ML20217P367
| ML20217P367 | |
| Person / Time | |
|---|---|
| Issue date: | 08/13/1997 |
| From: | Mace M NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | AFFILIATION NOT ASSIGNED |
| References | |
| CON-GENERAL NUDOCS 9708270368 | |
| Download: ML20217P367 (145) | |
Text
en88?g y* UNITE 3 STA*ES g ,j "t
NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 3066H001 "s /
~'
mnn 0FFER0RS:
SUBJECT:
REQUEST FOR PROPOSAL NO. RS NMS97-007 ENTITLED,
- SUPPORT TO THE FSU REPUBLICS FOR ACTIVITIES UNDER THE COOPERATIVE THREAT REDUCTION (CTR) PROGRAM AND LISBON INITIATIVE" The U. S. Nuclear Regulatory Comission (NRC) is soliciting prnposals for the
)rojectentitledabove. The full scope of work anticipated is as set forth in part 1 Schedule, it is our intention by this solicitation to secure the best qualified
. organization (s) arilable to perform this project, cost and other f actors considered. Your organization is requested to submit a technical and cost
, aroposal in response to the requirement of this solicitation not later than 3:30 PM on September 9. 1997.
The Government will either award a single task order contract for all work under this solicitation, or two task order contracts, one for the MC&A work and one for the physical protection work.
In accordance with Section L.8 of this solicitation, you must submit two original and four signed copies of both the technical and cost proposal. Please note, for evaluation purposes, proposals must be submitted in two separate volumes if your firm is bidding on b.01b the MC&A and physical protection work areas. Proposals submitted for MC&A and Physical protection areas will be separately evaluated against the evaluition factors set forth in Section M. For your assistance and guidance in preparation of your proposal, please refer to Section L entitled
" Instructions, Conditions, and Notices to Offerors and Quoters." Speci fic instructions regarding your proposal presentation and format are also contained in Section L.
Please noteorthat be accepted evap*luated.oposals ofiering and pricing "all work or nothing" wi'l not Your proposal (s) must consist of two parts. The first part is your technical and management approach, and the second 3 art shall be your cost proposal. The cost 3roposal shall be prepared in accorcance with the Standard form 1411. Contract pricing Proposal cover sheet and instructions, both of which are included with the solicitation, it is also requested that you complete one copy of the "kepresentations and Certifications and Other Statements of Offerors or uuoters" which is provided in Section K of the RFP.
Section 1 of the RFP includes the contract clauses which will be incorporated in ,
the resultant contract (Section 1). Some of these clauses may not be applicable depending on the final contract amount. g UQ!~'M"*; llli111n011p41 yw
Page 2 of 2 CAUTION It should be noted that this solicitation dues not comit the Government to ]ay any costs incurred in the submission of proposals or make necessary studies or designs for the preparation thereof, nor to procure or contract for the services in the enclosed Statement of Work. It is also brought to your attention that the Contracting Officer is the only individual who can legally comit the Government to the expenditure of public funds in connection with this proposed procurement.
.Your response to the subject solicitation should be sent to the U. S. Nuclear Regulatory Commission. Division of Contracts and Property Management, Attn:
Sharlene McCubbin. Hail Stop T-712, Washington DC 20555. Hand carried proposals should be addressed in accordance with Section L.13 of the RfP. Please call 415 7427 from the reception areas for proposal pick up.
The proposal shall be signed by an official authorized to bind the compard, and it s tall contain a statement indicating a proposal acceptance period of noiaess than 60 days.
Should you have any questions. contact Sharlene McCubbin of my staff on (301) 415 6565.
Sincerely, t M OTAG b; I ary 01 H. Hace.
vision Contracting of Contracts and Officer Property Management Office of Administration Er. closure:
As stated
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- 9. 63aled offers in original and 4_ soples f or furnishing the supplies or services in the $chedule will tw retelved at the ploco specified in item 8, or Tv bandcarried, .n the depository tocated in See $tetton t. until Dg total time M1ggi99? __.
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- LAf t Sutelstjons Modif6 cations and Withdrawalsi see teg i t Provision ho. $2.214 7 or $2.215 10. Att offers are -
outdett to a t t tf tmo and conditions contained in this not }cptet, ion,
- 10. FOR lhFORMAll0h A. WAME B. ILLLPHONE NO. (include eres code) (WO COLLLC1 CALL 5)
CALL (301141$.656l thartene McCubbin
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the undersigned agrees if this offer is accepted within calendar days (60 calendar days -
- 11. In compliance unless with the a different periodabove, s inserted by the of f eror from the date for receipt of offers spectfled above, to furnish any l' or all (tems upon which pr ces are offered at the pr ce set orcosite each ites, nelivered at the designated point (s),
within the time specified n the schedute, 10 CAltNDAR DAVE 20 CAttNDAR DAvs 30 CAltNDAR DAT$ cal (NDAR DAYS
- 13. DISCOUN1 f0R PROMFI PAYMENT % % %
(les lection I Clause ho. 57.232 8) .* %
DME ANf kDMf MJO , ,__ DAff
- 14. ACKNOWLEDGMENT Of AMENDMEh15 AMLkDMLitl_hh tihe offeror acknowtedges receipt of amerutwnts to the 50LICll A110N for of ferors and rstated doctmentb rwatered atW datedt 15A. hAME CODE I I IAClll1VI I 16. hAME AND 111LE Of PERSON Au1HORl2LD 10 $1GN Of f LR (type or print)
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- 15. Of f LR DV5 EkrHONE NO. (includv area cude: 15 CDiff(REh! , I .- . kiM111AhCE..AESn..I IROM ABOVE - (N1(R
- 17. 61LhA1VRE O SUCH ADDRit$ th SCMfDVtt, kWkRD ITo be cornM eted by Government)
- 19. ACCLPl!D Al 10 11LMS NUMBLRLD 20. AmouN1 ^ 21. ACCouhlthG AND APPROPRIA110N
- 22. Au1HORlit IOR V5thG OlblR 1HAN full AND OPEN COMPtilfl0N: 73. SUBMIT ihvolCES 10 ADDEEL$ SHUWN IN 11EM
, O si usC 253(c)( ) ( copies unless otherwise specified)
- O 10 usC 2304(c)(
- 25. FA)MEhi WILL ilE MADE BY CODE l
- 24. Mk IIRED B1 (if other then ' CODE I 1 _
- 27. UN!!(D $1AT66 Of AMERICA 25. AWARD DAIE
- 26. hAME Of CONTRACilhG OfflCLR (type or print)
(Signature of Contracting Officer)
IMPC2f Ahi Award will be made on this Form, or on Standard Form 26. or tv other authorited of ficial written notice.
33 134 STAkDARD FORM 33 (REY. 4 85)
NSN 7540 01 152 8064 Prescribed by CSA PREVIOUS EDITION koi USABLC . F AR (48 CFR) 53.214(c)
f i
J TABLE OF CONTENTS PAGE PART I - THE SCHEDULE . . . . . . . . . . . . . . . . . . . . . . . 2 SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS . . . . . . . . . 2 '
B.1 PROJECT TITLE . . . . . . . . . . . . . . . . . . . . 2 B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) . . . . . . . . . 2 l ALTERNATE 1 (JUN 1988)
B.3 CONSIDERATION AND OBLIGATION--TASK ORDERS (AUG 1989) . 3 .
t 4
SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT . . . . . . .
C.1 STATEMENT OF WORK . . . . . . . . . . . . . . . . . _ . 4 e
C.2 BACKGROUND . . . , . . . . . . . . . . . . . . . . . . 4 ;
C 3- OBJECTIVE . . . . . . . . . . . . . . . . . . . .- 4 C.4 5
.. SCOPE OF WORK c . . . . . . . . . . . . . . . . ... . 10'j.
C.5 LEVEL OF EFFORT . . . .. . . . . . . . . . . . . . . .
C.6 ESTIMATED REQUIREMENTS . . . . . . . . . . . . . . 10 ,
C.7 MEETINGS AND TRAVEL , . . . . . . . . . . . . . . . . 11 C.8 TECHNICAL / PROJECT DIRECTION . . . . . . . . . . . . _ . 11 ;
C.9 NRC FURNISHED MATERIAL . . . . . . . . . . . . . . . . 11 C.10 TASK ORDERS . . . . . . . . . . . . . . . . . . . . . 12 C.11 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) . . . . 12 SECTION D - PACKAGING AND MARKING . . . . . . . . . . _. . . . . . . 13 D.1 PACKAGING AND MARKING (MAR 1987) , , . . . . . . . . . 13 ,
SECTION E - INSPECTION AND ACCEPTANCE . . . . . . . . . . . . . . . 14 E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 14 Fr. 2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) . . . . 14 SECTION F - DELIVERIES OR PERFORMANCE , . . . . . . .. . . . . . . . 15 '
15 F .1 - a2.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 15
.F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL , . . . . .
REPORTS (JAN 1993)
NRCAR 2052. 12-71 TECHNICAL P:C"RESS REPORT 15-F.3 . . . .
lo F.4 NRCAR 2052.212-12 FINANCIAL STATUS RSPORT . . . . . .
PLACE OF DELIVERY--REPORTS (JUN 1988) 18 F.5 . . . . . . . .
18 F.6 DURATION OF CONTRACT PERIOD (WV1 1987) . . , . . . . .
ALTERNATE 4 (JUN 1988)
RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL , . . 10 F.7 VIEWS (DPVs) 19 F.8 DELIVERABLE PRODUCTS / SCHEDULE . . . . . . .. . . . . .
20 SECTION G - CONTRACT-ADMINISTRATION DATA . . . . . . .- . . . . . .
20 0.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY , . . . .
(JAN 1993) 22 G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT . . . . . . . .
- ALTERNATE 1 (JAN 1993) 23 i G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993) . . .
23 G.4 NRCAR 2052.216-74 TASK ORDER PROCEDURES (JAN 1993) 25 G.5 NRCAR 2052.216-75 ACCELERATED TASK ORDER PROCEDURES (JA ORDERING PROCEDURES (;MAY 1991) . . . . . . . . . . . . 25' G.6 i
l T/.BLE OF CONTENTS PAGE I
G.7 USE OF AUTOMATED CLEARING HOUSS (ACH) , , . . . . . . 26 ELECTRONIC PAYMENT SECTION H - SPECIAL CONTRACT REQUIREMENTS . . . . . . . . . . . 27 I H.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL . . . . . 27 CONFLICTS OF INTEREST (JAN 1993)
H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993) . . . . . . 31 H.3 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED 32 (JUN 1988)
H.4 DENIAL OF FEDF.RAL BENEFITS TO INDIVIDUALS . . . . . . 32 CONVICTED OF DAUG TRAFFICKING OR POSSESSION (SEP 1990)
PART II - CONTRACT .'LAUS ES . . . . . . . . . . . . . . . . . . . 33
+,. y
- r SECTION I - CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 33
,, I.1 52.252-2 CLAUSES INCORPCRA*?" BY REFERENCE (JUN 1988) 33 I.2 52.216-18 ORDERING (OCT 1995) . . . . . . . . . . . . 35
.. I.3 52.216-21 REQUIREMENTS (APR 1984) . . . . . . . . . . 35 I.4 52.216-27 SINGLE OR MULTIPLE AWARDS (OCT 1935) , , . . 36 I.5 52 ?17-9 OPTION TO EXTEND THE TERM OF THE , , . . . . 37 CONTRACT (MAR 1989)
I.6 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) . . 37 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS . . . 39 SECTION J - LIST OF ATTACHMENTS . . . . . . . . . . . . . . . . . . 39 J.1 ATTACHMENTS (MAR 1987) . . . . . . . . . . . . . . . . 39 PART IV - REPRESENTATIONS AND INSTRUCTIONS . . . . . . . . . . . . 40 SECTION K - REP.RESENTATIONS, CERTIF. ATIONS, AND . . . . . . . . . 40 OTHER STATEMENTS OF OFFEROka K.1 52.203-11 CERTIFICATION AND DISCLOSURE REGARDING PAYMEN 40 TO INFLUENCE CERT.!N FEDF'kb TRANSACTIONS (APR 1991, K.2 52.204-3 TAXPAYER IDENTIFICATION (MAR 1994) . . . . . *1 i K.3 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995) . . . . . . . 42 K.4 52.204 CONTRACTOR IDENTIFICATION NUMEER--DATA UNIVERS 43 L '.fU M B E R I N G S Y S T E M (DUNS) NUMBER (DEC 1996) 44 L K.5 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, l
PROPOSED DEBARMENT, A.Q OTHER RESPONSIBILITY MATTERS l (MAR 1996) l K.6 52.215~6- TYPE OF BUSINESS O'GANIZAT!CN . . . . . . 45
! (JUL 1987)
K.7 52.215-11 AUTHORIZED NEGOTIATORS (APR 1984) . . . . . 46 l
K.8 52.215-20 PLACE OF PERFORMANCE (APR 1984) . . . . . . 46 K.9 52,219-? SMALL BUSINESS PROGRAM REPRESENTATIONS . . . 46 (JAN 1997)
K.10 52.222-21 CERTIFICATION OF NONSEGREGATED FACILITIES . 48 (APR 1984)
K.11 52.222-22 PREVIOUS CONTR4 CTS AND COMPLIANCE REPORTS . 50 l (APR 1984) l 11 L
L
TABLE OF CONTENTS PAGE K.12 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984) . . 50 K.13 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984) 50 K.14 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND . . . . 51 CERTIFICATION (APR 1996)
K.15 NRCAR 2052.209-70 QUALIFICATIONS OF CONTRACT . . . . . 54 EMPLOYEES (JAN 1993)
K.16 NRCAR 2052.209-71 CURRENT /FORMER AGENCY . . . . . .. -54 EMPLOYEE INVOLVEMENT (JAN-1993)
K.17 NRCAR 2052.209-72 CONTRACTOR ORGANIZATIONAL . . . . . 55 CONFLICTS OF INTEREST (REPRESENTATION) (JAN 1993) l SECTION L - INSTRUCTIONS, CONDITIONS, AND . . . . . . . . . . . . . 57 NOTICES TO OFFERORS
.. L.3 52.252-1 SOLICITA;;ON PROVISIONS INCORPORATED . ... . 57 ,
u dY REFERENCE (JUN 1988)
- INFORMATION OTHER TRAN COST OR PRICING DATA (JAN 1997) l .. . L.3 52.216-1 TYPE OF CONTRACT-(APR 1984) . . . . . . . . 59 L.4 52.233-2 SERVICE OF PROTEST (AUG 1996) . . . . . . . 59 L.5 NRCAR 2052.215-74 TIMELY RECEIPT OF PROPOSALS (JAN 1993 60
, L.6 NRCAR 2052.215-75 AWARD NOTIFICATION AND . . . . . . 60 l COMMITMENT OF PUBLIC FUNDS (JAN.1993)
L.7 NRCAR 2052.215-76 DISPOSITION OF PROPOSALS .- . . . . . 60 L.8 NRCAR 2052.215-78 PROPOSAL PRESENTATION AND . . .. . 61 FORMAT - ALTERNATE 1 (JAN 1993)
L.9 NRCAR 2C52.222-70 NONDISCRIMINATION BECAUSE . . . . . 65 OF AGE (JAN 1993)
L.10 ACCEPTANCE PERIOD (MAR 1997) . . . . . . . . . . . . . 66 L.11 ESTIMATED DURATION (JUN 1988) . . . . . . . . . . . . 66 L.12 USE OF AUTOMATED CLEARING HOUSE (ACH) ELECTRONIC . . . 66 PAYMENT / REMITTANCE ADDRESS L.13 EXPRESS OR HAND DELIVERY OF PROPOSALS . . . . . . - . . 66 3ECTION M - EVA~UATION FavTORS FOR AWARD . . , . . . . . . . . . . 68 M.1 -52.252-1 SOLICITATION PROVISIONS INCORPORATED , . . . 68 BY REFERENCE (JUN 1988).
. 1 52.215-34 EVALUATION OF OFFERS-FOR MULTIPLE AWARDS . . 68 (MAR 1990)
M3 NRCAR 2052.215.84 CONTRACT AWARD AND EVALUATION . . . 68 OF PROPOSALS - TECHNICAL MERIT MORE IMPORTANT THAN COST (JAN 1993)
M.4 EVALUATION CRITERIA . . - . , , . . . . . . . . . . . . 69 iii s
RS-NMS-97-007 Section B PART I - THE SCHEDULE SECTION B - SUPPLIES OP SERVICES AND PRICES / COSTS B.1 PROJECT TITLE The title of this project is as follows:
Support to the Former Soviet Union (FSU) Republics for Activities Under the Cooperative Threat Reduction (CTR) Program and Lisbon Initiative (End of Clause)
B.2 BRIEF DESCRT' TION OF W)RK (MAR 1987)
- .. ALTERNATE 1 (JUN 1988) - . ...
. ,, (a) Brief description of work:
The objective of this procurement is to provide assistance to the Regulatory and International Safeguards Branch, Division of Fuel Cycle Safety and Safeguards, NMSS, for activities identified in the former Soviet Union Republics (FSU) program plans related to regulatory development of material control and accounting (MC&A) and physical protection programs for the FSU republics.
Work related to regulatory development shall include developing, reviewing, or analyzing regulations, guidance *acuments, licensing
- and inspection procedures, and facility plans; developing and conducting training programs; participating in and evaluating facilities, facility inspections, and site surveys; developing and evaluating training programs; participating in familiarization and accompaniment visits and other activities related to regulatory development; and administrative support for meetings and foreign visitor travel, na the progr - evc h is and as other regulator, developmer.t needs are identified, contractor assistance may also be required to support those activities.
(b) Orders will be issued for work required by the NRC in accordance with 52.216 Ordering. Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract. The provisions of this contract shall govern all orders issued hereunder.
[End of Clause]
Page 2 of 70
RS-Nf*.5-97 007 Section B B.3 CONSIDERATION AND OBLIGATION--TASK ORLERS (AUG 1989)
(a) The total estimated amount of this contract (ceiling) for the products / services ordered, delivered, and accepted under this contract is * . The Contracting Officer may unilaterally increase this amount as necessary for orders to be placed with the contractor during the contract period provided such orders ;
are within any maximum ordering limitation prescribed under this contract.
(b) The Contracting officer will obligato funds on each task order issued.
(c) A total estimated cost as well as any fee, if any, will be l negotiated for each task order and will be incorporated as a ceiling in the resultant task order. The Contractor shall comply with the provisions of 52.232 Limitation of Cost for fu'ly fundad task orders ar.d 52.232 Limitatd on of g -
Funds for incrementally funded task orders, issua' hereunder,
, [End of Cl- 19e) ,
.. *To be incorporated into any resultant contract Page 3 of 70
RS-NMS-97-007 Section C SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT C.1 STATEMENT OF WORK C.2 BACKGROUND Under the aegis of the U.S. initiative for nuclear weapons safety, security, and dismantlement known as the Cooperative Threat Reduction (CTR) Program, the U.S. Department of Energy (DOE) and the U.S. Nuclear Regulatory Commission (NRC) are engaged in establishing bilateral technical assistance programs with the former Soviet Union Republics (FSU) in the nuclear material safeguards areas of material control and accounting (MC&A) and phycical protection. In addition, NRC technical assistarce tn
.. Russia and Ukr-ine is being carried out under the Lisbon Nuclear Safety Initiative, by interagency agreement with the Agency for
,, International Development (AID) -* implementing the nuclear safety regulation element of the Lisbon Initiatives.
NRC's activities under the CTR Program is supported by f'inds authorized by Congress in the Soviet Nuclear Threat Reduction Act of 1991 (Nunn-Lugar) and successor legislation such as the Freedom Support Act of 1992. CTR funding has been provided to NRC by the Department of Defense through the Defense Special Weaponn Agency (DSWA) (formarly known as the Defense Nuclear Agency (DNA)) . NRC's activities under the Lisbon Initiatives are supported by Agency for International Development (AID) funds authorized by Congrese under the Foreign Assistance Act.
NRC is responsible for providing technical assistance in developing and implementing regulatory development programs for the safeguarding of nuclear material. Program plans have been developed (to accommodate external funding agencies or for internal NRC use) that identify proposed projects to be carried out in cocoerrtion wit.. the respec*;ve nuclear organizatic s in Russia, Ukraine, aad Kazakstan, subject to their approval.
C.3 OBJECTIVE The objective of U.S. assistance to the FSU republics under the CTR Program and the Lisbon Initiatives is to improve their capabilities to effectively safeguard nuclear material. Formal regulatory programs for safeguard.ag nuc1;.: - *' rial for these FSU republics are either nonexistent or, in some cases, in need of significant upgrade. Officials from Russia, Ukraine, and Kazakstan have acknowledged serious deficiencies in staffing and technical resources for their regulatory programs, and they have requested U.S. assistance-in developing these programs. Effective MC&A and physical protection are critical to safeguarding Page 4 of 70 ny
RS-WMS-97-007 Section C C.3 (Continued) strategi~ nuclear materialc in support of nonprc'iferation goals.
In the iaterest of nonproliferation, improveme.its are needed in !
national regulatory oversight to ensure nuclear materials in these FSU republics are effectively protected.
The objective of this procurement is to provide assistance, as requested, to the Regulatory and International Safeguards Branch, Division of Fuel Cycle Safety and Safeguards, NMSS, for jointly ,
agreed-upon activities related to regulatory development of MC&A and/or physical protection programs within the FSU republics. The contractor must be capable of performing work in the area of MC&A or physical protection or both areas.
Work related to regulatory development shall include developing, reviewing, or analyzing regulations, guidance documents, licensing and inspecticn pre eduves,-and facility plans; develvping and t conducting training programs; pa: ticipating in and evaluatuig facilities, facility inspections, and site surveyc; participating
. in familiarization and accompani..et.t v. sits and other activities related to regulatory development; and administrative support for
< > meetings and fortign visitor travel. It should be noted that not all anticipated future support activities have been defined at this time. Therefore, only potential activities that may require contractor support are being identified. As the program evolves and as other regulatory development .iceds are identified, contractor assistance may also be required to support those activities.
C.4 SCOPE OF WORK
- Thorough and in-depth technical working knewledge of and
. experience with MC&A processes and methodologies and/or physical protection programs are required to perform work under this contract. The contractor shall havc thorough understanding of NRC's regulatory process, regulations, guidance documents, licensing procedures, and inspection process and procedures. In addition, ?xper*ir- ic needed in :e application, implenc 'ation and interpretation of NRC's regulations, guidance docum its, and licensing and inspection practices. Capability and exp .:nce with foreign travel to conduct meetings and assist in NRC accompaniments of FSU inspections of FSU facilities is highly desirable. Expertise is also required to perform technical analysis of related-NRC documents, as well as analysis of FSU republic's programs, practices, regulations, and guidance cocumen;a to provide a comparison and identify and re ommend areas of improvements.
In some instances, activities identified for completion are on the critical path and must be completed before other activities can be performed. Therefore, attention must be given to meeting the completion date for those activities, in addition to allowing time Page 5 of 70 l
t l
(
RS-NMS<97-007 Section C C.4 (Continued) for translation of certain documents into the appropriate foreign languace. NRC will be responsible for translating documents into the appropriate foreign lang" age, unless stated otherwise.
When requested, the contractor shall have the capability to provide the following types of assistance in the area of Mc&A and/or physical protection:
Task A Subtask A.1 DOCUMENT ANALYSIS (Physical Protection)
Perform analyses of (1) existing or draft FSU republics' physical protection regulations (or equivalent documents); (2) guidance documents (or equivalent), or (3) facility plans submitted to FSU regulators by their respective nuclear facilities.
s er . .e
- 1. Review of physi' cal protection regulations are generally conducted by comparison of the de rient(s) to equivalent NRC and International Atomic Energy Agency (IAEA) documents, such as 10
., CFR Part 73 and INFCIRC 225, respectively. Results of the review are presented to NRC staff through the development of both viewgraphs and a report, which respectively provide a summary and detail of the analysis findings and zecommendations to the FSU regulators. After NRC review and approval, NRC may request the assistance of the contractor to present findings and recommendations to the regulators of the FSU country either in the U.S. or in the FSU country. In addition, based on the previous review of documents for an FSU regulator, or as a result of discussions with and/or additional information provided by an FSU regulator, the contractor shall have the capability to suggest additional physical protection-related areas for consideration for which regulatory documents could be prepared by the FSU regulat, ors. This may include the prn"'sion of an outline to the FSU regulator for the regulator's consideration during his development of the document.
- 2. Review of physical protection guidance documents are general y conducted by comparison of the document (s) to equivalent NRC and/or other equivalent organizations documents, such as NRC NUREGs and Regulatory Guides. Results of the review are cresented to NRC staff through the development of both viewgraphs and a report, which respectively provide a summary and detail of the analysis findings and recommendations to the FSU regulators.
After NRC review and approval, NRC may request the assistance of the contractor to present finding's and recommendationa to the regulators of the FSU country either in the U.S. or in the FSU country. In addition, based on the previous review of guidance.
documents for an PSU regulator, or as a result of discussions with and/or additional information provided by an FSU regulator, the contractor should have the capability to suggest additional Page 6 of 70 I
RS NMS-97-007 Section C i
l C.4 (Continued) p yrical protection-related areas for consideration for which guidance documents could be prepared by the FSU regu]ators. This may include the provision of an outline to the FSU regulator for the regulator's consideration during his development of the g tidance document .
- 3. Review of physical protection facility plans are generally conducted by comparing the contents of the plan to the appropriate FSU or NRC standard review plan guidance document. (It is possible that the contractor will be requested to visit the facility that developed the plan to become acquainted with the facility's operations, layout, and physical, protection practices.)
Results of the review are presented to NRC staff through the development of both viewgraphs and a report, which respectively provide a summary and detail of the analysis findings and recommenda' ions to the FJU regulators. Af ter NRC revi n' and
. approval, NRC may request the assistance of the contractor to a.
present findings and recommendations to the regulators of the FSU
, country either in the U.S. or in t: . 'c'J :ountry .
. Subtask A.2 DOCUMENT ANALYSIS (MC&A)
Perform analyses of (1) existing or draft FSU republics' MC&A regulatior.s (or equivalene documents); (2) guidance documents (or equivalent), or (3) facility plans submitted to FSU regulators by their respective nuclear facilities.
- 1. Review of MC&A regulations are generally conducted by comparison of the document (s) to equivalent NRC and International Atomic Energy Agency (IAEA) documents. Results of the review are
- presented to NRC staff thr7 ugh the development of both viewgraphs and a report, which respec.ively provide a summary and detail of the analysis findings and recommendations to the FSU regulators.
After NRC review and approval, NkC may request the assistance of the contractor to present findings and recommendations to the regulators of the FSU country either in the U.S. or in the FSU country. In add.O en baaed on tl+ Jrevious review of documents for an FSU regulator, or as a result of discussions with and/or additional information provided by an FSU regulator, the contractor shall have the capability to suggest additional MC&A-related areas for consideration for which regulatory documents could be prepared by the FSU regulators. This may include the provision of an outline to the FSU regulator for the regulator's consideration during his development of the document.
- 2. Review of MC&A guidance documents are generally conducted by comparison of the document (s) to equivalent NRC and/or other equivalent organizations documents, such as NRC NUREGs and Regulatory Guides. Results of the review are presented tc NRC staff through the development of both viewgraphs and a report, which respectively provide a summary and detail of the analysis Page 7 of 70
H'rNMS-9"-007 Section C
- - _.! (Continued) findings and recommendations to the FSU regulators After NRC review and approval, NRC may requeat the assistane of the
. contractor to present findings and recommendations to the regulators of the FSU country either in the U.S. or in the FSU i country. In addition, based on the previous review of guidance documents for an FSU regulator, or as a result of discussions with and/or additional information provided by an FSU regulator, the
- contractor should have the capability to suggest additional i
MC&A-related areac for consideration for which guidance documents could be prepared by the FSU regulators. This may include the provision of an outline to the FSU regulator for the regulator's consideration during his development of the guidance document.
- 3. Review of MC&A facility plans are generally conducted by
- comparing the contents of the plan to the appropriate F3U or NRC standard review plan cuidance document. (It is possible that the d' !. contractor will be requJsted to visit the facility that' developed
- the plan to become acquainted with the facility's operations, ,
., layout, and MC&A practices.) Re' ..a of the review are presented to NRC staff through the development of both viewgraphs and a 4 - report, which respectively provide a summary and detail of the analysis findings and recommendations to the FSU regulators.
After NRC review and approval, NRC may request the assistance of the contractor to present findings and recommendations to the regulators of the FSU country either in the U.S. or in the FSU country.
Task B Subtrak B.1 dor" MENT DEVELOPMENT (Physical Protection)
Develop draft 99 aim el protection regulations, guidance documents, facility plans, licensing and/or' inspection procedures for FSU republic regulators. participate in follow-up meetings with NRC and FGU regulators, either in the FSU republic or the U.S., for 4
consultation on these documents.
4 In the event an F3U regulator requests NRC to draft a pnysical protection-regulatory document or procedure, NRC may request assistance from the contractor. Based on discussions with NRC 1 staff and the F3U regulatory staff, the contractor shall prepare an outline and develop the draf t document (s) . Consideration shall be given to the kinds of nuclear facilities-and processes in the FSU republic, as well-as to. equivalent NRC or other appropriate organizati">n relevant documents. The draft d-~ ment (s) are c . presented to NRC staff. After NRC review and approval, NRC may request the assistance of the contractor to discuss the draft document with the regulators of the FSU country either in the U.S.
or in the FSU country.
Subtask B.2 DOCUMENT DEVELOPMENT (MC&A)
Page 8 of 70
1 RS-MMS-97-007 Section C C.4 (Continued)
Devele? draft MC&A regulations, guidance documents, facility
_ plans, licensing and/or inspection procedures for FSU republic regulators. Participate in follow- up meetings with NRC and FSU regulators, either in the FSU republic or the U.S., for consdltation on these documents.
In the event an FSU regulator requests NRC to draft an MC&A regulatory document or procedure, NRC may request assistance from the contractor.
Based on discussions with NRC staff and the FSU regulatory staff, the contractor shall prepare an outline and develop the draf t document (s) . Consideration shall be given to the kinds of nuclear facilities and processes in the FSU republic, as well as to equivalent NRC or other appropriate organization relevant documents. The draf t document (s) are presented to NRC staff. After NRC review and approval, NRC may req"est tF1
. assistance or the contrpetor to Giscuss.the draft document with ,
the regulators of the FSU country either in the U.S. or in the FSU
, country.
. Task C Subtask C.1 TRAINING SESSIONS (Physical Protection)
.onduct (and if requested, develop) training sessions or workshops tin either the FSU republic or the U.S.), that relate NRC's
.nethods of regulations development, licensing process and procedures, and/or inspection process and procedures in the area of physical protection to appropriate FSU personnel. If requested to develop the training session or workshop, the contractor shall prepare all course materials, including the instructor's manual and student handbooks. When available, NRC will provide background information and documents to assist the contractor in the development of the course materie s for the training' session or workshop. In cases where the training materials have already been developed, the contractor would be responsible for becoming famili r with the existing matecial t a degree sufficient to successfully present the material to FSU_ republic representatives, j
Subtask C.2 TRAINING PROGRAMS (MC&A)
Conduct (and if requested, develop) training sessions or workshops (in either the FSU republic or the U.S.), that relate NRC's methods of regulations development, licencing _ process and procedures, and/or inspection process and procedures 4n the area of MC&A to appropriate FSU personnel. If requested to develop the training session or_ workshop, the contractor shall prepare all course materials, including the instructor's manual and student handbooks. When available, NRC will provide background information and documents to assist the contractor in the development of the course materials for the training session or Page 9 of 70
1 RS-NMS-97-007 Section C C.4 (Continued) workshop. In cases where the training materials have already been developed, the contractor would be responsible for becoming familiar with the existing mr.terial to a degree sufficient to successfully present the material to FSU republic representatives.
Task D Subtask D.1 FACILITY VISITS (Physical Protection)
Participate with NRC staff in physical protection familiarization and inspector accompaniment visits with FSU representatives to various facilities in the FSU. This may include participation in inspection and performance evaluation of FSU facilities. The contractor shall provide reports detailing the results of these visits.
. Subtask D.2 FACILITY VI.3ITS !MC&A) '
/
Participate with NRC staff in MC&' Tamilierization and inspector accompaniment visits with FSU representatives to various
. facilities in the FSU. This may include participation in inspection and performance evaluation of FSU facilities. The contractor shall provide raports detailing the results of these visits.
C.5 LEVEL OF EFFORT The estimated total level of effort required to perform these subtasks is 7.5 FTE through Calendar Year 2002. Specific estimates of the required level of effort for each subtask will be provided with the individual requests for proposal. The total estimated level of effort for the MC&A contractor specialists and the physical protection contractor specialists is 3.75 FTE for each category. The estimated level of effort is 1.5 FTE for the base year and each of the four option years for a total of 7.5 FTE.
NOTE: Offerors can propose on the MC&A and physical prutection work in its entirety, or on the MC&A work only, or on the physical protection work only. Specific estimates of the required level of effort for each task order will be provided with the individual requests for proposal. The estimated level of effort for the MC&A Specialists and the Physical Security-specialists is .75 FTE for each category, for each year.
C.6 ESTIMATED REQUIREMENTS The exact number and seneduling of tasks have not yet been determined. No specif c amount of work is either guaranteed or implied. The NRC will be obligated to pay only for work actually ordered and satisfactorily performed.
Page 10 of 70
RS-NMS-97-007 Section C C.7 MEETINGS AND. TRAVEL The number, purpose, and location of meetings and travel will be described in individual Task Orders. All travel associated with this SOW shall be approved in advance. All such travel shall result in trip reports, which may be issued separately or as part of the next monthly letter status report. Copies of separately issued trip reports shall be submitted within 15 days of the completion of the travel.
Any foreign travel, if authorized by the NMSS TM, must be approved by the NRC Executive Director for Operations. The contractor shall submit its request to NRC at least 45 days in advance of the travel to allow for processing of the request. NRC Forms 279 and 445 must be completed for approval of foreign travel (see Manual Chapter 1501, Part VIII). NRC will provide these forms as required.
The contractor will be required to travel to NRC Headmiarters in Rockville, Maryland. For proposal preparation purposes only, all offers shall propose costs for the "ollowing estimated travel for one 2 person /1 day trip to NRC Headquarters, one 1 each year:
person /1 day trip to NRC Headquarters, two 2 person /10 working-day trips for foreign travel to Kazakstan during the life of the contract.
C.8 TECHNICAL / PROJECT DIRECTION Project Officer: Donna Umbel Technical Monitor: Joseph Olencz The NMSS PO is the focal point for all contract related activities. All work assignments and program funding actions are initiated by the NMSS PO. All proposed work scope or schedule changes must be processed through the NMSS PO and approved by the Contrac, ting Officer.
The NMSS TM is responsible for providing technical guidance regarding staff .aterpretations of tke technical aspacts of regulatory requirements along with copies of relevant documents (e.g. Regulatory Guides). All work products must be revb approved by the NMSS TM before they are submitted as fina;wed and documents. All technical directions must be consistunt with the work scope and schedule. The NMSS PO or TM is not authorized to unilaterally make changes to the approved work scope or schedule that would increase costs over approved levels.
C.9 NRC FURNISHED MATERIAL To facilitate the work to be performed under this contract, the NMSS TM will provide the contractor with pertinent documents as Page 11 of 70
RS-NMS-97-007 Section C C,9 (Continued) necessary to complete the assigned work within 10 working days from the effective dare of each task order.
C.10 TASK ORDERS As the exact number and scheduling of specific tasks cannot be determined, the detailed scope of work for each required task will be defined as the respective FSU republic's schedule evolves and the needs are determined consistent with activities identified in the program plans. Task orders for services hereunder shall be issued at the sole option of the NRC. The contractor shall be obligated to perform the services specified in each task order issued hereunder, according to the terms of any contract issued as a result of the RFP. Each Task Order sow will specify all pertinent information regarding the work to be performed.
[End of Clause)
'b11
. NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993)
(a) All domestic travel requires the prior approval of the project officer.
(b) All foreign travel must be approved in advance by the NRC on NRC Form 445 and must be in compliance with FAR 52.247-63 Preference for U.S. Flag Air Carriers. Foreign travel approval must be communicated'Tn writing througl. the contracting officer.
{End of Clause)
I h
Page 12 of 70
RS-NMS-97-007 Section D SECTION D - PACKAGING AND MARK 7L D.1 PACKAGING AND MARKING (MAR 1987)
The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.
[End of C3ause] '
- _e Page 13 of 70
RS-NMS-97-007 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.246-5 INSPECTION OF SERVICES APR 1984
.~ c cob bREIMBURSEMENT (End o# C] use]
,,E . 2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)
Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.
[End of Clause]
Page 14 of 70
3
~RS-NMS-97-007 Section F l
1 i-j SECTION F - DELIVERIES OR PERFORMANCE a
4 ,
!- F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) l E This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. !
- Upon request, the Contracting Officer will make their full text available.
FEDERAL' ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES I.
!- NUMBER TITLE DATE 4
I 52.242-15 STOP-WORK ORDER AUG 10A9-
- . Altercute I (APR 1984) , s-i'
. (End of Cla'. 1
!- S F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL
. REPORTS (JAN 1993)
}' All technical reports required by Section C and all Technic Progress Reports _ required by Section F are to be prepared in accordance with the attached Management Directive 3.8, d
" Unclassified: Contractor and Grantee Publications in the NUREG series." Management Directive 3.8 is not applicable to any l
Contractor Spending Plan (CSP) -and any Financial Status Report i that may be included in this contract. (See Section J for List of Attachments),
(End of Clause]
f F.3 ' NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT-The contractor shall provide a rsr. hlyLTechnical P ogtess Report to the project officer and the-contracting officer. The report is j due within 15 calendar days after the end of the report period and 4
- must identify _-the title of the_ project, _the contract number, job-code number, project manager and/or principal investigator, the contract period of performance, and the period covered by the o
j . report. Each report-must include the following for each discrete
- ' task / task order
(a)'A listing of the. efforts completed during the period, and milestonea reached or, if missed, an explanation provided; E _(b) _Any problems or delays encountered or anticipated and recommendations for resolution. If the recommended resolution L involves a contract modification, e.g., change in work L
[.
Page 15 of 70 i
1 4
,,, , n --a- , . - ,n-- -----~-,e-- ,e - ,,,r-- , -, . - -
n -- +,-,r - >e -
RS-NMS-97-007 Section F F.3 (Continued) requirements, level of effort (cost) or schedule delay, the contractor shall submit a separate letter to the contracting officer identifying the izquired change and estimated cost impact.
(c) A summary of progress to date; and (d) Plans for the next reporting period.
[End of Clause)
P.4 NRCAR 2052.212-72 FINANCIAL STATUS REPORT The contractor shall provide a monthly Financial Status Report to the project officer and the contracting officer. The report is due within 15 calendar days after the end of the report perio? and
- . shall identify the titiv of the project, the contract dumber, e-Financial Identification Number (FIN), project manager and/or
. principal investigator, the ccat.- 9 period of performance, and the period covered by the report. Each report must include the
. following for each discrete task:
(a) Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
1 (1) Total estimated contract amount.
(2) Total funds obligated to date.
(3) Total costs incurred this reporting period.
(4) Total costs incurred to date.
(5) Provide a detail of all direct and indirect costs inct rred dur "g the _ ;orting period for the em ' e i
contract or each task, if it is a task ordering contract.
(6) Balance of obligations remaining.
(7) Balance of funds required to complete contract / task order.
(8) Contractor Spending Plan (CSP) s t a t <_
(i) Projected percentage of completion cumulative through the report period for the project / task order as reflected in the current CSP.
(ii) Indicate if there has been a significant change in o age 16 of 70
RS-NMS-97-007 Section F Fe4 (Continued) the original CSP projection in either dollars or percentage of completion. Identify the change, the reasons for the change, whether there is any projected overrun, and when additional funde would be required. If there have been no changes to the
- original NRC-approved CSP projections, a written statement to that effect is sufficient in lieu of submitting a-detailed response to item 8.
(9) A' revised CSP is required with the Financial Status Report whenever the contractor or the contracting officer has reason to believe that the total cost for performance of this contract will be either greater or substantially
' less than what had been previously estimated.
List property acquired for the project de-ing tre month a witn an acquiG4 tion cast of $500 or more. Provide the .
following information for each item of_ property: item description or nomencla' ure, nanufacturer, model number, serial nuiaber, acquisition cost, and receipt date. If no
, property was acquired during the month, include a i statement to that effect. Note: The same information shall be provided for any component or peripheral equipment which is part of a " system or system unit "
For multiyear projects, in the September monthly financial status report provide a cumulative listing of property with an acquisition cost of $500 or more showing the above information.
- In the final monthly status report provide a closecut property report containing the same elements as described above for the monthly financial status reports. If no j . property was acquired under 'he contract, provide a statement to that effect. The report should note any property requiring special handling for security, health, safety, or other reasens as part of the report.
(b) If the data in this report indicates a need for additional funding beyond that already obligated, this information may only be used as support to the official request for funding required in accordance with the Limitation of Cost (LOC)
Clause (FAR 52.232-20) or the Limitation of Funds (LOF) Clause (FAR 52.232-22).
[End of Clause]
4 Page 17 of 70 4
j RS-NMS-97-007 ' Section F-2 2'
=F.5 -PLACE OF DELIVERY--REPORTS (JUN 1988)
The items to be furnished hereunder shall be-delivered, with all-charges paid by the Contractor, to:
-(a)L Project Of ficer (4 copies) i
. f t
}
l (b) Contracting Officer (1 copy)
(End of Clause]
i
i ALTERNATE 4 (JUN 1988) f j
The ordering period for this contract shall commence on
- f ..
and will expire on_ * . Any orders issued during this period
- - shall be completed within the time specified in the order, unless
- otherwise specified herein. (See 52.216 Ordering.) The term of this contract may be extended at the option of the Government for an additional
- 3 (End of Clause]
! F.7 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL
[ VIEWS _(DPVs)
). .-
The Nuclear Regulation Commission's (NRC) policy is to support-
[
- the-contractor's expression of professional-health and safety related concerns associated with the contractor's work for NRC that _ (1) may differ from a prevailing NRC staff view, (2) disagree' -
_with-an'NRC decision or policy position, or'(3) take issue with
-proposed or established ~agenc" pract'ces. An occasion i...y arize when an NRC contractor, contractor's personnel, or subcontractor 4
L personnel believes-that a conscientious expression of a competent judgement is required to document such concerns on matters directly associated with its performance of the contract. The 2 -procedure that will be used provides for the expression and l
resolution of dif fering professional views - (DPVs)- of health and safety-related concerns associated with the-mission of the agency
- by NRC contractors, contractor personnel or subcontractor
. personnel on matters directly associated with its performance of the' contract, may be found in Section J of the solicitation. The contractor shall provide a copy of the NRC DPV procedure to all of its employees performing under this contract and to all j
I
' Page 18 of 70 f
1 8
e
, , - - , - , - . . . . . , , ,, , , , . ,-- , , ,- ...n., r- .,- .w, ,my v 1
! RS-NMS-97-007 Section F F.7 -(Continued) subcontractors who shall, in turn, provide a copy of the procedure to its employees. NOTE: The prime contractor.or subcontractor shall submit all DPV's received by need not endorse them.
(End of Clause]
F.8 DELIVERABLE PRODUCTS / SCHEDULE The following summarizes the required report distribution under SOW and provides current mailstcps.
Monthly Meetings, Draft Final Letter Workshops, Formal Formal Status & Trip Tech. Tech.
Distribution Reports Reports Reports Reports NMSS PO (Mr T8A23) 1 1 1* 1*
= NMSS TM (MS T8A33) 1 . 1 1 '
1**
, Div. of Freedom of Info, and Pub.
- Services (FIPS) 0 0 0 1***
- Cover letter only
- Camera-ready and electronic media
- Camera-ready (NUREGs only)
The schedule of deliverables for this project will be determined task-by-task basis.
Page 19 of 70
RS-NMS-97-007 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY (JAN 1993)
(a) The contracting officer's authorized representative hereinafter referred to as the project officer for this contract is:
Name:
- Address:
- Telephone Number: *
(b) Performance of the work under this contract is subject to the technical direction of the NRC project officer. The term technical direction is defined to include the following:
(1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks, fills in details, or otherwise serves to accomplish the contractual statement of work.
- (2) Provide advice and guidance to the contractor in the preparation of drawings, specifications, or technical portions of the work description.
(3) Review and, where required by the contract, approval of technical drawings, specifications, and technical irformation t. be deliver-d by the contractor to *he Government under the contract.
(c) Technical direction must be within the general statement of work stated in the contract. The project officer does not have the authority to and may not issue any technical direction which:
-~2 (1) Constitutes an assignmen. of wei t de the general scope of the contract.
(2) Constitutes a change as defined in the " Changes" clause of this contract.
(3) In any way causes an increase or decrease in the total Page 20 of 70 k
_ - ._ ~ _ - .
RS-MMS-97-007 Section G G.1 (Continued) estimated contract cost, the fixed fee, if any, or the time required for contract performanc .
(4) Changes any of the expressed terns, conditions, or specifications of the contract.
(5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.
~
(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in writing within ten (10) working days after verbal issuance. A copy of the written direction must be furnished to the contracting officer.
.- (e) The contractor shall proceec' promptly with the performt=.ce of technical directions duly issued by the project officer in the
. manrar prescribed by this cl..ute and within the project officer's authority under the provisions of this clause.
(f) If, the opinion of the ccatractor, any instruction or direction issued by the project officer is within one of the categories as defined in paragraph (c) of this section, the contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly. Upon receiving the notification from the contractor, the i
contracting officer shall issue an appropriate contract modification or advise the contractor in writing that, in the contracting officer's opinion, the technical direction is within the scope of this article-and does not constitute a change under the " Changes" clause.
(g) Any unauthorised commitment or direction issued by the project office" may re "lr in an-unne-'ssary delay in the con *-actor's performance and may even result in the contractor expending funds for unallowable costs under the contract.
(h) A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with. respect there to is subject to FAR 52.233 Disputes.
(i) In addition to providing technical direction as defined in paragraph (b) of the section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to-the contracting officer changes in requirements.
Page 21 of 70
RS-NMS-97-007 Section G G1 (Continued)
(*)_ Assist the contractor in the resolution of technical problems encountered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
[End of Clause]
- To be incorporated into any resultant contract
< G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT
- ALTERNATE 3 (JAN 1993) 6 , c' + ,p=
(a) The contractor is encouraged to use Government contract airlines, AMTRAK rail ser"ic- , and discount hotel / motel properties in order to reduce the cost of travel under this
, contract. The contracting officer shall, upon request, provide each traveler with a letter of identification which is required in order to participate in this program. The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor personnel traveling on official business under this contract.
The FTD, which is issued monthly, may be purchased from the U.S. Government Printing Office, Washington, DC 20402.
- (bj The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are uetermined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip. Travel costs for research and related activities performed at S* ate and nc-nrofi*. institutions, in av:ordance with Section 12 of Pub. L. 100-679, shall be charged in accordance with the contractor's institutional policy to the degree that the limitations of Office of Management and Budget (OMB) guidance are not exceeded. Applicable guidance documents include OMB Circular A-87, Cost Principles for State and Local Governments; OMB Circular A-122, Cost Principles for Nonprofit Organizations; and OMB Circular A-21, Cost Principles for Educational Institutions.
Page 22 of 70
RS-NMS-97-007 Section G G.2 (Continued)
(c) When the Government changes the Federal Travel Rogalations, or other applicable regulations, it is the responsibility of the contractor to notify the contracting officer in accordance with the Limitations of Cost clause of this contract if the contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract due to the changes.
(End of Clause) 0.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993)
(a) Pending the establishment of final indirect rates which must be negttiated based an audit of actual costs, the c^ntracto"
, shall be reimbue;ed for allowable indirect costs as followst e O
(b) The contracting officer may adjust the above rates as appropriate during the term of the contract upsn acceptance of any revisions proposed by the contractor. It la the contractor's responsibili.ty to notify the contraating officer in accordance with FAR 52.232-20, Limitation of Cost, or FAR 52.232-22, Limitation of Funds, as applicable, if these changes affect performance of work within the established cost or funding limitations, (End of Clacse]
- To be incorpe-nted into any r s.ltant contract G.4 NRCAR 2052.216-74 TASK ORDER PROCEDURES (JAN 1993)
(a) Task order request for proposal. When a requirement within the scope of work for this contract is identified, the contracting officer shall transmit to the contractor a Task Order Request for Proposal (TORP) which includes the >
following. as appropriate:
(1) Scope of work / meetings / travel and deliverables; (2) Reporting requirements; (3) Period of performance - place of performance; Page 23 of 70
RS-NMS-97-007 Section G G.4 (Continued)
(4) Applicable special provisions; (5) Technical skills required; and (6) Estimated level of effort.
(b) Task order proposal. By the date specified in the TORP, the contractor shall deliver to the contracting officer a written proposal that provides the following technical and cort information, as appropriate:
(1) Technical proposal content; (i) A discussion of the scope of work requirements to substantiate the contractor's understanding of the
- y. , requiremgr.ts of trn task order and the contractoggs proposed method of approach to meet the objective of the order, (ii) Resumes for professional personnel proposed to be utilized in the performance of any resulting task order. Include educational background, specific pertinent work experience, and a list of any pertinent publications authored by the individual.
(iii) Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.
(iv) Identification of " Key Personnel" and the number of staff hours that will be committed to completion of work on the task order.
(2) Cost proposal. The contractor's cost proposal for each task order mu.t be p*apared using Standard Fort lill, Contract Pricing Proposal cover sheet. A copy of the form and instructions a're attached to-this contract. Each task order cost proposal must be fully supported by cost and pricing data adequate to establish the reasonableness-of the proposed amounts. When the contractor's estimated cost for the proposed task order exceeds $100,000 and the period of performance exceeds six months, the contractor may be required to submit a Contrnc*nr Spending Plan (CSP) as part of its cost proposal. Tne TORP indicates if a CSP is_ required.
(c) Task order award. The contractor shall perform all work described in definitized task orders issued by the contracting officer. Definitized task orders include the following:
Page 24 of 70
RS-NMS-97-007 Section G n.4 (Continued)
( '. ) Statement of work / meetings / travel and deliverables; (2) Reporting requirements; (3) period of performance; (4) Key personnel; (5) Applicable special provisions; and (6) Total task order amount including any fixed fee.
[End of Clause]
G.5 NRCAR 2052.216-75 ACCELERATED TASK ORDER PROCEDURE" (JAN '.993)
. se .
(a) The NRC may require the contractor to commence work before
, receipt of a definitized ras' order from the contracting officer. Accordingly, when the contracting officer verbally authorizes the work, the contractor shall proceed with performance of the task order subject to the monetary limitation established for the task order by the contracting officer.
(b) When this accelerated procedure is employed by the NRC, the contractor agrees to begin promr'.ly negotiating with the contracting officer the terms of the definitive task order and agrees to submit a cost proposal with supporting cost or pricing data. If agreement on a definitized task order is not
- reached by the target date mutually agreed upon by the contractor and contracting officer, the contracting officer-may determine a reasonable price and/or fee in accordance with
~u bpart 15.8 and Part 31 of the v'R, subject to contractor appeal as provided in 52.233-1, Disputes. In any event, the contractor shall proceed with completion of the task order, su: ject only co the monetar" limitation established by the contracting otticer and the terms and conditions of the basic contract.
(End of Clause)
G.6 ORDERING PROCEDURES (MAY 1991)
(a) In addition to the contracting officer, contract administrator, and project officer, the following individuals are authorized to issue delivery orders under this contract:
Page 25 of 70
RS-NMS-97-007 Section G G.6 (Continued)
(b) All delivery orders shall be prepared in accordance with FAR 16.506 and may be issued in writing, orally, or by written telecommunications.
[End of Clause]
G.7 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 lieu 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 Tnformation for Electronic Funds Transfer Payment."
To receive payment by hendor' Express, the contractor hall complete the " Company Information" "ortion of Form SF 3881, entitled " Payment Inf ort ation 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 cnce the payment is received by the financial institution. The contractor must ensure that the 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:
- ACH/ 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/ Vendor express, they may call the Co marcia' Payments staff on '301) 415-7520.
[End of Clause]
Page 26 of 70
RS-NMS-97-007 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS Hel NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONA's CONFLICTS OF INTEREST (JAN 1993)
(a) Purcose. The primary purpose of this clause is to aid in ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2) D^es not obtain an unfair competitive advantaga over
.. . other parties by vir:tue of its performance
- this contract.
(b) Scone. The restrictions descrioed 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 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 invnive a potential conf:ic' of interest, the contra-cor shall obtain the written approval ot 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 tha 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.
Page 27 of 70
RS-WMS-97-007 Section H H.1 (Continued)
(3) When the contractor performs work for the NRC under this 4-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 4
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, or last time at the site (if not a task order contract).
(4) When the contractor perfocms work for the NRC u der 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
"?rformance of the task order or the contract, ao 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 j . competitive advantage.
(d) Disclosure after award.
(i) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract, it ' des not have any organizational conflicts or interect as defined 3a 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 croposee *n rake to avoid or mitigate such conflicts. The NRC may, nowever, 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 Page 28 of 70
RS-NMS-97-007' Section H H.1 (Continued) spectrum of activities. Consequently, if this is a task-order-type contract, the contract r agrees that it will disclose all proposed new work involving NRC 2
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, tne 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 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 worh, the dollar J value of the proposed contract, and any other docut;nts that are needed to fully describe the proposed work for
- the regulated utility o othe: 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 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 (198E}', the contractor agrees not to:
.i) Ur, *'i s informatior for any private purpose "ntil 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 Page 29 of 70
RS-NMS-97-007 Section H H.1 (Continued) 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 accordance with restrictions placed on use of the information.
(3) Subject to patent and security provisions of this contract, the contractor sha'.1 have the right to use technical data it produces under this contract for privcte pe posas provided that all requirements of this
.. contract hao3 been met. or (f) Subcontracts. Except as prov dad 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) Eemedies. 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 und . 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 therefor (solicited or unsolicited), which stem directly from the contractor's performance of work under this contract.
Furthermore, unless so directed in writing by the contracting officer, the contractor may not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of the products or services.
(1) If the contractor, under this contract, prepares a complete or essentially complete statement of work or a
Page 30 of 70
RS-NMS-97-007 Section H H.1 (Continued) specifications, the contractor is not eligible to perform or participate in the initial contractual effcrt which is 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.
(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.
[End of Clause]
H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)
. (a) The following ir.9ividuals are considered to be essential to .g-the successful performance of the work hereunder:
e 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 is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or.ds 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, suo4er- to the conc trence of the cot.:raccing 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 a 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 4
Page 31 of 70
RS-WMS-97-007 Section-H-
- H.2 _Cuntinued)
(
- =
!' replacement of key-personnel who have been reassigned,-
terminated, or have otherwise become unavailable for the g contract work is not reasonably forthcoming, or that the resultant reduction of productive effort would be so
- substantial as to impa'ir the successful completion of the ;
contract or the service order, the contract may be terminated j by the contracting of ficer ' for- def ault cn for the convenience .
of the Government, as appropriate. If the contracting officer l
- finds the-contractor 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 Clause]
- To be incorpcrated into any resultant contract
, __.*% .c '
c-
, H.3 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED
- .. (JUN 1988)
.. The Government will not provide any equipment / property under this contract.
(End of Clause)
H.4 DENIAL OF FEDERAL BENEFITS TO INDIVIDUALS CONVICTED OF DRUG TRAFFICKING OR POSSESSION (SEP 1990)
In the. event that an award is made to an individua) r'ction
-5301 of the Anti-Drug Abuse Act of 1988 (P.L. 100-69';) n y be cause for denial of specific benefits to individuals t7nsicted of drug trafficking or possession.
(End of Clause]
l Page 32 of 70
RS-NMS-97-007 Section I PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES I.1. 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 19 8 8) .
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the 2ontracting Officer will make 91r full text available.
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPT.x 1) CLAUSES NUMBER TITLE DATE
, 52.202-1 DEFINIT 10MS OCT 1995 ,
52.203-3 GRATUITIESf .
APR 1984 52.203-5 COVENANT AGAINST C"NTINGENT FEES APR 1984 52.203-6 RESTRICTIONS ON SUdCONTRACTOR JUL 1995 SALES TO THE GOVERNMENT 52.203-10 PRICE OR FEE ADJUSTMENT FOR JAN 1996 ILLEGAL OR IMPROPER ACTIVITY 52.203-12 LIMITATION ON PAYMENTS TO JAN 1990 INFLUENCE CERTAIN FEDERAL TRANSACTIONS 52.204-4 PRINTING / COPYING DOUBTE-SIDED JUN 1996 ON RECYCLED PAPER 52.209-6 PROTECTING THE GOVERNMENT'S JUL 1995 INTEREST WHEN SUBCONTRACTING WITH
. CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT 52.215-2 AUDIT AND RECORDS--NEGOTIATION AUG 1996 52.215-22 PRICE REDUCTION FOR DFU"2TIVE OCT 1995 COST OR PRICING DATA 52.215-24 SUBCONTRACTOR. COST OR OCT 1995 PL.'CING DATA 52.215-27 TEdiuuAl'10N OF DEFINED BENEFIT MAR 1996 PENSION PLANS 52.215-33 ORDER OF PRECEDENCE JAN 1986 52.215-39 REVERSION OR ADJUSTMENT OF PLANS MAR-1996 FOR POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB) 52.215-40 NOTIFICATION OF OWNERSHIP CHANGES FEB 1995 52.116-7 ALLOWABLE COST AND PAYMENT MAR 1997 52.216-8 FIXED FEE MAR 1997 52.217-2 CANCELLATION UNDER MULTIYEAR JUL 1996 CONTRACTS Page 33 of 70
RS-NMS-97-007 Section I I.1 (Continued)
NUMBER TITLE DATE 52.2I9-8 UTILIZATION OF SMALL, SMALL OCT 1995 DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS CONCERNS 52.219-14 LIMITATIONS ON SUBCONTRACTING DEC 1996 51 119 LIQUIDATED DAMAGES--SUBCONTRACTING OCT 1995 PLAN 52.222-3 CONVICT LABOR AUG 1996 52.222-26 EQUAL OPPORTUNITY APR 198 52.222-28 EQUAL OPPORTUNITY PREAWARD APR 1984 CLEARANCE OF SUBCONTRACTS 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 DISABLED AND VIETNAM ERA VETERANS 52.222-36 AFFIRMATIVE ACTION FOR APR 1984
. HANDICAPPE.D WORKERS < p 52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988
-, DISABLED VETERA"S Ar VETERANS OF THE VIETNAM ERA
. 52.223-2 CLEAN AIR AND WATER APR 1984 52.223-6 DRUG-FREE WORKPLACE JAN 1997 52.223-14 TOXIC CHEMICAL RELEASING REPORTING OCT 1996 52.227-1 AUTHORIZATION AND CONSENT JUL 1995 52.227-2 NOTICE AND ASSISTANCE REGARDING AUG 1996 PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 INSURANCE - LIABILITY TO THIRD MAR 1996-PERSONS 52.230-2 COST ACCOUNTING STANDARDS APR 1996 52.230-3 DISCLOSURE AND CONSISTENCY OF APR 1996 COST ACCOUNTING PRACTICES 52.230-4 CONSISTENCY IN COST ACCOUNTING AUG 1992 PRACTICES 52.230-5 COST ACCOUNTING STANDARDS-- APR 1996 EDUCATIONAL INSTITUTIONS 52.230-6 ADMINISTRATION OF COST ACCOUNTING APR 1996 S hiDARDS 52.232-17 INTEREST JUN 1396 52.232-20 LIMITATION OF COST APR 1984 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT MAY 1997 52.232-33 MANDATORY INFORMATION FOR AUG 1996 ELECTRONIC FUNDS TRANSFER
-PAYMENT 52.233-1 DISPU 43 OCT 1995 52.233-3 PROTEST AFTER AWARD AUG 1996 Alternate I (JUN 1985) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS APR 1984 52.242-3 PENALTIES FOR UNALLOWABLE COSTS OCT 1995 52.-242-13 BANKRUPTCY JUL 1995 Page 34 of 70 i-
RS-NMS-97-007 Section I I.1 (Continued)
NUMBER TITLE DATE 52.243-2 CHANGES - COST-REIMBURSEMENT AUG 1987 Alternate I (APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT FEB 1997 4
AND LETTER CONTRACTS) 52.244-5 COMPETITION IN SUBCONTRACTING DEC 1996 52.248-1 VALUE ENGINEERING MAR 1989 52.249-6 TERMINATION (COST-REIMBURSEMENT) SEP 1996 52.249-14 EXCUSABLE DELAYS APR 1984 52.253-1 COMPUTER GENERATED FORMS JAN 1991 (End of Clause]
I.2 52.216-18 ORDERING (OCT 1995)
- Ia) Any supplies and services ' to be furnished under '. a's contract shall be ordered by issuance of delivery orders or task orders i by the individuals or activitico designated in the Schedule.
Such orders may be issued from through .
(b) All delivery orders or task orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order or task order and this contract, the contract shall control.
(c) If mailed, a delivery order or task order is considered
" issued" when the Government deposits the order in the mail.
orders may be issued orally, by facsimile, or by electronic 2 commerce metnods only if authorized in the Schedule.
[End of Clause)
I.3 52.216*21 REQUIREMENTS (APR 1984)
(a) This is a recuirements contract for the supplic- or services specified, ...d effective for t a period stated, _n the Schedule. The quantities of supplies or services specified in the Schedule are estimates only and are not purchased by this contract. Except as this contract may otherwise provide, if the Government's requirements do not result in orders in the quantities described as " estimated" or " maximum" in the Schedule, that fact shall not constitute the basis for an equitable price adjustment.
(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. Subject to any limitations in the Delivery-Order Limitations clause or elsewhere in this contract, the Contractor shall furnish to the Government all supplies or services specified in the Schedule and called for by orders issued in accordance with Page 35 of 70
RS-NMS-97-007 Section I I.3 (Continued) the Ordering clause. The Government may issue orders requiring delivery to multiple destinations or perforraance at multiple locations.
(c) Except as this contract otherwise provides, the Government shall order from the Contractor all the supplier or services specified in the Schedule that are required to be purchased by the Government activity or activities specified in the 4chedule.
(d) The Government is not required to purchase from the Contractor requirements in excess of any limit on total orders under this contract.
(e) If the Government urgently requires delivery of any quantity of an item be' ore the earliest date that delivery may be
, specified .ader this contract, and if the Contractor will not
! accept an order providing for the accelerated delivery, the
, Gcvernment may acquire the u ;ently required goods or services from another source.
(f) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the tima specified in the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after six months.,
[End of Clause]
NOTE: This-does not-apply to those requirements stemming from the Lisbon Initiative. The Government may, but need not utilize this contract for requirements stemming from the Lisbon Initiative.
I.4 52.216-27 SINGLE CR MULTIPLE AWARLS (OCT 1995)
The Government may elect to award a single delivery order contract or task order contract or to award multiple delivery order contracts or task order contracts for the same or similar supplies or services to two or more sources under this solicitation.
(End of Provision)
Page 36 of 70 i
RS-NMS-97-007 Section 1 I.5 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 1989)
(a) Th; dovernment may extend the term of this cuntract by written notice to the contractor within 60 days; provided, that the Government shall give the Contractor a preliminary written notice of its intent to extend at least 60 days before the contract expires. The preliminary notice does not commit the Government to an extension.
(b) If the Government exercises this option, the extended contract shall be considered to include this option provision.
(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 4 years.
[End of Clause) t I.6 52.222-2 PAYMENT POR OVERTIME PEEMIUMS (JUL 1990) '
. (a) The ase of overtime is autho ized under this contract if the overtime premium cost does not exceed $0.00 or the overtime a premium is paid for work--
(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production I bottlenecks of a sporadic natures (2) By indirect-labor employees such as those performing duties in connect;on with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unlcading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted c- compled otherwise; -
(4) That will result in lower overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overt i me for contract completion and shall--
(1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; Page 37 of 70
~
l RS-NMS-97-007 Section I I I.6 (Continued)
(2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule-i (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be , arformed by using multishift operations or by employing additional personnel.
[End of Clause) o . c'
- ee e'
Page 38 of 70
RS-WMS-97-007 Section J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACEMENTS J.1 ATTACHMENTS (MAR 1987)
Attachment Number Title 01 Billing Instructions 02 NRC Contractor Organizational Conflicts of Interest 03 NRC Handbook 3.8
, 04 c., Standard Form 1411 with Instructions ,..
05 Contractor c;'rding Plan (CSP)
Instructions 06 Payment Information Form SF 3381 - ACH Vendor Payment System Page 39 of 70
RS-NMS-97-007 Section K PART IV - REPRESENTATIONS AND INSTRUCTIONS SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEPENTS OF OFFERORS
-K.1 52.203-11 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (APR 1991)
(a) The definitions and prohibitions contained in the clause, at FAR 52.203-12, Limitation on Payments to Influence Celuain Federal Transactions, included in this solicitation, are hereby incorporated by reference in paragraph (b) of this certification.
(b) The offeror, by signing its offer, hereby certifies to the best of his or her knowledge and belief that on or after wa. December 23, 1989--e *' e-
, (1) No Federal appropriat ed ' mds 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 Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement;
. (2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) 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 Con ress o his or her behalf in connection with thic solicitation, the offeror shall comp 1ete ano submit, with its offer, OMB standard form LLL, Disclosure of Lobbying Activities, to the Contracting Officer; and (3) He or she will include the language of this certification in all subcontract awards at any tier and require that all recipients of subcontract awards in excess of
$130,000 shall certify a.;d disclece an-ordingly.
(c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who Page 40 of 70
RS-NMS-97-007 Section K K.1 (Continued) fails to file or amend the disclosure form to be filed or amanled by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.
(End of Provision) '
l K.2 52.204-3 TAXPAYER IDENTIFICATION (MAR 1994)
(a) Definitions.
" Common parent," as med in this solicitation provision, means that corporate enL: sv 52t owns or controls an affiliated group of corporatiter. tam: files its Federal income tax returns on a consolidste., basis, and of which the offeror is a member.
. s . ~ .
" Corporate status," as used in this solicitation provision, means a designation as to wh-ther the offeror is a corporate entity, an unincorporated entity (e.g., sole proprietorship or
,, partnership), or a corporation providing medical and health care services.
" Taxpayer Identification Number (TIN) , " as used in this solicitation provision, means the number required by the IRS to be used by the offeror in reporting income tax and other returns.
(b) All offerors are required to submit the information required in paragraphs (c) through (e) of this solicitation provision
. in order to comply with reporting requirements of 26 U.S.C.
6041, 6041A, and 6050M and implementing regulations issued by the Internal Revenue Service (IRS). If the resulting contract is, subject to the reporting requivaments described in FAR 4.903, the failure or refusal by the offeror to furnish the information may result in a 31 percent reduction of payments ott,rwise Ju_ under the contract.
(c) Taxcaver 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 Page 41 of 70
HS-NMS-97-007 Section K K.2 (Continued)
U.S.;
() Of feror is an ajency or instrumentality of a foreign government;
[] Offerer is an agency or instrumentality of a Federal, state, or local government;
( ) Other. State basis. ,
(d) Corporate Status.
() Corporation providing medical and health care services, or engaged in the billing and collecting of payments fur such services;
. () Other corporate,. entity; , ,.
!) Not a #1 rate entity:
, ( ) St proprietorship
( ) Partnership
() llospital or extended care facility described in 26 CFR 501(c) (3) that is exempt from taxation under 26 CFR 501 (a) .
(e) Common Parent.
. () Offeror is not owned or controlled by a common parent as defined in paragraph (a) of this clause.
(,) Name and TIN of common parent:
Name TIN
[End of Provision)
K.3 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995)
(a) Reoresentation. The offeror represents that it [] is,
[} is not a women-owned business concern.
L l
Page 42 of 70 l
RS NMS-97-007 Section K K.3 (Continued)
(b) Definition. " Women-owned business concern," as used in this provision, means a concern which is at least 51 percent owned by one or more woment or in the case cf 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.
(End of Provision)
K.4 52.204-6 CONTRACTOR IDENTIFICATION NUMBER--DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (DEC 1996)
(a) Contractor Identification Number, as used in this provision, means " Data Universal Numbering System (DUNS) number," which is a niae-dig.t number assigned by Dun and Bradstree Information Services.
. (b) Contractor identification iu e .,ential for complying with statutory contract reporting requirements. Therefore, the
. offeror is requested to enter, in the block with its name and address on the Standard Form 33 or similar document, the annotation " DUNS" followed by the DUNS number which identifies the offeror's name and address exactly as stated in the offer.
(c) If the offeror does not have a DUNS number, it should contact Dun and Bradstreet directly to obtain one. A DUNS number will be provided immediately by telephone at no charge to the offeror. For information on obtaining a DUNS number, the offeror should call Dun and Bradstreet at 1-800-333-0505. The offeror should be prepared to provide the following informations (1) Company name.
(2) Company address.
(3) Company telephone number.
(4) Line of .asiness.
(5) Chief executive officer / key manager.
(6) Date the company was started.
(7) Number of people employed by the company.
-(8) Company affiliation.
(d) Offerors located outside the United States may obtain the location and phone number of the local Dun and Bradstreet Information Services office from the Internet Home Page at http://www.dbisna.com/dbis/ customer /custlist.htm. If an offeror is unable to locate a local service center, it may send an e-mail to Dun and Bradstreet at globalinfo@dbisma.com.
(End of Provision)
Page 43 of 70
RS-NMS-97-007 Section K K.5 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (MAR 1996)
(a) (1) The Offeror certifies, to the best of its knowledge and belief, that--
(1) The offeror and/or any of its Principals--
(A) Are ( ) are not ( ) presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency; (B) Have ( ) have not ( ), within a three-year period preceding this offer, been convicted of or had a civil judgment rendered against them fort commission of fraud or a criminM. offanse
! . in connection with obtaining, attempting to obtain, or performing a public (Federal, state,
, , or local) con" met 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 (C) Are ( ) are not ( ) presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in subdivision
( A) (1) (i) (B) of this provision.
(ii) The offeror has ( ) has not ( ), within a
, three-year period preceding this offer, had one or more contracts terminated for default by any Federal agency.
(2) " Principals," for the purposes of this certification, means officers; directors; owners; partners; and, persons having primary management or sapervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a subsidiary, division, or business segment, and similar positions).
THIS CERTIFICATION CONCERNS u MATTER ~C~"'" THE JURISDICTION OF AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT TO PROSECUTION UNDER SECTION 1001, TITLE 18, UNITED STATES CODE.
(b) The Offeror shall provide immediate written notice to the Page 44 of 70
RS-NMS-97-007 Section K K.5 (Continued)
Contracting Officer if, at any time prior te contract award, the vfferor learns that its certification ,aa erroneous when submitted or has become erroneous by reason of changed circumstances.
(c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Offeror's responsibility. Failure of the offeror to furnish a certification or provide such additional information as requested by the Contracting officer may render the offeror nonresponsible.
(d) Nothing contained in the foregoing shall be construed to l require establishment of a syctem of records in Order to
?. render, in good faith, the s.ertification required by pt.agraph (a) of this provision. The knowledge and information of an
. Offeror is not required to e :.ed that which io normally possessed by a prudent person in the ordinary course of business dealings.
(e) The certification in paragraph (a) of this provision is a material representation of fact upon which reliance was placed when making award. If it is latar determined that the offeror knowingly rendered an erroneous certification, in addition to other remedies available to the Government, the Contracting officer may terminate the contract resulting from this solicitation for default.
(End of Provision)
K.6 52.215-6 TYPE OF BUSINESS ORGANIZATION (JUL 1987)
The offeror or quoter, by checking the applicable box, represento that--
(a) It operates as [ ] a corporation incorporated under the laws of the State of , ( ) an individual, ( ) a partnership, [ ] a nonprofit organization, or [ } a joint venture; or (b) If the offeror or quoter is a foreign entity, it operates as (
) a.. individual, () a partnership, ( j a nonprof4 t organization, () a joint venture, or ( ) a corporation, registered for businese in ._ (country).
(End of Provision)
Page 45 of 70 i
RS-NMS-97-007 Section K K.7 52.215-11 AUTHORIZED NEGOTIATORS (APR 1984)
The of'eror or quoter represente that the following persons are author.?.ed to negotiate on its behalf with the Government in connection with this request for proposals or quotations: [ list names, titles, and telephone numbers of the authorized negotiators).
[End of Provision)
K .* 9 52.215-20 PLACE OPM ERFORMANCt: (APR 1984)
. (a) Tha offeror or quoter, in th ;;rfarmance of any contract resulting from this solicitation, [ ] intends, ( ) does not
. intend (check applicable box) to use one or more plants or facilities located at a different address from the address of the offeror or quoter as indicated in this proposal or quotation.
(b) If the offeror or quoter checks " intends" in paragraph (a) above, it shall insert in the spaces provided below the required information:
Place of Performance (Street Name and Address of Owner and Address, City, County, State, Operator of the Plant or Zip Code) Facility if Other than offeror or Quoter
[End of-Provision)
K.9 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS (JAN 1997)
(a) (1) The standard industrial classification (SIC) code for this acquisition is 8999.
(2) The small business size standard is no more than $3.5 million average annual receipts for an offeror's preceeding 3 fiscal years.
(3) The small business size standard for a concern which Page 46 of 70
- RS-NMS-97-007 Section E K.9 (Continued) i submits an offer in its own name, other than on a construction or service contract, but which p2oposes to !
l furnish a product which it did not itself manufacture, is 500 employees, t
(b) Repr_ggentations. (1) The offeror represents as part of its offer that it ( ) is, () is not a small business concern.
i (2) (Complete only if offeror represented itself as a small business concern in block (b) (1) of this section.) The .
offeror represents as part of its offer that it () is,
() la not a small disadvantaged business concern.
(3) (Complete only if offeror represented itself as a small business concern in block (b) (1) of this section.) The offeror represe.its as part of its offer that it [ l is, s ( ) is not.gowomen-owned small business concern. 3 >
, (c) Definitions. " Joint venture a r purposes of a small disadvantaged business (SDB) set-aside or price evaluation
, preference (as prescribed at 13 CFR 124.321), is a concern that is owned and controlled by one or more socially and economically disadvantaged individuals entering into a joint venture agreement with one or more business concerns and is considered to be affiliated for size purposes with such other concern (s). The combined annual receipts or employees of the concerns entering into the joint venture must meet the applicable size standard corresponding to the SIC code designated for the contract. The majority of the venture's earnings must accrue directly to the socially and economically
. disadvantaged individuals in the SDB concern (s) in the joint venture. The percentage of the ownership involvement in a joint venture by disadvantaged individuals must be_at least 51 percent.
"Small business concern," as used in this provision, means a concern, inc; Mir.g its af filj e e', that is independeatly caned and operated, not dominant in the field of operation in whien it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and the size standard in paragraph (a) of this provision.
"Small disadvantaged business concern," as used in this
, provision, means a small business concern that (1) la at least 51 percent unconditionally owned by one or more individuals who are both socially and economically disadvantaged, or a l
publicly owned business having at least 51 percent 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 Page 47 of 70
.I RS-NMS-97-007 Section K K,9 (Continued) 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 Indian tribe or Native Hawaiian Organization, and which meets the requirements of 13 CFR part 124.
" Women-owned small business concern", as used in this provision, 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 owned business, at least 51 percent of the stock of which is owned by one or more women; and
.,,. p
- f l (2) Whose management and daily business operations are
, controlled by one or uc., aamen. ,
(d) Notice. (1) If this solicitation is for supplies and has been set aside, in whole or in part, for small business concerns, then the clause in this solicitation providing notice of the set-aside contains restrictions on the source of the end items to be furnished.
(2) Under 15 U.S.C. 645(d), any person who misrepresents a firm's status as a small or small disadvantaged business concern in order to obtain a contract to be awarded under the preference programs established pursuant to sections 8 (a) , 8 (d) , 9, or 15 of the Small Business Act or any other provision of Federal law that specifically references section 8 (d) for a definition of program
- eligibility., shall--
(i) Be punished by imposition of a fine, imprisonment, or boti -
(ii) Be subject to administrative remedies, including suspension and debarment; and (iii) Be ineligible for participation in programs conducted under the authority of the Act.
K.10 52.222-21 CURTIFICATION OF NONSEGREGATED EACIL*~!ES (APR 1984)
(a) " Segregated facilitics," as used in this provision, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinhing Page 48 of 70
RS-MMS-97-007 Section K K.10 (Continued) f oun' ains, recreation or entertainment areas, transportation, an'. aousing facilities provided for employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise.
(b) By the submission of this offer, the offeror certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its control 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.
(c) The offeror fv*thee agrees that (except where '- has btained
- identical certifica>(ons from proposed subcontractors for ,
specific time periods) it will--
(1) Obtain identical certifications from proposed
. subcontractors before the award of subcontracts under which the subcontractor will be subject to the Equal Opportunity clause; (2) Retain the certifications in the files; and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical certifications for specific time periods) :
NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OF NONSEGREGATED FACILITIES A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract under which the suoc^ntractor wil.' be subject to the Equal Opportunity clause. The certification may be submitteo either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually).
NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001.
[End of Provision)
Page 49 of 70
RS-NMS-97-007 Section K K.11 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (APR 1984)
The offeror represents that--
l (a) 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 Order No. 10925, or the clause contained in Section 201 of Executive Order No. 11114; (b) It () has, () has not filed all required compliance reports; and (c) Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract awards.
- [Endaaf Provision) f
,F . 2 2 52.222-25 AFFIRMATIVE ACTION COMPit?l:CE (A?R 1984)
.- The offeror represents that (a) it () has developed and has on file, () has not developed and does not have on file, at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2),
or (b) it ( ) has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.
[End of Provision)
K.13 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984)
The offeror certifies that--
(a) Any facility to be used in the performance of this proposed contract iu ( ), is not ( ) listed on the Environmental Prctactica ?.gency (EPA) L' e t of \'olating Facilitiet, (b) - The offeror will immediately notify the Contracting Officer, before award, of the receipt of any communication from the Administrator, er a designee, of the EPA, indicating that any facility that the offeror proposes to use for the performance of the contract is under concideration to be listed on the EPA List of Violating Facilities; and t
(c) The ofteror will include a certification substantially the f
i same as this cerr4fication, including this paragraph (c), in every nonexempt subcontract.
(End of Provision)
Page 50 of 70 l
t
---,---__---,.-------------N
RS-NMS-97-007 Section K K.14 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (APR 1996)
NOTE: This notice does not apply to small businesses or foreign governments. This notice is in three parts, identified by Roman numerals I through III.
Offerors shall examine each part and provide the requested information in order to determine Cost Accounting Standards (CAS) requirements applicable to any resultant contract.
If the offeror is an educational institution, Part II does not apply unless the contemplated contract will be subject to full or modified CAS coverage pursuant to 48 CFR .903. 201-2 (c) (3) or 9903. 201-2 (c) (6) , respectively.
I. DISCLOSURE STATEMENT--COST ACCOUNTING PRACTICES AND CERTIF7"ATION (a) Any contract in excess of $500,000 resulting from this
.. solicitation, except contracts in whi:h the price negotiated is based on (1) established catalog or market prices of
.. commercial items sold in substantial quantities to the general public, or (2) prices set by law or regulation, will be subject to the requirements of the Cost Accounting Standards Board (48 CFR Chapter 99), except for those contracts which are exempt as specified in 48 CFR 9903.201-1.
(b) Any offeror submitting a proposal which, if accepted, will result in a contract subject to the requirements of 48 CFR Chapter 99 must, as a condition of contracting, submit a Disclosure Statement as required by 48 CFR 9903.202. When required, the Disclosure Statement must be submitted as a part of the offeror's proposal under this solicitation unless the offeror has already submitted a Disclosure Statement disclosing the practices'used in connection with the pricing of this proposal. If an applicable Disclosure Statement has already been submitted, the offeror may satisfy the requireme.t or submission by n viding the infc mation requested in paragraph (c) of Part I of this provision.
CAUTION: In the absence of specific regulations or agreement, a practice disclosed in a Disclosure Statement shall not, by virtue of such disclosure, be deemed to be a proper, approved, or agreed-to practice for pricing proposals or accumulating and reporting contract performance cost data.
(c) Check the appropriate box below:
/__/ (1) Certificate of concurrent submission of Disclosure Statement.
The offeror hereby certifies that, as a part of the Page 51 of 70
RS-NMS97-007 Section K K.14 (Continued) offer, copies of the Disclosure Statement have been submitted as followst (i) Original and one copy to the cognizant Administrative Contracting Officer (ACO) or cognizant Federal agency official authorized to act in that capacit" (Federal official), as applicsble, and (it one copy to the cognizant Federal auditor, t
(Disclosure must be on Form No. CASB DS-1 or CASB DS-2, as applicable. Forms may be obtained from the cognizant ACO or Federal official and/or from the loose-leaf version of the Federal Acquisition Regulation.)
Date of Dicciosure Statements
.- "sme and Address of Cognizant ACO or Federal official where filed:
o The offeror further certifies that practices used in estimating costs in pricing this proposal are consistent with the cost accounting practices disclosed in the Disclosure Statement.
/__/ (2) Certificate of Previous 1v Submitted Disclosure Statement.
. The offeror hereby certifies that the required Disclosure Statement was filed as follows:
Date of '. ;sclosure s' atement s ._ _ _ _ _ _
Name and Address of Cognizant ACO or Federal official where filed:
The offeror further certifies that the practices vaed in estimating costs in pricing this proposal are consistent with the cost accounting practices disclosed in the applicable disclosure Disclosure Page 52 of 70
RS-NMS-97-007 Section K K.14 (Continued) l Statement.
/_/ (3) Certific. ate of Monetary Exemotion.
The offercr hereby certifies that the offeror together with all divisions, subsidiaries, and affiliates under common control, did not receive not awards of negotiated prime contracts and subcontracts subject to CAS totaling more than $25 million (of which at least one award exceeded $1 million) in the cost accounting period immediately preceding the period in which this proposal was submitted. The offeror further certifies that if such status changes before an award resulting from this proposal, the offeror will advise the Cent
- acting Officer immediately.
/_/ (4) Certificate of Intfrim ExemDA12D.
The offeror hereby certifies that (i) the offeror
- first exceeded the monetary exemption for disclosure, as defined in (3) of this subsection, in the cost accounting period immediately preceding the period in which this offer was submitted and (ii) in ac ordance with 48 CFR 9903.202-1, the offeror is not yet required to submit a Disclosure Statement.
The offeror further certifies that if an award ,
resulting from this proposal has not been made within 90 days after the end of that period, the offeror will immediately submit a review certificate to the Contracting Officer, in the form specified under subparagraphs (c) (1) or (c) (2) of Part I of this provision, as appropriate, to verify submission
- of a completed Disclocr.3 Statement.
CAUTION: Offerorr currently required to disclose because they were award d a cAS -m'ered prime >nt ract or subcontract n' $10 million or more in the current cost accounting period may not claim this exemption (4) . Further, the exemption applies only in connection with proposals submitted before expiration of the 90-day period following the cost accounting period in which the monetary exemption was exceeded.
II. COST ACCOUNTING STANDARD 3--ELIGIDILITY FOR MODIFIED CONTRACT COVTRAGE If the offeror is eligible to use the modified provisions of 48 CFR 9903.201-2(b) and elects to do so, the offeror shall indicate by checking the box below. Checking the box below shall mean that the resultant contract is subject to the Disclosure and Consistency of Cost Accounting Practices clause in lieu of the Page 53 of 70
~_ _.
RS.NMS97-007 Section K K.14 (Continued)
Cost Accounting Standards clause.
/__/ The offeror hereby clairs an exemption from the Cost Accounting Standards clause under the provisions of 48 CFR 9903.201-2(b) and certifies that the offeror is eligible for use of the Disclosure and Consistency of Cost Accounting Practices clause because during the cost accounting period immediately preceding the period in which this proposal was submitted, the offeror received less than $25 million in awards of CAS covered prime contracts and subcontracts, or
, .the offeror did not receive a single CAS-covered award l exceeding $1 million dollars. The offeror further certifies that if such status changes before an award resulting from this proposal, the offoror will advise the Contracting Officer immediately.
o CAUTION: An offeroygaay not claim the above eligibiliby for,,
modified contract coverage if this proposal is expected to' result in the award of a CAS-covered cor='ect of $25 million or more or if,cduring its current cost _ accounting period, the offeror has
.- been awarded a single CAS-covered prime contract or subcontract cf
$25 million or more.
III. ADDITIONAL COST ACCOUNTING STANDARDS APPLICABLE TO EXISTING CONTRACTS The offeror shall indicate below whether award of the contemplated contract would, in accordance with subparagraph (a) (3) of the Cost Accounting Standards clause, require a_ change in established cost accounting practices affecting existing contracts and-subcontracts.
/,_/ YES /__/ NO (End of_ Provision)
K.15 NRCAR 2052.204-70 OUALIFICATIeMG OF CONTRACT EMPLOYEES (JAN.1994)
The offeror hereby certifies by submission of this offer that
_all_ representations made regarding its employees, proposed subcontractor' personnel, and consultants are accurate.
(End of Provision)
'K.16 _NRCAR 2052.209-71 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT (JAN 1993)
(a) The_following representation is required _by the NRC Acquisition Regulation 2009.105-70(b). It is not NRC policy to encourage offerors and contractors to. propose Page 54 of 70
RS-NMS-97-007 Section 1; K.16 (Continued) current /former agency employees to perform work under NRC contracts, and as set forth in the above cited provision, the i use of such employees may, under certain conditions, adversely '
affect NRC's consideration of non-competitive proposals and task orders. ,
(b) The offeror hereby certifies that there ( ) are ( ) are no current /former NRC employees (including special Government employees performing services as experts, advisors, consultants, or members of advisory committees) who have been or will be involved, directly or indirectly, in developing the offer, or in negotiating on behalf of the offeror, or in managing, administering, or performing any contract, consultant agreement, or subcontract r_,ulting from this offer. For each individual so identified, the Technical and Managerant proposal uust contain, as a separate Lerachment, a the name of the ehdividual, the individual's title 'while **
employed by the NRC, the date individual left NRC, and brief
- description of the individua;'t . la under this proposal.
t (End of Provision)
K.17 NRCAR 2052.209-72 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (REPRESENTATION) (JAN 1993)
I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an existing contract
/ / does
/ / does not involve situations or relationships of the type set forth in 48 CFR 2009.570- 3(b),
(a) If the representation, as completed, indicates that situations or relationships of the type set forth in 48 CFR 2009,570-3 (b) are involved, or the contracting officer otherwise determines that potential organizational conflicts of interest exist,.the offeror shall provide a statement in writing which describes in a concise manner all relevant factors bearing on his representation to the contracting officer. If the contracting officer da: ermines that organizational conflicts exist, the following actions may be taken (1) Impose appropriate conditions which avoid such conflicts, (2) Disqualify the offeror, or Page 55 of 70 i
RS-MMS-97-001 Section K K.17 (Continued)
(3) Determine that it is otherwise in the best interest of the United States tn seek award of the contract under the waiver provisions of 48 CFh 2009-570-9.
(b) The refusal to provide the representation required oy 48 CFR 2009. 570-4 (b) , or upon request of the contracting officer, the
- facts required by 48 CFR 2009.570-3(b), must result in disqualification of t e offeror for award.
[End of Provision}
<' o .c
- se Page 56 of 70
RS-NMS-97-007 Section L SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS L.1 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (JUN 1988)
This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they
-were given in full text. Upon request, the contracting officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
PROVISIONS NUMBER TITLE DATE
, 52.214-34 SUBMISSIGF OF OFrEPS IN THE APR 1901 .
ENGLISH LANGUAGE
., 52.214-35 SUBMISSION OF OFFET 3 IN l'S APR 1991 CURRENCY
.. 52.215-5 SOLICITATION DEFINITIONS JUL 1987 52.215-7 UNNECESSARILY ELABORATE APR 1984 PROPOSALS OR-QUOTATIONS 52.215-8 AMENDMENTS TO SOLICITATIONS DEC 1989 52.215-9 SUBMISSION OF OFFERS MAR 1997 52.215-10 LATE SUBMISSIONS, MODIFICATIONS, MAY 1997 AND WITHDRAWALS OF PROPOSALS 52.215-12 RESTRICTION ON DISCLOSURE AND APR 1984 USE OF DATA 52.215-13 PREPARATION OF OFFERS APR 1984 52.215-14 EXPLANATION TO PROSPECTIVE APR 1984 OFFERORS 52.215-15 FAILURE TO SUBMIT OFFER MAY 1997 52.415-16 CONTRACT AWARD OCT 1995- 1
-52.215-30 FACILITIES CAPITAL COST OF MONEY SEP 1987 52.216-27 SINGLE OR MULTIPLE AWARDS OCT 1995 52.22 -24 PhcAMAPD ON-SITE EQUAL APR 1984 OPPORiUNITY COMPLIANCE REVIEW (End of Provision]
L.2 52.215-41 REQUIREMENTS FOR COST OR PRICING DATA OR INFORMATION OTHER THAN COST OR PRICING DATA (JAN 1997)
(a) Exceptions from cost-or oricina data. (1) In lieu of submitting cost.or pricing data, offerors may submit aLwritten request for exception by submitting the information described in the following subparagraphs. The Contracting Officer may require additional supporting information, but only to the extent necessary to determine whether an exception should be granted,- and whether the price is fair and reasonable.
Page 57 of 70
RS NMS-97-007 Section L L.2 (Continued)
(i) Identification of the law or regulation establishing the price offered. If the price is controlled under law by periodic rulings, reviews, or similar actions of a governmental body,. attach a copy of the controlling document, unless it was previously submitted to the contracting office.
(ii) For a commercial item exception, the offeror shall submit, at a minimum, information on prices at which the same item or similar items have i
previously been sold that is adequate for i evaluating the reasonableness of the price for this acquisition, such information may include--
l (A) For catalog items, a copy of or identification
.. of the catalog and its date, or the. appropriate ^. , ,
pages for the offered items, or a statement that the catalc7 is on file in the buying office to which the proposal is being
,, submitted. Provide a copy or describe current discount policies and price lists (published or unpublished), e.g., wholesale, original equipment manufatturer, or reseller. Also explain the basis of each offered price and.its relationship to the established catalog price, including how the proposed price relates to the price of recent sales in quantities similar to the proposed quantities.
. (B) For market-priced items, the source and date or period of the market quotation or other basis for market price, the base amount, and applicable disecunts. In addition, describe the nature of the market.
(L For items 4neluded on an active Fedelal Sutyly Service Multiple Award Schedule contract, proof that an exception has been granted for the schedule item.
(2) The offeror grants the contracting officer or an authorized representative the right to examine, at any time before award, books, records, documents, or other directly pertinent records to verify any request for an exception under this provision and the reasonableness of price. Access does not extend to cost or profit information or other data relevant solely to the offeror's determination of the prices to be offered in the catalog or marketplace.
Page 58 of 70
RS-NMS-97-007 Section L L.2 (Continued)
(b) Reauirements for cost or cricina data. If the offeror is not granted an exception from the requirement to submit cost
~
or pricing data, the following applies:
(1) The offeror shall submit cost or pricing data on Standard Form (SF) 1411, Contract Pricing Proposal Cover Sheet (Cost or Pricing Data Required), with supporting attachments prepared in accordance with Table 15-2 of FAR
- 15. 804 -6 (b) (2) .
(2) As soon as practicable after agreement on price, but before contract award (except for unpriced actions such as letter contracts), the offeror shall submit a Certificate of Current Cost or Pricing Data, as prascrib-d in FAR 15.804-1.
L.3 52.216 1 TYPE OF CONTRACT (APR 1984)
The Government contemplates award (s) of Cost Plus Fixed Fee -
. Task ordering - Indefinite Quantity contract (s) resulting from this solicitation.
I [End of Provision)
L.4 52.233-2 SERVICE OF PROTEST (AUG 1996)
(a) Protests, as defined in Section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the
- General Accounting Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from:
U .' S . Nuclear Regulatory Commission Division of Contracts & Property Management Contracts M . lager.cnt Branch 1 MS-T-7-12 Washington, DC 20555 Jand carried address U.S. Nuclear Regulatory Commission Division of Contracts and Property Ma Contract Management Branch 1 11545 Rockville Pike Rockville, MD 20852-2738 (b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO.
Page 59 of 70
RS NMS-97-007 Section L L.5 NRCAR 2052.215-74 TIMELY RECEIPT OF PROPOSALS (JAN 1993)
Because NRC is a secure facility 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)
L.6 NRCAR 20*2.2154 75 AWARD NOTIFICATION AND COMMITHEUf 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 15.1001 (b) (2 ) preliminary notification will be provided l .. before the award for small brainesu set-aside procurements on negotiated procurements.
(b)-It is also brought to your attention that the contracting
.. officer 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 specifically authorized by the contracting officer, NRC technical personnel may not issue contract modifications, give informal contractual commitments, or otherwise bind, commit, or obligate the NRC contractually.
Informal contractual commitments includes (1) Encouraging a potential contractor to incur costs prior
- to receiving a contract; (2) _ Requesting or requiring a contractor to make changes under a contract without formal contract modifications; (3) Encourag,ing a contractor to incur costs under a crot reimbursuale contrar in excess of those cor s contraca. ally allowable; and (4) Committing the Government to a cource of action with regard to a potential contract, contract change, claim, or dispute.
(End of Provision)
L.7 NRCAR 2052.215-76 DISPOSITION OF PROPOSALS Page 60 of 70
RS-MMS-97-007 Section L i
L.7 (Continued)
Af te- award of the contract, one copy of each ansuccessful proposal is retained by the NRC's Division of Contracts and Property Management in accordance with the General Records Schedule 3 (5) (b) . Unless return of the additional copies of the proposals is requested by the offeror upon submission of proposal, all other copies will be destroyed. This request should appear in a cover letter accompanying the propasal.
[End of Provision)
Lo8 NRCAR 2052.215-78 PROPOSAL PRESENTATION AND FORMAT - ALTERNATE 1 (JAN 1993)
(a) Proposals must be typed, printed, or reproduced on letter-size paper and each copv must be legible. *
, ~
(b) Proposals in response to this Request for Proposal must be
, submitted in the f ollowing t' r e (L) septrate and distinct parts:
(1) Two (2) original signed copies of this solicitation package. All applicable sections must be completed by the offeror.
(2) One (1) original and 4 copies of the " Cost Proposal."
(3) One (1) original and 3 copies of the " Technical and Management Proposal."
- (c) Correctness of the cronosal. Caution--offerors are hereby notified that all information provided in its proposals, including all resumes must be accurate, truthful, and complete to the best of the offer,r's knowledge and belief.
The Commission will rely upon all representations made by the offeror both 4.n the evaluation process and for the performance of the work by *ha offeror ar' acted for award. The remnission may require the offeror to substantiate the credentials, education, and employment history of its employees, subcontractor personnel, and consultants, througn submission of copies of transcripts, diplomas, licenses, etc.
(d) Cost oronosal.
( The offeror shall provide a cost proposal bared on the Estimated Level of Effort. The total estimated cost proposed by the offeror is used for evaluation purposes only. Any resultant contract, except a requirements contract, contains an overall cost ceiling whereby individual task orders may be issued. The cost and fee, -
if any, for each task order is individually negotiated Page 61 of 70
RS-NMS-97-007 Section L L.8 (Continued) and also contains a cost ceiling.
(2) The offeror shall ut? Standard Form 1411, Contract Pricing Proposal Cover Sheet, in submitting the Cost Proposal. A copy of the form and instructions are attached to thia solicitation. The informacion must include pertinent details sufficient to show the elements of cost upon which the total cost is predicted. The Cost Proposal must be submitted separately from the Technical and Management Proposal, j (3) When the offeror's estimated cost for the proposed work exceeds $100,000 and the duration of the contract period exceeds six months, the offeror shall submit a Contractor Spending Plan (CSP) as part of its cost proposal.
Guidance for completing the CSP is attached. *
- .c' ,e (4) For any subcontract discussed under the Technical and
. Management Proposal, pr' '.de nupporting documentation on the selection process, i.e. competitive vs.
. noncompetitive, and the cost evaluation.
I (5) Submit the latest audits which your company has received I in order to verify your indirect rates and other associated costs. Submit backup data for verification of rates for personnel expected to work under this contract. j If your company has not been audited, please submit I other documentation substantiating the rates proposed.
(e) The Technical and Management Proposal (s) :
(1) Offerors may propose on MC&A or physical protection
- or both work areas. Off rors will be evaluated on the MC&A work and physical protection work separately. Accordingly a separate Technical and c Mane ~amant Prop- 41 MUST be submitted for each work area and 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 offerer's understanding of the scope of work may be evaluated. Technical / management proposals for each 1
one of the work areas proposed (MC&A/pbraical protection) shall not exceed 25 pages. The personnel resumes and supportive documentation will not be included in this 25 page limit.
(2) The offerer shall submit with the Technical and Management Proposal full and complete information as Page 62 of 70
RS-NMS-97-007 Section L L.8 (Continued) set forth below 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 offerer's understanding can or will comply with the statement of work may be construed as an indication of the offerer's lack of understanding of the j statement of work and objectives.
- (4
- The Technical and Management Proposal (s) for MC&A l an/or physical prote: tion work must set forth as a
, minige> the following information: * ,,
,, (a) PAST PERFORVANC'
. List all contracts completed during the past two years (7/1/95 - 7/30/97). Highlight those contracts that are similar in nature to the statement of work in this solicitation.
Contracts listed may include those entered into by the Federal Government, agencies of State and local governments and commercial customers.
References will be checked for final proposals. Include the following information for each contract:
(1) Contract Number (2) Name and address of Government agency
. or commercial c oncern (3) Points of contact:
(1) Contracting Officer and phone no.
(ii) Techni a' representative anL phone no.
(4) Date contract awarded (5) Period of performance of the contract (6) Total dollar value of contract (7) Type of contract awarded (8) Brief description of the scope of work (9) Percentage and type of work assigned to subcontractors References will be checked for those proposals determined to be within the competitive range.
(b) PERSONNEL QUALIFICATIONS / EXPERIENCE Page 63 of 70
RS-NMS-97-007 Section L L.8 (Continued)
The of feror shall identify all indi viduals, including backup personnel and subcontractor / consultant personnel, anticipated to perform this effort and shall provide resumes for each individual. The resumes should be directed to the specific needs of the contract and not be general in nature. The resumes shall include educational and tra'ning background, specific pertinent work experience and accomp14.shments as well as technical credentials and qualifications. Discuss the qualifications and utilization of backup personnel. It is anticipated that expert knowledge and experience in the following areas will be_regoired for this effort:
., .c *. p
- 1. Technical working knowledge and thorough
., understanding f Mu A processes and methodologies and/or faysical protection
. p rogr .<.ns .
- 2. Thorough understanding and familiarity with NRC's regulatory process, regulations, guidance documents, licensing procedures, and inspection processes and procedures that apply to MC&A and/or physical protection programs.
- 3. Experience in the application, implementation, and interpretation of NRC's regulations, guidance documents, and licensing and inspection practices related to MC&A and/or physical protection programs.
._ Ability to perform technical analyses of NRC-related documents and the Former Soviet
"" a (rSU) rep.'lic's programs, practi7es, regulations, and guidance documents co provide a comparison and identify and recommend areas of improvements.
(c) TECHNICAL APPROACH Describe your proposed methods for performing work related tv analysis cf "SU republics' regulations; develop and conduct training programs related to NRC's regulatory development, licensing process and procedures and inspection process and procedures for the FSU republics; develop draft regulations, guidance documents, facility plans, licensing Page 64 of 70
RS-NMS-97-007 Section L L.8 (Continued) and inspection procedures for FSU republics; and develop and evaluate centr / i tzed Russian regulatory training program ) i cordance with Statement of Work (Section C) .;dicate potential problem areas and the approach to be taken to resolve these areas. Provide statements of any interpretations, requirements, or assumptions made by the offeror. If the offeror plans to subcontract any of the work, list the proposed subcontractors. Provide a detailed description of the work to be performed by the subcontractors.
(d) PERSONNEi hVAILABILITY v' ., Proside a a;.rrative addressing the availabikity of adequate staff resources to support the
. contract work equired in Statement of Work
- (Section Cf. Indicate which proposed personnel will be key personnel subject to Section H, entitled " Key Personnel." Specify the l percentage of time that proposed personnel will be committed to this and other projects over the course of the proposed contract period of performance. Provide a description of the source of personnel required for the
, . performance of the work includ.ag those not j
presently employed by the offeror. If any of the personnel are under commitment, describe
. the terms of tne commitment. Discuss the availability of the backup personnel.
[End of Provision]
L. NRCAR 2052.222-7w uvNDISCRIMINATION BECAUSE OF AGE (JAN 1993)
It is the policy of the Er.ecutive Branch of the Government that:
(a) Contractors and subcontracter9 engaged in the performance of Federal contracts may not, in connection with the employment, advancement, or discharge of employees or in connection with the terms, conditions, or privileges of their emp.oyment, '
discrimincte against persons because of their age except upon the basis of a bona fide occupational qualification, retirement plan, or statutory requirements; and Page 65 of 70
j RS-NMS-97-007- Section L L.9 (Continued)
(b) -That contrectors and subcontractors, .or' person acting on their behalf, may not_specify, in solicitations or advertisements for employees to work on Government. contracts, a maximum age i limit for employment unless the specified maximum age limit is
' based upon'a-bona fide occupational' qualification, retirement
. plan, or statutory requirement.
(End of Provision]
I L.10 ACCEPTANCE PERIOD (MAR.1987) l Because of the time' required by the Government to evaluate l
proposals and make an award, offerors are instructed to specify on i the SP-33 a proposal acceptance period of not less than 60 days.
>, (EoA of Provision] - d' -
lf T 11 ESTIMATED DURATION (JUN 1988)
The duration of the contract is estimated to be One base year and four one year. options. (See section F for any option periods)
(End of Provision]
L.12- USE OF AUTOMATED CLEARING HOUSE (ACH) ELECTRONIC PAYMENT / REMITTANCE ADDRESS It is the policy of the. Nuclear Regulatory Commission to pay government vendors by the Automated Clearing House (ACH) electronic funds transfer payment syatem in lieu of a U.S.
Treasury check. If for good reason the offeror is unable to participate in the-ACH/ Vendor Express program, it should be notated in the offeror's proposal and it-will be discussed during the negotiation process. If item 15C. of the Standard Form 33 has
-been-checked,-enter:the remittance-address should agreement to an altern. e met.too of r w ent e e.
Name:
Address:
(End of Provision]
L.13 EXPRESS OR HAND DELIVERY OF PROPOSALS All hand-carried offers including those delivered by private Federal Express, Airborne Express, etc.) must be delivered to the dock security station located at 11555 Rockville Pike, Rockville,
-Page 66 of 70 l
~
RS-NMS-97-007 Section L L.13 (Continued) received in the depository located in Room T-7-I-2. All offerors extra time for internal mail distribution. NRC is a secure perimeter access control _and NRC personnel are not available to hand-carried except during normal working hours, 7:30am to 3:30pm, through Friday, excluding federal nolidays.
l
, . ,*-; s p
9 l
l Page 67 of 70
RS-NMS-97-007 Section M SECTION M - EVALUATION FACTORS FOR AWARD M .1' 52.252-1: SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (JUN 1988)
This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the contracting officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1)
PROVISIONS l NUMBER TITLE DATE I
l 52.217-5 EVALUATION OF OPTIONE JUL 1969
[End of Provision]
M.2 52.215-34 EVALUATION OF OFFERS FOR MULTIPLE AWARDS
.. (MAR 1990)
In addition to other factors, offers will be evaluated on the e basis of advantages and disadvantages to the Government that might I
! result from making more than one award (multiple awards) . It is assumed, for the purpose of evaluating proposals, that $500 would be the administrative cost to the Government for issuing and administering each contract awarded under this solicitation and individual awards shall be for the items or combination of items that result in the lowest aggregate cost to the Government, including the assumed administrative costs.
(End of Provision]
M.3 NRCAR 2052.215.84 CONTRACT AWARD AND EVALUATION OF PROPOSALS-- TECHNICAL MERIT MORE IMPORTANT THAN COST (JAN 1993)
(a) By use of numerical and-narrative scoring techniques, proposals are evaluated against the evaluat'on factors specified in paragraph M 4 below. These factors are listed in their relative order of importance. Award is made to the offeror:
(1) Whose proposal is technically accept =hle; (2) Whose technical / cost relationship is most advantageous to the Government; and (3) Who is considered to be responsible within the meaning of Federal-Acquisition Regulation Part-9.1=.
Page 68 of-70
RS-NMS-97-007 Section M M.3 (Continued)
(b) A' tuough cost is a factor in the evaluation of proposals, technical merit in the evaluation criteria set forth below is a more significant factor in the selection of a contractor.
Further, to be selected for an award, the proposed cost must be realistic and reasonable.
(c) The Government may:
(1) Reject any or all offers if the action is in the public interest; (2) Accept other than the lowest offer; and (3) Waive informalities and minor irregularities in offers received.
(d) The Government may award a contract on the basis of initial
.. offers received, without disi assior.s . Therefore, each initial offer should contain the offeror's best terms from a cost or
.- price and technical standpoints.
l (e) A separate cost analysis is performed on each cost proposal.
l To provide a common base for evaluation of cost proposals, the l level of effort data must be expressed in staff hours. Where a Contractor Spending Plan (CSP) is required by other provisions of this solicitation, consideration is given to the Plan for completeness, reasonableness, and as a measure of effective management of the effort.
(f) In making the above determination, an analysis is performed by the Government that takes into consideration the results of the technical evaluation and cost analysis.
(End of Provision]
M.4 EVALUATION CRITERIA
- 1. PAST PERFORMANCE (50)
Extent to which the contractor has performed similar work that required a thorough understanding and knowledge of MC&A processes and methodologies and/or physical protection programs. In particular, work that required a thorough understanding and knowledge of NRC reguist. y process, regulations, guidance documents, licensing procurators, and inspection processes and procedures that apply to MC&A and/or physical protection programs-Page 69 of 70
i l RS-NMS-97-007 Section M M.4 (Continued)
(.
- 2. PERSONNEL QUALIFICATIONS / EXPERIENCE (20)
Extent to which the Offeror demonstrates that the proposed personnel for MC&A and/or physical protection work possess the required qualifications and experience to perform the work described in Section C of this solicitation, including, as a minimum the specific information necessary to address the Personnel Qualification Requirements described in Section L.
- 3. TECHNICAL APPROACH (20)
Degree to whiti the offeror demonstrates an understanding of the required tasks and deliverables described in Section C of this solicitation for MC&A and/or physical protection work.
The extent to which the offeror demonstrates a coherent plar
.. to accompli ' .. The contract reqair'mentd, e resolve probfLms, assure quality deliverables, and meets schedules. As a
,, minimum, the offeror shall add :ss the specific information necessary to address Technical Approach described in Section
.. L.
- 4. AVAILABILITY (10)
Extent to which contractor can provide a source of qualified '
personnel for MC&A and/or physical protection work. Extent to which the offeror ensures the availability of qualified personnel and project teams to perform the work required by Section C.
- TOTAL WEIGHT: 100 POINTS (End of Provision]
Page 70 of 70
At t ac h- nt ) , ji f INST RUCT 10' '. R FREWii COST INFORMATi(a OR NRC CONTRACTS Preparation and itemization of the Voucner/ Invoice: In order to constitute a proper invoice, the contractor shall furnish all the information set forth below. These no'es are keyed to the entries on the sample voucher / invoice.
Official Age..cy Billing Office: Address the original and 3 copies of the voucher / invoice, together with supporting documentation attached to each copy to: US Nuclear Regulatory Commission. Division of Contracts - T7-12, Washington, DC 20555.
. Vouchers / invoices delivered by hand, W 1uding delivery by express mai, or special delively services which use a courier or other person to'ueliver the voucher /invrice in person to thc NRC. sh'als be addressed in accordance with the foregoing and delivered to: US Nuclear Regulatory Commission, One White Flint North, 11555 Rockville Pike - Mail Room. Rockville Maryland 20352.
Hand-delivered vouchers / invoices will not be accepted at other than the above address. Note, he ever, that the official receipt date for hand-delivered vouchers / invoices vill be the date it is r-:-ceived by the of ficial agency billing office ir, the Division of Contract:
Payee's Name and Address. Show the name c,f the contractor as it appears in the contract and its correct address. When an approved assignment has been made by the contractor, or a different payee or addressee has been designated, insert the name and address of the payee. Indicate the name and telephone number of the individual responsible for answering any questions that the NRC may have regarding the invoice.
(a) Contract Nurber Insert the NRC ccitract number.
Task Order th.mber, if applicable. Insert the tan . s number Title of Projet . ..;.. the full titi; of the project being perf 31 (b) under the contract.
(c) Sequential voucher' invoice number. The appropriate sequential number of the voucher / invoice, beginning with 001 should be designated.
Contractors ray also include an individual internal accounting number, if desired, in addition to the 3-digit sequential number.
(d) Projei.t Officer's name as desigrated in the centract.
1
I (e) Date of Voucher / invoice. Insert tN 1 ate the voucher avoict is Deoared.
(f) fContract A-oont. insert the total stimated cost of tha contract, exclusive of fixed-fee. Include this information as it appli ?! to individual task orders as well .
(g)' Fixed-Fee. Insert total fixed-fee. Include this information as it applies to individual task orders as weli.
(h) Billing Period. Insert the beginning and ending dates (day, month,
_ year) of the period during which costs were incurred and for which reimbursement is claimed.
(i) Direct Costs - Insert the major cost elements:
Direct Labor. This consists 3f shliries and wages paid har NP*
(1) 3ccrued) for direct performanns n' the contract itemized a3 f oll o..s :
Labor Labor ties. Hr Cumulative Category. flegot i at ed Silleg Rate Total Hrs,8illed (2) Fringe Benefits. This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used indicate the rate. Fringe benefits included in direct labor or in other indirect cost pools should not be identified here.
(3) Direct Equipment. For educational institutions, list each item costino 5500 or more and having a life expectancy of more than one year. For contractors other than educational institutions, list each item costing 5200 or more and having a life expectancy of more than one year. List only those items of equinment for which reir. bur sement is requested. A reference shall be made to the cilowing 'as applicable): (a) the item number for the specific piece of et,a.pmentflisted in the property schedule of the *h' con;ract; ;t. Co:.'.racting C ' ^icer's approval letter if equipnent is not covered by the property schedule; or (c) be preceded by an asterisk (*) if the equipment is below the approval level.
For each piece of equipment purchased provide: (1) an item description, (2) make and r. ode'.. (3) serial number. (4) acquisition cost. (5) date of rarchase, and (6) a copy of the purcha:ing docuTent.
Further itemization of vouchers / invoices shall only' be required :
for items having specifi: li-itat'ans set forth in the contract.
(4) tiaterials, Suppi tes, or '0ther Excendable ite-s. These are consu~able materials. supelies and equipment other than that descr Lei in (3) above. For eacn olece of eauloient provide the 2
I
information set forth in (3) above.
(5) Premium Pay. This remuneration in excess of the basic hourly rate. (Reauires written approval of the Contracting Officer.)
-(6) Consultant's fee. The supporting informztion must include the name, hourly or daily rate of the consultant, and reference the NRC approval (if "./. specifically approved in the original contract).
(7) Travel. Domestic travel is travel within the United Stated, its territories, possessions, and Canada. It should be billed separately from foreign travel.
l All costs associated with each trip must be showr in th 'ollowing
< format: .c ,
, j, Date T ra'. el er Dest ~ 7 tion Purpose Cost From To 5
.. Fron To (8) Subcont racts. Include separate detailed breakdown of all costs paid te arper.ved subcont ractors during the billing period.
(9) Other List all other direct costs by cost element and dollar amount separately.
(j) Indirect Costs - O' head. Cite the formula (rate and base) in effect during the time *he to;; was incurred and for which reimbursement is
- claimed.
(k) Fixed' Fee, if the contract provides for a fixed fee, it m1st be claimed as-p.covided for by the contract. Cite the formula or method of computation. The contractor ma3 oill for fixed fee en'v up to 85 of total fee.
(1) Amount Billec for Lui,ent Perica. Insert the an ount billed .vr the major cost elements, adjustments. and total amount for tho period.
(m) Cumulative Amount from inception to Date of Current Billing. Insert the cumulative arounts billed for the major cost elements and adjusted amounts claired during this contract.
3 i
(n) Total ATounts C1ai ed. Insert tfie tatal iT:ounts claimed for the current Cumulati v e [10 r i od s
. (o) Adj u s tren t s . This includes cumulat se amounts billed that have been suspended . JisalladEO.
(p) Grand latals.
C
' -'^
e e
e 4
Attachment 3 FEE REC 0VERY Bill NG_ REPOR T FIN: _ _ _ _ , _ _ . , _ _ _ _
Facility Name or Report
Title:
TAC or Inspection Report Number:
(or other unique identifier)
Docket Number (if applicable): _.
- - e . .,
Period Fiscal Year lotal
.. Cost Categories Period Amt. Lost inct rrd To Date Costs Cumulative Costs
.. t, abo r
! Materials l
Subcontractor /
Consultant Travel Other (specify)
Common Costs Total .
Remarks: e 5
4 1
(q ' n .y n
. .l 1 NUCLEAR REGULATORY COMMISSION ACQUISITION REGULATION 2009.570 NRC organizational conflicts of interest.
.i
> 62009.570-1 Scope of policy.
(a) It-is the policy of NRC to avoid, eliminate, or neutralize contractor organizational conflicts of interest. The NRC achieves this l' objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including l
those regulated by the NRC) which may give rise to actual or potential conflicts of interest in the eveht of contract award. .
L (b) Contractor conflict of interest determinatforis cannot be made automatically or routinely. The application of sound judgment on virtually a i
l case-by-case basis is necessary if the policy is to be applied to satisfy the
. . overall public interest. It is not possible to prescribe in advaxe a
~
specific method or set of criteria which would ' serve to identify and' re.sd <e !
all of ths. contractor conflict of interest si%ations which might- arise.
However, examples are~provided in these regulatiens to guide application of The ultimate test is as follows: Might the contractor.
[ ..
this policy guidance.if awarded the contract, be placed in a position where its Judgmen l
i biased,-or where it may have an unfair competitive advantage?
The conflict of interest rule contained in this subpart applies to (c) contractors and offerors only. Individuals.or firms who have other
relationships with the-NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply.to the acquisition of
[ with other Government agencies, international organizations,
- l. Separate procedures for avoiding conflicts of
- or foreign-Governments.
i interest will be employed in these agreements, as appropriate.
l K009.570-2 Definitions.
- -As used-in 52009.570
f Affiliates means ousiness concerns which are affiliates of each Der when either directly or indirectly one concern or individual controls cr 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 with the
' NRC except as provided in 12009.570-1(c).
Contractor means any person, fira,- unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates tenereof, 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.
l of a
. Evaluation activities means any effort involving the appraisa technology, process, product, or policy.
Offeror or orospective contractoC means any person, fira, unincorporated association, joint venture, co-sponsor, partnership, corporation, or their 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. .
Oroanizational 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) May diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwise result in a biased work product; or ,
(2) May result in its being given an unfair competitive advantage.
t etential conflict #df interest means that that suggests that an actual conflict of interest may a factual arise from situation asard exists of a The term ootential conf.
+ of interest is used to signify proposed contraqt.
those situations that-
.(1) Merit investigation before contract award to ascertain whether dWard Would give rise to an actual Conflict; or (2) Must 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.
Subcontractor means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for supplies and subcon*racts in amounts not exceeding the small purchase threshold.
Technical consultino and manaaement suooort services means internal assistance to a c w onent of the NRC in the formulation or administration of.
its prograns, project;,, a, pol;cies-which normally require that the contractor be given access to-proprietary information or to information that-has not been made available to the public. These services typically include assistance in the preparation of program plans, preliminary designs, specifications, or
-statements of work.
'l2009.570-3 Criteria for recognizing contractor organizational conflicts of interest.
(a). General.
(1) Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:
(i) AN there conflicting roles which might bias an offeror's or contractor's judgment -in relation to its work for the NRC?
l
, , _ u
(ii) May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?
NRC's ultimate _ determination that organizational conflicts (2) of interest exist will be made in light of common sense and good business While it is difficult to identify end judgment based upon the relevant facts.
to prescribe in advance a specific method for avoiding all of the various situations or relationships that might involve potential organizational confilets of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering of advice, consultation or evaluation activities, or similar activities that directly lay the groundwork for the NRC's decisions on regulatory activities,-future procurements, and research programs. Any work performed at an applicant or licensee site will also be closely scrutinized by the NitC staff.
Sitntions or relationshipl. The following situ-+1ons ~-
(b) ,
relationships rmy give rise e organizational conflicts of intereyt: ,
(1), The offeror or contractor shall disclose information, that
, may give rise to organizational conflicts of interest under the foll circumstances.
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.
Where the offeror or contractor provides advice and (i) recommendations to the NRC in the same technical area where it also providing cortsulting assistance to any organization regulated by the NRC.
(ii)the Where the offeror or contractor provides advice to the NRC on same or similar matter on which it is also providing asristance to any organization regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own prod':t or services, or has been substantially involved in the development os ,aarketing of the products or services of anothei-entity.
(iv) Where the offerer the award of a contract would result in placing or contractor in a conflicting role in which its judgment may be biased'in relation to its work for the NRC, or would result in an unfair competitive advantage for the offeror or contractor. 4 (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.
The contracting officer may request specific information (2) from an offeror or contractor or may require special contract clauses such-as provided in 52009.570-5(b) in the following circumstances:
l (i) Where the offerer or contractor prapares specifications that are to be used in compe'itive procurements of products or services covered by the specifications.
(ii) Where the offeror 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 i information not available to the public concerning NRC plans, policies, or programs that could form the basis for a later procurement action. ,,
(iv) Where the offeror or contractor is granted access to
. < proprietary information of its competitors. ,
(v)
Where the award of a contract might resultiin 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 i
might result in an unfair competitive advantage for the offeror or contractor.
Policy aoolication auidance. The following examples are (c) e illustrative only and are not intended to iaentify and resolve all contractor organizational conflict of interest situations.
(1)
Examol'e'. The ABC Corp., in response to a Request For (1)
Proposal (RFP), proposes to undertake certainThe analyses of a is one ABC Corp.
- reactor component as called for in the RFP.
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.
Guidance. An NRC contract for that particular work (ii) ne cempany normal / woulo not be awardeu to the ABC Corp. because 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 advanced 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 the RFP, Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
Guidance. An NRC contract normally could be awarded (ii) to the ABC Corp. because no conflict of interest exists which
could motivate biks with respect to the work, an apcropriate clause would be included in the contract to trecluje the ABC Corp.
,~ _from subsequently contracting for work with the private sector that c)uld 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) -(t) 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 fira determined 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. Th3 work has and will cover the writing, implementation, and administration of comp,iance respiratory protection programs for nuclear power plags.s -
- - (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-L vitally important in terms of the NRC's responsibilities 'and no reasonable alternative exists, a waiver of the policy, in accordance with 52009.570-9 may.be warranted. Any_ waiver must be fully documented in accordance with the waiver provisions of this
_ policy with-particular attention to the establishment of protective mechani,s.ms to guard against bias. , ,
(4) (i)_ Example. The ABC Corp submits a proposal for a new
- system to evaluate a specific reactor component's perfomance for l the purpose of developing standards that are important to the NRC program. The ABC Corp. has advised-the NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.
(ni uuidance. A coni.ract ct,ald be awarded to th *.BC Corp. 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 to others-to preclude an unfair competitive advantage. When the.
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. ' purther, 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) Examole. The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features
~
l of the Appalachian fold beit. In accordance with the representation in the RFP and 62009.570-3(b)(1)(i), ALC Corp.
informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by.the NRC study.
The contracting officer would normally (ii) Guidance.
conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. Section 2052.209-73(c) idork for Others, would preclude ABC Corp, from accepting work which could create a conflict of interest during the term of the NRC contract. .
(1) LLam,glg AD Division of ABC Corp., in resnonse to a (6) a RFP, submits e.rproposal to assist the NRC in the safety.,and #'
environmental review of applications for licenses for the construction, operation, and dece-issioning of fuel cycle
- facilities. ABC Corp. is divided into two separate and distinct
' divisions, AD and BC. The BC Division performs the same or similar services for industry. The BC Division is currently pro-viding-the same or similar services required under the NRC's contract for an applicant or licensee.
l (ii) Guidance. An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be placed in a position,to.pasLjudgment on work performed by,ti,1e BC '
Division, which could bias its work for NRC. Further, the Conflict of In' erest t provisions apply to ABC Corp. and not to separate or distinct divisions within the company. If.no reasonable alternative exists, a waiver of the policy could be sought in accordance with 52009.570-9.
7(i) EXAMPLE The ABC Corp, completes an analysis for NRC of steam generator tube leaks at one of a utility's-six sites. Three months iater, UC Corp. is asked by this utility to perferm the same analysis at another of its sites.
(ii) M10 MCI 52052.290-73(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.
8(i) EXAMPLE ABC Corp. is assisting NRC in a major on-site analy:is 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.
(ii) GUIDANCE The Contracting Officer, would allow the contractor to proceed with the solicitation because A) it is not in the same technical area as the NRC work and B) the potential for technical bias by the contractor because of financial ties to o
the utility is slight due to the relative value of the two contracts.
9(i) EXAMPLE The ABC Corp is constructingThe a turbine building and contract with the installing new turbines at a reactor site.
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 participate in a major team inspection unrelated to the turDine work 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 judgment of the contractor.
e or .
(d) Other considerations. ,
s
- (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 .a>compet4tive or a sole source basis. . .
,62009.570-4 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. This representation requirement also applies to all modifications for additional effort under the contract except those issued under the " Changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.
(c) The offeror may, because of actual or potential organizational conflicts 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.
l+
(a) General enntract claug." All contracts and small pm n' eses of the types set forth in $2009.570-4(b) must include the clause entitle &,t "Contrar. tor Organizational Conflicts of interest," set forth in 62052.209-73.
- f (b) Other special contract xlauses, if it is determined from the nature of the proposed contract tnat 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 52009.570-9, neutralized through the use of an appropriate special contract clause. If appropriate, the offeror nay 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:" i (1) Hardware exclusion clauses which prohibit the acceptance of production contracts following a related non-production contract previously performed by the centractor;
- Software exclusion clauses; wos which require the contractor (and certain of its-key personnel) tu - c, tain 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 centract award.
The ontracting officer shall , evaluate all' relevant facts submitted by an offeror and other relevant information. -After evaluating this information against the criteria of 52009.570-3, the contracting officer shall make a finding of whether organizational corflicts 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
.s
Award the contract under the waiver provision F 62009.570-9.
(c) 62009.570-7 Conflicts identified after award.
If potential organizational conflicts of interest are identified after award with respect to a particular contractor, and the contracting bfficer 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 clauses required by 52009.570-5, the contracting officer shall take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with $2009.570-9, neutralize the effects of the identified conflict.
52009.570-8 Subcontracts, e The contracting officer shall require offerors and contra. tor,s '.o subrit a representation statement from all subcontractors (other than a supp1F
- subcontractor) and consultants performing earvices in excess of M0,000 in accordance with,92009.570-4(b). The contraccing officer shall require the contractor to include contract clauses in accordance with 52009.570-5 in consultant agreements or subcontracts involving performance of work under a prime contract.
62009.570-9 Waiver.
(a)
The contracting officer determines the need to seek a waiver for specific contract awards, with the advice and concurrence of the program office director and legal ~ couns'elt- 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 that it is in the best interest of the United States to do so.
(b)
Waiver action is strictly 1;mited to thon situations in which:
(1)
The work to be performed under contract is vital to the NRC program.
(2)
The work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest.
(3) Contractual and/or technical review and surveillance methods can be employed by the NRC to neutralize the conflict.
(c) For any waivers, the justification and approval documents must be 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.
U.S. NUCLEAR RECUL A TORY COMMISSIOi+. ' ;
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.luar a 1:ceson .:lf ~lon Date Apprmed: .l u n e ' ' : 041 i Res ised: .luly 9.1995 )
Volume: 3 Information Mana;'ement Part: 1 Pubt; cations Mai. and Information Disclosure Directhe: 1.d UnclassitieJ Contractor i.s ... :ee Publ#" ions in :r.;
~
NURim se es Availability: U.S. Go',ernment Prinung Office, CO2) 512-2404 OFFICE OF ADMINISTRA TION
t Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3,g ,
e
'7MNJ had21Dd37 ESMElfT'NiA357" *iZff7MJ$Q?iME9)M*'v1'c miWJ,%33M37Gh'
V:lume 3, Part 1 - Publications, Mail, and information Disclosure Unclassified Ccntr:ct:r tnd Grantee Publicati:ns in the NUREG Series J
Directive 3,8 Contents-1 Policy.................................................................
1 O bj ec t i ves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Organizational Responsibilities and Delegations of Authority . . . . . . . . . . . . 2 Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Deputy Execise Diractor for Nuclear Reactor Regulation, Regional
- , .- Operations and Research (DEDR) . ., . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . 2 Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations support (DEDS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 O ffi ce Di r e ct o rs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 4
l Director. Offic:: of Administration (ADM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
L Director, Division of Freedom of Information and Publications Se rvi ces, (D FI PS), AD M . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Director, Division of Contracts (DC). ADM . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . 4 Ap plicab ility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 E m pl oye e s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 O the r Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 H an d book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Refe ren ce s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 5 Approved: June 17,1991 ...
m (Revised: July 9,1995)
p . _ _ _ .
E 9j Volume: 3 Information hianagement Part: 1 Publications. hiail, and Information l \' ...../ Disclosure AD.\1 Unclassified Contractor and Grantee '
Publications in the NUREG Series Directive 3.8 Policy (3.8-01)
.e U.S. Nuclear Regulatory Commission policy requires that -the following publicatior.3 p lished by SRC adhere to the documentation and production requirements, standards, and practices specified in this directive and handbook: (1) unclassified NRC contractor, consultant, or grantee formal reports, books, and international agreement reports in the NUREG/CR (contractor reports), NUREG /GR (grant reports), and NUREG/I A (international agreement reports) series;(2) reports and books by contractors of the U.S. Department of Energy (DOE); and (3) publications prepared for NRC under memoranda of understanding and interagency agreements.
' Objectives (3.8-02)
. 'lo ensure the production and dissemination of information and
, ablications as required by the Energy Reorganimtion Act of 1974
. the F :edom of 1...armation Act. (a)
. lb ensure technical staff and management reviews of formal reports and books before publicanon. Cu)
. To ensure that national security, patent rights, copyrights, proprietary rights, and rights in other sensitive unclassified information, including those specified in interagency and international agreements and memoranda of understanding, are not compromised by the release or publication of information by NRC. (c)
Approved: June 17,1991 (Revised: July 9,1995) 1 J
VNume 3, Paht 1 - Publicati:ns, Mtil, and Inform [ tion Disckosure Unclassified Ccntrcet:r cnd Grantee Publications in the NUREG Series .
Directive 3.8 _
Objectives (3.8-02) (continued) e To enowe that all unclassified NRC contractor or grantee publications in the NUREG series carry the registered Government identification NUREG/CR-0000, NUREG/
GR-0000, or NUREG/lA-0000, with the exception of some publications prepared by grantees.and indicate the availability of source material used in these publications. (d)
. To ensure that NRC-sponsored book manuscripts receive proper peer review from experts witlQ and outside NBC. (e)
. To pr$Wde uniform procedures for publishing formal re' ports and ^#
books prepared by NRC cor nctors or grantees. (f)
~
. Organizational Responsibilities and Delegations of Authority (3.8-03)
Executive Director for Operations (EDO)
(031)
Delegates to the Deputy Executive Directors for Operation
. decisionmaking authority for the resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored
, information in the open literature, and about permitting contractors to issue press or other medir nicases concerning NRC-sponsored inf mation.
Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)
(032)
As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, the Office of Nuclear Regulatory Research, and regional offices:
. When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a)
Approved: June 17,1991 2 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and information Disclosure
. Unclassified Contracter and Grcntee Publications in the NUREG Series Directive 3.8 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)
(032)(continued)
- When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open hterature. (b)
- When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)
Deputy Executive Dirutor for Nuclear Materials Safety, Safeguards, < ' - a and Operations Support (DEDS)
(033)
As delegated from the EDO, makes final decisions in the following areas for the offices reporting to the DEDS:
. When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a) e When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open
, literature. (b) e When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored -
publication. (c)
Office Directors (034)
. Ensu*.e that p .olications will be reviewed in draft for acceptability before final printing and distribution by determining that they are cc nsiste nt wth agency policy, management decisions, and that they rt.ise no significant legal issues. (a) e Ensure that statements of work on contracts
- include a requirement that contractors comply with this directive and handbook and with Government Printing and Binding
' Regulations. (b)
. '"Coetract"in dus context encompasses the " standard Order for doe Wort"(NRC Form 173), interagency ard international agreemenis, and grants.
Approved: June 17,1991 (Revised: July 9,1995) 3 1
i
- V:lume 3, Pcrt 1 - Publicati:ns, Mail, and Information Disclosure Unclassified Contractor and Grantee Publimtions in the NUREG Series l - Directive 3.8 L
i Office Directors (034)(continued)
. Sign, or delegate signature authority for, the NRC Form 426A,
" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"(Exhibit-1 of Handbook 3.8),
and for memoranda requesting reprints of contractor publications. (c)
Director, Office of Administration (ADM)
-(035)
As delegated from the DEDS, administers NRC's progpms and ' '
policies for publishir; tiin.lassified contrac r and granice reports and books in the NUREG serks.
Director, Division of Freedom of Information and Publications 1 Senices, (DFIPS), ADM (036) e Develops and administers, as delegated from the Director, ADM, NRC's program and policies for publishing unclassified '
contractor, consultant, and grantee formal reports, books, and international agreement reports in the NUREG/CR,
. NUREG/GR, and NUREG/IA series. (a) e Applies the policy, procedures, standards, and guides for the documentation, formatting, composition, printing,- and
, dissemination of NRC-sponsored publications in~the NUREG
- . cies consistent with the mission of the agency and in accordance "ith 'he requirements of he Government Printing and ES'.ing Regulations issued by the Joint Commito:e on Printing, U.S.
Congress. (b) e Develops and administers the central- agency publication numbering system for identifying, producing, and retrieving unclassified -NRC-sponsored publications in the NUREG series. (c)
Director, Division of Contracts (DC), ADM -
(037)
Ensures that those requests for proposals, invitations for bids, and .
grant proposals, and the ensuir:g contracts and grants that require Approved: June 17,1991 '
4 (Revised: July 9,1995)
Volume 3, Itrl 1 - Public-tions, Mail, and inf ormation Disclosure Occhssified Contract:r amt Grcatee Publications in the NUREG Series >
Directive 3.8 Director, Division of Contrac's (DC), ADM (037)(continued) publications as deliverable; include prosisjons requiring that contractv.., s oi.,p;f wide this directive and handboo< and with Government Printing and 13inding Pegulations.
Aprilcability (3.8-04)
Emplayces (041) l All NRC employees shall follow the policy and guidanci speutied in this directive and handboot-
. Other Publications (042)
The provisions of this directive and handbook do not app', NRC stati publications in the NUREG series, NRC docket material, or documents created by NRC boards, panels, advisory committecs, or offices that report to the Commission.
IIandbook
-(3.8-05) llandbook. 3.8 gives detailed guidelines for preparing unclassified contractor and grantee publications in the NUREO series.
References (3.8-06)
A Manual of Style, University of Chicago Press.
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
" Copyrights," Title 17 United Stores Code.
" Cost Principles for Stan and Local Governments," OMB Circular A-87, Office of Management and Budget, January 1981.
Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 et seq.).
Approved: June 17,1991 (Revised: July 9,1995) 5 a
Volane 3, Part 1 - Publications, htil, cnd informati:n Disclosure Unclassified Contractor and Grcntee Public ti:ns in the NUREG Series '. ,
Direative 3.8_
References (3.8-06)(continued)
- Federal Grant and Cooperative Agreement Act." Pub. L 95-224, February 3,1978.
"Fedaal Regulation Requirements /' Executive Order 12291, February 17,1981 (5 U.S.C. 5601 Note).
Freedom of Information Act (5 U.S.C. 552)._ l Governrn.?nt Printing and Binding Regulations, Pub. L 101-9,
, Februarg990. ,
" Grants and Agreements With Institutiom of liigher Education, r
llospita.'s. and Other Nonprold -Organizations," OMB Circular
, A-110, Office of Management and Budget, July 1976.
Memorandum of Understano ng Between the Department of Energy and the U.S. Nuclear Regulatory Commission, February 24,1978.
Memorandum of Agreement Between the Institute of Nuclear Power Operations and the U.S. Nuclear Regulatory Commission, dated September 17,1993.
NRC Management Directive 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Tbchnical Subjects."
- 3,11, " Conferences and Conference Ptoce %gs."
- 12.2, "NRC Classified Information Security Frogram."
12.6, "NRC Sensitive Unclassified Infonnation Security Prognm."
NUREG-0650, Revision 1. " Publishing Documents in the NUREG -
Series," November 1990.
L NUREG/BR-0075, Revision 2, "NRC Field Policy Manual," Field Policy Manual No. 9, dated March 22,1993.
"Public Printing and Documents," Title 44, Chapter 3, Government Printing Office, Untred States Code.-
7 U.S. Government Printing Office Style Manual,1984.
Approved: June 17,1991
-6 (Revised: July 9,1995)
4 Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3, g ,
S 9
e
- '- . N
\olutne 4, Part 1 - Publications, Mail, and informattua consciv3ure
, Unclassified Ccntrccior nnd Grcntee Publicati:ns in the NUREG Series llandbook 3.8 Pcrts 1 - V!
Contenis Part I i n t rod u c t io n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Part II Preparing Publication Requirements for Statements of Work for Co n t ra c t s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Specifung Publicatio . Requirements (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 2 Publishing Formal Reports (D) . . . . . *.7. . . . . . . . . . . . . . . . . . . . . . . . . ; . . . *. . . . . . . 2 i
Publishing Unclassified Information in (Fe Open Literature and Presenting Pa p e r s (C ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , 4 Reports Containing Sensitive Unclassified and Classified Information (D) . . . . . . . 6 Conference and Workshop Proceedings (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Distribution of Reports to Contractors (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Coordinating Contractor Press or Other hiedia Releases of Information (G) . . . . 7 Part III Draft and Final NUREG Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Identification Information (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 NUREG Number (1) . . . . . . . . . . . . . . . . . . . . . . . . . .................. 8 duth ors' N ames (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8. .
Organizationa adentification (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Previcus Rep . cts ... Se ries (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Report Da t es (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Report Organization and Components (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Pre-Publication Reviews (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Pat e nt Revi ew (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 S ecu rity Review (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Copyri ght Review (3 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Color Printing (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 -
M i cr o fi che (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Disclai m e rs (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Approved: June 17,1991 ...
(Revised:- July 9,1995) 111
Vol:me 3, Itri 1 - Publications, htil, cod Information Disclosure Unclassified Contract:r cnd Grantee Publiccti':ns in the NUREG Series II ndbook 3,8 Parts 1 - VI ,,
]
Contents (continued)
Part lll (continued)
Availa bility Informa tion (0 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Reference M aterial (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Re po r ts (2 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Fo rms ( H ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Dibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . 14 Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . 14 Printing and Reprinting (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .~ 15
- 15 Di st ri b u t io n (J ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Part IV International Agreement Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Identification Information (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Cove r a n d Titl e Pa ge ( 1 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 N RC Re po rt N u m be r (2 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Previous Reports in Series (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Report Organization and Components (C) . . . . . . . . . . . . , . . . . . . . . . . . . . . . . . . . 17 Availability Information (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 References and Bibliographies (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Reportn (.1) . . . . . ............................................. 13 Discl ai m e r (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Fo rm s (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . 19 Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Fmm 426A) (2) . . . . . . . . . . . . . . 19 Classifica or Senskive Unclassified Infonnation (G) . . . . . . . . . . . . . . . . . . . . . . . . . 19 Approved: June 17,1991 iv (Revised: July 9,1995)
solunie 3, ran t 1 - rutnications, man, .uiu nuunnation ui3uu3uie Uncl:ssified Contractor cnd Grcntee l'ublic-tions in the NUREG Series llandbook 3.8 Parts 1 - VI Contents (continued)
Part V 11ooks................................................................. 20 G e n e ra l ( A ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 D e fi n i t i o n ( B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Fo rm a t ( C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 NRC Docu m e n t Numbe r (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Availability of Reference Matuials (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 l- R e vi e ws ( F) . . . . . . . . .T . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . '.' . . . . 22 .
,. Pe e r ( 1 ) . . . . . . . . . . . . . . . . . . . . ... . . ................ ........ 22 Copyri g h t (2 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 S e cu r i ty (3 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 I Pa t e n t ( 4 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Publishing Authorization Form (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Discl aime rs (11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 P ri n ti n g (l ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
(
Distribu tion and Sales (J ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
'Part VI G ran t P ublication s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Ba ckground and Ra tionale ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication of Results (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Publication by NRC (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by a G rantee (2)' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by a Grantee in the Open l_iterature (3) . . . . . . . . . . . . . . . . . . . . 25 Reprints of Open Uteratute Publications (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Identification Iriormation (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Pre-Publication Reviews (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 G l o s s a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Approved: June 17,1991 (Revised: July 9,1995) v
Vctrine 3, Pcrt 1 - Publications, M:ll, cnd int'ormation Disclosure Unclassified Contractor cnd Grcntee Publications in the NUREG Series . .
H ndhk 3.8 Parts I - VI Contents (continued)
Exhibits
- 1. NRC Form 426A. " Release to Publish Unclassified NRC Contractor, Consultant or Conference Proceedings Reports" . . . . . . . . . . . . . . . . . . . . . . . . 32
- 2. NRC Fonn 335, " Bibliographic Data Sheet" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
- 3. Microfiche Sheet Sample . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
.. ae . .- .
l l
Approved: June 17,1991 VI (Revised: July 9,1995)
Voluine 3a Part 1 - l'ublications, Mail, and Information D!sclosure Unclassified Contractor and Grante l'ublications in the NUREG Series ;
llandbook 3.8 Part 1 Part I Introduction This handbook specifies the procedures that the Nuclear Regulatory Cc.amission (NRC) contractors and grantees need to frHow when
- .. - preparing the following publications for the NRC: U'"
. Final NUREG rept rts J.i e International agreement reports (2) e Books (3) e Grant publications (4)
The handbook is disided into six major parts and includes a glossary and exhibits. Part 11 prosides general information for staff consideration in preparing statements of work. Parts III, IV, V, and VI
. proside publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications (B)
Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a n ervtment of Ft.,:rgy I,r'OE) facility or subcontractor. "":S as a national laboratory, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations. (C)
This directive and handbook, as well as a copy of " Publishing Documents in me NUREG Series" (NUREG-0650, Revision 1), must be included or referenced in all contracts, interagency and international agreements, and grants for which the publications previously listed are contract deliverables or grant obligations. In addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the ;ipplicable guidelines outlined in Part II. (D)
Approved: June 17,1991 (Revised: July 9,1995) I s
, _ , , , ~ . .s - _ _ , ,
V:lume 3, Part 1 - Publications, Mill, cnd Information Disclosure Unclassified Contrcetor cnd Grcntee Pubhutions in the NUREG Series llandbook 3,8 Part 11 Part II Preparing Publication Requirements for Statements of Work for Contracts -
., Specifying Publication RequiremerM (A) l .,
l.ist and describe the type of technical repons required from each l project, task, or subtask, as applicable. State when, how many, and to whom the reports should be submitted and the scope of information they should contain. These reports may be unclassified, sensitive unclassiFed, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to Management Directive (MD) 12.2, "NRC Classified Information Security Program," and MD 12.6, "NRC Sensitive Unclassified Information i
Security Program." (1)
Tids directive and handbook penain tc, publications that will be issued in the NUREG/CR, NUREG/IA, and NUREG/GR series. (2)
Publishinkg Forir.al Reports (n)
NUReu series reports wih be printea and distributed by NRC trom camera-ready copy submitted by the contractor to the Publications Branch, Mailstop T-6 E7, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the organization and format of formal reports are specified in " Publishing Documents in the NUREG Seties" (NUREG-0650, Revision 1). (1)
When the report contains sensitive unclassified or classified information, tha contractor must comply with MD 12.2. (2)
Approved: June 17,1991 2 (Revised: July 9,1995)
Volutne 3, Part 1 - Pubhcations, Alail, and information lusclosure Unclassified Contractor and Grcntee Public:tions in the NUREG Series Ilandbook 3,8 Part 11 Piiblishing Formal Reports (n)(continued)
If a draft is desired before completing a final report, specify in the statement of work (SOW) the due date for delivering the final camera-ready copy after receiving comments from NRC staff or participants (if applicable) on the draft. State that all draf r material be submitted to the cognizant NRC contact. (3)
When the contractor is to submit draft material for comment before preparing the final report, state that the contractor will be asked to make changes if there are comments from NRC staff or participants, if l agreement on the changes is reached, the NRC contac' v,ill authorize the contractor to prepare the final copy and s '.mit .. the NRC contacifit is a letter report or input to a Safety Evaluation Report or. e-l an Emironmental Statement, or to the Director, Division of Freedom of Information anu Pubhc .iuns Services (DFIPS) if it is a i "
camera-ready copy for printing and distribution. This procedure will l
ensure proper publication, handling, distribution and, among other things, preclude further changes that might nullify the agreement. (4)
If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany the NRC Form 426A (Exhibit U for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS. (5)
If agreement on changes to a fonnal technical report to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer requir:d on all contractor formal reports (see Section (F), Part IH of this handbook), any caveats deemed necessary
.a cover NRC objectims. These cweats may range from The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. (6)
If NRC objections cannot be covered in this manner, NRC can refuse to publish the report. in the case of DOE / national laboratory reps rts, the DOE Operations Office Manager responsible for the laboratory should be informed by the NRC office directcr or regjonal administrator of the decision and the reasons therefor. A copy of the decision should be sent to the laboratory director, In the etse of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the Approved: June 17,1991 (Revised: July 9,1995) 3
V:lume 3, Pcrt 1 - Publications, M:ll, cnd Information Disclosure
' Unclassified Ccntrcet:r and Grantee Publications in the NUREG Series liandbook 3.8 Part 11 Publishing Formal Reports (n)(continued)
NRC contracting officer. The contractor is then free to publish the report without identifying NRC as the funding sponsor of the report and without the NRC disclaimer Decisions by the office director or designee may be appealed to the appropriate Deputy Executive Director for Operations. (7)
Publishing Unclassified Information in the Open Literature and Presenting Papers (C)
Sr :ifv whether the contractor's principal investigator is permi'ted to
, publish in tng.open literature instead of submitting a final report ,
and/or to present papers at public or association meetings during the
,, course of the work. If this arrangement is authorized, add the following statement to the SOW-(1)
The principal investigator may publish the results of this work in the open literature instead of subenitting a final report or may present papers at public or association meetings at interim stages of the work. _. , , ,
if the NRC contact wants to review the paper or journal article before presentation or submission for publication, so state in the SOW, as follows: (2)
The principal lavestigat$r sah pektbe'MNMwmi k
'the open literature insiend st! submitting a final suport eiyp.sy;
. present papens atlpobu'lis;*Mda=*meetlaysjatiinteirim e
i stages of the wat if she 'articer',siier has been swiewed by the NRC contact in'drap form and'agreennent has bess'stache j mi the con'.: .t.t _% _ .l;u i _ Jad . w .~
If agreement is not reached, NRC may also require that the paper include in addition to the standard statement " Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections,if NRC objections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers. (3)
In the latter case, NRC will inform the contractor of the decision, as previously stated. The contractor is then free to publish without identifying NRC as the funding spensor of the information. Decisions by office directors or designees may be appealed to the appropriate NRC Deputy Executive Director for Operations. (4)
Approved: June 17,1991 4 (Revised: July 9,1995)
V:lume 3, Pcrt 1 - Publications, M:ll, nnd information Disclosuie Unclassified Ccntractor and Grcntee Publications in the NUREG Series llandbook 3.8 Part 11 Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(continueA If the contractor proposes to publish m the open literature or present the infonnation at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation should be obtained from NRC. NRC shall approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. in any event, NRC may disapprove or delaypresentation of papers on information that is subject to the Commission's approval thr has not been ruled epon or that has been disapprovH (5)
If the contractor req'uests permission to publish in the open literature even though the contra':t does not explicitly provide for this type of publication, the contract can be modified to provide for such
. presentations. (6)
When the contractor submits journal articles for publication, each must be accompanied by the following statement:(7)
The submittal manuscript has been authored by a contractor of the U.S. Government umler Contract' No. : *
. Accordingly, the U.S.' Government!has ~ainonexclusive, royalty-frw license to publish or repaiduce'the publish'ed form of this contribution, or
, .auow others to do sei fer,U.S.T.evernment purposes.-
All published papers and articles must include the following disclaimer:(8)
This report wa$ 1[repared' as k$ accinunt of$d spor.sdred by anger cy of the Unit d States Government.Neither t! i %ted States <Govermuent nor any agency th6reof, nor anEof their employees," makis any) warrantyn enjressed #or?laspliedfor
> : assumes 'anytlegal: Habilitylior responsibility:fori anyi third lparty'si usciof thi;stsiunts ofJsschiuse? offany informaatioit;
' apparatins," pr6dects or process' disclosed iin ! this' nport,, or peeldinstisuljcinge reprisents privatelfownedthat its use by sucli thi($M,d'thisyWpiiiirenot
' rights.Theiiews~expressedi necessarily those er the U.S! Ndeleiuiriteiiiladeirj rhiml&#nn,. .
- mw ~ w . . u = n- w :eww
'For DOE work orders, the appropnate job code number a appbcable.
Approved: June 17,1991 (Revind: July 9,1995) 5 s
V:lutne 3, Part 1 - Publications, Mall, and Information Disclosure Uncl:ssified Contract:r and Grantee Publi~itions in the NUltEG Series llandbook 3.8 Part II Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(co nuedl if the contractor is requested by the journal or other publisher to transfer the copyright, the centract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows: (9) .
Dear (Copyright Holder's Name):
We ncently received a document for signature asd ening
, copyright and republication rights in the submitted"artP!e (title) to (name of publication). This ) cater as offered in lieu of
, the document as a mto. of corapinting the transfer of ownership. Accordingly, we hereby expressly transfer and assign our rights of mvnership in du: attive-cited work to I
(name of publisher).
You nre advised, however, that the above assignment and any
' publication or republication of the above. cited work is subject to the following Government rights:
The submlued manuscript has bee 6 authored by a contractor of the U.S. Government under Contract No. .
Accontingly, the U.S. Government- has a ncnexclusive, royalty. free license to publish or reproduce the published form of this contribution, or allow others to do so, for U.s.
Government purposet. ,_
f t: 'Sincerelyv If NRC approves open literature publication and page charges and travel costs are required for the presentation of papers, see MD 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects." (10)
Reports Containing Sensitive Unclassified and Classified information (o)
Examples of the proper marking of reports designated Official Use Only, Limited Official Use, Proprietary Information, Safeguards Information, and classified (CONFIDENTIAL. SECRET, and TOP SECRET) are specified in MD 12.2.
Approved: June 17,1991 6 (Revised: July 9,1995)
nocuine J, Fai6 o - c'usuuniuia, ai.ui, ouu unoouauun v..n.uw.*
Unclassified Centrcctor and Grcntee Publications in the NUREG Series llandbook 3.S Part 11 Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC sponsoredorcosponseredmeetings, conferences,andsyrnposia, see MD 3.11. " Conferences and Conference Proceedings."
Distribution of Reports to Contractors (F)
Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR, and NUREC!!A reports will be bulk shipped to the contractor by NRC. (The Joint Committee on Printing's Government Printing and Binding Regidations permit contractors to receive free of charge up to 50 copies of reports they have produced for Npr')1r few-r than 50 l
. copie:xre needed, indicate the desired quantity on NRC Form 426n,,
I (Exhibit 1). Contractors requesting single copies for specifit l
. individuals in orgar.izations v :o than the contractor's organization who are not included in the distribution requested by the NRC contact l
l may address such a request, ,vith written jmtification, to the NRC contact. If the additional distributien is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Publications Branch, DFIPS, USNRC, . Washington, DC 20555-0001, and that distribution will be made along with the standard distribution.
Coordinating Contractor Press or Other Media Releases of Information (G)
A contractor may request permission to issue a press or other media
. release on the work being done. That request must be made to the NRC office director or designee, who will consult with the staff of the Office & Public Affairs.The contractor must not issue a press release ou m wtin- inform:.tior. without 'his ptior approval ' nis approv'l may be obtained by a telephone call to the office director or designee to expedite the request. The contractor may appeal decisions not to authorize the release of information or delays in handling the request to the appropriate Deputy Executive Director for Operations.
Approved: June 17,1991 (Revised: July 9,1995) 7
V:lume 3, Part 1 - Public-ti:ns, M:ll, cnd Inform: tion Disclosure Unclassified Contrcct:r nnd Grcntee Publ. cations in the NUIEG Series llandbook 3.8 Part til _,
Part III Draft and Final NUREG Reports Identification Information (A)
, NUREG Num)er (1) , , ,
Each contractor report published by NRL must be identified by a unique alphanumeric Jeaigna. ion controlled and maintained by the Disision of Freedom of Information and Publications Services (DFIPS). To obtain an NRC report number, call the Publications 13 ranch, DFIPS, at (30l) 415-7008. (a)
The NRC identification numbers will have one of the following forms: (b) e NUREG/CR-0000 e NUREG/GR-0000
- NUREG/lA-0000 CR indicates contractor report, GR indicates grant report, and IA indicates international agreement report. The contractor report r'mmer, if any, will be placed below the NUREG number on the title page and cus :r. (c)
, When a report consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear immediately below the NRC report number and the contractor's report number, if any. (d)
Authors' Names (2)
Authors' names must appear on the report cover and title page, unless placing them there is impractical, as for an annual report having many contributors. Editors or compilers with subject area expertise may also be identified as such on the cover and title page. The authors' Approved: June 17,1991 8 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mril, and informa.lon IMsclosure Unclassified Contrcetor cnd Grcntee Public:tions in the NUREG Series II ndbook 3.8 Part 111_
Identification Infortnation (A)(continued)
Authors' Names (2)(continued) affiliation "aed not be liued unless it differs from the organization creating the report.
Organizational identification (3)
The Publications Branch DFIPS, prepares the covers and title pages for all reports and will list information about the organization that created the report as it is provided.
Previous Reports in Series (4)
.' If the report being prepared is one in an ongoing serie- Mst all presious reports in the series. Include report numbers andissuance dates. Place
.' this list on the back of ue atle page. lf this list cannot be placed on a single page, place the pages at the end of the front matter rather than l on the back of the title page.
Report Dates (5)
The report dates are shown o') the title page. These dates include the month and year the report is completed and the month and year it is published.
Report Organization and Components (B)
The organization and components of contractor reports vary, depending on their purpose and scope. Recommended format and
, organizational guidelines appear in "P.blishing Documents in the NUREG Series"(NUREG-06'" Revision 1). (1)
Each draft and final : . port rrepared for NRC must include an absti.:t of .vu words or less that appears on a separate page preceumg the table of contents.The abstract also must appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). Instructions for completing NRC Form 335 appear on the oack of the form. Guidelines on the special writing requirements for preparing abstracts appear in Section 5.5 of NUREG-0650, Revision 1. (2)
Pre-Publication Reviews (C)'
Patent Review (1)
Patent implications must be considered before approval of reports for public release so that disclosure will not adversely affect the patent Approved: June 17,1991 (Revised: July 9,1995) 9 i j
V:lume 3, Part 1 - Pnblicati:ns, M:ll, cnd Infornttion Disclosure Unclassified Contract:r cnd Grcntee Public-tions in the NUREG Series llat. ibook 3.8 Part 111 Pre-Publication Reviews (C)(continued)
Patent Review (1)(continued) rights of NRC or the contractor. If the work being reported is contractually managed through another Government agency (e.g.,
DOE national laboratories), the contractor should request that Government agency to perform the patent review. The result of the review must be reported on NRC Form 426A under item 8 (see Exhibit 1). (a) l If NRC directly administers the contract, or the contractor it unable to obtain a paten: clearance from the Government agencys ..dni"ering
. the contract, the respor.sible NRC contracting officer 'musobe
, consulted, and the responsible NRC technical contact shall consider l .
the patent implications, if eae sepit does not require a patent review l -
because the report does not cor,tain any description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Form 426A in the space for the Patent Counsel's signature. If a possibility exists that developments of an inventive nature are disclosed, the contracting officer shall request assistance from the NRC Assistant General Counsel for Administration, Office of the General Counsel, on (301) 415-1553. (b)
Security Review (2)
. If a report of sensitive unclassified or classified work is required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer.'I ne standards for marking and' handling these reports are given in h gement Directive (MD) 12.2, "NRC Classified Information Security Program."
Copyright Review (3)
Copyrighted material mus' t:ot appear in NRC-sponsored publications without written permission from the copyright holder.
See Section 3.4 of NUREG-0650, Revision 1, for information about ob6aining copyright pennission.
Color Prh. ting (D)
Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " demonstrably valuable multicolor printing" includes the following categories: (1)
Approved: June 17,1991 10 (Revised: July 9,1995)
V:lume 3, Pcrt 1 - Publications, M:ll, and information Disclosure Uncl:ssified Centractor and Grantee Public:tions in the NUREG Series linndbook 3.8 Part til Color Printing (o)(continued)
- Maps and technical diagrams for which additional color is necessary for clarity. (a)
- Object identification (medical specimens. diseases, plants, flags.
uniforms, etc.). (b)
- Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)
- Areas wherein clearly identifiable savings it' costa ce be soundly
, yrdicated on m ilticolor use. (d) .
, ,c
- Printing for programs i. uired by law, whose relative success or failure is in direct ratio to the degree of public response, and for which that response can be logically attributable to the number of colors planned and the mantier in which they are proposed to be used. (e)
- Color for promotional or motivational purposes, such as programs concerning public health, safety, and consumer benefits, or to encourage utilization of Government facilities, such as programs for Social Security, Medicare, and certain areas of need for veterans. (f)
The regulations indicate that the following categories do not meet the
" demonstrable value" criteria: (2)
- Printed items wherein additional color is used primarily for decorative effect. (a)
- Printed items for which additional co'or is used primarily in lieu of effective layout and design. (b)
- Printed items for which additional color is used excessively, that is, four colors when two or three will fulfill the need, three colors when two are adequate, two colors when one is adequate. (c)
- Printed items wherein the inclusion of multicolor does not reflect careful, competent advance planning that recognizes the contribution that the use of color is expected to make to the ultimate end-purpose. (o)
Approved: June 17,1991 (Revised: July 9, .1995) 11
Wlume 3, Part 1 - Publications, hiail, cnd Inf:rmition Disclosure Unclassified Contrcct:r cnd Grcntee Pnblications in the NUREG Series llandbook 3.8 Part III Color Printing (D)(continued) i If color print ngis anticipated when the statement of work or standard order for DOE work is being prepared, contact the P"$ " cations llranch, l'FIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared submit a written justification for its use to the Director of DFIPS. 3)
Microfiche (E) l NRC contractors and DOE laboratories submitting microfiche with reports mus: submit a hard copy of each microfiche, melucte neaders , ,
c.n each micr(Sche as shown in Exhibit 3, and conform to the following NRC specifications.'
Microfiche mus: conform to either the 24/98 format for source documents with 14 Lolumns and 7 rows (reduction ratio of 1 to 24) or the 48/270 format for computer output microfilm with 18 l
columns and 15 rows (reduction ratio of 1 to 48). (1)
. The microfiche r.heet must be standard 105 mm by 148 mm. (2)
. The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3)
. The microfiche must contain headers as shown in the sarnple in Exhibit 3. Specifically, the first block of the header must contain the NUREG number (include volume or revision,if applicable),
. the contr etor identification number, and the classification (e.g.,
unclassified, proprietary). The second block must co ain the description of the microfiche and may include the contrr.: tor's r.ame. TSc third bluel mu; contain the publication da and the sheet identification. (4)
. The header information must be eye readable on a clear background. (5)
. A foldaut page must be microfilmed in sections if the page is too large to be microfilmed in a double frame No less than 25-mm overlap of original material is acceptable. (6)
An r N tMt in, te 's p Nfch . 1 MSS-1985." Comes of tha standard are avadable imm the Amencan Nauonal standards Ireutute, ATIN. sales Department 11 West 42nd street,13th noor, New York, NY 10036 (212) 642-4900, or trorn the Associatxm for Informauon and image Management.
ATrN: Pubhcauons secuon,1100 Wayne Avenue, sdver spnng. MD 20910 (301) s8i-8202.
Approved: June 17,1991 12 (Revised: July 9,1995)
V:lume 3, l' art 1 - l'ublications, Mall, and Information Disclosere Unclassified Ccntractor and Grantee l'uhlications in the NUltEG Serlec llandimok 3.8 l' art til Microfictie (E)(coniinued) e The first frame must be blank (on the first sheet only), and the second frame must contain the National Institute of Standards and Technology's (NIST's) Reference hiaterial resolution target in hiicrocopy Test Charts (NDS SRhi 1010A). (7) e Jacketed microfiche is unacceptable. (8)
Disclaimers (F)
The following notice will be added by the Publications Branch. DFIPS.
be.'Jre the printing procus on the inside front cove :(1) 4 . .
This report was prepared as an account of work sponsored by
- an agency of the Unikd States Government. Neither the United States Government rear any agency thereof, nor any of their employees, makes any warranty, expressed or implied, or nssumes any legal liabi!ity or responsibility for any third party's use, or the results of such use, of any infonnation, npparatus, product, or process disclosed in this report, or represents that its use by such third ' party would not infringe privately owned rights.
The branch will print the additional statement, "The views expressed 4
in this report are not necessarily those of the U.S. Nuclear Regulatory Commission," below the standard disclaimer, if appropriate. Other
, qualifying statements may be added, if 1. ceded. (2)
Availability Inf_rmation (G)
Reference h1aterial(1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government i Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be made to personal communications and interviews, unpublished information and infonnation with restricted distribution (e.g.,
proprietary, National Security, and Official Use Only). If the unretrievable information is important and unrestricted, quote it in Approved: June 17,1991 (Revised: July 9,1995) . 13
Volume 3, Pcrt 1 - Publications, M ll, cnd Information Disclosure Unclassified Contractor cnd Grcntee PublicYlons in the NUREG Series llandbook 3.8 Part lil Availability Information (G)(continued)
Reference Material (1)(continued) the text or in footnotes. Proside any credit due to indisidualsin the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although
- references, proprietary listing reports or identification inay not be of proprietary included reports may bein a list of included in an appendix or in a separate listing following the reference section titled " Proprietary Sources of Information."(b)
In addition, reterence to Institute of Nuclear Power Opgauons (INPO) documents may not be rnade without prior approval frbrn INPO. Approval to reference WM documents must be stated on the NRC Form 426A. (c) l Guidelines for developing and presenting reference material are prmided in NUREG-0650, Revision 1. (d)
Reports (2)
Most final reports are sold by GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Publications Branch staff before the report is printed. (a) l Draft reports for which comments are requested are typically announced in the Federal Register as being available from the NRC.
These reports aie not sold at GPO or at NTIS. (b)
Forms (11) -
Bibliogtaphic Data Sheet (NRC Form 335)(1)
All pubasned NRC reports must include an NRC Form 335 as the tinal right-hand page of the manuscript. Instructions for completing the NRC Form 335 appear on the back of the form. A completed NRC Fonn 335 must be subnutted to the Technical Publications Section.
DFIPS, with the camera ready copy of the report. Exhibit 2 shows a completed NRC Form 335.
Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Fonn 426A) (2)
The NRC contact must submit a completed NRC Form 426A (see Exhibit 1) with the camera-ready copy of the report to the Technical ~
Publications Section, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate office director.
Approved: June 17,1991 4
(Revised: July 9,1995)
, ~ ~<
Yolume 3, Part 1 - Publications, Mall, and Infortnation Disclosure Uncl:ssified Contrcetor cnd Grcntee Publications in the NUREG Series
', llandbook 3._8 Part til Printing and Reprinting 0)
The Publications Branch, DFIPS, will review the carnera ready.eport submitted for printing for its a:lherence to the star" .Js and requirements set forth in this directive and handbook, as well as any relevant guidelines from NUREG 0650, Resision 1. Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action. (1)
Submit a memorandum requesting a reprint to the Director, DFIPS, or designee, for approval. Include with the request a written justification and the approval of the office director (,. designee for reprinth.g. Also provide address labels for reopients ,not on NRC ,
stand'id distribution lists. (2) l Distribution g)
The Publications Branch, DFIPS, will arrange distribution for all copics of unclassified tormal contractor reports in accordance with instructions on NRC Form 426A(Exhibh D. The Publications Branch will also arrange automatic distributica # these reports to NRC NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Federal Depository Library Program. (1)
Sensitive unclassified and classified reports will be distributed by the
. NRC sponsoring office on a case by-case basis. (2)
Approved: June 17,1991 (Revised: July 9,1995) 15
.=. . _ . . ._ . .-
l V:lume 3, Part 1 - Publicctions, Mail, cnd information Disclosure ,
Uncit esified Contrccior cnd Grantee Publi*;ations in the 'UltEG Series !
Ilandbook 3.8 Part IV Part IV International Agreement Reports Background and Rationale (A)
.. NRC has cocretative nuc! car safMy research programs th!it involve ~
- either or both forcirn governments and organizations and U.S.
.. industry. These prograins include rnonetary contributions, infortnation exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end.
international and U.S. industry agreements have been signee that provide for transmitting unclassified technical information hom foreign participants to NRC. These procedures apply only to NRC-managed work. (1)
The interests of all NRC internationai nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC. (2)
Identification Information (n)
Cover r .1 Title Page (1)
The cover ano title page will contam a title, a subtitle (if appropriate),
the names of the authors, the performing organization, and the NRC office sponsoring the project. The cover and title page will be prepared by the Publications Branch, Division of Freedom of Information and Publications Services (DFIPS).
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized document control system for unique identification is maintained by DFIPS Numbers may be obtained by calling the Publications Branch at (301) 415-7008. (a)
Approved: June 17,1991 16 (Redsed: July 9,1995)
Unclassified Centrccior and Grcntee Publicdions in the NUREG Series l Handbook 3,8 Part ly.
i
! Identification Information (n)(continued)
- NRC Report Number (2)(continued) \'
! The NRC identification number will have the form i
"NUREG/lA-000," where lA indicates " international agreer;.ent." ,
jL The foreign participant's report number,if any, may be inserted below !
the NUREG number on the cover,if desired. (b) l When a report consists of more than one volumc or binding or is issued I in more than one edition, include an appropriate volume, number, i
- supplement, part, addendum, or revision designation below the report number and the foreign participant's report number,if any. (c)
~
_1 P9vious Reports in Serter (3) l' t
~ '
If the report being preparedis one in an ongoing sert.Jitt all previous reports in the senes. Include report numbers and issuance dates. Place
- this list on the back of.the title page. !! this list cannot be placed on a single page, place the pages at the end of the front matter rather than
{ ,
' on the back of the title page.
Report Organization and Components (c) .
The organization and components of cooperative agreement reports vary somewhat, depending on their purpose and scope. Each of these ,
reports must inclurle an abstract of 200 words or less that appears on a 2 separate page bc , e the table of contents, The abst'ract must also [
appear on the "Bibnographic Data Sheet," NRC Form 335 (Exhibit 2).
Instructions for compiering NRC Form 335 appear on the back of the form (Exhibit 2). Guidance on the special writing requirements for ,
f preparing abstracts appears in SectHn 5.5 of NUREG-0650, Revision 1.
L Availability Information (o:
References and Bibliographies (1) >
Reports or other d. iments referenced in text, reference sections, i bibliographies, and- 2ppendixes of unclassified regulatory and i
technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the Nationalibchnical Information Service (NTIS), or 6t other reference or sales outlets) or in the NRC Public 4 , Document Room. 'nds means that references should not be made to personal communications, interviews, and unpublished information with restricted distribution (e.g., proprietary, National Security, ,
Official Use Only),if the unretrievable mformation is important and n
1
~ '
Approved: June 17,1991 (Revised: July 9,1995) 17
~
i
, ,_ _ __.--- - . u m. _ _ ~ _ _ _ _ . . _ , , ,.- . . . _ . _ . _ . _ _ . _ _ . _ _ _ . . _ , _ . . _ _
V:lume 3, Itri 1 - Publications, Mill, and Inform tion Disclosure Uncl:ssified Contrcctor end Grantee Publications in the NUllEG Series Handlux>k 3.8 Part IV Availability liiformatiori (n)(continued)
References and Illbilographies (1) (continued) unrattricted, it can be quoted in the text, in footnotee or in appendixes. If the title of a document containing proprietary information is unclassified, it can also be quoted in the text or in a footnote. If credit is due to individuals, they can be mentioned in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be
- included in an appendix or in a separate listing following tne (eft.lence section titled " Proprietary Sources of Information."(b) in addition, reference ta institute of Nuclear Power Operations
,. (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the
, NRC Form 426A. (c) l Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
These reports will be made available for sale by GPO and NTIS.
t Disclaimer-(c)
The following notice will be added by the Publications Branch, DFIPS, on. .he inside front cover before printing.
JNOTICEM '
This; report was prepared skder"an[internationalicooperativej agnement for the exchange er, technical inforntation. Neither.the <
United States Govannent nor any agency thereof, nor nay of their =
employees; makes any warranty, expr.assedlor hspiledior assumes Jany legal liability or nspensibnity for ains third party's use, or thel >
~
nsults of suchiuseiet any intenmation;' apparatus, product;'or process, dis @ed in this report, or repusents that its use by such -
- third party would not infringe privately. owned rights.
Approved: June 17,1991 18 (Revised: July 9,1995)
Volume 3, Itrt 1 - Publicati:ns, Mail, and information Disclosure Uncl:ssified Ccntractor cnd Grantee Publications in the NUREG Series llandbook 3.8 Part IV Forms (F)
Bibliographic Data Sheet (NRC Form 335) (1)
Submit a typed NRC Form 335 (Exhibit 2) with the camera-ready copy to the Technical Publications Section, DFlPS, as the final right-hand pagc.
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A)(2)
An NRC Form 426A (Exhibit 1) must be completed and Jened by the office dircetor or designee and submitted with the amesa . .ady copy of the rtport to the Technical Pubi cations Section, DFIPS. . w*
- Classified or Sensitive Unclassified Illformillioli (G)
The NRC contact should refer to Management Directive 12.2 or call the Division of Security for answers to questions about the status of classified or sensitive unclassified information in NUREG/IA reports.
l Approved: June 17,1991
- (Revised
- July 9,1995) 19
Volume 3, Itri 1 - Publicati:ns, M:ll, and information Disclosure Unclassified Contractor and Grantee Pubiications h, 'he NUREG Series llandbook 3.8 Part V Part V Books
' General (A)
.. These guidelinerapply to bocks written by contractors and grantees - ,
that are printed by NRC. See Part VI of this handbook for guidance on-
.' publications, including book:., by grantees.
Definition (B)
A book tefers to a publication intended as a penuanent teference or as a textbook or major critical resiew of a technical or regulatory topic.
Format (C)
Books are usually 6 by 9 inches in trim size, but size will be based on requirements such as case of use and legibility for graphics, foldouts,
/
and the like. The binding (casebound or paperback) will be chosen according to the need for durability Additional guidance on manuscript preparations can be found in the U.S. Govemment Printing Office Style Manual and the Chicago University's A Manual of Style, Refer also to NRC's "Publishit.g Documents in the NUREG Senes" (NUhEG-0650 Revisio,i n. (1)
The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing The NRC contact shall submit the manuscript to the Chief, Publications Branch, Division of Freedom of Information and Publications Senices, (DFIPS), where it will be reviewed for adherence to the standards set fe,rth and referenced in this directive and handbook, The manuscript will also be reviewed for printing acceptability by the Printing and Mail Services Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contracting officer or, in the case of Government agency cr interagency agreement work, the publications manager of the performing organization,(2)
Approved: June 17,1991 20 (Revised: July 9,1995)
\olume 3, Part 1 - Publications, M:ll, cnd Information Disclosiure l Unclassified Contract:r cnd Grcntee Publicati:ns in the NUREG Series !
Il ndbook 3 8 Part V !
l I
l Format (c)(continued) 1 DFIPS will approve the design of the cover and title page containing apgopriate information concerning-(3)
Authors' names (a)
- Organizationalidentification (b)
- Public availability and sales (c)
A" books must include a comprehensive subject iridex cohe bock's contents, unless the book is made up almost exclusiv 'j of graphical or tabular matter. See NUREG-0650, or The Chicago Manual Style
, (13th ed.) for guidelines on creating an index. (4)
NRC Document Number (D)
Each book must be identified by an NRC-controlled alphanumeric code unique to that book. The alphanumeric code will have the form NUREG/CR for books prepared by contractors and NUREG/GR for books prepared by grantees. (1)
When a book consists of more than one volume or binding, or is issued
. in more than one edition, include an appropriate volume, number, supplement, part, addendum, or revision designation directly below the document number. (2)-
Numbers are assigned by the Publications Branch, DFIPS. The nr . )er may be obtained be%re the manuscript is st.bmitted to DF'?S
'or ; inting by calling the . ublications Branch at (301) 415- 7.66. The DFIPS staff will arrange to meet with the NRC contact for the project and, when appropriate, the author (s), to discuss the publication production requirements and the schedule for the book. (3)
Availability of Reference Materials (E)
The guidelines for availability of teference material given in Section G of Part ID of *ds handbook also apply to books prepared by contractors and grantees that are published by NRC.
Approved: June 17,1991 (Revised: July 9,1995) 21
Votme 3, Part 1 - Publications, M:ll, cnd Infcrmttion Disclosure "
/
UnclassiGed Centrccter and Grantee Publications in the NUREG Series ,
- Handbook 3.8 Part V . ;
RsvieWS (F)
Peer (1) 13ooks pubushed by NRC must undergo peer review by experts within L and outside NRC. Peer review refers to a critical evaluation of the L technical contents of a publication. These reviews may be conducted l anonymously by reviewers from the author's own or a related field who
! are totally independent of the work leading to the manuscript._(a) g 1 Reviewers should be chosen by the NRC office sponsoring the book l from the potential audience for the publication and should provide an independent judgment-about whether the publication suc.essfully_
,, accomplishes the author's aims. Peer reviewers should be chosenpr ~
their expertise in the subject matter of the book. They may come from
- , academia, the national latacnts N, other Federal agencies, or from othen research institutes or consulting firms. They may be identified from _ the membership' rolls of professional societies, American -
National Standards Institute (ANSI) subcommittees, and the like. Do not choose more than one reviewer froin the same organization. (b)
When assessing potential peer reviewers, screen for demonstrated:
competence and achievement in a speci6c discipline or research-specialty. Assess ' competence based on; the quality of research-accomplished, publications in refereed journals, and other significant -
technical activities achievements,. and honors. Consider th.e judgment, perspective, and objectivity of reviewers. Consider also the -
personal integrity of those selected to ensme the con 6dentiality of
~
information reviewd. Finally, avoid real or perceived conflic's of interest. Do not choose reviewm who are licensees or consultants to -
-licensees, nor reviewers from miervenor-gionps. Likewise, do not-chouse revievvers who may pro 6t Snancially from influer-ing the info 4n un reviewed. (c)
The services of reviewers from outside the agency may be acquired through consultant services contracts. The decision as to whether to reimburse peer reviewers should be made on a caaby-case basis, however. Recognize that reimbursing peer reviewers may give the appearance of a conflict of interest, suggesting to some that because NRC is paying for this service, the agency will seek on'y reviewers ,
- thought to be favorably dimmad ot the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers from' independent organizations, such as the American Physics Approved: June 17,1991 22 (Revised: July 9,1995)-
1 l
l V::lume 3, Pcrt l'- Publications, Mail, and information Disclosure Unclassified Ccntrccter cnd Grcntee Publicati:ns in the NUREG Series Handbook 3.8 Part V Reviews (F)(continued)
Peer (1)(continued)
Society, the American Nuclear Society, the American Society of Mechanical Engineers, or appropriate universities, Reimbursement could then be made to the organization. (d)
Copyright (2) -
Copyrighted material must not be reproduced in NRC books without appropriate authority, usually written permission of the copyright helder. See Section 3.4 of NUREG-0550, Revisi~11, fori-formation aboutebtaining copyright permission. . ,f
}
}
Security (3)
.. On the basis of the knowledge of the information sources used, the author is responsible for ensuring that the manuscript does not contain classified or other access-controlled information If uncertainty exists with respect to the security classification of a reference document or manuscript, an authorized classi5er or the NRC Division of Securit3 should be contacted for assistance. See also Management Directive 12.2, "NRC Classified Information Security Program,"
, Patent (4)
The patent review g"Jelines for draft and final formal reports specified in Section (C)(1) of Part III of this handbook also apply to books prepared by contractors and grantees.
Publishing Aulnorization Form (o)
A completed NRC Form 426A (Exhibit 1), signed by the office director or designee or by a DOE national laboratory authorized official if the publication is prepared for the ' Office of Nuclear Regulatory Research, must be submitted to DFIPS with the book manuscript.
Disclaimers (n)
The following standard U.S. Government notice will be added before printing:(1)
Approved: June 17,1991 (Revised: July 9,1995) 23 I
V:lume 3, Part 1 - Publications, Mall, and Information Disclosure Unclassified Ji*ndbook Ccntrtetor 3.8 Part V and Grcntee Publications in the NUREG Series l
Disclaimers (ii)(continued)
, This document was prepared as an account ofworksponsored l by an agency of the United States Gmtrament.:Neither the
- United States Government nor any agency thereof, nor any of their employees, mak~es any warran ty, expressed orimpliedior
- assumes ariy legal' liability or responsibility for anyLthird party's use, or the results of such use, of;any information,
- apparatus, prodhed or procesidisclosed in this deceimentior 4
- represents that its use by such third party would not infringe
' privately owned rights.' ' ,
~
The followirg additic.ial s;atement'may be ;..inted below the standarb
. disclaimer, if authorized by the NRC office director or designee: (2)
This document was prepared under U.S. Nuclear Regulatory Commission (NRC) Contract:No._ . The opirdons,
- findings, conclusions, and recommendations expressed herein are those of the author (s) andldo n' ot necessarily reflect the
- views of the NRC. . f Other qualifying staaiments may be added, if needed. (3)
Printing (1)
DFIPS will submit book manuscripts to GPO for printing. The printing cycle requires from 6 to 8 weeks.
Distribution and Sales (J)
Tht.
DFIPS staff wil! arrm.ge distribution in accoraance with distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibit 1). (1)
Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter bears directly on their work at or for NRC. (2)
(
DFIPS will arrange to make the book available for sale through GPO.
DFIPS also will arrange to have it made available at the NRC PDR and for the GPO Federal Depository ljbrary Pregram. (3) 24 Approved: June 17,1991 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grante- Publientions in the NUREG Series llandbook 3.8 Parl VI Part VI Grant Publications Background and Rationale (A)
Th. Nuclear Regulatory 00 nmission funds grants for educ..' anal ar.d nonprofit institutions, State and local governments. .;,J ' professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended.
Sections 31.a and 141.b.
Pitblication of Results (a)
The grant will specify the publication requirements of the award.
Grant results may be published by NRC, by the grantee, or in the open literature.
Publication by NRC (1)
This publication option must be governed by the guidelines specified in Part III of this handbook for reports or in Part V of this handbook for books, as appropriate. See "Id ntification Information,"
Section (C) of this pan.
Publication by a Grantee U )
When the grant specifies that the grantee is to publish the results of his or her work, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed >
in the grantee's performance under the grant, ,
Publication by a Grantee in the Open Literature (3)
When the grantee submits journal anicles for publication, cach article must be accompanied by the following statement: (a)
Approved: June 17,1991 (Revised: July 9,1995) 25
V:lume 3, Pcrt 1 - Publicctions, htil, cnd Information Disclosure Uncl:ssified Contractor tnd Grantee Publications in the NUREG Series ,
llan ' book 3.8 Part VI Publication of Results (a)(continued)
Publication by a Grantee in the Open Literature (3)(continued)
The submitted manuscript has been authored by a grantee of the U.S. Government under Grant No. . Accordingly, the U.S. Governmeni has a nonexclusive, royalty-free license io .
publish or reproduce the published form of this contribution,-
or allow others to do'so, for U.S. Government purposes.;
All open literature publications prepared under this ;: ant must contain the fol.owing statement: (b) a This paper was prepared , Rh the support of the U.S. Nuclear Regulatory Commission (N RC) under Grant No. .The
.. opinions, findingst . conclusions,-- and L recommendations-expressed herein are th'ose of the author (s). andEdo not-necessarily reDect the views of the NRC.
If the grantee is requested by the journal or other publisher to transfer the copyright, the grantee author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:(c) i
Dear(Publisher's Name):
t , CTT mx .. w w w w :e m *' %m'a- g
,"#+n > ;igning copyright
- n
, % recently received a documenf.;for,signatore;-ass and republication rights in the submitted art!s' 4 title) to((name of publication). Thisletteris offettd inlieu of the document as a r mns; of conmiedng the transfer # ownership 1Aesordinsly,1we hstebyL expressly transfer andiassign sourjrighis!ef townership
- above-cited work to (namEof publishejr).sMf
- Q. ygg MQ;dnythe
. cw , a::n a ,, a c a m .a . +vxu w
- You careradvisedi La.4'that ithe
- above Lassignment $;ndhany, tedworkisssbjist to the.
[psbsdStidd cos nuseaWish ifousis:-3runecymwasa;My$kiMAM&MW
- m%g orirepublliison nSE of MMtGib@PHr9%%@w% ..
- The submitted waanuscript has been authored by a granteconhdU.S{
. t;overnamestinder GMtNoh A % WAccorW thEiU.S.$
ihis12'iyyy "liiedstMimiblishios f%s&thEpublishedfeinahrthis"., ,Thp%fdU "Bo ed
,_ .. _ nm . , [S$ncerely d e n <
Approved: June 17,1991 26 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and information Disclosure Unclassified Contrccior and Grantee Publications in the NUREG Series
_ llandbook 3.8 Part VI Publication of Results (B)(continued)
Reprints of Open Literature Publitations (4)
When any article resultitig from work under the grant is published in a scientific, technical, or professional journal, two reprints of the puulication must be sent to the cognizant NRC program officer.
l clearly labeled with the grant number and other appropriate I identifying information.
Identification Information (c)
Each rea, ort or book published by NRC that resuits frcup grant mus, be identified by an alphanumeric numoer, "NUREG/GR-000,",
where "GR" indicates "gran- Tort." (1)
,, When the publication consists of more than one volume, number, supplement, part, or binding, or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number. (2)
Numbers may be obtained from the Publications Branch at (301) 415-7008.(3)
Pre-Publication Reviews (n)
The U.S. Congress characterizes the relationship between a Federal agency and a grant recipient as one in which "the recipient can expect
, to run the project without agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the Nstrument."
Approved: June 17,1991 (Revised: July 9,1995) 27
Volume 3, Part 1 - Publicctions, Mail, and Information Disclosure '
Unclassified Contractor and Grantee Publications in the NUREG Series i
Handbook 3.8 Glossary Glossary
- Book. A publication intended as a permanent reference or textbook or as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound.
Camara-Ready Copy. Pages ready for printing byh t e offset rinting
, process. This is a cclioquial term used even though the printing - ,
process may not involve the se-called copy camera (see also
,, rcproducible master:).
e
,. Casebound. Term denoting a book with a hard cover.
Compose. To arrange letters, in type or film. for printing. Usually-synonyrnous with typesetting.
Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g.,
computers) for the purpose of producing camera-ready copy, negatives, a plate, or an image to be used in the production of printing or microform.
Contractor Report. Record of work done (a report) prepared in accordan~: with the provisions of a contract or under or pursuant to an inneragency agreer.,;nt.
Cap.ight. A form of pro:ection provided by the laws of the (Jnited 5tates (iiue 17, U.S. Coce), to the authors of '* original works of
- authorship " including literary, dramatic, musical, artistic, and.
certain other intellectual works. This protection is available to both published and unpublished works. Generally, copyrighted material may not be reproduced without the permission of the author or the publisher.
Disseminate. To announce the publication of reports and make them available for free distribution, sale, or copying.
. *Words m isdica in defmitions are also defined in the glossary Approved: June 17,1991 28 (Revised: July 9,1995)
~V51uine 3, Part 1 - Pubhcations, Mail, and intorinata.1 ihselosure Unclassified Contr:ct:r and Grcntee Publications in the NUREG Series
. . Ilandbook 3.8 Glossarv t
Glossary (continued)
Distribution. Reports dispensed to spedfic organizations and individuals to ensure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by the use of standard distribution lists established and maintained by the Division of Freedom of Information and Publications Senices at the request of the originating office or region.
Documentation. Classification and associated markings required for classified or sensitive unclassified documents, the NRC repcrt number unique to the report, title (and subtitle,if any), . .: thor or correspondent (if,any), organization identificarian and contract number (or job code number), date, and availability.
Edition. All copies of a book printed from the same type. Edition also refers to format, such as paperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted. the revised version is the new edition.
Grant. A legalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, services, or anything of value to the recipient for the accomplishment of a public purpose of support or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.
Grant Report. A record of work dcne prepared in accordance with the provisions of the grant.
Alev An alphabeticallist of all major topics di: cussed in e Wh. It cites the page numbers where each topic can be found.The indexis the last section of a book.
International Agreement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized under 42 U.S.C. 5801, includes monetary contributions, information exchanges, and comments on program plans and results.
International Agreement Report. A record of work done prepared in accordance with the provisions of an intemational agreement.
Approved: June 17,1991 (Revised: July 9,1995) 29 i
V:lume 3, Part 1 - Publicati:ns, hti!, and inf rmation Disclosure ,
Unclassified Ccntractor cnd Grantee Publications in the NUREG Series '
IPndbook 3.8 Gloss:ry Glossary (continued)
Manuscript. A handwritten, typewritten, or composed version of a document, as distinguished from a printed copy.
NRC Project Manager. The NRC staff member responsible for the l work performed by consultants or contractors and their l subcontractors, or for work performed under or pursuant to an interagency agreement.
Paperback. A book with a flexible paper cover.
, Peer Review. A critical e"aluation of the technical contentsf a publication. These reviews are conducted by reviewers from the
, author's own or a relatt J fi sho are totallyindependent of the work leading to the mamtscript. Reviewers should be chosen from i
the potential audience for the publication and should proside an independent judgment about whether the publication successfully accomplishes the author's aims.
Photocomposition. Typesetting performed when photosensitive paper or film is exposed to light in the form of letters and characters.
Photocomposition is to be distinguished from hot-metal and typewriter composition.
Printing. As defined by the Joint Committee on Printing, includes and applies to the process of composition, platemaking, presswork, collating, and microform the equipment med in such processes; or the end product produced by such processes and equipment.
Proprietary Information. Trade secrets; privileged or confidential
.est... h, de, lopmen., wmmercid, or financial infon..aJon exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17);
and other information submitted in confidence to the NRC by a foreign source and determined to be unclassi5ed by the NRC.
Public Domain. Materials for which a copyright never existed, such as U.S. Government publications, or for which a copyright has expired.
Publicly Available Documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in the public domain.
Approved: June 17,1991
, 30 (Revised: July 9,1995)
Wlume 3, Pcrt 1 - Publications, Mail, and information Disclosure Unclassified Contrcctor and Grantee Public:tions in the NUREG Series
' llandbook 3.8 Glossary _
Glossary (continued; Reproducible Masters. Camera-tcady copy that includes (1) originals of line drawings (or prints that can be copied): (2) glossy prints of black and white photographs: (3) original typeset or printed text,
' ables, cover, title page, contents, and abstract: or (4) other forms of the materials that a printer can reproduce.
Trim Size. The final size of the whole page, margins included.
Typesetting. The placement of type on a page (letters, numbers, and other ch::racters) in conformance with specific sme and layout
, insmctions. .
Unique Identifiention. NRC i& ntification (NUREG number) used on c report and its attachments. revisions, and supplements that is not
- used on any other publication.
Approved: June 17,1991 (Revised: July 9,1995) 31
, I
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Uncl.msified Contractor and Grantee Pu.)li.ations in the NUREG Series llandbook 3.8-' Exhibits L Exhibit 1 NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"
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V;lume 3, Part 1 - Publicctions, Mail, and Information Disclosure Unclassified Centrcctor and Grantee Publications in the NUREG Series llandbook 3.8 Exhibits i
Exhibit 2 NRC Form 335, " Bibliographic Data Sheet" 1
.. _ . . . . . . . . . . . . . _ . [ . .=.m . .,,, , _ ,
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DIBtlOGRAPHIC DATA SHEET
'8"*""'***"'*****"' flUREG/CR.5603 e v is t =o .i.'** EGG-2607 Pressure-Dependent Fragilities f or Piping Components : passes.ov.ou w Ptiot Study on Davis Besse Nuclear Power Station -o... .ua October [ 1990 B5 9
, , f. , . . .,
D.A. Wesley. T.R. Kipp D.K. Nakaki . H. Hadid1.Tamjed Mchnic p
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Mb*~15MT"forporat1on 27401 Los Altos. Suite 480 Mission Viejo, CA 92691 under contratt t2:
Idaho National Engi ierir Laberatory EGSG Idaho. Inc.
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- Idaho Falls, ID 8341
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Division of Safety issue Resolution Df fice of Nuclear Regulatory Research U.S. Regulatory Connission /
Washington D.C. 70555 A /
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The capacities of four, low-pres re uld s'st to wi stand pressures and tempera-tures above the design lev wer est ishe for e Da s-Besse Nuclear Power Stat-ion. The results will b use n e alu g th rob ity of plant damage from Inter-facing System Loss of olant Ac e ts LOCA) part of the probabilistic risk as-sessment of the Davis. sse n lear r t ion u rtaken by EG&G Idaho. Inc. In-cluded in this evaluatio are tanks. h t c ngers. fil'=rs, pumps, valves, and flanged connections for ea sys ,
Theergbab ities of f .'. ore, as a function of in.
ternal pressu e evalua d as t'.. variabilities associated with them. Leak rates or lea reas e esti ed to th rolling modes of failure. The - essure capacities f thq pi and ve els a evaluated using limit-state ar.alyses fo' the various failut molks con ~ ered. Tl. ' pacit%s are dependent on several factors. in ;
cluding tre mat \ri-Q. 'tri , mo ' 'i q ast. ptions, and the postulated failu- n-teria. ihefai1Kre d for g ete . flange connections, valves, and pumps do not lend th to ev6 ati y conven onal structural mechanics techniques and evaluation rely rima ril on er 1s from ong.4ng gasket research test programs and avail-le ven - info.za on a test data.
' T"TI. ~a:e so.' .y--.-.. a ..
gu.u .i press -dependent rag i es iping com i ts n..< " - *'a-I effect Sy em Loss of Coolant Accidents (ISLOCA) ir' ,
pro st isk assessment Unclassified Davis-f s del ta Power Station a a--
Unclassified
,-.o .. ..m
. ...a Approved: June 17,1991 (Revised: July 9,1995) 33 o
1 1
Vdume 3, Part 1 - Public-tions, Mait,-and Information Disclosure -
I I
= Uncl:ssified Contrccter and Grantee Publications in the NUREG Series e ,
Ilandbook 3.8 Exhibits l
I Exhibit 2 (continued)
DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM 335. BiBLIOGR APHIC DATA $H(fT, l$ SA$to ON GuiDEUNES FOR FORMAT AND PRODUCTION 0F ScitNTIFIC AND TECHNICAL REPORTS, ANsl 239 13 1987 AVAILASLE FROM AMERICAN NATIONAL STANDARDS INSTITUTE.1433 DROADWAY, NEW YORK, NY 10018. E ACH EEPARATELY SOUND REPORT-FOR E aAMPLE, EACH VOLUME IN A MULTIV0LUME SET =.3 MALL HAVE ITS UNIQUE gigLIOGRAPHlC DATA SHE ET,
- 1. REPORT NIAEIntR fach indivedvany bound report must 8. PERFORMileG ORGAN 12Afl04 NAME AND MAILING carry e isneupse alphemumerie oeuysatson (NUREGl ass.gned ADORESS. Gne name, street, city, sta e, and 2IP code.
by the Reputatory Publ6 cations Bronch, Divison of f rescom List no more than two levels of en organisee, anal herarchy, of informosen and Pubs.catsen, senr.ces, in acer.roence e.ith Ouoley the name ce the organ.aation nactly a fonom:
Anwrece4 Nedenei $mndard ANSI 239.3}-1983, Standartf Dwisson. Offer, Organtasieen er Goverrenent esency, and Technaral Report Numtwa ($TR's. Une useerca e seinri, soorts.
Arabic numeroes, samhes, enst hyphens only, as in she fenon.
.e 6ng esameNe ' NURfG-0100 NUREG/CP4010. AUREG/ 9 S'ON50 RING ORGANIZATION If NRC, tvoe .d$ame.sC #
CR0100, and NOREG/sRecto. Por reporis in e smes add stove i nt contractor, prwuse NRC Divuson, Offee or Reg.ori.
Vot, tupp, Rev., and Addendum, when recessary. Add U.h, Pu-lear Regulatory Conenisuon and maliens odoress.
- , contrenar erersienterence unee tet.ce.on nue,ter tie eny]
- tulow NUREG aeries number, e g. PNL.XX X X, SANDxX. 11. SUPPLEMtWTARY NOTES. Enter information not included
, XXXX,5Al XX XA. elsewhen but wwfut, such as: Prepared in cooperation with ...
, ,, Presented et conference of .,, to be pubinhed .. . Docat No.
2, TITLE AND SUETITLE, -Tips should indicate cieeHy and * * * ' "*
benefly the suNect (coversed of the report, i.ictuding any subeste to the malt title. When e veport is prerwoo en more 11. ABSTR ACT, include a brief (200 words or lessi factual men than one volume, repeat tw petmary tstle, add volume numbe' mary of the enois segnitasat inferrnateon conomened an the end lacaude subsists for the speelhe volume. Use upper and 19 W w cone e nWcW bblegraphy or r
lome case lettert, best capitahre compuur code names. Do 4.sersture surwy e, musseie vo4vmes. frenten 61 have. A,*rtract not use orvenyms and in6ths en eroes; may be ended en is to be M by euthsw or protect mewger, pe=ntheue.
- 12. KEY SuoRD&/DESCRIPTORS. Setect from the EnerTy Date
& DATE REPORT PUBUSHED. Each report enust carry a date Base $ubiect Thessunst. DOEffic.7006 R4, the proper indcoung snanth and year pubSehed, authortsett arms that islentify the maior conr.ept; of the reenorch and tre suf fmaently specif'ec and presmo to be wind 4, FIN On GRANT 1RAetR Insert the PIN or great muenber
- * * * "'*" ""''""L 11 AVAILASILITY STATEMENT, Deewee pundic vesseeability, tot osameh umEmited", or lentestiest 807 fee.ane anner
- 5. AUTHORIS). Geve namets) en eensentsenes eroer te.g., John th*N 48earttv, R, Dee, J. Reemset Deel. Uet as"ur's oft.instaan il 6 6s 6ffer.
eat fvt one per onnMg s erwanamsen. 14, t TCURITY CLAS$4FsCAT. ',N Enter U,0. Seswiry Class th
- catim in accordance with U.S. $sesivity f%egulatsens G.e.,
- s. TYPE OF REPORT. state seah f6nas, presenanery, scencas, ensinacal, revesery, annue:, evanerty, etc. 15. NtAdedR OF PAGES Laeve blank,(Added by NTIS!
T. PERIOC VOVERt0L Asad nach,slw 1s.. SL t k4 i. Lasse tum.. (Aoded by NTIS)
.mem m.,.s .e. oi Approved: June 17,1991 34 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and int'ormation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.8 Exhibits Exhibit 3 Microfiche Sheet Sample 30fcon No. .e E.'s*II,"d!N Ii t $*" e comnacioR NAfA((Op )
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FAC W-32 OCTOlER 1,1995 FEDliRAI ACQUISriIOS REGULATION JAR)
Is.w, f ' TAllLE is 2 INSTkUCTIONS l'OR ARE pkiCINGIMTA sollMihSION REf)tilHED OF \ CONTRAC'I PRICING PROPOS AL ne SF I411 provides a covet sheet for use by of feron to sobrmt to the fNernmera 4 pocing prm ul of estimate actual costs only when cost of priemg data mt reqairedon ract hoe unn uh wifmt &i,ol to permit cost an;lysit Attach em
- 1. 'Ihe pncing proposal shall be segregated by s t element breakdowns, using the applicable formats prescriled m hem R E et C of thn e. lion. for each proposed l These breakdowns must conform to the m$trucijens n the whatauon and my speuhi. requiretrents establishe tracting officer. Furnish supporting becakdowns for each cost elemtti, conste each cost element = If agicement has been reached with Gmcrnment representatives on ae of forward pncing ra identify the agreement, include a copy, and describe its nature. Depending on offeror's system breakd provided for the following basic elemenn of cost, as appheable;Meterials-Provida Include raw me a conso or contract line items being propmed and the basis for pncing (vendor quotes, invoice prices, etc.).
rials, parts, components, assemblies, and services to be produced or pesformed by others For all items p
' tify the item and show the source, quantity, and price.
Competitise Methods-For tl.ose acquisitions (e F., subcontracts, purchase h i d orders, f m- matenal orders etc.) u 15.8044aN1) pneed on a compeutne basis, al.so provide dat s ow g eFr~ o co
. ,pertinery threshold set forth at petition, and the basis for estabhshing the source and reasonGbleness of pnce, For interorf anisationa at other than cmt of the comparable competitne commercial work of the dnision, subudiary, or athliate of the con.
twtor, explain the pncing method (see 31205 Me H Established Catalog or Market pnces or pnces Set by Law or Regulation - Commercial item Not Cmmd By Anoth liteeption-When an exception from the requirement to submit cet or pucmg data is requested, whether the item produced by others or by the offeror, prmide justifwaaon for the exception as required by 15.804 l(dt Noncompetitive Methods-For those acquninons te g., wbcontracts. purchase orders. matenal orders. etc.t euc pertinent threshold se( forth at !$ N04QaX 1) pnced on a noncompetitne basis, also provide data sho establishing source and reasonableness of pnce. For standard commeraalitems fabncated For interorganisational trans- by the offerer that are ge etally stocked in inventory, provide a separate cost breakdown if pnced based on cost.
fers priced at cost, provide a separate breakdown of cost by elements. As required by l$.806-2(a), p cost or pricing data submitted by the prospective source15.804 in support of each subcontract, or p'.:rchase 2(a)(1)(iii) and (iv) and more
-(i) $1,000,000 or t.iore, or (ii) both more than the pertment threshold set forth in f than.10 percent of the pnme contractor's proposed price. The contracting officer may require submission o c pricing data in support of proposals in lower amounts Submit the results of the analysis of the pro proposal as required by 15.806. When the submission of a prospective source's cost or pricing d described above,it shall be included as part of the offeror's iniual pricing proposal.
Direct Labor-Provide a time phased (e.g., monthly, quarterly, etc.) breakdown of labor hours, raics, and cert b priate category, and furnish bases for estimates.
Indirect Costs-Indicate how offeror ha computed and apphed offeror's indirectdicate the reasonableness of proposed rates.I n costs,^e including cost break
- showing trends and bue.,etary dc . te mvHe a basis for evaluai rates used and provide an appropnate explanation.
- Other Costs-List all other costs not otherwise included in the categories described above (e.g., special too computer and consultant services, preservation, packaging and packmg, spoilage and rework, and finished articles) and provide bases for pricing, Royalties-If mon than 5250, provide the following information on a sep on which the royalty is payable; bnef desenption (including any part or model numbers b f it ;of exh contract item o
- on which the top., is payable); percentage or dollar rate of royalty per unit; unit price of contract item; num er o un and total dollar amount of royalties. In addition, if specifically reques:ed by the contracting officer, provide current license agreement and identification of applicable claims of specific patents. (See FAR 27.204 an Facilities Capital Cost of Money When the offeror elects to claim facilities capital10).cost of money as an al the offeror must submit Form CA511-CMF and show the calculation of the proposed amount (see FAR 31.205 2, As part of the specific information required, the offeror must sub tion, submit with offeror's proposal any information reasonably required to explain offeror's estimating proces including-
- a. The judgmental factors applied and the mathematical or other triethods used in the estimate, inclu 15-24 i
LJ
FAC 90-32 OCTOlER 1,19'S FEDERM. ACQUISITION REGUI.ATIOS iFARi i s.8 u.(.
When nonrecurnng msts are sig Under Column (5HEnter the otterori estimate for cost of vork skled bt the thange l
' mhcant. or when specifically requested to do so by the wntr,wtme otheer. proude a full idenuneation and esplanannn of them When any of the costa m this wiumn Nne alreah beers incurred, de.tnhe them on an attasbed upportir wh:dule Under Column (6HEnter the net cost of change whwn a the ws of ed dded less th ni emt to be veleted Whcn l
! thn tesult is negative, place the amount m parentheses Column (4; tess Colum.. & = Column (61 Undet Column OHidentify the attachment in whwh the informanon supportmp the specibe cost clernent may be found AHach *,eparate pages as necessary.
C. Pnce Reviuon/Redeterminatmn
! CONTRACT Rf DETI R MINATION DillTRLNCL CUIDIE D ATE NUMDLR OF UNtis NUMHIRot AMOUNT PRoh) sat.
COMPillTD UNIT 5 TO BE AMOUNT COMri ETID i46 di W tD (21 #b _
TOTAL ESTistATED LSTIMATED Rp T' % CL INCURRLD INCURRED INCL?h MLD **
C,0sT Cosi TO TOTAL Cost _s ELLStLNTS COS T - Cost- COST- INCthtD i d PR EPRODUC. COMPLLTLD woRKIN Cos1 l CostPt.LTL T!ON UNtis PRociss {
oh 04i
, m ou m um ..t. it:
Under Column t iHEnfet the cut ol1 Jane required by the contract, if appheahle.
Under Column (2HEnter the number ot umts completed dunng the penod for whwh espenenced costs of produenon are being suttnitted.
Under Column OHEnter the number of umn rematmng to be completed under the contract.
UnJet Column (4H Untet the cumulaine contract amount.
Under Column (5 HEnter the offeror's redetermmat.on poposal amount.
Under Column (6HEnter the difference between the contract amount and the redetenmnanon proposal amount, When this result it negatise, place the amount m parentheses Column (4) less Column (5) = Column (6).
findet Column (b-Enter appropriate cost r' ments. When residu d mventory custs, the final costs established under Med ptwe-mcentise and fixed pnce-redetenmn 'l* e arrangements should be net of the fair market value of such insen k support of subcontract costs, submu e ' stmg of all subcontracts subject to repocing acuon, annotated as to their statu Uner Column (h,-Enter all costs incuned under the contract bef te startmg product , and other nonrecurring costs (usually referred to as stanup costs) from offeror's books and records as of the cutolf date. Nse include such costs as pre-production engineenng, special plant rearraneetnent, trammg program, and any identifiable nonrecurring co in the event the amourts are not segrega"d in or otherwise available from offeror's records.
rcw stk spoilage. pdot runs, ett *e rr N enter in this column offeror's best esumatet t.4 plain the casa for each e,umate anJ how the costs are charged c-accountmg records (e g., included in production costs as direct engineenng labor, charged to manufacturing overhead Also show how the costs would be allocated to the umts at their various stages of contract completion.
Under Columns r 9) and (10HEnter in Column (9) the production costs fmm otTeror's books and records (exclusive of pre tion costs reponed in Column (8)) of the units completed as of the cutotT date. Enter in Cclumn (10) the costs of work in pm det:rmined fmm olTeror's records cr inventones at the cutotT date. When the amounts for work in process df are not available in tor's records but reliable estimates for them can be made, enter the esumated amounts in Column (10) and enter in Colum ierences between the total trarred costs (exclusive of preproduction costs) as of the cutoff date and these estimate for the estimates,includmg identificat.cn of any provision for expenenced or anticipated allowances, such as shnnkage cinnges, etc. Fumish experi:nced unit or tot costs (or labor hours) from incepuon of contract to the cutoff date, improve and any other available production cost history penammg to the itemu) to which otTeror's proposal relates.
Und.u Column (l1 HEnter total incurred costs (Total of Columns (8L (9), and (101).
Under Column (12HEnter those necessary and reasonable costs that in contractor's judgment will properly be incurred i pleting the remaming work to be perfonned under the contract with respect to the item (si to which contract Under Column (13HEnter total estimated cost (Total of Columns (11) and (121L Under Column (14)-.ldentify the attachment in which the mfonnation supporting the specific cost element may be fo Attach separate pages as necessary.
15-26
CONTRACTOR SPENDING PLAN - INSTRUCTIONS The Contractor Spending Plan (CSP) is an important tool for projecting and tracking contract costs and progress each task under the contract.
Applicability The Nuclear Regulatory Commission (NRC) requires that the CSP be completed for cost reimbursement contracts when the award amount is expected to exceed For
$100,000 and the period of performance is expected to exceed 6 months.
task order type contracts, a CSP is required when an individual cost When a reimbursement task order is expected to exceed the above thresholds.
contract or task order mgdtfication increases the contract Jr tWk order amount of a cost reimbufsement contract or task order to over $100;000 and ,f the period of performance from the effective date of the modification to the contract or task order expiiation exceeds 6 .utths, a CSP is required for all contract worA to be performed after the effective date of the modification.
7 Submissien
- 1. A CSP is required:
- a. as part of the cost proposal for a cost reimbursement contract or individual task order, or modification to a contract or task order which meets the above thresholds;
- b. as part of the Best and Final Offer (.if requested) as a result of negotiations;
- 2. Updated CSP information is required on a monthly basis or asSection approved F.3, by the CO as part of the " Financial Status Report" (Ref:
"cinancia'. S.nus Raport").
Format The attached csp sample format may be duplicated and used by the Contractor, or modified to permit more accurate reporting or to meet other needs of the contractor. For instance, the sample format provides spaces to report projected costs for 12 months, but the contractor may wish to alterThe the sample format for shorter or longer contract / task order periods.
contractor may also wish to alter the sample format for ease er typing or automated production. So long as complete information is provided on actual and projected costs or accomplishments, changes to the format to improve relevance to the circumstances are encouraged.
It is up to the discretion of the offeror to determine the appropriate level This of cost detail to be presented based on the complexity of the effort.
plan reflects only the minimum requirements for submission of cost details which will be considered for completeness, reasonableness, and as a measure of ef fective management of the effort. The Contracting Of ficer reserves the if deenied necessary.
right to request additional cost information, I l ,
___j
. . .. . _ . .. .. - . _ . . .- .. . = . .. .. ., .. . .. . .
L CONTRAC10R $P[HDl%f'_AN_(C2) k (to be cohlsted cs a part of the Of fercr's Crst Proposal far cach restretebursem and has a performance period order modtf tcattoa which exceeds 5100,000 escoedtag,6 months)
/ _ /_ to _ /_. /
selecitatten me- Performance Portod: free Centract No.
- Total Estteated Costs (including fines' fee. If any) of the TOch Order No. Proposed Contract / Task Order /Medification (to a contract Modificatles me or task order) at the stee of proposal submission. 5 Offerer /Centracter N e.*
Does not f aciude options.
Proefde cost dotatis by month for the total centract/ task order /er task order modificatten 5th Month 6th Month 3rd Month 4th Moath Cces Elements 1st Meath 2nd Meath s
g s Ctreet Costs s .g 3 s
$ s g
!adtreet Cests s 3 3
s T;tal Esttested s 3 3 Ce:ts lacluding p ftsed fee 1f say 2 %
Project 3 Campletten g g g Ilth Meath 12th Month Cs 3 Elements 7th Meath 8th Meath 9th Moath 10th Month
? 3 Direct Casts 3 S s s l s s sedirect Costs s s- s s l
- 5 5 5 5 5 5-
'*Ul00le*
Co f1med fee 1f negy s
+. -
.8 refect * '
__ . _ _ _ _ _ _ _ _