ML20211B638
| ML20211B638 | |
| Person / Time | |
|---|---|
| Issue date: | 05/29/1986 |
| From: | Hagan T NRC OFFICE OF ADMINISTRATION (ADM), SOUTHERN NEW ENGLAND TELEPHONE CO. |
| To: | |
| Shared Package | |
| ML20211B634 | List: |
| References | |
| CON-NRC-10-86-259 NUDOCS 8606110806 | |
| Download: ML20211B638 (21) | |
Text
i THis cONTR ACT IS A R ATE D 0%DE R P A IING PAGE OF P A(. L 5
', AWARD / CONTRACT UNDE R DPAS 115 CF R 350) l 1
l
- 2. CON T R AC1 trror J.s t idr48 A NO.
- 3. E F F LC T evL DAT L
<. RE Gussei SON / PURCHASE REQUEST /PROJE C T NO NRC-10-86-259 10/1/85 RFPA ADM-86-259
- 5. ISSUE D Sv
- 5. AoviNi5 T L a c o S v tu O,h. r,haro,,r, 3, U.S. Nuclear Regulatory &nIn~5stw--
CoDEj Division of Contracts Washington, D.C.
20555
- 8. DELevL R v Southern New England Telephone Company 5 West Service Road foe ORIGIN OTHE R (Scr 6r fou s Hartford, Connecticut 06120
- 9. oiSCOU~i F O R PROMpi P Av ME N T 10 SUBM6T INVOICES pTEM 94 cOpscs unless other y
arsar spect/ sed s TO THE CODE F ACILITY CODE ADDRESS SHQ/!N IN
- 31. SMa P 10/MAhnFOH
- 12. PA v MLN T WIL L BL M AOL l$ v Ste Section F U.S.NuclearRegulatoryCommif9T6d CODE ORM/ Division of Accounting & Finance, G0V/COM Washington, D.C.
20555 23AUT**ORIT v F OR USING OT HE R THAN F ULL AND ODE N' C Oi*PE ti-MR No. NTeNG s.N33-6-08 AC OU A ppa cm A t.c N O A T A 42 T 'o~
IAppn No. 31X0200.406 8 o u S C 25:nCn 1 io u 5 C 230laii i
15A ITEM NO 158 SUPPLIES / SERVICES ISC OUANTITv ISD UNIT ISE UNIT PRICE ISF AMOUNT See Section B 8606110806 860529 PDR CONTR NRC-10-86-259 pgg 15G. TOTAL AMOUNT OF CONTR ACT >!s 38,300.00
- 16. TABLE OF CONTENTS U lSEC l DE SCRIPTION lPAGE (5)
V! lSEC l DESCRl* TION lPAGE S' PART I-THE SCHEDULE PART it - CONT R ACT CLAUSES X
A SOLICITATION /CONTR ACT FORY l
Xl 1 l CONT A ACT CL AUSES l 11 I X B
SUPPLIES OR SE PVICES AND PRICES' COSTS 2
PART m - UST OF DOCUMENTS. E xHIBITS AND OT HE R ATT ACH C
DESCRIPTION / SPECS / WORK STATEMENT XlJ l LIST OF ATTACHMENTS l 13 X
D PACK AGING AND MARK (NG 3
PAaT iv - REPRESENTATIONS AND INST RUCTIONS X
E INSPECTION AND ACCEPTANCE 3
K R E P R E SE NT ATIONS. C E RT IF IC ATIONS AND X
F DELIVERIES OR PERFORMANCE 3
OTHER STATEMENT ( OF OFFERORS X
G CONTR ACT ADMINISTR ATION DATA 3
L INSTRS. CONDS. AND NC TICE S TO OF Ft RORS X
H. SPECI AL CONTR ACT REQUIREMENTS 7
M EVALUATION F ACTORS FOR AWARD CONTRACTING OFFICER WIL L COMPLETE ITEM 17 OR 18 AS APOLICABL E S T.
CONT R ACTOR'S NEGOTIAT ED G R E EM E N T ICON tractor u re 18.
AW ARD tContractor is not reeus-ed to susn this dOrument I v0u r Quared to sngn thss dOtument end return inpnes to Essutnt Offoce i Of f er On SOf sCetatnOn NumDtv _
adCateOnl Or C M a *5 3 e1.,
Contractor agreet to funneth and Ottawer att ste*ns Or DerfOem 3H the serweCet lef
?nClucen4 the 400st*Ont Or Chances ma3e Dy you
- h'CM fif tf5 Or 6theruvite ederstaf ed aOOve and On any COntenuation Sheets for the a e let forth an full aDOwe. 5 Me'eDy aCCe:ted as to the items tested above and i
Conte @tr(tion statec nere+n. The rights and OblaGat*Ons of the Darties to then Jn any COntiftuation Snetts. Ines 4+4'O Consummates the Contract *niCM Con-C7Mhrf Cl thIll De Sud ett to and 9Overned Dy the f oisowing OOCumenti: (4) tnog geSit Of the following documents ga) tMe GOve'nment's sol Cital*On and VCur
*trO COntrtCt. (D) the tohcitation. if any, anO (Cl SuCN Drnwr$*0nt. reDrelenta-of fer, and (b) that award / con!'act, sw aut tner Conf ractuai OOcu nent il metel-r t iO r* l.
C9ttef 8 Cat eOnt. and toeCaf eCat Ont. as are attaCneO Or enCOrporated D)
- Saty, r% enCs n1reen. (A ttachments are insted hereen p 19A. N=M E AND T IT LE OF SIG NE R iT3 pe or prin t, 20A. NAME OF CONT R ACTING OF FICE R Timoth agan,< Contra ing Officer ThonAJ f (cd CasoM dup".-Akt/4 W
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198. N AM E OF C ONIR A T A l19C. DATE SIGNED 208< UNIT E D TATE rarV E M C V ~
20C. O A SIG N ED Qv $_ g h essenature Of person auttqffard to esens gg i'BY
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ST ANDARD FOR'M 26 (RE v. 4-81)
NTN 75'3-01 152 8069 26-107 l01EvlOUS EDITION UNUSABLE Pag'gD 0 y A
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NAnd or o##seos ce coNtaactos ITEM NO SUPPtif5/StfYlCl3 QUANT!TY UNIT UNif P00 AMOUNT Section B - Supplies or Services and Prices /
Costs B.1 Description of Work The Contractor shall provide local and long distance telecommunication services including installations, removals, maintenance and moves of telephones and other associated equipment in suoport of the NRC's Emergency Notification System and Health Physics Network at the following locations:
1.
Haddam Neck Nuclear Power Plant Injun Hollow Road Haddam, Connecticut Estimated Amount...............................
$12,900.00 2.
Millstone 1, 2 and 3 Nuclear Power Plant Route 156 and Access Road Waterford, Connecticut Estimated Amount...............................
$12,900.00 3.
United Nuclear Corporation Montville Fuel Facility (Technical Support Center)
New London County Montville, Connecticut Estimated Amount...............................
$12,500.00 TOTAL
$38,300.00 The Contractor shall provide these services in accordance with the provisions of the Connecticut Public Utility Control Authority Tariff entitled:
" Southern New England Telephone Company Tariff" W lot cU.S.
G.P.C.
1983-301-526/e386
]. s.
Page 3 B.1 Remittance Address If item 15c. of the Standard Fom 33 has been checked, the offeror shall enter the remittance address below.
Name:
Address:
Section D - Packaging and Marking - None applicable Section E - Inspection and Acceptance - None applicable Section F - Deliveries and Perfomance 1
F.1 Duration of Contract Period The period cf perfomance for this contract shall commence on October 1, 1985 and end on September 30, 1986.
F.2 FAR Citations Section G - Contract Administration Data G.1 Project Officer l
, A.
The individual (s) listed in '8" below is (are) hereby designated t
as the Contracting Officer's authorized representative (hereinafter called Project Officer) for technical aspects of this contract.
The Project Officer is not authorized to approve or request any action which results in or could result in an l
_1ncrease - f n contract cost; or terinina te, settle any cIafe or l
_ dispute arising under the contract, or issue any unflateral directive whatever.
1
Page 4 The Project Officer is responsible for:
(1) monitoring the Contractor's technical progress,
including surveillance and assessment of performance, and recomending to the Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) performing technical evaluation as required; performing technical inspections and acceptances required by this(4) contract; and (5) assisting the Contractor in the resolution of technical problems encountered during performance.
Within the purview of this authority, the Project Officer is authorized to review all costs requested for reimbursement by Contractors and submit recomendations for approval, disapproval, or suspension for supplies / services required under the con tract.
The Contracting Officer is responsible for directing or negotiating any changes in terms, conditions, or amounts cited in the contract.
For guidance from the Project Officer to the Contractor to be va lid, it must:
(1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed
- terns, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of performance or contract delivery schedule; and, as stated,above, constitute a basis for any increase in the contract cost. (4) not B.
Name and Mail Code:
Mr. Herb Rickert Office Address:
U.S. Nuclear Regulatory Commission Telecommunications Branch, OF05, W-331 Washington, D.C.
20555 Telephone Number:
(301).492-8257 l
l l
1 l
l l
Page 5 G.2 p_ayment Due Date (a) Payments under this contract will be due 30 calendar days after the later of:
(I) The date of actual receipt of a proper invoice (original and 4 copies) to:
U.S. Nuclear Regulatory Comission Division of Accounting and Finance Office of Resource Management ATTN: G0Y/COM Accounts Section Washington, D.C.
20555 or (2) The date the supplies are accepted by the Government.
(b) For the purpose of determining the due date for payment and for i
no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of these supplies in accordance I
with the terms of the contract.
(c) If the supplies are rejected for failure to conforn to the technical requirements of the contract, or for. damage in transit or otherwise, the provisions in paragraph (b) of this clause will apply to the new delivery of replacement supplies.
(d) The date of payment by wire transfer through the Treasury Financial Comunications Systems shall be considered the date payment is made for individual payments exceeding $25,000.
The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.
G.3 Invoice Requirements Invoices shall be submitted in an original and 4 copies to:
1 U.S. Nuclear Regulatory Commission Division of Accounting and Finance Office of Resource Management ATTN:
GOV /COM Accounts Section Washington, D.C.
20555.
To constitute a proper invoice, the invoice must include the following information and/or attached documentation:
(1) Name of the business concern and invoice date.
(2)
Contract number or other authorization for delivery of property or services.
i l
l (3) Description price and quantity of property and services actually delivered or rendered.
N
Page 6 (4) Shipping and payment terms.
(5) Name (where practicable title, phone number, and complete mailing address of respon)s,ible official to whom p sent.
(5) Other substantiating documentation or information as requ the contract.
G. 4 Interest on Overdue Payments (a) The Prompt Payment Act. Public Law 1801) is applicable to payments under this contract and re the payment of interest to contractors on overdue payments and improperly taken discounts.
(b)
Determinations of interest due will be made in accord and Budget Circular A-125, Vol. 47 Federa 25, 1982.
Among other provides that:
considerations, OMB Circular A-125 (1) because of a disagreement over the amoun other issues concerning compliance with the terms of the contract.
(2) days, interest will beWhenever a proper invoice is paid aft l
interest rate applicable on the payment date. included with th be computed from the day after Interest will payment date.
the due date through the
~
G. 5 CONSIDERATION The present estimate for performing the work under this contract is538,300.00.
$38,300.00.
The total arount oblig:nd is ir.:reased by the Contracting Officer froe time to tim written notice to the contractor.
ceiling, the contractor shall be excused fror furthe l
pe rformance of the work ar.c' liabilities) unless a(nd until the Contractinc Officerexcept increases the amount obligated under this contract th< extent that such ceiling has been increased, any costs If and tc ir. curred by the contractor in excess of the ceiling prior to its increase shall be allowable to the same extent as if s ccsts had beer. incurred after such increase in the ceiling."
l
1 Page 7 Section H - Special Contract Requirements H.I Contractor Organizational Conflicts of Interest (OMS Clearance Number 3150-0132)
(a)
Purpose.
The primary purpose of this clause is to aid in ensuring that the Contractor:
(I) Is not placed on a conflicting role because of current or planned interes t (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b)
Scope.
The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 CFR 920-1.5402(f) in the activities covered by this clause.
(c)
Work for Others.
Notwithstanding any other provision of this contract, during the terin of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of inferest with respect to the work being performed under this contract.
The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.
If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firin or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual a rrangement.
I
Page 8 (d) Disclosure after award.
(1) and belief and except as otherwise set forth in th does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).
(2)
The Contractor agrees that if after award it discovers organizational conflicts of interest with re:pect to this contract, it shall make an isomediate and full afsclosure in writing to the Contracting Officer.
This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the Government.
(e) Access to and use of information.
(1)
If the Cottractor in the perfomance of this contract obtains access to infoma tion, such as NRC plans, policies, Privacy Act of 1974 (Pub. L.93-579), or data which h released to the public, the Contractor agree's not to:
(1)
Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based on such information for a period of six (6) months after either the completion of this contract or the release of such I
infomation to the public, whichever is first; (iii) submit an unsolicited proposal to the Government based on such infomation until one year after the release of such information to the public, or (iv) release the information without prior written approval by the Contracting Officer unless such information has previously been released to the public by the NRC.
(2)
In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub.
L.93-579),
or other con fidentia l or privileged technical, business, or financial
Page 9 information under this contract, the Contractor shall treat such information in accordance with restrictions placed on use of the informa tion.
(3)
The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirenents of this contract have been met.
(f)
Subcontracts.
Except as provided in 41 CFR 20-7.5402(h), the Contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms " contract," " Contractor," and
" Contracting Officer," shall be appropriately modified to presern the Government's rights.
(g)
Remedies.
For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representa tions as necessarily imply bad
- faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
(h) Waiver.
A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 120-1.5411.
N.2 Nethod of Payment (a)
Payment under this contract will be made by wire transfer through the Treasury Financial Comunications System for each individual in excess of $25,000 and by Treasury check for each payment individual payment of $25,000 or less.
(b) Within seven days after the effective date of the contract, the Contractor shall forward the following information in writing to the Contracting Officer to facilitate wire transfer of contract payments.
In the event that the Contractor's financial institution has access to the Federal Reserve Comunications System, Contracter shall complete all iters except items 7 - 9.
In the event the Cor, tractor's financial institution dnes not have access to the Federal Reserve Communications System, Cor. tractor shall complete all items except item 4 1.
Nane and address of organization 2.
Contact person and telephone number 3.
Name and address of financial institution 4.
Contractor's Financial institutions's 9-digit ABA identifying number for routing transfer of funds
.........^~
.I Page 10 5.
Telegraphic abbreviation of Contractor's financial institution 6.
Account number at Contractor's financial institution if it receives electronic funds transfer messages through the Federal Reserve Ccamunications System i
7 Name and address of the correspondent financial institution if the Contractor's financial institution does not receive electronic funds transfer messages through the Federal Reserve Communications System 8.
Correspondent financial institution 9-digit ABA identifying number for routing transfer of funds 9.
Telegraphic abbreviation of correspondent financial institution 10.
Signature and title of person supplying this infortnation i
(c)
Any changes to the information furnished under paragraph (b) of this clause shall be furnished to the Contracting Officer in writing.
It is the Contracto:'s responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.
r I
44
l Page 11 PART II - CONTRACT CLAUSES Section!-ContractClhses
_ Rates. Char 9es and Services (a) with all applicable tariff,The Services and facilities furnishe r ance rates, charges rules, regulations or requirements (1) lawfully established by an, appropriate govern regulatory body; and (11) applicable to service and facilities furnished or offered by the Contractor to the general public o subscribers; or at rates, terms and conditions of service facilitie r his furnished or offered by the Contractor to the general public subscriber; or at rates, tems and conditions of service as may or his agreed upon
- subject, when appropria te, to jurisdiction of an appropriate governmental regulatory body.
furnished, the Government shall be charged atFor any services which are under the most favorable tems and conditions for si the lowest rank and facilities offered to any other customer.
(b) furnished hereunder at any time.The Government may discon es Upon discontinuance, the Government shall pay to the Contractor all charges for services and facilitie adjusted to the effective date of discontinuance.
(c) the services hereunder but drms not cancel or te y of amounts paid or payable to the Contractor for providing the ser, vic em the deferred or sodified shall be equitably adjusted in accordan applicable tariffs filed by the Contractor with deferral or change o ce with if no tariffs filed by the Cantractor with the regulatory co and in effect at the time of the deferral or change or, if no tariffs mission are in effect,"by written agreement between the Government and th Contractor.
Failure to agree on any adjustment shall be a dispute e
concerning a question of fact within the meaning of the " Disputes" clause.
(d)
When the use of service or facilities furnished by the Contractor is interrupted due to any cause other than the negligence or willful act of the Government, an adjustment of the monthly charges involved shall be made for the service and facilities rendered inoperative by reason of the interruption.
The adjustment to the monthly charge shall be in
~
accordance with the applicable tariff.
Tariffed Charges (APR 1984)
The Contractor may pass through to the Government an increase in tariff prices for those elements of tariffed service provided by a regulated carrier, if the charge has been separately identified in the price schedules.
If payment is required for any tariffed charge which was not separately identified in the price schedules, the Government shall deduct such amount from payments to the Contractor.
i
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Page 12 j
- 1. FEDERAL ACQUISIT10h REGULATION (48 CFR CHAPTER 1) CN 52.252-2 CLAUSES INCORPORATED BY REFERENCE.
(APR1984)
This contract incorporates the following clauses by reference, with th same force and effect as if they were given in full text.
Contracting Officer will aske their full text available, Upon request, tk fection E Section F 52.212-13 STOP-WORK ORDER. (APR1984)
Section I 52.232-6 PAYMENTS UNDER COMMUNICATION SERVICE CONTRAC 52.202-1 DEFINITIONS.
(APR1984) 52.203-1 0FFICIALS NOT TO BENEFIT.
(APR 1984)
~
52.203-3 GRATUITIES.
(APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR 1984 52.208-3 CONFLICTS. (APR1984) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AN DISADVANTAGED BUSINESS CONCERNS.
UTILIZATION 0F LA80R SURPLUS AREA CONCER 52.220-3 52.222-26 (APR 1984)
(APR 1984)
EQUAL QPPORTUNITY.
52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED VETERANS (APR1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WOR 52.229-4 FEDERAL, STATE, AND LOCAL TAXES (NONCOMPETITIVE C (APR1984) 52.229-5 l
TAXES--CONTRACTS PERFORMED IN U.S. POSSES RICO. (APR 1984) i 52.232-11 EXTRAS.
(APR1984) 52.232-17 INTEREST. (APR1984)
~:
52.232-23 ASSIGWfENT OF CLAIMS.
(APR1984) 52.233-1 DISPUTES. (APR 1984)--Alternate I.
(APR 1984) j 52.243-1 CHANGES--FIXED-PRICE.(APR1984)
?
t 52.244-1 SUSCONTRACTS (FIXED-PRICE CONTRACTS)
(APR 1985) 52.244-5 COMPETITION IN SUBCONTRACTING.
(APR 1984) 52.249-4 TERMINATION FOR CONVENIENCE OF THE GOVERNMENT (SERVICES) (SHORT FORM).
(APR1984) 52.249-8 DEFAULT (FIXEli-PRIrf SimPiY AND SERVICE).
(APR 1984)
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Page 13 PART Ill - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACMENTS Section J - List of Attachments Attechment Number 71 tie I
NRC Organization Chart 2
NRC Contractor Organ 1 rational Conflicts of Interest (41 CFR Part 20) 3 Billing Instructions l
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PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec. 20-1.5401 Scope and policy. 20-1.5402 Definitions. 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest. 20-1.5404 Representation. 20-1.5405 Contract clauses. 20-1.5405-1 General contract clause. 20-1.5405-2 Special contract provisions. 20-1.5406 Evaluation, findings, and contract award.. 20-1.5407 Conflicts identified after award. 20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-l'.5410 Subcontractors. 20-1.5411 Waiver. 20-1.5412 Remedies. AUTHORITY: Sec. 8, Pub. L. 95-601, adding Sec.170A to Pub. L. 83-703, 68 Stat. 919, as amended (42 U.S.C. ch. 14) 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizatior.s or persons (including those regulated by NRC) which may give rin to actual or potential conflicts of interest in the event of contract award. (b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased,, or where it may have an unfair competitive advantage? (c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other relat'ionships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC. __
=- M 7590-01 agreements with other government agencies, international organizations, . or state, local or. foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate. 520-1.5402 Definitions i l -(a) " Organizational conflicts of interest" means that a relationship l exists whereby a contractor or prospective contractor has present or l planned interests related to the work to be performed under an NRC i contract which: (1) May diminish its capacity to give impartial, technically l sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage. ) (b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation. (c) Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy. (d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of.its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or statements of work. (e') " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c). i (f) " Contractor" means any person, firm, unincorporated association, joint venture, co-sponstor, partnership, corpor.ation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC. I (g) " Affiliates" means business concerns which are affiliates of ~ each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR I1-1.606-1(e)). .(h)' " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for l supplies and subcontracts in amounts of $10,000 or less. l (i) " Prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or l affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. 2-
~ 7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise frcm award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give . i:2 Oc an actual conflict or whicn must be re;;orted to the contracting officar for investigation if they arise during centract performance. 520-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract? The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of comon sense and good business judgment based upon the relevant facts disclosed and the work to be performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs. (b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances: (1) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same area to any organization regulated by the NRC. (ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC. (iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing. (iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. l. _ _.
7590-01 (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances: (i) Where the offeror or contractor prepares specifications which are to be used in competitive procurements of products or services covered by such specifications. (ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies. (iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action. (iv) Where the offeror or contractor is granted access to proprietary information of its competitors. (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. (c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example. The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp. advises that it is currently performing similar analyses for the reactor l manufacturer. Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy. (2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various l projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP. . l l
d 1 7590-01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example. (3) Example. As a result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the I reactor's design and thus the company's costs. Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC. Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias. 4 (4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co. has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component. Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an 4 unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used.. -.,,---.,.--.,-,m-, --.m-- .-,n-- e,, _,.--,.,-,.-,4 ---,,,.,,..,,,-m,_
l 7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(1), ABC Corp. informs the NRC that it is presently - doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study. Guidance. The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of $20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest. (d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a detemination of the existence of such conflicts prior to the award of a contract. (2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis. 520-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. (b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: ~ (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required..
7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that: The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1). (c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1)Imposeappropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of I 20-1.5411. (2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract. (d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable. (e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission. 5 20-1.5405 Contract clauses s 20-1.5405-1 General contract clause -
7590-01 All contracts of the types set forth in i 20-1.5404(b) shall include the following clauses: (a) Purpose. The primary (purpose of this clause is to aid in1) Is not placed ensuring that the contractor: because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract. (b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause. (c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement. (d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a). (2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer. This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, tenninate the contract for convenience if it deems such termination to be in the but interests of the government. (e) Access to and use of information. (1) If the contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the contractor agrees not to: (i) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based -
7590-01 on such information for a period of six (6) months after either the completion of this contract or the releast of such information to the public, whichever is first, '(iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless sucn information has previously been released to the public by the NRC. (2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (pub. L. 93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information. (3) The contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met. (f) Subcontracts. Except as provided in 41 CFR 320-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " contractor," and " contracting officer," shall be appropriately modified to preserve the government's rights. (g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract. 9 (h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined in 320-1.5411. I20-1.5405-2 Special contract provisions. (a) If it is determined from the nature of the proposed contract that organizationa'. conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized tnrougn the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any sucn restriction. These provisions include but are not limited to: 9
~ 7590'01 (1) Hardware exclusion clauses which prohibit the acceptance of procuction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses wnich require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use. (b) The following additional contract clause may be included as section (i) in the clause set forth in i 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest. (1) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services. (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply. (3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government. 5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation recuirements of $20-1.5404(b) and other relevant information. After evaluating this information against tne criteria ofi20-1.5403, a finding will be made by the contracting officer whether organi:ational conflicts of interest exist with respect to a particular offeror. If it nas been determined that conflicts of interest exist, tnen tne cntracting officer shall eitner: (a) Disqualify tne offeror frcm award,.
i 7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of f20-1.5411. !20-1.5407 Conflicts identified after award. If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 120-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict. 520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 520-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection. 520-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of'the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do 50. Such action shall be strictly limited to those situations in which: (1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests gise rise to a question of conflict of interest; and (3) contractual and/or tecnnical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval cocuments shall be placed in the Public Document Rcom. 7590-01 520-1.5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any 1 relevant interest required to be provided for this section, the NRC j may debar the contractor from subsequent NRC contracts. Dated at Washinoton. 0.Cthis 27th day of March 1979. For the Nuclear Regulatory Commission 3 A cc%dN b& Samuel D. Chilk e Secretary ofl the Commission f i i l I i.
,~ BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACTS AND PURCHASE ORDERS General. The contractor shall submit vouchers or invoices as prescribed he rein. Form. Claims shall be submitted on the payee's letterhead, invoice or on the Government's Standard Form 1034 "Public Voucher for Purchases and Services Other Than Personal," and Standard Form 1035 "Public Voucher for Purchases Order Other Than Personal -- Continuation Sheet." These forms are available from the Government' Printing Office. 701 North Capitol Street, Washington, DC 20801. Number of Copies and Mailing Address. An original and six copies shall be submitted to NRC offices identified below. Frequency. The contractor shall submit an invoice or voucher only after NRC's final acceptance for services rendered or products delivered in perforwence of the contract *.nless otherwise specified in the contract. Preparation and Itemization of the Voucher. The voucher shall be prepared in ink or typewriter (without strikeovers) and corrected or erasures must be initialized. It must include the following: (a) Payor's name and address. (1) Address the original voucher (with 4 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting, Office of the Controller, ATTN: GOV /COM Accounts Sections, Washington, DC 20555. (ii) Address 2 copies to: U.S. Nuclear Regulatory Commission, ATTN: E. L. Halman, Director, Division of Contracts, Washington, DC 20555. (iii) The original copy of the voucher should indicate that (?) CoDies have been forwarded to the Contracting Officer. l (b) Voucher number. (c) Date of voucher. (d) Contract number and date. l (e) Payee's name and address. (Show the name of the contractor ar.d its correct address, except when an assignr.ent has been made by l the contractor or a different payee has been designated, then inscrt the name and address of the payee.) (f) Description of articles or services, quantity, uriit price, and total amount. l l l l c
,~. . (g) Weight and zone of shipment, if shipped by parcel post. (h) Charges for freight or express shipments, and attached prepaid bill, if shipped by freight or express. (i) Instructions to consignee to notify Contacting Officer of receipt of shipment. (j) Final invoice marked: " FINAL INVOICE" Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract. L l l l l _.}}