.
1 (12) The signature, in ink (do not use a stamp or initials) of one of the persons authorized on the previously approved S.F.-1194, Authorized Signature Card For Payment Vouchers on Letter of Credit, to draw on the letter of credit cited in (2) above, date and title must appear in the appropriate spaces.
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IMC scre.,7G6 US fJDCLL AR I4 GUL AT Olh sO!.*.tif SIO!.
fiCl*0HT l'r 84tOD I'
[n Oi!. fDatel f.iONTHLY COST REPORT FOR CONTRACT UNDER LETTER OF CREDIT lid T O ro.,,i (b)
COrJTRACTOR F UNDS OBLIGATE O CONT RACT NO.
/.
ON CONTRACT (4)
~
(1)
(2) s TETTER Or CREOiT NO.
(s)
ELEMENTS O.F COST COST INCURRED CURRE NT rdONTH TOTAL TO DATE DIRECT COST:
].
(6)
(7)
LAPOR S
F/.AT E R I A LS (8)
(9)
CAPITAL ITE r?.5 (Show der,il,)
(]Q)
()))
s us CONT R A cts ISn ow <er,ii,i (12)
(13)
TRAVEL (14)
(15)
OTHE H (Specifyi:
(16)
(17)
(18)
(19) 6 (20) s (21)
TOTAL DIRECT COSTS S
D VERHE AD /Sho.v base, b.rse amount and rate):
9 4 %.
.;g:r '
S S
(22)
(23)
(24)
PRIOR PERIOD AD10STi.1EfJTS /Show detal/s):
W.
W:-f - %
I cmcr- -
S S
(25)
'(26)
TOTAL C0fJTRACT COSTS S (27)
(28)
DR AW D OWTJS. LET 'ER O F CR E DIT /S$o.v details /
,'w 9t* 57:t + -G.QrcfJr.2.cp. '
(29) u.'<.+,
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Uf.'REl?.18URSED COSTS
' 75CA'
- s j30_)
CERTIFICATION I certify that the costs and amounts stated herein have been incursM by the contractor in accordance with the terms of the sic N A TU R E (31) contract and that the contractor has fully complid with the terms and conditions of the contract.
(31 )
T ir t E (31)
DATE NRC 7 oRM 266 (2-77)
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i Exhibit 5 "N.
The NRC form 266 should be compl'eted as follows (the numbers correspond to
,g; those on the form):
(1) Enter the official name of the contractor.
It shoul'd be the same as that used on'the contract.
(2) Enter the obligated amount contained in latest contract amendment and cite the amendment number.
(3) Report Period - (a) The "FROM (Date)" on the initial report should be the date on which the contract became effective, and on succeeding reports should be the first day of the current month.
(b) The "T0 (Date)" should be the last day of the current m6 nth being reported.
(4) Enter the NRC contract number.
(5) Enter the letter of credit number assigned by NRC.
This must be the same number that is reflected on each payment voucher included on line (29) of this report.
(6) Enter the amount of direct Labor cost incurred during tjue current month.
(7) Enter the amount of direct Labor cost into.. _ from the inception of the contract.
2
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i-t Exhibit 5
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M' (8) Enter the amount of direct m terial cost incurred during the current month.
(9) Enter the amount of direct material cost incurred fro'n the inception of the contract.
2 (10) Enter the amount of capital equipment acquisitions made during the current month.
The contractor should use the NRC Property Record Unit Catalog to identify those eq'uipment purchases which are considtred capital items.
The details on an attachment should include as a minimum for each item a description, serial number, model number, and cost.. All non-capital equipment purchases will be included on line (16) below.
5, (11) Enter the amou'nt of capital equipment cost incurred from the inception of the contract.
No details are required for this amount.
(12) Enter the amount of cost incurred by subcontractors during the current period.
Details on an attachment should s,h~ow the name and amount for each subcontractor.
(13) Enter the amount of cost incurred by subcontractors from the inception of the contract.
No details are required for this amount.
5.
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~
l (14) Enter the amount of contract related travel cost incurred during the l
current month.
l l
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Exhibit 5 1 v2 (15) Enter the amount of' contract related travel cost incurred from the a-inception of the contract.
l-(16) Enter the amount of non capital equipment acquisitions
- made during the current month.
Details should include, but not be limited to, the same items requested on line (10) above.
Non-capital equipment is' defined as any unit of property that costs less than $500 but otherwise meets the capitalization criteria delineated in the NRC Property Record Unit 4
Catalog.
i (17) Enter the amount of non-capital equipment acquisition made from the inception of the contract.
g (18) Enter the amounts of any direct cost incurred during the current month i
i not includable on any of the above lines.
Contractor must provide definitive descriptions for these cost.s,.
(19) Enter the amount (s) of "0THER" direct cost incurred from the inception of the contract that could not be included on any of the above lines.
(20) Enter the total of direct cost incurred during the current month.
(21) Enter the total of direct cost incurred from the inception of the contract.
4
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(22)Showtheoverheadbasename,Edrrentmonth'overheadbaseamount,and j
overhead rate.
l (23) Enter the amount of overhead cost incurred during curr'ent month.
(24) Enter the amount of overhead cost incurred from inception of contract.
(25) Enter the amount of adjustments to cost previously incurred which are being reported during the current month.
The details must include, but not be limited to, the period to which the adjustment applies; the i
reasons for the adjustment; and for overhead adjustments, the original cost, base amount and rate reported, and the new rate and cost.
(26) Enter the amount of prior period adjustments from the inception of the contract.
t (27) Enter the total amount of costs incurred during the current month.
(28) Enter the total amount of costs incurred from the inception of the contract.
(29) Enter the total amount of payment vouchers credited to the commercial i
bank account established for the Letter of Credit identified on line (5) above.
Details on an attachment should include each payment voucher number, date presented to the commercial bank, and amount.
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(30) Enter the difference F.twen " TOTAL CONTRACT COSTS" and the total of payment vouchers credited from th'e inception of the contract.
s (31) The signature, in ink (do not use a stamp or initial's)'of one of the persons authorized on the previously approved S.F.-1194, Authorized-Signature Card for Payment Vouchers on Letter of Credit, to draw on the Letter of Credit cited in (5) above, date and title must appear in the appropriate spaces.
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11/80 Pages 1 through 61 v ;.
GENERAL PROVISIONS CONTENTS APPENDIX A - COST TYPE RESEARCH AND DEVELOPMENT CONTRACTS WITH COMMERCIAL ORGANIZATIONS GENERAL NO 1.0 '
1.1 Definitions
- 1. 2 Assignment 1.3 Assignment of Claims 1.4 Officials Not to Benefit
- 1. 5 Standards of Work
- 1. 6 Notice Regarding Late Delivery
- 1. 7 Covenant'Against Contingent fees
- 1. 8 Interest 1.9 Disputes 1.10 Notice to the Government of Labor Disputes 1.11 Audit 1.12 Examination of Records by Comptroller General 1.13 Order of Precedence
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1.14 Stop Work Order 1.15 Contractor Organizational Conflicts of Interest - Definitions 1.16 Contractor Organizational Conflicts of Interest - General Contract Clause 1.17 Dissemination of Contract Information 1.18 Private Use of Contract Information and Data 1.19 Drawings, Designs, and Specifications 1.20 Proprietary Data and Confidential Information 1.21 Privacy Act Notification 1.22 Privacy Act PERFORMANCE PROVISIONS NO 2.0 2.1 Permits 2.2 Safety, Health and Fire Protection
- 2. 3 Key Personnel 2.4 Security 2.5 Subcontracts 2.6 Consultant or Other Comparable Employment Services of Contractor Employees
- 2. 7 Litigation and Claims
- 2. 8 Excusable Delays 2.9 Changes 2.10 Inspection p
- y 2.11 Required Source of Jewel Bearing h,
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2.12 Government Property f
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Appendix B FRANKLIN RESEARCH CENTER CORPORATE SMALL AND MINORITY BUSINESS SUBCONTRACTING PROGRMi d
United States Nuclear Regulatory CctrJnission RFP No. NRR-80-138 e
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e SUN!!ARY The Franklin Rest-arch Center (FRC) has established a formal small,-
disadvantaged and women-owned business subcontracting prograin.
1his program is structured to ensure that FRC fully couplies with the Small Business utilization requirements and Minority Luriness subcontracting provisions in P.L.95-507.
FRC's subcontracting plan, designed to provide opportunities for small, disadvantaged and women-owned businesses for this particular contract, is
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enclosed for ycur revicw and response.
The specific subcontracting precedures described in this plan for identifying (outreach), evaluating and selecting small and minority firms for potential subcentracting and purchasing activities will be followed by the Franklin Research Center during the performance of this particular contract, if ascarded.
FRANKLIN RESEARCH CENTER CORPORATE SUBCONTRACTING PLAN 1.
RFP Number:
NRR-80-138.
'2.
Contractor Name:
Franklin Research Center 3.
Department:
Enginecring 4.
Name of Individual Completing This Plan:
Arthur D.
Rogers Telephone Number:
(301)S65-4235 5.
Total Estimated Cost' Total' Estimated Cost' of Prime Contract of Subcontract
$4,273,993 Dollars
$1,120,025 Percentage Goals
- Small Business
$860,870 20%
$860,870 77%
Small Disadvantaged
$101,172 2%
$101,172 9%
nusiness 6.
Narrative statement relative to goals, justification for all subcontracting Frast performance of the contractor, subcentracting with Small,Dusiness -and-Small Disadvantaged Business as they pertain to this particular contract:
The. Franklin Research Center has not established L definiti e percentage goal for subcontracting to small, disadvantaged and wo.T.en-ow.1ed businesses for this particular contract.
Shir approach van followed because of our previous experiences with the currcnt NEC contract which indicatcd significant dif ficulity in the id(ntification of small and
- Based on Best and Final of f er dat ed Decerber 5, JPF.0, the type of L,s.'s to be submitted, nnd_sulgject to fin :3 negat it.t ion..
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minority firms with the technical capabilities required for the participation in the performance of specific contract tasks.
Thus, FRC has concluded that the most effective way of ensuring the substantive participation of small, disadvantaged and women-owned firms in the participation of this particular NRC contract is for the Franklin t
Research Center to implement the " capacity building" provision in our corporate subcontracting plan.
Implementing this provision will, result l
in the development of the necessary technical capabilities by several ceall, disadvantaged and women-owned firms by strengthening their technical capabilities for serving as subcontractors for this particular NRC contract.
In developing this " capacity building" program FRC will attempt to utilize the support services provided by 7(j) provisions contained in P.L.95-507 and the Incentive Subcontracting Program provisions of OMB, Office of Federal Procurement Policy regulations dated May 9, 1980. This effort will be developed and coordinated with the following individuals and organizations:
Nuclear Regulatory Commission Small and Disadvantaged Business Representative Nuclear Regulatory Commission Small and Disadvantaged Business utilization specialist C
National Association of Black Manufactures National Technical Association American Association of Small Research Companies After a technical review of this plan by the Nuclear Regulatory Commission and subsequent negotiations FRC will modify this plan to include a complete examination of the following items:
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1.
Percentage goals (expressed in subcontracting -do'lla'r's)' for the utilization as subcontractors of small business concerns and small business concerns owned and controlled by socially and economically disadvantaged individuals:
(for the D6rposes of the subcontracting plan, the FRC will include all purchases, including a proportionate share of products, services, etc., whose costs are normally allocated as indirect or overhead costs)...
2.
A stat'ement of:
(a) total ~ dollars planned to be subcontracted; (b) ~ ~
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total dollars planned to be subcontracted to small business; and (c) total dollars planned to be subcontracted to small disadvantaged business.
3.
A description of the principal pri duct and service areas to be subcontracted as an identification of those areas where it is planned to use (i) small business subcontractors, and (ii) small disadvantaged business subcontractors.
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A statement of the method used In developing pr6 posed subcontractin". " '"'
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goals for (i) small business, (ii) small disadvantaged business.
'-"2 concerns.
5.
The specific procedures which FRC will use doing for the freplementation of the " capacity building" provision.
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Arthur Itogers, Admin'I'stratdr ~
CorporadesubcontractingPogram
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I Arthur D. Rogers, Administrator - Corporate Subcontracting Program.
n Description of Duties:
Assist Project Director in resolving issues between FRC and Small and Minority subcontractors
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Coordinate delivery of technical assistance
(" capacity building")
to small and minority subcontracts where appropriate.
Prepare and maintain detailed subcontractor selection procrJures.
Ensure compliance with P.L.95-507 (subcontracting provisions) and OMB implementation regulations.
Prepare and submit reports regarding FRC small and minority business subcontracti,ng plan progress.
i Maintain small and minority business resources file.
Assist Project Director in selecting tasks for small and minority business subcontracting Assist Project Director in selecting tasks for small and minority firms for subcontracts.
Prepare and monitor detailed subcontracting plan, consisting of the following elements:
Narue of small business (s)
Name of minority firm (s)
Specific tasks / assignments to be performed Percentage of prime contract Dollar value of subcontract 4
Technical assistance to be provided for subcontractor that will assist in the further development of their corporate capabilities Subcontractor -- 1st tier'-- plans.
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OC Or Assist Project Director'in monitoring'small and~ minority business i
subcontract performance.
9 Continuing analysis of " Scope of Work" tasks to identify additional small and minority business subcontract opportunities.
Ongoing review of'small 'nd minority business resources data file to a
match small and minority businesses with subcontract task opportunities.
7.
Describe the efforts that will be taken to assure Small Business and Small Business concerns owned and controlled by the socicily and economically disadvantaged will have an equitable opportunity to compete for subcontracts as they pertain to this procurement:
SUBCONTRACTING EVALUATION PROCESS A.
Request small and minority business source list from small and minority business professional organizations, small and minority business development organizations, private and public sector sponsored small and minority business development programs.
B.
Send letter to selected small and minority firms explaining FRC's subcontracting program and request additional information about their corporate capabilities, including technical skill areas, available technical personnel, current-and former centract areas, present and past clients, references - name, address, and telephone number of specific individuals - from list of present and current clients, financial statements, and annual report.
C.
After receipt of small and minority businesses capability statements, select the firms which appear to have the capabilities in the skill are'a's in each of FRC's most frequent contract areas.
D.
Schedule A " Field Visit" as required to the selected firms and prepare a corporate profile consist,ing of the following information:
1.
Basic Data a.
Name of firm-b.
Address c.
City and county d.
Key personnel t
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Equipment and Capabilities
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Major items of equipment b.
Technical personnel - qualifications c.
Technical skill areas d.
Available technical personnel 3.
Performance Record a.
Current and former contract areas b.
Present and past clients c.
Specific references
- Names
- Addresses
- Telephone numbers d.
Categories of current and former contract effort performed e.
Product (s) produced or results 4.
Financial Capacity a,
Annual volume b.
Number projects c.
Largest project 5.
Select the small and minority firms that have the technical capability and acceptable record of performance for FRC's small and minority business subcontracting resources file.
SUBCONTRACTING SELECTION PROCEDURES t
A.
Develop and maintain current / updated small and minority business profilcs consistng of firms with capabilities in each of FRC's most frequent contract areas.
B.
After a decision (assignment of proposal number) has been made by FRC to submit a proposl in response to a procurement announcement (RFP), analyze " Scope of Work" tasks and designate specific tasks for subcontracting to small and minority businesses which have the capabilities in each specific skill areas.
C.
Select two-firms.from resources file in each skill area required *
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by the " Scope of Work" tasks.
D.
Notify each firm within the next twenty four (24) hours about the proposed procurement, which will include the-following-specific:
information:
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Federal Agency.
Procurement Announcement - RFP number of references Skill areas required by " Scope of Work" tasks
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percentage goal of total contract effort to be subcontracted Estimated dollar amount of proposed subcontract (s) (if practical)
E.
Request additio,nal information about firm's capabilities, int.c r es t, references, etc.
F.
Schedule technical briefing within three days for the firms who have the required technical capabilities and interest necessary to perform tasks required by " Scope of Work".
This briefing will deal with the following issues:
Procurement (RFP) " Scope of Work" requirements Proposal development timetable Specific " Scope of Work" to be assigned to subcontractors Explanation of technical capability requirements
[
Determining if technical assistance is required by subcontractor (s) for " capacity building".
G.
Selection of firm (s) to be given subcontracting assignments af ter receipt of proposals based on followd.ng cirteria Demonstrated interest Technical and management capability Availablility of technical personnel Cost in addition to criteria of the RFP H.
Notify other firm (s) not selected within the next working day (8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br />)
I.
Determine schedule for the provision of technical assistance as required.
- 8. Provide a recitation of the types of records your concern will maintain to demonstrate procedures which have been adopted to comply with the requirements and goals set forth in this plan, including the establishment of source-lists of Small Business-concerns and Small--- -
Business ccncerns owned and controlled by sccia]Iy and economically disadvantaged individual; and efforts to identify and award subcontracts to such Small Business concerns as they pertain to this procurement:
The Franklin Research Center is fully committed to submitting a.
(appropriate) periodic reports and participating or cooperating in any. studies or surveys as may be required by the contracting agency or the small Business Administration in order to determine the extent of compliance by the offeror with the subcontracting plan.
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The Franklin Research Center will maintain the following records relative to our corporate subcontracting program, and other
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specific records that may be required by the sponsoring Federal agency or the Small Business Administration:
Types of records to be maintained:
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Name of minority business ' firms Subcontract totals Technical support services c.
ered
' Performance of subcontractors Statistical profile Outreach ptogra.
Sutcontracs :ompetitive bidding process
- 9. The Franklin Research Center will include the following policy statement:
a.
It is the policy of the United States that small business concerns and small business concerns cwned and controlled by socially and economically disadvantaged individuals shall have the maximum practicable opportunity to participate in the performance of atracts let by any Federal agency.
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b.
The contractor hereby agrees to carry out this policy in the awarding of subcontracts to the fullest extent consistent with the efficient performance of this contract. The contractor further agrees to cooperate in any studies or surveys as may be conducted by the United St,ates Small Business Aaministration or the awarding agency of the United States as may be necessary to determine the extent of the contractor's compliance with this clause.
c.
As used in this contract, the term "small business concern" shall mean a small bus. ness as defined p6rsuant to section promulgated pursuant thereto.
The term "small business ccncerns owned and controlled by socially and economically disadvantaged individuals" shall mean a small business concern--
(i) which is at least 51 per centum' owned by one or more socially and economically disadvantaged individuals; or in the case of any publicly owned business, at least 51 per centum of the stock of which is owned by one or more socially and economically disadvantaged individuals; and (ii) whose management and daily business operations are controlled by one or more of such indiv10Jals.
The contra-tor shall presume that sceially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Native Americans, and other minorities, or any other individual found to be disadvantaged by the Administration pursuant to secton 8(a) of the Small Business Act.
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0 1, the undersigned, a designated officer of Franklin Research Center, do herewith assure that this concern will include the clause ' required by this contract in all subcontracts which offer further subcontracting opportunities, and that as the prime contractor will require all subcontractors (except small Business concerns) who receive subcontracts in excess of $1,000,000 in the case of a contract for construction of any public facility, or in excess of
$500,000 in the case of all other contracts, to adopt a plan similar to this plan. I further assure that as the prime contractor we will submit such periodic reports and cooperate in any studies or surveys as may be required by the Contracting Federal Agency or the St. All Business Administration in order to determine the extent of compliance of this plan.
D John R. Stover Vil:e President V
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