ML20217F514

Mod 117 to Contract NRC-02-97-009

ML20217F514
Person / Time
Issue date:	03/30/1998
From:	Meehan B NRC OFFICE OF ADMINISTRATION (ADM), SOUTHWEST RESEARCH INSTITUTE
To:
References
CON-FIN-J-5164, CON-NRC-02-97-009, CON-NRC-02-97-009-1, CON-NRC-2-97-9, CON-NRC-2-97-9-1 NUDOCS 9804010032
Download: ML20217F514 (21)

Text

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e bb AMENDMENT OF SOLICITATION / MODIFICATION OF CONTRACT 5o,"8a046 Iof3

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2 dt.MENDM(erfMOD$rlCATION NO.

3. EFFECTfvE DATE 4 RI:OutstTION/ PURCHASE REO. NO

s. PROJECT NO. Of apphcotasel 117 3/30/98 NMS-97 009 3/26/98 E ADMINIDEMD W M oma men hem si e esse:D sY

cog, CODE U,5. CuClear Regulatory Consnission Division of Contracts and Property Mgt.

Attn: T-7-1 2 W:shington DC 20555 S. NAME AND ADDRESS OF CONTRACTOR Mo., street, county, state end ZIP Codel (X) 9A. AMENDMENT OF sOUCrThisON NO 8a DATED (SEE :TEu sii Southwest ResearCh institute 6220 Culebra ROed, Po Drawer 28510 san Antonio TX 78228-0510 10A MODIFICATION OF CONTRACT / ORDER NO Wesley C. Patrick, President, CNWRA 210 522 5158 TIN # 74-1070544 Con # NRC-02 97-009

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100. DATED (SEE ITEM 13)

X 10 15 1987 lFACluTY CODE CODE l

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS l

is extended, is not extendad.

C The atmve numbered solicitation is amended as set forth in iterr,14. The hour and date specified for receipt of Offers Offirs must acknowledge receipt of tNs amendment prior to the hour and date specified in the solicitation or as amisoded, by one of the following methods:

i:) By completing items 8 and 15, and retuming copies of the amendment; (b) By acknowledging receipt of tNs amendment of each copy of the

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offer submitted; or (c) By separate letter or telegram wNch includes a reference to the solicitation and amendment numbers, FAILURE OF YOUR AC.

KNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of tNs amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram Or letter makes reference to the solicitation and tNs amendment, ark, is received prior to the opening hour and dat) specified,

12. ACCcVNTNG AND APrROPRIAflON DAT A tif requeredl Aapto. 31KD200 j

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13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS / ORDERS, IT MODIFIES THE CONTRACT / ORDER NO. AS DESCRIBED IN ITEM 14.

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A. THi$ CHANGE ORDER is tsSUED PURSUANT TO: (Spacity authontyi THE CHANGES SET FORTH IN ITEM 14 ARE MADE M THE CONTRACT ORDER NO. IN ITI-M 10A.

I S. THE A80VE NUMBERED CONTRACT / ORDER l$ MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES touch as changes in paying othee, appropnotion date, etcJ SET FORTH M llEM 14, PURSUANT TO THE AUTHORITY OF FAR 43103tbl.

C. THis sUPPLEMfNTAL AGREEMENT ts ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modefacetson and authonty) l

@ is not, O is required to sign this doct. ment and return copies to the issuing office.

E. IMPORTANT: Contractor 14 OlbCRIPTION OF AMENDMENTMODIFICATION toegenseed by UCF esction headmos, encludmg schcitation/contreet subsect matter where foambieJ Please see attached.

*b DFo r Earept es prewded heran, eli tr'eme and conomor{.4 the document referenced en hem DA or 10A, se heretofore changed, remame unchen0ed asid m full force end ettect.

15A NAME AND TITtt OF slGNER (Tvpe or pnnt) 16A. NAME AND TITLE OF CONTRACTING OFFICE R (Type or pont)

Barbara D. Meehan 168 UNITED sTM[s OF AMERICA

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(M&D.unO.% O

n. DATE SIGNED 16C lbC. DATES 4GNED iss CONTRACTOR /OrFEROR n.,ure o, per e.mone to e,n,

..r_te o, Contremm. ott_,

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staao^ao Foam so mEv ton 9804010032 980330 PDR CONTR NRC-02-97-OO9 PDR

Description of Changes incorporated by Modification No.117 to NRC-02-97-009 Page 2 The purpose of this modification is to make administrative changes to the award fee plan and to attachments 1,12 and 16 to the contract, and to obligate additional funds to the TWRS program. Accordingly the following changes are made:

Revise Section B.2.C.b. and d.are revised to show an additional obligation in the amount of

$250,000 to Job Code J5164 as shown on attached change pages 5 and 6. 1 - Replace pages 5 and 9 with the attached. Also replace current attachments 1 and 12 and 16 with the enclosed new attachments.

All other terms and conditions of this contract, including the ceiling amount for the second renewal period of $87,611,477.00, remain the same.

A summary of new obligations for the second renewal period of this contract is given below:

Job Code D1035 (HLW)

Total FY97 Obligation amount $445,000 (see Spent Fuel (CIS) below)

Total FY98 Obligation amount $10,773,270 Cumulative Total of NRC Obligations for JC 1035 (HLW) $11,218,270.

Job Code C1035 (Spent Fuel (CIS))

Total FY97 obligation amount $200,000 Total FY98 obligation amou'nt $250,000 Cumulative Total of NRC Obligations for JC 1035 (SP CIS) $450,000.

Job Code J5164 (Tand Waste Remediation)

Total FY98 obligation amount $250,000 Cumulative Total of NRC Obligations for JC J5164 $250,000.

Job Code J5206 (Spent Fuel Dry Transfer)

Total FY97 obligation amount $25,000.

Total FY98 obligation amount $175,000.

Cumulative Total of NRC Obligations for JC J5206 $200,000.

Job Code J5210 (Aluminum-Based Spent Fuels)

Total FY98 obligation amount $125,000.

Cumulative Total of NRC Obligations for JC J5210 $125,000

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Description of Changes incorporated by Modification No.117 to NRC-02-97-009 Page 3 -

Job Code J5186 (TMI-2 Fuel Debris)

Total FY98 obligation amount $175,000.

Cumulative Total of NRC Obligations for JC J5186 5175,000.

Job Code J5226 (Private Fuel Storage)

. Total FY98 obligation amount $150,00 Cumulative Total of NRC Obligations for JC J5226 $150,000 This modification obligates $250,000 in new funds.

NRC-02-97-009 Modification No.117 Page 5

e. Total amount authorized by Operations / Project Plans was as follows:

High-Level Waste Licensing Support System Job Code: D1035 Job Code: L1590 Amount: $ 44,662,918 Amount: $35,900 Research Waste Solidification Systems Job Code: B6666 Job Code: L1793 Amount: $ 15,584,461.47 Amount: $642,391.87 Job Code: J5190 Amount: $39,900 Transportation Monitored Retrievable Storage Job Code: D1070 Job Code: L2516 Amount: $0 Amount: $20,459.70 Tank Waste Remediation Safety Review of TMI-2 Job Code: J5164 Job Code: J5186 Amount: $772,035.00 Amount: $158,290 Total amount authorized: $ 61,916,356.04

f. The total award fee available; the award fee camed thus far and the evaluation period applicable thereto were as follows:

Available Award Fee Evaluation Period Award Fee Earned 11 9/27/92-4/9/93

$309,465 259,951 12 4/10/93-9/24/93 347,645 316,673 13 9/25/93-9/30/94 709,894 668,010.43 14 10/1/94-9/29/95 817,617 793,088 15 9/30/95-9/27/96 665,948 645,970 16 9/2f'96-9/2' 6/97 556,736 528,899 Current E ch C. Scotember 27.1997 - Seotember 27. 2002 The total estimated ceiling amount of this Cost-Plus-Award-Fee type contract for a.

the above mentioned period is $87,611,477.00.

b.

The amount presently obligated by the Government with respect to this contract for this period is $ 12,568,270. In addition, carryover funds in the amount of

$3,302,599.76 are available for use in this renewal period as indicated below.

The award fee pool will be as stated in the AFDP. The plan will reflect the actual award fee pool based on cumulative estimated costs for performance of approved Operations / Project Plans. The applicable base fee percentage is also described in the AFDP.

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NRC-02-97-009 Modification No.117 Page 6 Evaluation of the award fee earned will be accomplished in accordance with the c.

then current AFDP (Attachment 11). Neither the determination as to the amount of fee available during a given period, the amount of award fee earned, nor the determination of the criteria under which the subject award fee will De made, shall be subject to FAR Subpart 52.233-1, entitled, " Disputes".

d.-

Total funds currently obligated by Job Code (JC) are as follows:

High-LevelWeste Waste Solidification Systems Job Code: D1035 Job Code: L1793 New Funds: $ 11,218,270 New Funds:

Carryover: $1,989,455.71 Carryover: $2,763.35 Total: $13,207,725.71 Total: $2,763.35 Tank Waste Remediation Waste Solidification Systems Job Code: J5164 Job Code: J5190 New Funds:

New Funds:

Carryover: $1,496,284.95 Carryover $35,349.05 Total: $1,496,284.95 Total: $35,349.05 Spent Fuel (TMI-2 Fuel Debris)

Spent Fuel (Dry Transfer)

Job Code: J5186 Job Code: J5206 New Funds: $175,000 New Funds: $200,000 Carryover: $28,746.69 Carryover: $0 Total: $203,746.69 Total: $200,000 Aluminum-Based Spent Fuels Spent Fuel (CIS)

Job Code: J5210 Job Code: D1035 New Funds: $125,000 New Funds: $450,000 Total: $125,000 Total: $450,000 Spent Fuel (PFS)*

Job Code: J5226 New Funds: $150,000 Total: $150,000 Total New Funds Obligated for 2nd Renewal Period: 512,568,270 4

• PFS is subject to the license fee recovery provisions located elsewhere in this contract.

The TAC number for this project is L22462.

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Revised 3/98 ATTACHMENT 1 PROCEDURES FOR PLACING AND CHANGING WORK Contents A In'roduction B. Definitions C. Procedures for Placing New Work with the CNWRA D. Procedures for Revising Work Placed with the CNWRA l

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y OPERATION PROCEDURES FOR USE OF THE CENTER FOR NUCLEAR WASTE REGULATORY ANALYSES A e This document establishes policies, procedures, and responsibilities for utilizing the Center for Nuclear Waste Regulatory Analyses (CNWRA) to support the U.S. Nuclear Regulatory Commission (NRC) for its High-Level Waste (HLW) regulatory program under the Nuclear.

Waste Policy Act of 1982, as amended (NWPA) and the Energy Policy Act of 1992. It applies to all CNWRA activities assigned to the CNWRA through Southwest Research Institute's (SwRI) contract with the NRC.

SECTlON A-INTRODUCTION

===1.

Background===

The CNWRA is an independent not-for-profit corporatum formed in 1987 to perform research and technical assistance related to NRC's HLW management regulatory program under the NWPA and the NWPAA. The NRC is currently the sole sponsor of the CNWRA The CNWRA's work in support of the NRC places that or2anization in the category of a Federally Funded Research sod Development Center (FFRDC) and is subject to NRC budgetary limitations, as set forth by Congress. An FFRDC is a category of government contractor that provides objective, independent expertise to satisfy special research and development needs ofits sponsor.

The scope of this document is limited to procedures for determining work to be placed at the CNWRA; placing work at the CNWRA; and monitoring and evaluating the work performed by the CNWRA. Programmatic responsibilities assigned to the Director of the Office of Nuclear Material Safety and Safeguards (NMSS), the Director, Office of Nuclear Regulatory Research

' (RES), and other offices who might use the CNWRA are not affected by these procedures.

2.

CNWRA Role The CNWRA will perform, under NRC direction, research and technical assistance to support the NRC in fulfilling its program responsibilities under the Nuclear Waste Policy Act of 1982, as

- amended, which is within the purpose, mission and general scope of the FFRDC Charter (see A). The primary areas or elements of work under the NRC/CNWRA contract are l

discussed in Section C.2.3 of the contract. Based on the work performed in each major area, the CNWRA will support the NRC staff as required by assisting in the development of review plans, technical positions, rulemakings and other documents to provide timely guidance to DOE; provide reviews of licensing and program documents; ass ist NRC staff during a

. determination of site sufficiency and waste form adequacy; conduct research to support the NRC HLW mission; and contribute, if appropriate, to oral and written testimony for adjudicatory hearings.

SECTION B - DEFINITIONS 1l. Swament of Work

The NRC contract with the CNWRA cordains an " umbrella" statement of work in general

3-terms, which directs that the CNWRA provide technical assistance and research in each of the major areas of work (See Section A.2 above). This statement of work is a contractual document providing authority and direction for the CNWRA to perform work during the contract period. Detailed work descriptions are incorporated into the contract via Program Element Plans, developed by NRC, and Operations / Project Plans, developed by the CNWRA and.

approved by NRC.

2.

Proaram Element Plans / Kev Technical issues Tables Program Element Plans (PEPS) / Key Technical lasues Tables (KTis) are prepared by NRC as required for each program or research project element and provide the basis for development of detailed Operations Plans (described below) by the CNWRA. PEPS contain the fc.:owing infortination for each work area: Introduction, Background, the CNWRA's Role, the Estimated Level of Effort, Products / Schedule During Period covered by the Operations Plan, and the Task Description. Updates to the PEPS do not require inclusion of the introduction, Background, and/or the CNWRA's Role unless a change has been made to the section. KTl tables include a brief description of the work, anticipated completion date, responsibility for work (i.e. CNWRA/NRC), and estimated level of effort (FTE) associated with perfcrming the work.

3.

Operations Plans Operations Plans are detailed implementation plans prepared by the CNWRA, upon a written directive from the NRC Contracting Officer (CO), to conduct the work directed by NRC in PEPS /KTis. The Operations Plans are broken down into sections for each element of work within the respective Sponsor's area. The Operations Plans contain scope, schedules, and costs for each work area, are approved by letter from the CO. and become the contractual basis for measuring work performance. As changes are identified and approved by the CO, the Operations Plans are modified by the CNWRA 4.

NRC Directives NRC directives are written contractual documents provided by the CO requesting new work or making changes to existing work and may include direction to prepare an Operations Plan, authorization to initiate werk based on an approved Operations Plan, or direction to amend milestones, schedules or cost ceilings contained in an existing Operations Plan. Only the CO can authorize changes in major milestone schedules, scope of work and/or costs.

5.

Technical Direction Technical direction is defined in Section G.2 of the contract between NRC and SwRI. The term technical direction includes direction to the CNWRA which: (1) shifts work emphasis (within the technical area of responsibility), provides additional detail or otherwise serves to clarify the scope of work in the directive; (2) provides assistance to the contractor in the preparation of drawings, specifications or technical portions of the work description; and (3)

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reviews and, where required by the contract, approves technical reports, drawings, specifications and tech,1ical information to be delivered by the contractor to the Government under the contract. Technical direction must not affect the stated scope, costs, expressed -

terms. conditions or specifications of the contract, or the schedule of major milestones.

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.SECTION C - PROCEDURES FOR PLACING NEW WORK WITH THE CNWRA The NRC CNWRA Deputy Program Manager (DPM) submits NMSS' proposed a.

PEPS /KTis to the CO, including independent govemr'ient cost estimates for the work. RES' proposed PEPS, including independent government cost estimates for the work, are forwarded to the CO by the RES Sponsor.

b.

The CO reviews the PEPS /KTis to ensure that the work is clearly defined, enforceable and within the stated purpose, scope and mission of the contract with SwRI. The CO issues a written directive, based upon written direction from the NRC CNWRA Program

- Manager (PM) or NRC CNWRA DPM, to the CNWRA requesting a detailed new or revised Operations Plan,'as appropriate, for performance of the new work. Depending on the urgency of the required new work, the CO may verbally direct the CNWRA to commence work on the new work. In such an event, the CO establishos a limit on the Govemment's liability and requests the CNWRA to subrait a new or revised Operations Plan, as appropriate.

The CNWRA submits an Operations Pian, including, if appropriate, an assessment c.

of the impact on existing Operations Plan: to the CO with copies to the NRC CNWRA PM, NRC CNWRA DPM and appropriate NRC Program Element Manager (s) (PEM), who review the Operations Plan. All discussions regarding necessary changes to existing Operations Plans shall include the CO, NRC CNWRA PM and/or NRC CNWRA DPM, and the RES Sponsor for RES work. If no changes are required, the CO, after making a determination that all costs proposed are fair ed reasonable, will issue a directive authorizing the CNWRA to perform work in accordance with the Operations Plan.

d.

If changes to the proposed Operations Plan are required, the PEMs notify their Sponsors and these issues are discussed and resolved. The final decision on program changes will be made by the NRC CNWRA PM for NMSS work or the RES Sponsor for RES work. To the extent practicable, preliminary notification of issues for discussion will be provided to the CNWRA by the CO. Based on agreements reached, the CO will direct the CNWRA to commence performance of new work, establish a limit on the Govemment's liabi!ity, and request the CNWRA to submit a revised Operations Plan or change pages that reflect the terms discussed and agreed upon. The CNWRA submits a revised Operations Plan or change pages to the CO with copies to the NRC CNWRA PM, NRC CNWRA DPM and NRC PEM(s). The CO, NRC CNWRA PM for NMSS work, the RES Sponsor for RES work, and, when necessary, PEM(s) review the revised Operations Plan or change pages to ensure terms are acceptable, and costs, if any are fair and reasonable. If acceptable, the NRC CNWRA PM or NRC CNWRA DPM for NMSS or the RES Sponsor for RES notifies the CO.

The CO reviews changed pages to ensure that comments have been resolved in accordance with the terms and conditions of the contract, and if so, authorizes performance in accordance wMh the revised Operations Plan CNWRA Operations / Project Plans contain details of What the CNWRA plans to do to

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complete the requirements in the PEPS /KTis and are subject to CO approval. The CNWRA may also at times find it useful to submit for NRC comment documents such as Technical Operating Procedures which describe how the work will be performed. These dccuments are CNWRA management documents and are not subject to NRC approval.

s SECTION D - PROCEDURES FOR REVISING WORK PLACED WITH THE.CNWRA

F.

5 NRC Project Officerr *O), NRC PEMs, NRC CNWRA DPM, NRC CNWRA PM, or a.

RES Sponsor may identify a r for a change to an element of work, e.g., acceleration or deceleration of a schedule, wo. stoppage, or addition / deletion of work stated in the Operations Plan. If the initialidentification of revised work requirements is made by the PO or PEM, the PEM shall submit a written request to the NRC CNWRA DPM for NMSS work, or the RES Sponsor for RES work. Upon approval by the NRC CNWRA PM of changes for NMSS' work, the request is forwarded from the PEM through the NRC CNWRA DPM, who will, if appropriate, sign the request and submit it to the CO. For changes in RES work, the request is forwarded to the CO by the RES PEM through the RES Sponsor. The written request shall contain the following information: (1) Introduction (nature of requirement), background; (2)

Description of work to be performed, including milestones; and (3) Estimated level of effort.

b.

To ensure NRC program priorities are properly reflected, all proposed changes, irrespective of significance, must be approved by the NRC CNWRA PM or NRC CNWRA DPM for NMSS work or the RES Sponsor for RES work before they are provided to the CO. When appropriate, the CRG will be requested to review the proposed requirement and provide comments and recommendations. The NRC CNWRA PM and/or NRC CNWRA DPM, or the RES Sponsor for RES, and the CO may informally discuss the requirement with the appropriate CNWRA management (See Section C.3.).

The NRC CNWRA DPM and the appropriate Sponsor assess / estimate what c.

additional resources are required to perform the new work or what reduction in resources is necessary based on a prograni deletion. Also, the NRC CNWRA DPM assesses the impact of the proposed changes on existing CNWRA Operations Plans.

d.

If the proposed change is within the scope, the cost ceilings, and does not affect

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major milestones and deliverables of the then current Operations Plan, the individual PEM or Technical Sponsor may (within the technical area of responsibility) adjust intermediate milestones with counterparts at the CNWRA through technical direction. All technical direction f

shall be issued in writing by the PEM or Technical Sponsor or shall be confirmed by the PEM or Technical Sponsor in writing within ten (10) working days after veibal issuance with copies to the CO, NRC CNWRA PM and NRC CNWRA DPM. Certain milestones and deliverables are designated as major for each major program area at the outset, A summary of required changes, including resources, and cost and schedule 1

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implications other than those within the purview of individual PEMs or Technical Sponsor's authority is provided to the CO by the NRC CNWRA DPM for NMSS work or the RES Sponsor for RES work, including the impact of the proposed changes on existing CNWRA Operations Plans, if appropriate. The CO reviews the requirement to insure that the required change is clearly oefined, enforceable and within the stated purpose, mission and scope of the contract cod notifies the CNWRA of the proposed change. Depending on the urgency of the required cnanges, the CO may verbally direct the CNWRA to commence wnrk on a revised major program area immediately upon receipt from the NRC Deputy CNWRA PM for NMSS work or the RES Sponsor for RES work. In such event, the CO establishes a limit on the Govemment's liability and requests the CNWRA to submit a revised Operations Plan or change pages. All discussions regarding necessary changes and impacts on existing Operations Plans shall include the CO and either the PEM for NMSS work or the RES Sponsor for RES work. The PEMs are responsible for coordinating such changes with the Sponsor, who coordinates with the NRC CNWRA PM or NRC CNWRA DPM, and the CO.

f.

Changes to existing major program areas will be directed by the CO based on direction received from the NRC CNWRA DPM or the RES Sponsor. The CO also directs the

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CNWRA to submit a revised Operations Plan or change pages that incorporate the required changes and an analysis of the impact on existing Operations Plans, if appropriate.

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The CNWRA submits a revised Operations Plan or change pages and its analysis of g.

the impact on existing Operations Plans, if appropriate, to the CO with copies to the NRC CNWRA PM, NRC CNWRA DPM, and PEM, who review the revised Operations Plan / change pages. The CO, NRC CNWRA PM and/or NRC CNWRA DPM, and PEM (or in the case of RES, the RES Sponsor) agree on terms of revised Operations Plans and discuss any required changes with the CNWRA mailagement, h.

When changes are required to the revised Operations Plan or change pages submitted by the CNWRA, the CO. issues a directive to the CNWRA which incorporates the terms agreed to by Center management and NRC, including any additional changes required.

1.

When no changes are required to the revised Operations Plan and/or change pages are submitted by the CNWRA, the CO issues a directive authorizing the CNWRA to perforin work in accordance with the revised Operations Plan.

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(Modification No.117)

C.

Organization Structure for Award Fee Administration The following organizational structure is established for administering the award fee provisions of the contract.

1.

Fee Determination Official (FDO) a.

The FDO is the Director, NMSS, or his designee.

b.

Primary FDO responsibilities are:

(1) Determining the award fee earned and payable for each evaluation period as addressed in Part D.

(2)

Changing the matters covered in this plan as addressed in Part E, as appropriate.

2.

Center Review Grouo (CRG)

The Chairman of the CRG is John J. Linehan, or his designee. The CRG consists of a.

the following members:

Margaret V. Federline Charles J. Haughney Sharon D. Mearse E. William Brach Advisors: Deborah A. DeMarco Dor.ald F. Hassell Barbara D. Meehan Evaluation Coordinator: Barbara Stiltenpole b.

The Chairman may recommend the appointment of non-voting members to assist the Group in performing its functions.

c.

The CRG will:

(1)

Conduct ongoing evaluations and assessments of the CNERA's overall j

performance and submit a Performance Evaluation Report (PER) to the FDO covering the Group's findings and recommendations for each evaluation period, as addressed in Part Q.

(2)

Considering proposed changes in this plan and recommending those it determines appre>priate for adoption by the FDO, as addressed in Part E.

3.

Performance Monitors (PM)

PMs are all Program Element Managers and the Senior Contract Specialist.

a.

b.

Each PM wil! be respensible for complying with the General Instructions for Perfonnance Monitors, Attachment D-1, and any specificinstructions of the CRG Chairman as addressed in Part D. Primary PM responsibilities are:

9 Modification No.117 ATTACHMENT C-1 TO AFDP EVALUATION PERIODS AND MAXIMUM AVAILABLE AWARD FEE FOR EACH (Historical Information from Previous Contract Periods included)

Evaluation Period Maximum Available Nst Duration Ending Award Fee 1.

6 months April 14,1988

$102,009 2.

6 months October 14,1988

$158,444 3.

6 months April 14,1989

$275,870 4.

6 months October 14,1989

$296,996 5.

6 months April 14,1990

$318,735 6.

6 months October 14,1990

$445,789 7.

6 months April 14,1991

$450,777 8.

6 months October 14,1991

$424,240 9.

6 months April 14,1992

$482,533 10.

6 months September 26,1992

$405,673 11.

6 months April 9,1993

$309.465 12, 6 months September 24,1993

$347,645 1

13.

1 year April 15,1994

$709,894 September 30,1994 14.

1 year April 14,1995

$817,617 September 29,1995

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1 year April 12,1996

$665,948 September 27,1996 16.

1 year April 11,1997

$556,736 September 26,1997 17.

1 year April 10,1998 September 25,1998 18.

1 year April 9,1999 September 24,1999 19.

1 year April 14,2000 September 29,2000 20.

1 year April 13,2001 September 28,2001 f

21.

1 year April 12,2002 September 27,2002

• For periods 13 and later there may be two award fee pools since the pool could increase or decrease

.5% for each of the two periods within the total one year evaluation period.

Modification No.117 ATTACHMENT 12 Contractor Procedures for Submittina Documentation to the NRC in Electronic (Machine Readable) Format The requirement to submit documentation in electronic format is in addition to the reporting requirements specified in the Statement of Work (SOW) and does not supersede the existing requirements of the contract or the specifications for contractor reports in NRC Handbook 3.8.

The contractor shall submit all contract deliverables in accordance with the electronic and hardcopy format specifications below. Documents such as briefing charts, news clippings, financial reports, personnel actions, purchase requisitions, and other administrative actions need not be submitted in electronic format.

1. Documents comprised principally of textual material, tables which can be represented in conventional wordprocessor format, and figures shall be submitted in the currently approved version of Wordperfect. A hardcopy shall be provided in accordance with section 3 below.

2. Documents containing a significant number of mathematical formulas and scientific notations, in addition to the materials noted in section 1, shall be submitted in an approved desk-top publishing software attemative to Wordperfect version 8 (e.g. Framemaker). For each document submitted in such attemative format, an abstract shall also be provided in the currently approved version of Wordperfect. A hardcopy shall be provided in accordance with section 3, below.

3. For each document transmitted electronically, the contractor shall also submit a clear, legible hard copy document prepared on a letter quality printer. Such copy shall be complete in all respects, including charts, figures, diagrams, mathematical formulas, scientific notations, r

photographs, and the like. Hard copies submitted as contract deliverables shall be prepared and submitted in acco dance with the specifications in the SOW and NRC Handbook 3.8.

4. The contractor shall assure that each electronic version submitted in accordance with section 1 or 2 is a complete and accurate replication of the signed original paper copy of the contractor report, except as noted in section 5.

5. Current wordprocessor and desk-top publishing software does not convert certain forms of graphics into electronic format. These include charts, figures, diagrams, mathematical formulas, scientific notations, photographs, and the like. NRC will use the hardcopy original submitted in accordance with section 3 to prepare a complete electronically scanned image of the document to satisfy programmatic requirements related to NUDOCS, LSS, or other such document retrieval systems.

Submission of contract deliverable documents on. computer tape or by direct transmission to NRC is permitted, provided prior approval has been obtained from the NRC Document Control Center (FTS 504-2080).

The contractor shall assure that contract deliverable documents are prepared with appropriate labels for figures, graphs, photographs, etc. so that the location and content of these are clearly evident in the electronic format version of the text.

6. The electronic version shall accompany the paper copy and shall be submitted on computer diskette. Each disk shall be labeled to identify the contents, format and version (e.g.

Wordperfect version 8), and date of preparation.

PROCEDURES FOR USING THE CENTER FOR NUCLEAR WASTE REGULATORY ANALYSES, FOR WORK FOR THE NUCLEAR REGULATORY COMMISSION -

AND OTHERS, WITHIN ITS AREAS OF SPECIAL COMPETENCY 1,.

INTRODUCTION On October 15,1987, the Nuclear Regulatory Commission (NRC) contracted with

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Southwest Research Institute (SwRI) to establish the Center for Nuclear Waste Regulatory Analyses (CNWRA or the Center) as a Federally Funded Research and Development Center (FFRDC). The Center was established to provide long-term continuity and conflict-of-interest-free technical assistance and research for NRC, in support of its High-Level Waste Management (HLWM) Program, under the Nuclear Waste Policy Act (NWPA), as amended. The Center is operated as a separate business unit of SwRI, a private, not-for-profit organization. NRC is the sole sponsor of the Center. As the sole sponsor, it is NT40's responsibility to maintain funding continuity, to help ensure Center management and NRC staff goals of achieving and maintaining both a high degree of technical competence and efficient use of technical resources.

It is in the interest of both NRC and the Center to maintain contractual continuity (scope of work and schedules) and funding stability, consistent with program needs, Department of Energy (DOE) schedules for development and operation of a high-level waste (HLW) repository, and budget appropriations. Although contractual continuity and stability of funding are essential, they cannot always be guaranteed. Some year-to-year variation in funding and scope must be anticipated. Center capabilities can make a contribution to entities other than NRC, and to technical areas other than HLW (both within and outside NRC). Therefore, to alleviate the impact of year-to-year variations, it is desirable for the Center to perform work for others, within its areas of special competency. Futther, it is anticipated that work for others will broaden staff knowledge and experience, provide opportunity to broaden and deepen the Center's core expertise that is used in service to NRC, and provide for more efficient use of Center resources, when NRC's HLWM requirements do not fully use the time and talents of core Center staff.

Work for others must be conducted in accordance with applicable Office of Federal Procurement Policy (OFPP) guidance, Federal Acquisition Regulations (FAR), and other pertinent rules and procedures. Nothing in these implementing procedures is intended to after the requirements of such rules and procedures.

ATTACHMENT 16-Revised 3/98 I

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~ PURPOSE AND SCOPE

- The purpose of this document is to establish the responsibilities and procedures whereby the Center may obtain authorization from its sponsor, NRC, to perform work for others that is related to its primary purpose, scope, mission or special competency, and to ensure that:

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Opportunities for the Center to conduct work, within its areas of special competency, for NRC, outside the HLWM Program, or for any non-sponsor organization, are identified; (2)

The anticipated benefits of such situations are maximized; (3)

Possible adverse impacts of such use are properly evaluated and either avoided or effectively mitigated;

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Appropriate review of, and decision-making on, requests for such work. are provided in a timely manner; and (5)

The Center avoids conflicts of interest in performing such work.

The scope of these procedures extends to all FFRDC work conducted for organizations other than the sponsor and for work for its sponsor, within its areas of special competency, but outside its primary mission (i.e., NRC's HLWM Program, under the NWPA). However, in order to avoid the potential for conflict of interest, the Center shall not undertake any work under these procedures for DOE, contractors under the DOE j

nuclear waste program, and States and affected Tribes that may participate in the process of siting, developing, designing, licensing, operating, or decommissioning the HLW repository, or associated interim storage facilities or sites.

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DEFINITIONS 3,1 Charter - The document that established the requirement for the Center and delineates the purpose, mission, general scope of effort, and role of the Center as an FFRDC. The Center is chartered to provide sustained high-quality technical assistance and research in support of NRC's HLWM Program, under the NWPA.

3.2 Core Center Staff - All full-time permanent staff members of the CNWRA, exclusive of clerical support staff.

3.3 Non-sponsor - Any organization, inside or outside the Federal Government, that funds specific work to be performed by the Center but is not a party to the sponsoring agreernent (FAR Subsection 35.017(b)).

3A, 1 NRC CNWRA Prouisivi Manaaer - The individual contractually responsible for:

- overall day-to-day program performance of the CNWRA's operations; integration I

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, i of work assigned to the Center; evaluation of the overall performance of the Center, and recommending approval, disapproval, or suspension of costs requested for reimbursement by the Center, 3.5 NRC CNWRA DaMy Proaram Manaaec - The individual contractually designated to assist /act for the NRC CNWRA Program Manager.

3.6 NRC Prooram Element Manaaer - The Contracting Officer's authorized representative for administering the technical aspects of an entire element.

3.7 Special Comoetency - A special or unique capability, including qualitative aspects, developed incidental to the primary functions of the Center, to meet some special need.

3.8 Sponsor - The executive agency that manages, administers, monitors, funds, and is responsible for the overall use of an FFRDC (see FAR Subsection 35.017(b)). In this case, the sponsor is NRC.

3.9 Work for Others - Any work, conducted under applicable policies and procedures of the OFPP and the FAR and the provisions of the NRC contract with SwRI for operation of the Center, other than that conducted: (i) for its sponsor, in accordance with its current Charter, or (ii) within the SwRI Intemal Research and Development Program. In accordance with OFPP procedures and the FAR, work for others must satisfy one of two criteria: (i) the work must clearly fall withfin the purpose, mission, and general scope of effort established for the Center; or (ii) the work must be within one or more areas of special competency of the Center.

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RESPONSIBil.lTIES 4.1 The President of the Center is responsible for ensuring implementation of these procedures at CNWRA 4.2 Center management is responsible for identifying and evaluating opportunities to conduct work for others, wherein such opportunities achieve the goals delineated in the " Introduction" to these procedures, and is also responsible for assessing and avoiding or mitigating any potential impacts that may result from any assignment of CNWRA personnel to conduct work for others.

4.3 Center management will ensure that a proper evaluation is performed of each request to conduct work for others, will assess related impacts and any potential conflict of interest, and will submit to the NRC Contracting Officer and the NRC CNWRA Program Manager, all information and analyses required herein, in accordance with these procedures.

. The Work for Others Committee (WFOC) of the Center Review Group (CRG),

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which includes the NRC Contracting Officer, a representative from OGC, the

Program ManagIsr, and Deputy Program Manager, is responsible for evaluating the Centers request for authorization to perform work for others, against the procedures contained herein and against the FAR criteria; for making recommendation to the Director, Office of Nuclear Material Safety and Safeguards (NMSS), on the disposition of the request; and for assuring that total -

Center effort for work for others does not exceed 30% for non-government work of the Centers total fiscal year funding without prior notification to the Commission.

4.5 The NRC CNWRA Program Manager is responsible for the timely evaluation of each request from the Center to perform work for others; for conferring about such work with NRC's Technical Sponsors; for obtaining approval from the Director, NMSS to implement the CRG's recommendation; for promptly informing the NRC Contracting Officer of the results of the evaluation; and for informing the Commission, after the NRC Contracting Officer has provided authorization to the Center, of approved work.

4.6 The NRC Contracting Officer is responsible for providing all contractual direction to the Center and is tM only individual who can provide such direction and who can authorize the Center to perform work for others; for monitoring work for others by fiscal year and alerting the WFOC if the combined efforts associated with work for other approaches 30% for non-govemment work of the Centers total fiscal year funding; and for ensuring compliance with the constraints and criteria applicable to work placed with the Center, as provided in FAR Subsections 6.303,17.504(e) and 35.017-3.

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i 4.7 Any Federal agency proposing work to be performed, through an interagency f

agreement, within the Centers areas of special competency is responsible for making the determination required by FAR Subsections 17.504 and 17.503, and for providing, to the NRC Contracting Officer, documentation that the requested work would not place the FFRDC in direct competition with domestic private industry, as required by FAR Subsection 17.504(e) and a justification as required by FAR Subsection 6.303.

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PROCEDURES The extent of the Centers participation in work for others will depend on the nature of the work and when it is to be performed, capabilities of the Center, and availabifity of Center resources. A written request for the Center to perform wo thin its areas of special competency may be initiated in one of three ways-NRC could request Center assistance to perform work that is not dife$tly relate a.

to NRC's HLWM Program under the NWPA: -

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An organization other than NRC could request Center assistance to perform work that is related to the NWPA; or 1

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work that is not directly related to the NWPA.'

Work falling within these categories must be covered by one or more of the Center's areas of "special competency," and must be evaluated by NRC, and authorized by the Contracting Officer. The following process provides the mechanism for obtaining NRC's authorization to perform such work.

For the Center to perform work beyond that covered in its contract with NRC, the requesting U.S. Federal agency must concurrently submit to the NRC Contracting Officer and to the Center, for evaluation, a detailed statement of work, including scope, proposed period of performance, and estimated level of efforts. If the requesting organization is other than a U.S. Federal agency, these materials will be submitted to the NRC Contracting Officer by the CNWRA In addition to the above, should the requesting organization be a U.S. Federal agency, it shall provide to the NRC Contracting Officer, a justification, as required by FAR Subsection 6.303, for other than

~ full and open competition, and documentation, as required by FAR Subsection 17.504(e), supporting the finding that the work will not place the Center in direct competition with domestic private industry.

Should the requesting organization reside within NRC, the NRC CNWRA Program Manager shall forward the request for assistance, with the approval of the Director, NMSS, to the NRC Contracting Officer. The NRC Contracting Officer will review this request, and prepare the necessary documentation as required by FAR 6.303. Upon i

approval of such documentation by the NRC Competition Advocate, the NRC Contracting Officer will forward NRC's request for assistance to the Center.

in accordance with Section H.12, Other Contracts - Prior Notification, under the contract, the Center will evaluate the request for proposal and, if interested in performing the work, will request written authorization from the NRC Contracting Officer (with a concurrent copy to NRC's CNWRA Program Manager) for acceptance. The Center's written request to perform work for others, either inside or outside of the NRC, must be accompanied by a justification for performing the work, that addresses each of the criteria listed below:

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The requested work is within the domain of one of the Center's "special competency" areas, consistent with FAR Subsection 35.017-3.

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The requested work has undergone a conflict of interest review, and a determination has been made that the conduct of the proposed work would be in accordance with NRC's conflict of interest requirements. (The NRC staff will conduct the conflict-of-interest review and make the subsequent determination for work performed for NRC.)

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The requested work will not negatively impact the long-term stability of staff and funding at the CNWRA and would, preferably, increar,e that stability. The i

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. expeitise, including labor hours and other resources required to conduct the work, should be delineated.

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The requested work would not materially reduce the effectiveness of the CNWRA in carrying out its primary mission to provide support to NRC's HLWM Program (i.e., would not significantly impact costs, scope, or schedule of NWPA work assigned to the Center by NRC).

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The requested work would augment or help to maintain capabilities, technologies, management methods, and technical expertise of importance to

- NRC and its HLW mission.

Costs related to preparing justifications for performing work and to developing proposals in response to NRC request would be included in the Centers overhead poo!.

Costs for responding to requests for work from outside NRC will be bome by Southwest Research Institute (SwRI) and will not be reimbursed by NRC; Upon receipt of the Centers request for authorization to perform the work, the NRC CNWRA Program Manager will distribute copies of the request and the justification to members of the WFOC. A meeting will be scheduled to review the request and to make a recommendation within 10 calendar days from the date of receipt. All justifications will be evaluated and authorized, based on the requirements in the FAR, restrictions in NRC's contract with SwRI for operation of the Center, these procedures, and the priorities of the currently approved program and the proposed work.

Assuming that the. justification package, as submitted, is complete, the WFOC will arrive

- at a decision at that meeting as to whether to recommend approval of authorization to the Center to accept the work. The NRC CNWRA Program Manager will submit the WFOC's recommendation, with the approval of the Director, NMSS to the NRC Contracting Officer For work outside of the NRC not exceeding $50,000, the approval of the Director, NMSS is not required. The NRC Contracting Officer will determine

. whether the requested action is in compliance with the FAR and the contract terms and conditions, and will seek resolution of any contractualissues raised by the Centers request. After resolution, the NRC Contracting Officer will inform the Center of NRC's decision. The NRC CNWRA Program Manager, after the Contracting Officer has provided authorization to the Center, will inform the Commission of all work for others approved for placement at the Center.

For work for others, authorized by the NRC Contracting Officer, the Center will establish individual financial and labor resource

.. tracking accounts. Center management, the NRC Contracting Officer, and the NRC CNWRA Program Manager will ensure overhead and msnagement costs are properly distributed. Proposals for NRC work, that include the technical scope, schedules, and required resources, once accepted by the NRC Division requesting the work, will be incorporated into NRC's contract with SwRI and will become contractually binding.

in addition to management of the Centers NWPA work for NRC, the NRC staff will o

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provide technical and direct management oversight of NRC work not performed under

. the NWPA, and to the extent practical (under Management and Staffing Award Fee Evaluation Criteria, e.g., the Centers ability to manage work for others without impacting NRC's HLWM Program), will consider Center performance on such work during the CRG's award fee determination. Technical and direct management oversight of non-NRC work will be provided by the requesting organization, and will not be considered by the CRG as part of the Centers award fee evaluation.

Day-to-day technical and financial management of approved programs / projects will be performed by the Center and the requesting organization. Potential or actual impacts on HLWM Program work at the Center will be noted in the MAJOR PROBLEMS section of tho Centers Program Managers Periodic Report. At the NRC/CNWRA Annual Program Reviews, the President of the Center will advise NRC on the extent of ongoing work for others. A brief assessment of potential adverse impacts, if any, on the NRC HLWM Program, will be provided.

The NRC Contracting Officer will monitor the funding provided to the Center to perform work for others and will inform the CRG if the total fiscal year funding for such efforts approaches 30% for non-govemment work of the Centers total fiscal year funding. The CRG will recommend approval of requests to perform work for others that would cause total fiscal year funding for such work at the Center to exceed 30% for non-government work only in exceptional circumstances. If such approval is recommended, the NRC CNWRA Program Manager will so inform the Commission, prior to submitting the recommendation to the Contracting Officer for review and authorization.

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ALTERNATIVE PROCEDURE FOR APPROVAL OF REQUESTS BY NRC FOR PRESENTATIONS BY CNWRA STAFF The NRC Contracting Officer may authorize the Center to perform work for others when the Center is requested by other NRC offices to present papers relating to work that the Center has performed under this contract. Documentation will be placed in the file indicating that the five criteria cited above have been met.

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RECORDS j

The results of evaluations conducted in accordance with this procedure, as well as the evaluation material supporting the results, shall be documented and retained in the project files at the Center and NRC.

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