ML20216E103
| ML20216E103 | |
| Person / Time | |
|---|---|
| Issue date: | 09/08/1997 |
| From: | Mace M NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Brajkovich L AFFILIATION NOT ASSIGNED |
| References | |
| CON-NRC-36-97-304 NUDOCS 9709100084 | |
| Download: ML20216E103 (50) | |
Text
' ~ '
QC f) e Csouq y
UNITED STATES g
}
NUCLEAR REGULATORY COMMISSION o
WASHINGTON. D.C. 206MMoot y ~S1991 International Survey Research Corporation ATTN:
Leo F. Brajkovich. Project Director 3050 Citrus Circle. Suite 150 Walnut Creek CA 94590
Dear Mr. Brajkovich:
SUBJECT-CONTRACT NO. NRC46-97-304 Your offer dated August 21, 1997 has been accepted as proposed.
Enclosed for your records is one signed copy of the subject contract. Page la has been added to your signed copy of SF1449 to address those sections of the contract that were to be completed at time of award.
If you have any questions regarding the subject contract. please contact Sharlene McCubbin. Contract Specialist on (301) 415-6565.
Russell Irish has been designated to serve as Project Officer under this contract 4
and may be reached on (301) 415-5912. The Project Officer's responsibilities and extent of authority are contained in Section B.6 of the contract.
The Inspector General has requested that we provide each Contractor with a hotline poster.
The hotline program was developed to provide a mechanism for reporting fraud, waste, and abuse within NRC's programs and its contracts operations. Please display the enclosed poster in a conspicuous area within your place of business, if you have multiple offices, please contact the OIG at (301) 415-5914 for additional posters.
Sincerely.j.
Mar H.
ace. Co racting Officer Contra s Management Branch No. 1 Division of Contracts and Property Management
Enclosure:
Hotline Poster CONTRACT NO. NRC-36-97-304
\\
\\
f[00M 970908 llllllll]lll]lll[lj]ll0ll]lllllll NRC-36-97-304 PDR
-~
F tor DlutSIDH OF CONTRACTS 391 410 ST61 99.21.1997 13:28 P.
2 SOI.ICITATICI(/CCIFFRACT/ ORDER F00t CCIAERRCIA1 IT33tg 1.Ttwistilou NUMKa PAoE OF PAGER OFFttot T3 C018' Lift SLOCES f f.17. F3. 34, 4 30 88 016 97 304 1
34
- 2. CorinACT IApIHR
- 3. g /tFF.
- 4. casta uuMett
- 5. 00LICITAfl0N NUMBER 0d
- 6. gigou u*
i h8 01s 97 304 T. FOR 90LICITAfle
- b. TELEPuoNE IMg(R (5e Collect Colle)
~
- 5. g g pAft/
thertene McCnhbin 301 415 4565
- 9. IB9 LAD OT CODEl
- 10. TNil ACQUlllll0N IS 11.
0T/r1/9T Fog 4100 p.m.
Y unatsfaltfro lii
- 12. eleCousi itasis U. 5. hueleer Reg 4ettyy Counf eelen 4
Dfylsten of ContractA O su *Ciie:Utt ORALL tuslNetMS NS T*T It
~
SIIALL DISADV.8UBluE89tt O 3* EEaN9E" Weehltgten, DC 20555
[
4(A) 13b. RATlWC fC ST32 shEBTAacAaD:
- 14. pEll10B 0F SOLICITATICA l
5.0 n are n ifs Ill tFP is. Detlw a 10 CapeI
- 16. AanlaisisseD of caosI I
U.S. MuCttAR teeULA10tf COMRitim Dtvillou 0F CONTRACTS AND BaAALfut NCCUgglu,CIG1 P90PitTT IlamAssuuf. MB T TII ADDRtl8 8 Ant As BLOCK 15 0FFICE OF ABNielBTRAfl0W unasInsfos. DC 2n 55 IFe. CouTRACTOR/oFFreat CODE l JgLITTI 18e. g g WILL st CODE 10
'Et4TEAN&n C d A L.
5JoEN stew Attn e
a c xen ut g. "
U. s. leuoleer Resuteht
~$@S C 01 TXM S C i /l C L-E 5 v i TT s 'S t.
ceaselselon DivleienMA m t Finance M LW T C ttEE K-,CA ct 4 Pl 8 00v/ttui Accountg sectten ftLEPMost No. 9C 41 M71 F4A %. f/0 ')5T '/te7 O
5'*
C" c' 'o'atSt IM OFFH
'* 3"'"c' 8' " " " '"'
* M'B'N RM '""* '"[it]
Dt0C: is. unties
. SUCN Ag ogg ADDEssuu ITh'un BCNEDUlf0FsuPklEt/SERVICts suANITV UNI uMIThitt NT SEE A.1 coennercial Itees Firm Fixed Price contract-Simplified Acquisition l
TA*4 IC,l\\S
\\ } {l'j TOTA L i
(Attach Additionr' Sheets as neceesary)
- 23. ACCcLAITitlG Als APPetrtIAfilut DATA 26, $~3 3, 0 0 0. 0 0 TOTAL AWASD AflEAli (fo See Page la attached g IT4. I I
,T4(
g gBTKFlussiaFAR3Z. zig 1,53.2134 H.Z12 3
~
MDtWA AAt ARE IIOT ATTACNID.
g afb. l h
Cilk &
R tuc0RPetAft$ BT REFBatllCE FAR 52.212 4.
52.212 5 Aa0tleA Aaf
[ ARE ;XIT ATTAC H0.
C. CONTRACTOR 1B REeultED To EIGN Tills DOClaeNT AND RETimel
- 29. AWARD OF CONTRACT:
REFEAfiqCE,'l.9 1tIGR OFFER 001 00LICITAfl0 COPlts TO lteUING OfflCE. CONTRACTOR AGREES TO OF7th DATIO A ti q.
/1 C MSN Als DELIVtt ALL ITEIIs RET FORIN OR DTHRW10E
)Q (ORTN lithtlN 18 ACCEPTto AS TO ITtns BLOCK 5) INCLLetBS AfrF A00lTIONS OR CMANGet WillCN ARE Stf letNTIFIER A00W Abt CE ANY ADelflonAL seetTS EuBJECT 10 F
TM ?"
Am m1f tflate eggf t s tga -- fu_
30s. SimAftet OF 0FFE00R/costiaACTot gg, gp 318. gi gTg ggg g
4 30m. Iwer A s TITLt OF slamma (TTPt Ca FalsT) 304. Daft slanEO 31b.mentOFCostnACTisc0Frygt3(TTPt sje.DATEsinuso l
Leo f. StA irco,Ph. b. fest twtar. 2i Accerg Mary H. Mace M M Q)
A,9-7-77 3te. euAllTITY lu COLL 8e 21 HA8 asfu
- 33. su1P IM etR 34.VUUCptRuutta 735. g y n FIED y
AtCEIVED llISPECTID 15 0 080B TO THE CoeffRACT, I PRET3AL I I FINAL T"
- 36. PAftENT 3T. CNECK NUMBER 325. SlenATnsts OF AUTilmitED sert.
32c. DATE n eggytsts n PM11R n FluAl
'""" A"
- 38. 5/R ACCCUIIT IMett l 39. B/R Woutfitt IMett 4u. PAID ST 414.ICERTI(YYgsg T 18 CORRECT Ale Pa0PER 42a. astElvtb av (Print) 41b. g g A g g t OF 41c. DATg 42b. RECElVtp AT (Lecettan) 42c. DATE HC'0(YY/letOO) l 43sl. TOTAL COIITAllitt$
AUTIIORIFED FOR LOCAL HPRODUCTION STAleAAD FORM 1649 (10 95)
DUPLICATE ORIGINALS FOLLOW FOR SIGNATURE
-i i
Page la Continuation of SF 1449 l
The U.S. NRC hereby accepts the International Survey Research Corporation offer dated August 21, 1997.
The offeror's revised Schedule of Supplies / Services, Section A.1 is hereby accepted as part of.this award.
The period of Performance for this contract is estimated at September 8,1997 through March 7. 1998.
The accounting data is as follows:
Contract No.:
NRC-36 97-304
- APPN:
-31X0300.730 B&R No.:
7-3015-411-010 JCN No.:
L15067 r
BOC Code 251A Amount Obligated:
$33.000.00 The amount of $33.000.00 obligated under this contract is for the following:
Task 1 5 1.695 Task 2
$13.200 4
Travel
$18.105 (The amount shown is incrementaly funded.
Total estimated travel is $20.000.)
Cumulative Obligation to date:
$33.000 of which consists of Task 1 and 2 under the basic contract and travel.
Section B.5 is hereby revised to add the key personnel names as follows:
Leo Brajkovich Kathy Verderame Section 8.6 is hereby revised to add the Project Officer's name and address as 4
follows:
Russell Irish. AIGA/0lG Mail Stop T-5-D-28 U.S. Nuclear Regulate Commission Washington, DC 2055!
As stated in the RFP each optional task is based on the results of the previous task.
Therefore, the optional tasks if exercised shall be funded on an individual basis as an administrative modification to the contract. The contracting officer is the authorized representative to sign modifications under this contract.
i-TABLE OF CONTENTS PAGE ADDENDA.-
CONTINUATION OF SF1449 BLOCKS:19, 20, 21, 22, 23, AND 24 A.1 SCHEDULE OF SUPPLIES / SERVICES 2
CONTRACT CLAUSES 3
B.1 Scope of Work 3
B.1.1 Background.
3 B.1.2 Objective 3
B.1.3 Description of Scope of Work.
3 B.1.4 Work Requirements 4
B.1.5 Meetings and Travel 6
B.1.6 Exclusions / Restrictions 6
B.2 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL 6
CONFLICTS OF INTEREST (JAN 1993)
B.3 52.212-4' CONTRACT TERMS AND CONDITIONS--COMMERCIAL 11 ITEMS (MAY 1997)
B.4
.USE OF AUTOMATED CLEARING HOUSE (ACH) 15 ELECTRONIC PAYMENT B.5 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993).
15 B.6 NRCAR 2052.215-72 PROJECT OFFICER AUTHORITY 16 ALTFRNATE 1 (JAN 1993)
B.7 52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO 17 IMPLEMENT STATUTES OR EXECUTIVE ORDERS--COMMERCIAL ITEMS (AUG 1996)
CONTRACT DOCUMENTS, EXHIBITS, OR ATTACHMENTS 21 C.1 ATTACHMENTS (MAR 1987) 21 SOLICITATION PROVISIONS 22 D.1 52.212-1 INSTRUCTIONS TO OFFERORS--COMMERCIAL ITEMS 22 (OCT 1995)
D.2 52.216-1 TYPE OF CONTRACT (APR 1984) 24 D.3 NRCAR 2052.215-74 TIMELY RECEIPT OF PROPOSALS'(JAN 1993 24 D.4 NRCAR 2052.215-75 AWARD NOTIFICATION AND 25 COMMITMENT OF PUBLIC FUNDS (JAN 1993)
D.5 EVALUATION CRITERIA 25 D.6 52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICATIONS 26 COMMERCIAL ITEMS (JAN 1997)
D7 NRCAR 2052.215-77 PROPOSAL PRESENTATION AND FORMAT.
34 D.7.1 Solicitation / Offer and Award 34 D 7.2.
Supporting Documentation Requirements.
36 i
rp n' otuiston or contanets set 4ts sist es.21.tss7 13:2e P.
3 ADDENDA CMTINU1TICet OF 8F1449 BLOCK 8 19, 20, 21, 22, 23, AND 24 A.1 8CERDULE OF 8tTFPLIE8/83RVICES ITEM SUPPLIES /88RVICES QTY UNIT UNIT EXTMNDED NO.
PRICE PRICR BASIC CONTRACT 0001 Survey Planning i
TASK I$5 t
1 0002 Research 1
TASK
(%2C0 O dC{
r M
OPTIONAL TASKB 0003 Development 1
TASK D Db 1! Z N r
l 0C04 Draft Survey 1
TASK
$M
.9,31O Instrument 0005 Burvey Instrument 1
TASK b, 600 8
,600 Administration and Collection 5 b VlO
~68 WiO 0006 Data Processing and 1
TASK i
3 Analysis BOO 3bO 0007 Consult with OIG 1
TASK
/
r on Survey Results Travel for Solicitations
$20,000 purposes is natimated at
$20,000.
TOTAL PRICE l
Page 2 of 38
CONTRACT CLAUSES D.1 Scope of Work B.1.1
Background
The purpose of this work is to assist the U.S. Nuclear Regulatory Commission's (NRC) Office of the Inspector General in assessing the current organizational safety culture and climate of the agency's workforce.
The NRC is facing a rapidly changing environment as it prepares to enter the 21st century. Industry economic changes, Federal deficit reductions and downsizing, continued high public interest in NRC's mission, and technological and societal trends will effect NRC's safety culture and climate.
An International At
c Energy Agency advisory group has said that a government's safe attitude has a major n-effect on all organizations that influence nuclear safety.
Therefore, as an ancillary benefit, an evaluation of NRC's organizational safety culture and climate would assist the OIG in understanding the agency's effect on licensee organizations.
In accordance with the Government Performance and Results Act, the NRC is preparing a strategic plan to serve as a guide to the agency over the next several years.
Additionally, the agency is moving from compliance-based to risk-informed, performance-based regulation.
This is a major change in the way the agency has regulated the nuclear industry.
A better understanding of the agency's culture / climate will assist OIG in assessing the evolution of NRC's strategic plan and help OIG make recommendations to the agency for effectively achieving the goals set out in that plan, including NRC's move to risk-informed, performance-based regulation.
D.1.2 Objective The overall objective of this study is to measure the NRC's safety culture / climate by (1) identifying appropriate and useable definitions of safety culture and safety climate for NRC management and staff and (2) measuring if the NRC's culture ensures that safety issues receive the attention warranted by their significance.
A secondary objective is to provide, where practical, benchmarks for the qualitative and quantitative findings against other similar organizations.
D.1.3 Description of Scope of Work The overall scope of work is to survey NRC's workforce to measure the agency's safety culture / climate.
Technical and Other Specified Qualifications Required The contractor shall have key personnel whose training, experience, and overall qualifications permit the conduct of an integrated management analysis study.
The contractor shall also have personnel with methodological skills to design studies, develop and deliver data collection instruments, tabulate and statistically present qualitative Page 3 of 38 1
1 I
1
B.1.3 (Continued) and quantitative findings, and analyze and interpret such findings into acceptable written report formats.
An example of these qualifications may include a contractor staff team who holds advanced degrees (e.g.,
M.S.,
Ph.D. in Industrial / Organizational Development, Management, Sociology, Psychology, or Statistics) and who can perform an integrative approach to the tasks in this SOW.
The contractor shall have the capabilities to benchmark the qualitative and quantitative findings against other similar organizations globally in areas such as, but not limited to, communication and training.
D.1.4 Work Requirements The contractor shall provide the necessary qualified personnel, facilities, materials and services to conduct a comprehensive study to
)
measure the organizational safety culture / climate of the NRC workforce.
This activity shall include developing and administering questionnaires and interview instruments.
Contractor personnel shall be available to respond to OIG staff questions and comments on all phases of this project throughout the life of the contract.
Task 1.
Survey Planning The contractor shall develop, in coordination with OIG staff, a
. schedule for completion of all tasks identified in this statement of work.
Deliverable Completion Date Schedule for completion of work 5 working days from award of contract Task 2.
Research The contractor will conduct research to obtain a complete understanding of the NRC, its mission, and the definition of safety culture / climate as it pertains to NRC.
In addition, the contractor will, in coordination with OIG staff, develop a market strategy for presenting this project to the agency (to include, but not limited to the union, NRC managers, and staff).
The market strategy shall include on-site meeting schedules, as well as draft written communications for delivery to selected individuals.
Deliverable Completion Date Definition of Safety Culture 30 days from award of contract Marketing Strategy 30 days from award of contract The following tasks will be ordered at the option of the Contracting officer, based on the results of Task 1 and 2 and each optional task that is exercised thereafter:
Page 4 of 38
^B.1.4
.(Continued)
Task 3.
Development (Optional)
The contractor will implement, in coordination with OIG staff, the marketing' strategy to promote this project within the agency.
The contractor, in coordination with OIG staff, also will perform interviews in focus group meetings,1as an aid in constructing the survey instrument.
The contractor will formulate a qualitative report with the findings from these meetings.
Deliverable Completion Date Completion of Marketing Strategy 50 days from award of contract Focus Group Meetings 50 days from award of contract Qualitative Report 60 days from award of contract Task 4.
Draft Survey Instrument (Optional)
The contractor will prepare a draft survey instrument and pilot the instrument, in coordination with OIG staff.
Deliverable Completion Date Draft Survey Instrument 75 days from award of contract and Pilot Test Task 5.
Survey Instrument Administration and Collection (Optional)
The contractor shall prepare, print, and distribute the survey instrument in coordination with OIG staff. The contractor will coordinate dates to re-administer the survey instrument to those NRC staff members who were not available during the initial administration.
In addition, the contractor will collect the completed survey instruments.
During administration and collection the contractor must ensure respondents' confidentiality.
Deliverable Completion Date Administration of Survey Instrument 105 days from award of contract Collection of Survey Instrument 105 days from award of contract Task 6.
Data Processing and Analysis (Optional)
The contractor will process and analyze the data collected by the survey instrument and report to OIG staff.
The contractor will ensure that all information is kept confidential.
Deliverable Completion Date Written report to OIG staff 150 days from award of contract Task 7.
Consult with OIG on Survey Results (Optional)
The contractor will consult, as needed, with OIG on the survey results.
Page 5 of 38
_.... _ _ _ _ _ _ _ _ _.. _ _ _ _ _. _ _. _ _ _.. - _. ~. _ _ _ _.
0.1.4 (Continued)
Deliverable Completion-Date Consultation with OIG 180 days from award of contract The award will go_to the responsible offeror most advantageous to the-Government in theEfollowing areas:
-(1) Qualifications of Key Personnel and Experience; (2) Past Performance, and (3) Technical Approach.
The Technical qualifications are more important than cost'or price.
D.1.5
-Meetings and Travel The following meetings and travel are anticipated:
One, two-person, five-day trip to NRC headquarters, Rockville, MD to-attend _ planning and technical meetings and briefings.
(Task 1)
Three, one-person, five-day trips to NRC headquarters, Rockville, MD,
and Region I (1), Regions II and III (1), and Region IV and the NRC Field Office (1) to implement the market strategy and conduct focus groups.
(Task 3)
Three, two-person, five-day trips to NRC headquarters and Region I (1),
Regions II and III1(1), and Region IV and the NRC field office (1) to administer and collect the survey. (Task 5)
One, one-person, five-day trip to NRC headquarters to consult, as needed, with OIG on results of survey. (Task 7) 10.1.6 Exclusions / Restrictions The'following specific exclusion / restriction is representative of the type of restricted activities described in NRCAR 2052.209-73
" Contractor Organizational Conflicts of Interest (JAN 1993)," and is to 1x3 considered with'the restrictions in the clause located in B.2.
The Office of the Inspector General requires total independence by the contractor performing this work. Therefore, contractors who have had or currently have experiences with the NRC that either directly or indirectly relate to this body-of work will not be considered.
All offers should clearly state all experiences, past and present, with the NRC.
Independent and unbiased work is critical to the success of this body _of work.
D.2.
1NRCAR 2052.'209-73 CONTP. ACTOR-ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)
(a) Purcose. The-primary purpose of this clause is to aid in ensuring that_the contractor:
Page 6 of 38 1
4 D.2 (Continued)
(1) Is not placed-in a conflicting role because of current or planned interests (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 th$s contract.
(b) Scope. The restrictions described apply to performance or participation by the contractor, as defined in 48 CFR 2009.570-2 in the activities covered by this clause.
(c) Work for others.
(1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees to forego entering into consulting or other contractual l
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 under this contract abide by the provision of this clause.
If the contractor has reason to believe with respect to itself or any 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 before the execution of such contractual arrangement.
(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC audit, inspection, or review where the activities that are the subject of the audit, inspection or review are the same as or substantially similar to the services within the scope of this contract (or task order as-appropriate), except where the NRC licensee or applicant requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.
(3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither solicit nor perform work in the same or similar technical area for that licensee or applicant organization for a period commencing with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, Page 7 of 38
D.2 (Continued) or last time at the site (if not a task order conuset).
(4)' When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, (i) The contractor may not' solicit work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate.
(ii) The contractor may not perform work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate, and for one year thereafter.
(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or perform this type of work (except work in the same or similar technical area) if the contracting officer determines that the situation will not pose.a potential for technical bias or unfair competitive advantage.
(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 48 CFR 2009.570-2.
(2) The contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement must include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, terminate the contract if termination is in the best interest of the government.
(3) It is recognized that the scope of work of a task-order-type contract necessarily encompasses a broad spectrum of activities. Consequently, if this is a task-order-type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants which comes within the scope of work of the underlying contract. Further, if this contract involves work at a licensee or applicant site, the contractor agrees to exercise diligence to discover and disclose any new work at that licensee or applicant site.
This disclosure must be made before the submission Page 8 of 38
-. ~. _
=
RB. 2 (Continued) of a bid or proposal to the utility or other regulated entity and must be received by the NRC at least 15 days before the proposed award date in any event, unless a written justification demonstrating urgency and.due diligence to discover and disclose is provided by.the contractor and approved by the contracting officer.
The disclosure must include the statement of work,-the dollar value of the proposed contract, and any other documents that are needed to fully describe the proposed work for the regulated utility or other regulated entity.
NRC may deny approval of the disclosed work only when the NRC has issued a task order which includes the technical area and, if site-specific, the site, or has plans to issue a task order which includes the technical area and, if i
site-specific, the site, or when the work violates paragraphs (c) (2), (c) (3) or (c) (4) of this section.
(e) Access to and use of information.
(1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (5 U.S.C.
Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.
Section 552 (1986)), the contractor agrees not to:
(i) Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public; or (iv) Release the information without prior written approval by the contracting officer unless the 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 (5 U.S.C. Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.
Section 552 (1986)), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat the information in Page 9 of 38
B.2 (Continued) accordance with restrictions placed on use of the information.
(3) Subject to patent and security provisions of this contract, the contractor shall have 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 48 CFR 2009.570-2, the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms contract, contractor, and contracting officer, must be appropriately modified to preserve the Government's rights.
(g) Remedies.
For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this Contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract.
(h) Waiver.
A request for waiver under this clause must be directed in writing to the contracting officer in accordance with the procedures outlined in 48 CFR 2009.570-9.
(i) Follow-on effort.
The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals l
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 l
officer, the contractor may not perform any technical l
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 the products or services.
(1) If the contractor, under this contract, prepares a complete or essentially complete statement of work or specifications, the contractor is not eligible to perform or participate in the initial contractual effort which is l
based on the statement of work or specifications.
The contractor may not incorporate its products or services in the statement of work or specifications unless so directed in writing by the contracting officer, in which case the restrictions in this paragraph do not apply.
l Page 10 of 38
0.2 (Continued)
(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.
[End of Clause)
D.3 52.212-4 CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (MAY 1997)
(a) Insoection/ Acceptance. The Contractor shall only tender for acceptance those items that conform to the requirements of this contract.
The Government reserves the right to inspect or test any supplies or services that have been tendered for acceptance.
The Government may require repair or replacement of nonconforming supplies or reperformance of nonconforming services at no increase in contract price.
The Government must exercise its post-acceptance rights (1) within a reasonable time after the defect was discovered or should have been discovered; and (2) before any substantial change occurs in the condition of the item, unless the change is due to the defect in the item.
(b) Assianment. The Contractor or its assignee's rights to be paid amounts due as a result of performance of this contract, may be assigned to a bank, trust company, or other financing institution, including any Federal lending agency in accordance with the Assignment of Claims Act (31 U.S.C. 3727).
(c) Changes. Changes in the terms and conditions of this contract may be made only oy written agreement of the parties.
(d) Discutes. This contract is subject to the Contract Disputes Act of 1978, as amended ( 41 U. S. C. 601-613).
Failure of the parties to this contract to reach agreement on any request for equitable adjustment, claim, appeal or action arising under or relating to this contract shall be a dispute to be resolved in accordance with the clause at FAR 52.233-1, Disputes, which is incorporated herein by reference. The Contractor shall proceed diligently with performance of this contract, pending final resolution of any dispute arising under the contract.
(e) Definitions. The clause at FAR 52.202-1, Definitions, is incorporated herein by reference.
(f) Excusable delavs. The Contractor shall be liable for default unless nonperformance is caused by an occurrence beyond the reasonable control of the Contractor and without its fault or negligence such as, acts of God or the public enemy, acts of the Government in either its sovereign or Page 11-of 38
)
_-~
B.3 (Continued) i contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, unusually severe weather, and delays of 4
common carriers.
The Contractor shall notify the Contracting Officer in writing as soon as it is reasonably possible after the commencement of any excusable delay, setting forth the full particulars in connection therewi'h, shall remedy such occurrence with all reasonable dispatch, and shall promptly give written notice to the Contracting Officer of the cessation of such occurrence.
(g) Invoice. The Contractor shall submit an original invoice and three copies (or electronic invoice, if authorizeu.) to the address designated in the contract to receive invoices.
An invoice must include--
(1) Name and address of the Contractor; 3
(2). Invoice date; 3
4 (3) Contrar*. number, contract line item number and, if applica le, the order number; (4) Description, quantity, unit of measure, unit price and extended price of the items delivered; (5) Shipping number and date of shipment including the bill of lading number and weight of shipment if shipped on Government bill of lading; 4
(6) Terms of any prompt payment discount offered; (7) Name and address of official to whom payment is to be sent; and (8) Name, title, and phone number of person to be notified in event of defective invoice.
Invoices will be handled in accordance with the Prompt Payment Act (31 U.S.C.
3903) and Office of Management and Budget (OMB) Circular A-125, Prompt Payment.
Contractors are encouraged to assign an identification number to each invoice.
(h) Patent indemnity. The Contractor shall indemnify the Government and its officers, employees and agents against liability, including' costs, for actual or alleged direct or contributory infringement of, or inducement to infringe, any United States or foreign patent, trademark or copyright, arising out of the performance of this contract, provided the Contractor is reasonably notified of such claims and proceedings.
Page 12-of 38
e a
D.3 (continued)
(i) Payment. Payment shall be made for_ items accepted by the Government that have been delivered to the delivery destinations set forth in this contract.
The Government will make payment in accordance with the Prompt Payment Act (31 U.S.C. 3903) and Office of Management and Budget (OMB)
Circular A-125, Prompt Payment.
Unless otherwise provided by an addendum to this contract, the Government shall make payment in accordance with the clause at FAR 52.232.33, Mandatory Information for Electronic Funds Transfer Payment, which is incorporated herein by reference.
In connection with any discount offered for early payment, time shall be computed from the date of the invoice.
For the purpose of computing the discount earned, payment shall be considered to have been made on the date which appears on the payment check or the specified payment date if electronic funds transfer payment is made.
(j) Risk of loss. Unless the contract specifically provides otherwise, risk of loss or damage to the supplies provided under this contract shall remain with the Contractor until, and shall pass to the Government upon:
i (1) Delivery of the supplies to a carrier, if transportation is f.o.b. origin; or (2) Delivery of the supplies to the Government at the destination specified in the contract, if transportation is f.o.b. destination.
(k) Taxes. The contract price includes all applicable Federal, State, and local taxes and duties.
(1) Termination for the Government's convenience. The Government reserves the right to terminate this contract, or any part hereof, for its sole convenience.
In the event of such termination, the Contractor shall-immediately stop all work hereunder and shall immediately cause any and all of its suppliers and subcontractors to cease work.
Subject to the terms of this contract, the Contractor shall be paid a percentage of the contract price reflecting the percentage of the work performed prior to the notice of termination, plus reasonable charges the Contractor can demonstrate to the satisfaction of the Government using its standard record keeping system, have resulted from the termination. The Contractor shall not be required to comply with the cost accounting standards or contract cost principles for this purpose.
This parag:caph does not _give the Government any right to audit the Contractor's records.
The Contractor shall not be paid for any work performed or costs incurred which Page 13 of 38
l D.3 (Continued) i reasonably could have been avoided.
(m) _ Termination for cause.
The Government may terminate this contract, or any part hereof, for cause in the event of any default by the contractor, or if the Contractor fails to comply with any contract terms and conditions, or fails to provide the Government, upon request, with adequate assurances of future performance.
In the event of termination for cause, the Government shall not be liable to the contractor for any amount for supplies or services not accepted, and the Contractor shall be liable to the Government for any and all rights and remedies provided by law. If it is determined that the Government improperly terminated this contract for default, such termination shall be deemed a termination for convenience.
(n) Title.
Unless specified elsewhe o in this contract, titla to items furnished under this contract shall pass to the Government upon acceptance, regardless of when or where the Government takes physical possession.
(o) Warrantv.
The Contractor warrants and implies that the items delivered hereunder are merchantable and fit for use for the particular purpose described in this contract.
(p) Limitation of liability.
Except as otherwise provided by an express or implied warranty, the Contractor will not be liable to the Government for consequential damages resulting from any defect or deficiencies in accepted items.
(q) Other comoliances.
The Contractor shall comply with all applicable Federal, State and local laws, executive orders, rules and regulations applicable to its performance under this contract.
(r) Comoliance with laws uniaue to Government contracts. The Contractor agrees to comply with 31 U.S.C.
1352 relating to limitations on the use of approp13ated funds to influence cartain Federal contracts; 18 U.S.C.
431 relating to officials not to benefit; 40 U.S.C 327, et seq., Contract Work Hours and Safety Standard 9 Act; 41 U.S.C.
51-58, Anti-Kickback 'ct of 1986; 41 U.S.C.
251 related to whistle blower prote.. ans; and 49 U.S.C 40118, Fly American.
(s) Order of orecedence.
Any inconsistencies in this solicitation or contract shall be resolved by giving precedence in the following order: (1) the schedule of supplies / services; (2) the Assignments, Disputes, Payments, Invoice, other Compliances, and compliance with Laws Unique to Government Contracts paragraphs of this clause; (3) the clause at 52.212-5; (4) addenda to this solicitation or contract, Page 14 of 38
wr B.3 (Continued) including any license agreements for computer software; (5) solicitation provisions if this is a solicitation; (6) other paragraphs of this clause; (7) the Standard Form 1449; (8) other documents, exhibits, and attachments; and (9) the specification.
[End of Clause) 52.247-34 F.O.B.
DESTINATION NOV 1991 B.4 USE OF AUTOMATED CLEARING HOUSE (ACH)
ELECTRONIC PAYMENT It is the policy of the U.S.
Nuclear Regulatory Commission to pay, Government vendors by the Automated Clearing House (ACH) electronic funds transfer payment system in lie; of a U.S.
Treasury check.
The electronic system is known as Vendor Express.
Payment shall be made in accordance with FAR 52.232-33, entitled
" Mandatory Information for Electronic Funds Transfer Payment."
To receive payment by Vender Express, the contractor shall l
complete the " Company Information" portion of Form SF 3881, entitled " Payment Information Form - ACH Vendor Payment System" found in Section J.
The contractor shall take the form to the ACH Coordinator at the financial institution that maintains its company's bank account.
The contractor shall discuss with the ACH Coordinator how the payment identification information (addendum record) will be passed to them once the payment is received by the financial institution.
The contractor must ensure that the f
addendum record will not be stripped from the payment.
The ACH Coordinator will fill out the " Financial Institution Information" portion of the form and return it to the Office of the Controller at the following address:
Nuclear Regulatory Commission, ATTN:
ArH/ Vendor Express, Division of Accounting and Finance, Mailstop T-9-E-2, Washington, DC 20555.
Once the Office of the Controller has processed the contractor's sign-up form, the contractor will begin to receive payments electronically via Vendor Express /ACH.
If the offerors / bidders have questions concerning ACH/1endor Express, they may call the Commercial Payments staff on (301) 415-7520.
[End of Clause]
B.5 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)
(a) The following individuals are considered to be essential tc the successful performance of the work hereunder:
Page 15 of 38 j
D.5 (Continued)
The contractor agrees that personnel may not be removed from-the contract work or replaced without compliance with paragraphs (b) and (c) of this section.
(b) If one or more of the key personnel, for whatever reason, becomes, or io expected to become, unavailablo for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting P
l officer, promptly replace the personnel with personnel of at least substantially equal ability and qualifications.
(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of the circumstances necessitating the proposed substitutions.
The request must also contain o complete resume for the proposed substitute and other information requested or needed by the contracting officer to evaluate the proposed substitution.
The contracting officer or his/her authorized representative shall evaluate the request and-promptly notify the contractor of his or her approval or disapproval in writing.
(d) If the contracting officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, or-that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the contracting officer for default or for the convenience of the Government, as appropriate.
If the contracting officer finds the centractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss, or damage.
(End of Clausel
- To be incorporated into any resultant contract D.6 NRCAR 1052.215-72 PROJECT OFFICER AUTHORITY ALTERNATE 1 (JAN 1993)
(a) The contracting officer's authorized representative, hereinafter referred to as the project officer for this Page 16 of 38
cJ' 10.6:
- -(Continued) -
contract is:
Name -
- Address:
Telephone Numbers
.(b) The project officer shall:
l l
(1) Monitor contractor performance and recommend to the
-contracting officer changes in requirements.
.(2) Inspect and accept products / services provided under-the contract.
9 (3) Review all contractor invoices / vouchers requesting
)
payment for products / services provided under-the contract t
and make recommendations for approval, disapproval, or l :-
suspension.
(c)'The project officer may not make changes to the express terms-and conditions of this contract.
[End of Clause]
- To be incorporated into any resultant' contract
- D.7 52.212 CONTRACT TERMS AND CONDITIONS. REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE ORDERS--COMMERCIAL ITEMS-(AUG 1996)
- (a)-The1 Contractor agrees to comply with-the following FAR-clauses, which are incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial itemst'
- (1) : 52. 222-3, Convict Labor-(E.O. 11755); and (2)- 52.233-3,- Protest After-Award (31 U.S.C 3553).
-- (b) The Contractor agrees to comply-with the FAR clauses in.this-U
. paragraph (b) which the contracting officer has. indicated as
-being' incorporated in this contract-by reference to implement
-provisions of law or executive orders applicable to acquisitions of commercial items or components:
Page 17 of 38
l 3.7 (Continued)
(1) 52.203-6, Restrictions on Subcontractor Sales to the Government, with Alternate I (41 U. S. C.
253g and 10 U.S.C. 2402).
(2) - 52.203-10,. Price or Fee Adjustment for Illegal or Improper Activity-(41 U.S.C. 423).
XX (3) 52.219-8, Utilization of Small Business Concerns and Small Disadvantaged Business Concerns (15 U.S.C.
637 (d) (2) and (3));
XX (4) 52.219-9, Small, Small Disadvantaged and Women-Owned
'Small Business Subcontracting Plan (15 U.S.C.
637 (d) (4) ) ;
(5) 52.219-14, Limitation on Subcontracting (15 U.S.C.
637 (a) (14) ).
XX (6) 52.222-26, Equal Opportunity (E.O. 11246).
XX (7) 52.222-35, Affirmative Action for Special Disabled and Vietnam Era Veterans (38 U.S.C, 4212).
XX (8) 52.222-36, Affirmative Action for Handicapped Workers (29 U.S.C. 793).
XX (9) 52.222-37, Employment Reports on Special Disabled Veterans and Veterans of the Vietnam Era (38 U.S.C.
4212).
(10) 52.225-3, Buy American Act-Supplies (41 U. S. C. 10).
__ (11) 52.225-9, Buy American Act-Trade Agreements Act-Balance of Payments Program (41 U.S.C.
10, 19 U.S.C.
2501-2582).
(12) Reserved.
(13) 52.225-18, European Union Sanction for End Products (E.O. 12849).
XX (14) 52.225-19, European Union Sanction for Services (E.O.
12849).
__ (15) (i) 52.225-21, Buy American Act-North American Free Trade Agreement-Implementation Act-Balance of Payeents Program (41 U. S. C 10, Pub.
L. 103-187).
(ii) Alternate I of 52.225-2.1.
Page 18 of 39
B.7 (Continued)
(16) 52.239-1, Privacy or Security Safeguards (5 U.S.C.
552a).
__ (17) 52.247-64, Preference for Privately Owned U.S.- Flag Commercial Vessels (4 6 U.S.C.
1241).
(c) The contractor agrees to comply with the FAR clauses in this paragraph (c), applicable to commercial services, which the Contracting Officer has indicated as.being incorporated in this contract by reference to implement provisions of law or executive orders applicable to acquisitions of commercial items or components:
__ (1) 52.222-41, Service Contract Act of 1965, As amended (41 U. S. C.
351, et seq.).
l
__ (2) 52.222-42, Statement of Equivalent Rates for Federal Hires (29 U.S.C. 206 and 41 U.S.C.
351, et seq.).
l
--(3) 52.222-43, Fair Labor Standards Act and Service Contract Act-Price Adjustment (Multiple Year and Option Contracts) (29 U.S.C.
206 and 41 U.S.C.
351, et seq.).
(4) 52.222-44, Fair Labor Standards Act and Service
~-
Contract Act-Price Adjustment ;29 U.S.C.
206 and 41 U.S.C.
351, et seq.).
(5) 52.222-47, SCA Minimum Wages and Fringe Benefits Applicable to Successor Contract Pursuant to Predecessor Contractor Collective Bargaining Agreement (CBA) (41 U.S.C.
351, et seq.).
(d) Comptroller General Examination of Record. The Contractor agrees to comply with the provisions of this paragraph (d) if this contract was awarded using other than sealed bid, is in excess of the simplified acquisition threshold, and does not ccntain the clause at 52.215-2, Audit and Records--Negotiation.
(1) The Comptroller General of the United States, or an authorized representative of the Comptroller General, shall have access to and right to examine any of the Contractor's directly pertinent records involving transactions related to this contract.
(2) The Contractor shall make available at its offices at all reasonable times the records, materials, and other evidence for examination, audit, or reproduction, until 3 years after final payment under this contract or for any shorter period specified in FAR Subpart 4.7, Contractor Page 19 of 38
{
B.7 (Continued)
Records Retention, of the other clauses of this contract.
If this contract is completely or partially terminated, the records relating to the work terminated shall be made available for 3 years after any resulting final termination settlemen?.
Records relating to appeals under the disputes clause or to litigation or the settlement of claims arising under or relating to this contract shall be made available until such appeals, litigation, or claims are finally resolved.
(3) As used in this clause, records include books, documents, accounting procedures and practices, and other data, regardless of type and regardless of form.
This does not require the Contractor to create or maintain any record that the Contractor does not maintain in the ordinary course of business or pursuant to a provision of law.
(e) Notwithstanding the requirements of the clauses in paragraphs (a), (b), (c) or (d) of this clause, the Contractor is not required to include any FAR clause, other than those listed below (and as may be required by an addenda to this paragraph to establish the reasonableness of prices under Part 15), in a subcontract for commercial items or commercial components--
(1) 52.222-26, Equal Opportunity (E.O. 11246);
(2) 52.222-35, Affirmative Action for Special Disabled and Vietnam Era Veterans (38 U.S.C.
2012 (a) ) ; and (3) 52.222-36, Affirmative Action for Handicapped Workers (29 U.S.C. 793).
(4) 52.247-64, Preference for Privately Owned U.S.-Flagged Commercial Vessels (4 6 U.S.C.
1241) (flow down not required for subcontracts awarded beginning May 1, 1996).
(End of Clause)
Page 20 of 38
CONTRACT DOCUMENTS, EXHIBITS, OR ATTACHMENTS C.1 ATTACHMENTS (MAR 1987)
Attachment Number Title 01 Billing Instructions 02 Conflict of Interest r
Page 21 of 38
SOLICITATION PROVISIONS
.D.1 52.212-1 INSTRUCTIONS TO OFFERORS--COMMERCIAL ITEMS (OCT 1995)
(a) Standard industrial classification (SIC) code and small business size standard. The SIC code and small business size standard for this acquisition appear in Block 10 of the solicitation cover sheet (SF 1449). However, the small business size standard for a concern which submits an offer in its own name, but which proposes to furnish an item which it did not itself manufacture, is 500 employees.
(b) Submission of offers. Submit signed and dated offers to the office specified in this solicitation at or before the exact time specified in this solicitation.
Offers may be suomitted on the SF 1449, letterhead stationery, or as otherwise specified in the solicitation. As a minimum, offers must show--
(1)
The solicitation number; (2)
The time specified in the solicitation for receipt of l
offers; (3)
The name, address, and telephone number of the offeror; (4)
A technical description of the items being offered in suf ficient detail to evaluate cotupliance with the requirements in the solicitation. This may include product literature, or other documents, if necessary; (5)
Terms of any express warranty; (6)
Price and any discount terms; (7)
" Remit to" address, if different than mailing address; (8)
A completed copy of the representations and certifications at FAR 52.212-3; (9)
Acknowledgment of Solicitation Amendments; i
(10) Past performance information, when included as an evaluation factor, to include recent and relevant contracts for the same or similar items and-other references (including contract numbers, points of contact with telephone numbers and other relevant j
information); and (11) If the offer is not submitted on the SF 1449, include a statement specifying the extent of agreement with all Page 22 of 38
D.1 (Continued)
I terms, conditions, and provisions included in the solicitation. Offers that fail to furnish required representations or information, or reject the terms and conditions of the solicitation may be excluded from consideration.
(c) Period for accentance of offera. The offeror agrees to hold the prices in its offer firm for 30 calendar days from the date specified for receipt of offers, unless another time period is specified in an addendum to the solicitation.
(d) Product samoles. When required by the solicitation, product samples shall be submitted at or prior to the time specified for receipt of offers.
Unless otherwise specified 3" this solicitation, these samples shall be submitted at no expense to the Government, and returned at the sender's request and expense, unless they are destroyed during preaward testing.
(e) Multiole offers. Offerors are encouraged to submit multiple offers presenting alternative terms and conditions or commercial items for satisfying the requirements of this solicitation. Each offer submitted will be evaluated separately.
(f) Late offerr. Offers or modifications of offers received at the address specified for the receipt of offers after the exact time specified for receipt of offers will not be 4
considered.
(g) Contract award (not anolicable to Invitation for Bicial.
The Government intends to evaluate offers and award a contract without discussions with offerors.
Therefore, the offeror's initial of fer should contain the of feror's best terms from a price and technical standpoint. However, the Government reserves the right to conduct discussions if later determined by the Contracting _ Officer to be necessary. The Government may reject any or all offers if such action is-in the public interest; accept other than the lowest offer; and waive informalities and minor irregularities in offers received.
(h) Multiole awards. The Government may accept any item or group of items of an offer, unless the offeror qualifies the offer by specific limitations.
Unless otherwise provided in the Schedule, offers may not be submitted for quantities less than those specified.
The Government reserves the right to make an award on any item for a quantity less than the quantity offered, at the unit prices offered, unless the offeror specifies otherwise in the offer.
(i) Availability of reauirements documents cited in the Page 23 of 38
D.1 (Continued) solicitation.
(1) The Index of Federal Specifications, Standards and Commercial Item Descriptions and the documents listed in it may be obtained from the General Services Administration, Federal Supply Service Bureau, Specifications Section, Suite 8100, 470 L' Enfant Plaza, SW.,
Washington, DC 20407 ((202) 755-0325/0326).
(2) The DOD Index of Specifications and Standards (DODISS) and documents listed in it may be obtained from the Standardization Documents Desk, Building 4D, 700 Robbins Avenue, Philadelphia, PA 19111-5094 (telephone (215) 697-2569).
(i)
Automatic distribution may be obtained on a subscription basis.
(ii) Individual documents may be ordered from the Telespecs ordering system by touch-tone telephone.
A customer number is required to use this service and can be obtained from the Standardization Documents Order Desk or the Special Assistance Desk (telephone (610)607-2667/2179),
(3) Nongovernment (voluntary) standards must be obtained from the organization responsible for their preparation, publication or maintenance.
[End of Provision]
D.2 52.216-1 TYPE OF CONTRACT (APR 1984)
The Government contemplates award of a Commercial Contract -
Fixed Price - Simplified Acquisition contract resulting from this solicitation.
[End -of Provision)
D.3 NRCAR 2052.215-74 TIMELY RECEIPT OF PROPOSALS (JAN 1993)
Because NRC is a secure facilitf with perimeter access control, of ferors shall allow additional time for hand delivery (including express mail and delivery services) of proposals to ensure that they are timely received in the depository at the address shown in Item 9 on the Standard Form 33.
[End of Provision)
Page 24 of 38 I
I J
c D.4 NRCAR 2052.215-75 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (JAN 1993)
(a) All offerors will be notified of their selection or nonselection as soon as possible.
Formal notification of nonsolection for unrestricted awards may not be made until a contract has been awarded.
Pursuant to requirements of FAR
- 15. 3 001 (b) (2), preliminary notification will be provided before the award for small business set-aside procurements on negotiated procurements.
(b) It is also brought to your attention that the contracting officor is the only individual who can legally commit the NRC to the expenditure of public funds in connection with this procurement.
This means that unless provided in a contract document or apecifically authorized by the contracting officer, NRC technical personnel may not issue contract modifications, give informal contractual commitments, or otherwitt bind, commit, or obligate the NRC contractually.
Inform
,ontractual commitments include (1) Encouraging a potential contractor to incur costo prior to receiving a contract; (2) Requesting or requiring a contractor to make changes under a contract without formal contract modifications; (3) Encouraging a contractor to incur costa under a cost-reimbursable contract in excess of those costs contractually allowable; and (4) Committing the Government to a course of action with regard to a potential contract, contract change, claim, or dispute.
(End of Provision]
D.5 EVALUATION CRITERIA 1.
PERSONNEL QUALIFICATIONS / EXPERIENCE (50)
Ex' ent to which the of feror demonstrates that the proposed p.rsonnel possess the required qualifications and experience to perform the wack described in Section B of this solicitation, including, as a minimum the specific information necessary to address the Personnel Qualification Requirements described in Section D.
The extent to which the offeror ensures the availability of qualified personnel and project teams to perform the work required by Section B.
2.
PAST PERFORMANCE (20) 2 Extent to which the offeror demonstrates successful 1
Page 25 of 38
De5 (Continued) performance on past contracts for work similar to that described in Section B of this solicitation and the extent to which the necessary knowledge, experience and skills remain available within the organization.
3.
TECHNICAL APPROACH (30)
Degree to which the offeror demonstrates an understanding of the required tasks and deliverables described in Section D of this solicitation.
TOTAL WEIGHT:
100 POINTS (End of Provision)
D.6 52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICAT70NS COMMERCIAL ITEMS (JAN 1997) l l
l (a) Definitions. As used in this provision:
l l
Emeraina small business means a small business concern whose size is no greater than 50 percent of the numerical size standard for the standard industrial classification code designated.
Small business concern means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CPR Part 121 and size standards in this solicitation.
Small disadvantaaed business concern means a small business concern that--
(1) Is at least 51 percent unconditionally owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business, having at least 51 per;ent of its stock unconditionally owned by one or more socially and economically disadvantaged individuals, and (2) Has its management and daily business controlled by one or more such individuals. This term also means a small business concern that is at least 51 percent unconditionally owned by an economically disadvantaged Indian tribe or Native Hawaiian organization, or a publicly owned business having at least 51 percent of its stock unconditionally owned by one or more of these entities, which has its management and daily business controlled by members of an economically disadvantaged Page 26 of 38
D.6 (Continued)
Indian tribe or Native Hawaiian organization ana which meets the requirements of 13 CFR Part 124.
Women-owned small business concern means a small business concern-(1) Which is at least 51 percent owned by one or more women or, in the case of any publicly cwned business, at least 51 percent of the stock of which is owned by one or more women; and (2) Whose management and daily business operations are controlled by one or more women.
Women owned business concern means a concern which is at least 51 percent owned by one or more women; or in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and whose management and daily business operations are controlled by one or more women.
l (b) Taxpayer identification number (TIN) (26 U. S. C. 6050M).
l (1) Taxpayer Identification Number (TIN).
[] TIN:
[ ] TIN has been applied for.
() TIN is not required because:
( ) Offeror is a nonresident alien, foreign corporation, or foreign partnership that does not have income effectively connected with the conduct of a trade or business in the U.S.
and does not have an office or place of business or a fiscal paying agent in the U.S.;
() Offeror is an agency or instrumentality of a foreign government;
[] Offeror is an agency or instrumentality of a Federal, state, or local government;
() Other. State basis.
(2) Corporate Status.
[] Corporation providing medical and health care services, or engaged in the billing and collecting of payments for such services;
[] Other corporate entity; Page 27 of 38
D.6 (Continued)
() Not a corporate entity
() Sole proprietorship
[] Partnership
[] Hospital or extended care facility described in 26 CFR 501(c) (3) that is exempt from taxation under 26 CFR 501 (a).
(3) Common Parent.
( ) Offeror is not owned or controlled by a common parent.
Name and TIN of common parents Name TIN (c) Offerors must complete the following representations when the resulting contract is to be performed inside the United States, its territories or possessione, Puerto Rico, the Trust-Territory of the Pacific Islands, or the District of Columbia.
Check all that apply.
(1) Small business concern. The offeror represents as part of its offer that it ()
iA,
() is not a small business concern.
(2) Small disadvantaaed business concern. The offeror represents that it ( ) is, [ } is not a small disadvantaged business-concern.
(3) Women-owned small business concern. The offeror represents that it ( ) is, [] is not a women-owned small business concern.
Note: Complete paragraphs (c) (4) and (c) (5) only if this solicitation is expected to exceed the simplified acquisition threshold.
(4) Womer.-owned business concern. The offeror represents that-it () is, () is not, a women-owned business concern.
(5) Tie bid nriority for labor sprolus area concerns. If this is an invitation for bid, small business offerors may identify the labor surplus areas in which costs to be Page 28 of 38
i D.6 (continued) incurred on account of manufacturing or production (by offeror or first-tier subcontractors) amount to more than 50 percent of the contract price:
(6) Small Business Size for the Small Bttsiness Comnetitiveneen Demonstration Procram and for the Tarneted Industry Catecories under the Small Businese Competitiveness Demonstration Proqram. [ Complete only if the offeror has represented itself to be a small business concern under the size standards for this solicitation.]
(1)
(complete only for solicitations indicated in an addendum as being set-aside for emerging small businesses in one of the four designated industry groups (DIGS).)
The offeror represents as part of its offer that it ( ) is, () is not an emerging small business.
(ii) (Complete only for solicitations indicated in an addendum as being for one of the targeted industry categories (TICS) or four designated industry l
groups (DIGS).)
Offeror represents as follows:
l i
(A) Offeror's number of employees for the past 12 months (check the Employees column if size standard stated in the solicitation is expressed in terms of number of employees); or (B) Offeror's average annual gross revenue for the last 3 fiscal years (check the Average Annual Gross Number of Revenues column if size standard stated in the solicitation is expressed in terms of annual receipts)
(Check one of the following):
Number of Employees Average Annual Gross Revenues 50 or fewer
$1 million or less
__ 51-100
__ $1,000,001-$2 million 101 250
$2,000,001-$3.5 million
__ 251-500
__ $3,500,001-$5 million 501-750
$5,000,001-$10 million
__ 751-1,000
__ $10,000,001-$17 million
__ Over 1,000
__ Over $17 million (d) Certifications and representations required to implement provisions of Executive Order 11246--
Page 29 of 38
- 9. kha h
gr J
J.6 (Continued)
I (1) Certification of non-nearecated facilities. (Applies only if the contract amount is expected to exceed
$10,000)--
By submission of this offer, the offeror certifies that it does not and will not maintain or provide for its employees, any facilities that are segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise and that it does not and will not permit its employees to perform their services at any location where segregated facilities are maintained.
The offeror agrees that a breach of this certification is a violation of the Equal Opportunity clause in the contract.
(2) Previous Contracts and Compliance. The offeror represents that--
(i)
It ( ) has, [ ] has not, participated in a previous contract or subcontract subject either to the Equal opportunity clause of this solicitation, the clause originally contained in Section 310 of Executive g
Order 10925, or the clause contained in Section 201 of Executive Order 11114; and (ii) It () has, ( ) has not, filed all required compliance reports.
(3) Affirmative Action Compliance. The offeror represents that--
(i)
It [] has developed and has on file, ( l has not developed and does not have on file, at each establishment, affirmative action programs required by rules and regulations of the Secretary of Labor (41 CFR Subparts 60-1 and 60-2), or (ii) It [ ] has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.
(e) Certification Recardina Payments to Influence Federal Transactions (31 U.S.C.
13521 (Applies only if the contract is expected to exceed $100,000.) By submission of its offer, the offeror certifies to the best of its knowledge and belief that no Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of Page 30 of 38
D.6 (Continued) 3 Congress on his or her behalf in connection with the award of any resultant contract.
(f) Buy American Act-Trade Acreements-Balance of Payments Procram certificate. (Applies only if FAR clause 52.225-9, Buy American Act-Trade Agreement-Balance of Payments Program, is included in this solicitation.)
(1) The offeror hereby certifies that each end product, except those listed in paragraph (f) (2) of this provision, is a domestic end product (as defined in the clause entitled " Buy American Act-Trade Agreements Balance of Payments Program") and that components of unknown origin have been considered to have been mined, produced, or manufactured outside the United States, a designated country, a North American Free Trade Agreement (NAFTA) country, or a Caribbean Basin country, as defined in section 25.401 of the Federal Acquisition Regulation.
(2) Excluded End Products:
LINE ITEM NO.
COUNTRY OF ORIGIN (List as necessary)
(3) Offers will be evaluated by giving certain preferences to domestic end products, designated country end products, NAFTA country end products, and Caribbean Basin country end products over other end products.
In order to obtain these preferences in the evaluation of each excluded end product listed in paragraph (f) (2) of this provision, offerors must identify and certify below those excluded end products that are designated or NAFTA country end products, or Caribbean Basin country end products.
Products that are not identified and certified below will not be deemed designated country end products, NAFTA country end products, or Caribbean Basin country end products.
Offerors must certify by inserting the applicable line item numbers in the following:
(i)
The offeror certifies that the following supplies qualify as " designated or NAFTA country end products" as those terms are defined in the clause entitled " Buy American Act-Trade Agreements-Balance of Payments Program!"
Page 31 of 38
Do6 (Continued)
(Insert line item numbers)
(ii) The offeror certifies that the following supplica qualify as " Caribbean Basin country end products" as that term in defined in the clause entitled " Buy American Act-Trade Agreements--Balance of Payments Program":
I (Insert'line item numbers)
(4) Offers will be evaluated in accordance with FAR Part 25.
(g)
(1) Buv Ametican Act-North American Free Trade Aareement Imolementation Act-Balance of Payments Procram certificate. (Applies only if FAR clause 52.225-21, Buy American Act-North American Free Trade Agreement Implementation Act-Balance of Payments Program, is included in this solicitation.)
(i)
The offeror certifies that each end product being offered, except those listed in paragraph (g) (1) (ii) of this provision, is a domestic end product (as defined in the clause entitled " Buy American Act--North American Free Trade Agreement Implementation Act--Balance of Payments Program,"
and that components of unknown origin have been considered to have been mined, produced, or manufactured outside the United States.
(ii)
Excluded End Products:
LINE ITEM NO.
COUNTRY OF ORIGIN (List as-necessary)
(iii) offers will be evaluated by giving certain preferences to domestic end products or NAFTA country end products over other end products. In Page 32 of 38
D.6 (Continued) order to obtain these preferences in the evaluation of each excluded end product listed in paragraph (g) (1) (ii) of this provision, offerors must identify and certify below those excluded end products that are NAFTA country end products.
Products that are not identified and certified below will not be deemed NAFTA country end products.
The offeror certifies that the following supplies qualify as "NAFTA country end products" as that term is defined in the clause entitled " Buy American Act--North American Free Trade Agreement Implementation Act--Balance of Payments Program a (Insert line item numbers)
(iv)
Offers will be evaluated in accordance with FAR Part 25 of the Federal Acquisition Regulation.
In addition, if this solicitation is for supplies for use outside the United States, an evaluation factor of 50 percent will be applied to offers of end products that are not domestic or NAFTA country end products.
(2) Alternate I.
If Alternate I to the clause at 52.225-21 is included in this solicitation, substitute the following paragraph (g) (1) (iii) for paragraph (g) (1) (iii) of this provision:
(g)
(1)
(iii) Offers will be evaluated by giving certain preferences to domestic end products or Canadian end products over other end products.
In order to obtain these preferences in the evaluation of each excluded end product listed in paragraph (b) of this provision, offerors must identify and certify below those excluded end products that are Canadian end products.
Products that are not identified and certified below will not be deemed Canadian end products.
The offeror certifies that the following supplies qua'.ify as " Canadian end products" as that term is defined in the clause entitled " Buy American Act--North American Free Trade Agreement Implementation Act--Balance of Payments Program":
Page 33 of 38
D.6 (Continued)
(Insert line item numbers)
(h) Certification Regarding Debarment, Suspension or Incligibility for Award (Executive Order 12549).
The offeror certifies, to the best of its knowledge and belief, that--
(1) The offeror and/or any of its principals () are, () are not presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency, and (2) () Have, () have not, within a three-year period l
preceding this offer, been convicted of or had a civil judgment rendered against them for: commission of fraud l
l or a criminal offense in connection with obtaining, attempting to obtain, or performing a Federal, state or local government contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; and [] are, ( ) are not presently indicted for, or otherwise criminally or civilly charged by a Government entity with, commission of any of these offenses.
(End of Provision)
Do7 NRCAR 2052.215-77 PROPOSAL PRESENTATION AND FORMAT D.7.1 Solicitation / Offer and Award Two (2) original signed copies of this solicitation package / offer.
All applicable sections must be completed by the offeror.
Part 1 (a) Technical and Management Proposal (1) The Technical and Management Proposal may not contain any reference to cost.
Resource information, such as data concerning labor hours and categories, materials, subcontracts, travel, computer time, etc., must be included in the Technical and Management Proposal so that the offeror's understanding of the scope of work may be evaluated.
Page 34 of 38
j D.7.1 (Continued)
(2) The offeror shall submit with the Technical and Management Proposal full and complete information as set forth below i
to permit the Government to make a thorough evaluation and a sound determination that the proposed approach will have a reasonable likelihood of meeting the requirements and objectives of this procurement.
(3) Statements which paraphrase the statement of work without communicating the specific approach proposed by the offeror or statements to the effect that the offeror's understanding can or will comply with the statement of work may be construed as an indication of the offeror's lack of understanding of the statement of work and objectives.
(4) The Technical and Management Proposal must set forth, as a minimum, the following information.
1.
PERSONNEL / TEAM QUALIFICATIONS AND EXPERIENCE The offeror shall identify all individuals, including backup personnel and subcontractor / consultant personnel, anticipated to perform this effort and shall provide resumes for each individual in accordance with the format outlined below.
The resumes should be directed to the specific needs of the contract and not be aeneral in nature.
The offeror should address the availability of personnel with expert knowledge and experience in the following areas:
perform an integrated study of an organization's culture a
and climate; methodological skills to design studies; a
develop and deliver data collection instruments; e
tabulate and statistically present qualitative and a
quantitative findings; and, analyze and interpret such findings into acceptable a
written report formats.
NOTE:
An example of these qualifications may include personnel who hold advanced degrees (e.g.,
M.S.,
Ph.d. in Insustrial/ Organizational Development, Management, Sociology, Psychology, or Statistics).
The offeror shall describe the composition of the proposed project team (s) to be assigned to this effort, and delineate Page 35 of 38
D.7.1 (Continued) the responsibilities of the team members inclusive of technical, management, and administrative functions.
The offeror shall address the availability of its proposed personnel.
2.
PAST PERFORMANCE The offeror shall describe all corporate qualifications and experience in performing contracts, similar in size and scope to this procurement, over the past 3 years, and the extent to which the necessary knowledge, experience and skills remain available within the organization.
The offeror shall identify the key personnel who performed under the contracts discussed.
l 3.
TECHNICAL APPROACH The offeror shall describe its knowledge and understanding of the technical contract requirements as set forth in the Statement of Work, Section B and shall address the offeror's knowledge in the area of organizational culture and climate surveys as they relate to safety.
t D.7.2 Supporting Documentation Requirements (1)
The offeror shall provide the information outlined below for three specific contracts similar in size and scope to this procurement performed over the past 3 years.
The NRC will contact the references provided and request they complete a survey questionnaire.
This information will be used to evaluate the degree of the offeror's success in past performance.
Contract No.:
Name and address of Government / commercial entity:
Point of
Contact:
Contracting Officer:
Telephone Number:
Technical Representative:
Telephone Number:
Date contract awarded:
Period of performance of the contract (including extensions):
Dollar value of the contract:
If applicable, the dollar value of the modifications to the contract:
Type of contract awarded:
Brief description of the work:
Page 36 of 38
D.7.2 (Continued)
RESUME FORMAT a.
Name and Title b.
Name of Firm with which associated c.
Years of Experience with this Firm and with other Firma d.
Education - Degree (P)/ Year / Specialization e.
Description of experience and qualifications relative to the effort described in Section C of this solicitation f.
State whether the person proposed will fill a Key Personnel position and indicate the percentage of time this person will commit to this effort.
Resumes should not exceed 2 pages in length for each individual identified.
The offeror shall describe the composition of the proposed project team (s) to be assigned to this effort, and delineate the responsibilities of the team members inclusive of technical, management, and administrative functions.
All designated contractor employees should be in the employ of the offeror or designated subcontractor (s) at the time of proposal submission.
If any of the personnel are not employed by the offeror or proposed subcontractor at that time, firm written commitments assuring the availability of such individuals are to be included in the proposal.
Identify any former NRC employees that may be utilized in the performance of the contract including their NRC employment history.
Part 2 (b) Cost Proposal (1) The offeror shall use form 1449 and the schedule in the solicitations in submitting the Cost Proposal.
The cost proposal must be submitted separately from the supporting documentation required under D.1......
(2) The offeror shall consider the following information, provided Page 37 of 38 l
1
D.7.2 (Continued) for estimating purposes only, in the preparation of the cost proposal.
ESTIMATED LEVEL OF EFFORT (LOE)
The NRC's estimate of the total effort for this project is approximately.91 professional staff-years for the planned 6-month term of the contract.
This information is advisory and is not to be considered as the sole basis for the development of the staffing plan.
For the purposes of the Government estimate 2000 hours0.0231 days <br />0.556 hours <br />0.00331 weeks <br />7.61e-4 months <br /> constitutes a staff year.
I Estimated Meetings and Travel l
l Specific requirements for meetings and travel will be identified in each task order issued under the contract.
However, for the purpose of estimating in cost proposals c offerors shall assume travel expenses in the amount of $
20,000 for the term of the contract.
Submission-of Questions By Offerors It shall be the obligation of the offeror to exercise due diligence to discover and to bring to the attention of the Contracting Officer at the earliest possible time, but prior to the RFP closing date, any ambiguities, discrepancies, inconsistencies, or conflicts between the Statement of Work and other documents attached hereto or incorporated by reference herein.
All questions are requested in writing within ten calendar days from the RFP issue date. The closing date will not be extended for the purpose of responding to offeror's questions received after ten calendar days from the date of RFP issuance.
Express or Hand Delivery of Proposals All hand-carried offers including those delivered by private services (e.g.
Federal Express, Airborne Express, etc.) must be delivered to the loading dock security station located at 11555 Rockville Pike, Rockville, MD 20852 and received in the depository located in Room T-7-I-2. All offerors should allow extra time for internal mail distribution.
NRC is a secure facility with perimeter access control and NRC personnel are not available to receive hand-carried except during normal working hours, 7:30am to 3:30pm, Monday through Friday, excluding federal holidays.
Page 38 of 38 4
b
(M ARCH 1996)
Page 1 of 3 BiltlNG INSTRUC110h$ FOR FIXED PRICE CONTRACTS Genotal: The contractor shall prepare vr,uchers or invoices as prescribed herein F AllVRE TO SUBMIT VOUCHERSIINVOICES IN ACCORDANCE Wild THESE INSTRUCil0NS WILL RESULT IN REJECTION OF THE VOUCHERllNVOICES AS IMPROPER.
[fts: Claims shall be submitted on the psyn's letterheed, voucherlinvoices, or on the Government's Standerd Form 1034,"Public Voucher for Purchases and Servicae Other then Personal," and Standard Form 1035,"Public Voucher for Purchases Other then Personal-CShlinuation Sheet." lhese forms are available from the U.3 Government Printing Oflice,710 North Capitol Street,Washingtr,n, DC
- 20401, hmhtL911oaler An original and three copies shall be submitted. Failure to submit all the required copies willresult in rejection of the voucherlinvoice as improper.
D!f Ef tela tntyjillino 0]jht: Voucherslinvsicos shall be submitted to the following address:
i l
U.S. Nuclear Regulatory Commission Division of Contracts.T.7-12 Washington,0C 20555 0001 A copy of any invoice which includes a purch:se ci property valued at the tline of purchese at $5000 or more, shall additionally be serit to:
Chiel, Property Management Branch Division of Facilities and Property Management Mail Stop. T 7 D-27 Washington. DC 20555 0001 HAND DEllVERY OF V0UCHERSilNVolCES 15 DISCOURAGED AND WILL NOT EXPEDITE PROCESSING BY THE NRC. How
'r, should you choose to deliver voucherslinvoices by hand, including delivery by any express mail service or special delivery service which uses a courier or other person to deliver the voucherslinvoices in person to the NRC, such voucherslinvoices must be addressed to the above Designated Agency Billing Office and will only be accooted at the following location:
U.S. Nuclear Reguletory Commission One White Flint North Mail Room 11555 Rockville Pike Rockville,MD 20B52 4
HAND CARRIED SUBMISSIONS WILL NOT BE ACCEPTED AT OTtlER THAN THE ABOVE ADDRESS J
(BiltlNGINSTRUC110NS FOR FIXED PRICE CONTRACTS Page 2 of 3 Note that the officialreceipt date for hand delivered voucherslinvoices will be the date it is received by the official agency billing office in the Division of Contracts.
AgentVb1rnfnLD_1 fits. Payment will continue to be made by the otileo designated in the contreet in Block f 2 of the Standard Form 26 or Block 25 of the Standard Form 33,whichever is applicable.
fittutatY: The centractor shall submit a voucher or invoice only after the NRC's final acceptance of swvices rendwed or products delivered in performanes of the e ntract unlose otherwise specified in the contract.
hertistifApnillem_italigteithe Vovdetlleyeite: The vouchwlinvoice shall be prepared in ink or by typewriter fwithout strike overs). Corrections or wasures must be initialed. To be considered a proper voucherlinvoice, all of the following elements must be !ncluded:
1.
Contract number, 2.
Sequential voucherlinvoice number.
3.
Date of woucherlinvoice.
l 4.
Payee's name and address Show the name of the contractor and its correct address in addition, when an essignment of funds has been made by the contractor, or a diffwent payee has been designated, include the name and address of the payee). Indicate the name and telephone number of the individual responsible for answwing questions which the NRC may have regarding the voucherlinvoice.
5.
Description of articles or services, quantity, unit price, and total amount.
6.
For contesetor acquired proporty list each item purchased costing $50.000 or more and having a life expectancy of more than 1 year and provide: (1) en item description,(2) reanutacturer,(3) model numbw,(4) serial number,(5) acquisition cost,(6) date of purchase, and (7) a copy of the purcha:Ing document.
7.
Weight and rene of shipment,if shipped by percel post.
8.
Charges for freight or express shipments. Attach propsid billif shipped by freight or express.
9.
Instructions to coasignes to notify the Contracting Officer of receipt of shipment.
4 (tittlNG INSTRUCTIONS FOR FIXE 0 PRICE CONTRACTS Page 3 el 3
- 10. Fw indefinite Delivwy centreets w centreets nndw whleh progrees payments are autherlied, the final vevebwlinvolse shell be mwhod " FIN 4l VOUCHER" OR
- FINAL INV0 ICE."
EURenly: Billings may be expressed in the currency normally used by the centretter in maintelning his sesevating rwwds and payments will La made in that currency. Hewovw, the U.S. deller equivalent fu oli vevehwelinvolsos paid undw the contreet may not eueed the total U.S. deliers authwired in the centract.
l Supweession: These instructions supwsede any prselous billing instructions.
R:tBilllNG.398 4
i e
i
~)
NUCLEAR REGULATORY COMMISSION ACQUISITION REGULA110N 2009.570 NRC organizational conflicts of interest.
(2009.570-1 Scope of policy.
(a)
It is the policy of NRC to avoid, eliminate, or neutralize The NRC achieves this contractor organizational conflicts of interest.
objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by the NRC) which may give rise to actual or potential conflicts of interest in the eveht of contract award.
(b)
Contractor conflict of interest determination ~s 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 to satisfy the It is not possible to prescribe in advance a
, overall public interest.
specific method or set of criteria which would serve to identify an~d' resolve all of tha. contractor conflict of interest situations which might arise.
However, examples are provided in these regulations to guide application of The ultimate test is as follows:
Hight the contractor, this policy guidance.
if awarded the contract, be placed in a position where its judgment may be I
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 relationships with the NRC (e.g., parties to a licensing proceeding) are not This rule does not apply to the acquisition of covered by this regulation.
consulting services through 'the'p'eirsonne17ppointment process, NRC agreements-l with other Government agencies, internatinnal org'anizations, or state, local, l
or foreign Governments.
Separate procedures for avotding conflicts of interest will be employed in these agreements, as appropriate.
12009.570-2 Definitions.
As used in $2009.570:
Affiliates means business concerns which are affilittes 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.
Contract means any contractual agreement, or other arrangement wit! 'the NRC except as provided in (2009.510-1(c).
Contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates tureof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which are a party to a contract with the NRC.
Evaluation activities means any effort involving the appraisal of a technology, process, product, or policy.
Offeror or pnmtetive contractqt means any person, firm, unincorporated association, joint venture, co-sponsor partnership, corporation, or their s
affiliates or successors in interest, including their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal. solicited or unsolicited, to the NRC to obtain a contract, Qtginizational conflicts of interest means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which:
(1)
Hay diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwise result in a biased work product; or (2)
Hay result in its being given an unfair competitive advantage.
Potential conflic.t of int.ttt31 means that a factual situation exists that suggests that an actual conflict of interest may arise from asard of a propose;j,contraqt.
The term potential conflict of interesi is used to signify those situations that-(1)
Herit investigation before contract award to ascertain whether award would give rise to an actual conflict; or (2)
Hust be reported to the contracting officer for investigation if they arise during contract performance.
Research means any scientific
- or
- technical work involving theoretical, analysis, exploration, or experimentation.
.hhsontractor means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts not exceeding the small purchase threshold.
Jechnical consultina and manacement support service 1 means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require that the contractor be given access to proprietary information or to information that has not been These services typically include assistance in made available to the public.
the preparation of program plans, preliminary designs, specifications, or statements of work.
Criteria for recognizing contractor organizational conflicts of (2009.570-3 interest.
(a)
General.
(1)
Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:
(1)
Are there conflicting roles which might bias an offeror's or contractor's judgment in relation to its work for the NRC7
,~
(11) May the offeror or contractor be given an unfair cornp.titive advantage based on the performance of the contract?
(2)
NRC's ultimate determination that organizational conflicts of interest eatst wil! be made in light of common sense and good business judgment based upon the relevant facts. WI.11e it is difficult to identify and to prescribe in adv aco a specific method for avoiding all of the various situations or relationships that might involve potential organizational confiluts of interest. OC personnel will pay particular attention to proposed centracta? tectmemmts that call for the rendering of advice, consultation or evalcation xi.tynies, or similar activities that directly lay the groundwork for 19e IWC's decisions on regulatory activities, future procurements, ana research programs. Any work per:ormed at an applicant or licensee site will also oe closely scrutinized by the Nhc staff, Situations or relationEhipji.
The following situations or (b).
relationships rMy give rise to organizational conflicts of interest:
t (1), The offeror or contractor shall disclose information, that may give rise to organizational conflicts of interest ui.Jer the following circumstances.
D information may include the scope of work or specification for the requirement, being performed, the period of performance, and the name and telephone number for a point of contact at the organization knowledgeable about the commercial contract.
(i)
Where the offeror or contractor provides advice and recommendations to the NRC in the same technical area where it is also providing constilting assistance to any organization. regulated by the NRC.
(11) Where the offeror or contractor provides advice to the NRC on tha same or similar matter on 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 has been substantially involved in the development or marketing of the products or services of another atity.
(iv) Where the award of a contract would result in placing the offeror or contractor in a conflicting role in which its judgt.ient may be biased 'in relation to its work for the NRC, or would result in an unfair coapetitive advantage for the offeror or contractor.
(v)
Where. the offeror or contractor solicits or performs work at an applicant or licensee site while performing work in the same technical area for the NRC at the same site.
(2)
The contracting officer may request specific information from an offeror or contractor or may require special contract clauses such as provided in $2009.570-5(b) in the following circumstances:
(i)
Where the offeror or contractor prepares specifications that are to be used in competitive procurements of products or services covered by the specifications.
(11) Where the of feror or contractor prepares plans for specific approaches or methodologies that are to be inc6rporated into competitive procurements using the 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 that could form the basis for a later procurement actlon.
(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
(v)
Where the award of a contract might resulIfin 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 might result in an unfair competitive advantage for the offeror or contractor.
(c)
Policy aonlication outdance.
The following examples are illustrative'only and are not intended to identify and resolve all contractor e
organizational conflict of interest situations.
(1)
(i)
Examol'e'. -The %BC 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 ABC Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the ABC Corp. advises that it is currently performing similar analyses for the reactor manufacturer.
(ii) Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp.
accause the company would be placed in a position in which its judgment could be biased in relationship to its work for the NRC.
Because there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2)
(i)
Example. The ABC Corp., in response to an RFP, proposes to perform certain analyses of a reactor component that is unique to one type of aovanced reacter. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in tie 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.
(ii)
Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which
could 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 with the private sector that could create a conflict during the performance of the NRC contract.
for example, ABC Corp. would be precluded fr.om the performance of similar work for the company developing the advanced reactor mentioned in the example.
(3)
(1)
Examole.
The ABC Corp., in response to a competitive RFP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 10 CFR part 20. ABC Corp. is the only firm detcrmined to be technically acceptable. ABC Corp, has performed substantial work for regulated utilities in the past and is expected to continue similar efforts in the future.
The work has and will cover the writing, implementation, and administration of compliance respiratoryprotectionprogramsfornuclearpowerplaqs.
(ii)
Guidance. This situation would place the firm in a role where its judgment could be biased in relationship to its work for the NRC.
Because the nature of the required work is vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in 62009.570-9 may be warranted.
Any waiver must be accordance with fully documented in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechani,sms to g,uard against bias.
(4)
(1)
Example.
The ABC Corp, submits a proposal for a new system to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC The ABC Corp. has advised the NRC that it intends to program.
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.
(ii) Guidance. A contract could be awarded to the ABC Cnrp. if the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless this information has been reported to the NRC.
Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC When the to others to preclude an unf air competitive advantage.
NRC furnishes information about the reactor component to the con-tractor for the performance of contracted work, the information may not be used in the contractor's private activities unless the information is generally available to others.
turther, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information, developed about the performance of the reactor component under the contract, is proposed to be used.
(5)
(i)
Example. The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features
?
l of the Appalachian fold belt, in accordance with the representation in the RFP and $2009.570-3(b)(1)(i), 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 conteuplated by.the NRC j
study.
i
)
- 11) Guidance.
The contractin officer would normally conclu e that award of a contract wou d not place ABC Corp. in a j
conflicting role where its judgment might be biased.
Section i
2052.209-73(c) Work for Others, would preclude ABC Corp, from l
i accepting work which could create a conflict of interect during l
the term of the NRC contract.
(6)
(i)
Example. AD Division of ABC Corp., in response to a RFP, submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for.tpe construction, operation, and decommissioning of fuel cycle facilities.
ABC Corp. is divided into two separate and distinct
]
The BC_ Division performs the same or similar services for industry. The BC Division is currently pro-4 viding the same or similar services required under the NRC's contract for an applicant or licensee.
(ii)
Guidance. An NRC contract for that particular work would not be awarded to the ABC Corp.
The AD Division could be 4
placed in a position to pastjudgment on work performed by' the BC Division,whichcouldblasitsworkforNRC.
Further, the Conflict of Interest provisions ap)l, to ABC Corp. and not to separate or distinct divisions wit 11n the company.
If,no 4
j.
reasonable alternative exists; a waiver of the policy could be sought in accordance with 52009.570-9.
l 7(1) EXAMPLE The ABC Corp.' completes an analysis for NRC of steam generator tube leaks at one of a utility's six sites. Three months later, ABC Corp. is asked by this utility to perform the l
same analysis at another of its sites.
4 (ii) GUIDANCE 12052.290-73(c)(3) would prohibit the contractor from beginning this work for the utility until one year after completion of the NRC work at the first site.
EXAMPLE ABC Corp. is assisting NRC in a major on-site 8(i) analysis of a utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated value of $5 million. Near the completion of the NRC work, ABC Corp. requests authority to solicit for a $100K contract with the same utility to transport spent fuel-to a disposal site. ABC Corp. is performing no other work for the utility.
1 (ii) GUIDANCE The Contracting Officer, would allow the
/
contractor-to proceed with the solicitation because A) it is not ir. the same technical area as the NRC work and B) the potential for technical bias by the contractor because of financial ties to i
l tm.-
-~, -
y.
--e,,,-
, i.--,-< -. -,.
r,,,,,,,m,-.
.ir-
_,wwy,m3m-.-,,,-
.,,.7
.n.,,-.,-
u--,
,,,,-.,,,.-e
,,v.,
re-,vr,-.~~
an.,,,.w-,,,,,-,wy-.-
the utility is slight due to the relative value of the two contracts.
9(i) EXAMPLE The ABC Corp. is constructing a turbine building and installing new turbines at a reactor site.
The contract with the utility is for five years and has a total value of $100 million.
ABC Corp. has responded to an NRC Request for Proposal requiring the contractor to Jarticipate in a major team inspection unrelated to the turbine worc at the same site.
The estimated value of the contract is $75K.
(ii) GUIDANCE An NRC contract would not normally be awarded to ABC Corp. since these factors create the. potential for financial loyalty to the utility that may bias the technical l
judgment of the contractor.
i (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 determination of the existence of 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 ecompet4tive or a sole source basis.
-~
(2009.570-4 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. The procedures ~ apply to small purchases meeting the criteria stated in the following paragraph (b) of this section.
(b)
The organizational conflicts of interest representation provision at 52052.209-72 must be included in solicitations and unsolicited proposals, (including those for task orders and modifications for new work) 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 the resulting contract. lhis representation requirement also applies to all modifications for additional effort under the contract exce?t those issued under the " Changes
- clause. Where, however, a statement of tne i
type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.
e (c)
The offeror may, because of actual or potential organizational r.onflicts of interest, propose to exclude specific kinds of work contained in a RfP unless the RFP specifically prohibits the 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 be to the detriment of the competitive posture of the other offerors, the NRC shall reject the proposal as unacceptable.
(d)
The offeror's failure to execute the representation required by paragraph (b) of this section with respect to an invitation for bids is considered to be a minor informality. The offeror will be permitted to correct the omission.
(2009.570-5 Contract clauses.
(a)
General contract cl u it. All contracts and small purchases of the types set forth in 92009.570-4(b) must include the clause entitie k "Contrartor Orgaolzational Conflicts of interest," set forth in $2052.209-73.
(b)
Other special contract clause 1 If it is determined from the nature of the proposed contract that an organizational conflict of interest exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with 62009.570-9, neutralized through the use of an appropriate special contract clause.
If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any restriction.
These clauses include but are not' limited'to:"
(1) liardware exclusion clauses which prohibit the acceptance of production contracts following a related non-production contract previously performed by the contractor; (2)
Software exclusion clauses; (3)
Clauses which require the contractor (and certain of its 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.
52009.570-6 Evaluation, findings, and contract award.
The contracting officer shall evaluate all relevant facts submitted by an offeror and other relevant information. After evaluating this information against the criteria of $2009.570-3, the contracting officer shall make a finding of whether organizational conflicts of interest exist with respect to a particular offeror, if it has been determined that real or potential conflicts of interest exist, the contracting officer shall:
(a)
Disqualify the offeror from award; (b)
Avoid or eliminate such conflicts by appropriate measures; or
7_ _
~. _. _ _ _ _ _ _. _ _
Award the contract under the waiver provision of $2009.570-9.
(c) 62009.570 Conflicts identified after award.
If aotential organizational conflicts of interest are identified after award witi respect to a particular contractor, and the contracting officer determines that conflicts do exist and that it would not be in the best interest of the Government to terminate the contract, as provided in the the contracting officer shall take every clauses required by_$2009.570-5, reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 62009.570-9, neutralize the effects of the identified confilct.
7 1
(2009.570-8 Subcontracts.
The contracting officer shall require offerors and contractors to submit a representation staternent from all subcontractors (other than a supply subcontractor) and consultants performing services in excess of $19,000 in The contracting officer shall require the accord uce with 62009.570-4(b).
contractor to include contract clauses in accordance with 62009.570-5 in
{
consultant agreements or subcontracts involving. performance of work under a i
prime contract.
62009.570-9 Waiver.
The contracting officer determines the need to seek a waiver for (a) specific contract awards, with the advice and concurrence of the program office director and legal' courts'elr Upbn the recommendation of the Procurement Executive, and after consultation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he determines thtt it l-is in the best interest of the United States to do so.
4 Waiver action is strictly limited to those situations in which:
i (b) 4 The work to be performed under contract is vital to the NRC (1) program.
The work cannot be satisfactorily performed except by a (2) i -
contractor whose interests give rise to a question of conflict of interest.
Contractual and/or technical review and surveillance methods (3) can be employed by the NRC to neutralize the conflict.
For any waivers, the justification and approval documents must be (c) placed in the NRC Public Document Room, 2120 L Street, NW, (Lower Level).
Washington, DC.
52009.570-10 Remedies, in addition to other remedies permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
.