ML20248G655

Contract: Urine Specimen Collections - Nationwide, Awarded to Tracor Technology Resources,Inc

ML20248G655
Person / Time
Issue date:	09/13/1989
From:	Apple L, Wiggins E NRC OFFICE OF ADMINISTRATION (ADM), TRACOR TECHNOLOGY RESOURCES, INC.
To:
Shared Package
ML20248G618	List: ML20248G616 ML20248G655
References
CON-FIN-D-2375-9, CON-NRC-10-89-171 NUDOCS 8910100330
Download: ML20248G655 (79)

Text

- _ _ -

~ l AWARD / CONTRACT t

Page I of 2 Pages L

1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 350) RATING

2. CONTRACT NO. l3. EFFECTIVE DATE l4. REQUISITION / PURCHASE (Proc. Inst. Ident.) No.l l REQUEST / PROJECT NO.

NRC-10-89-171 l 09/13/89 l ADM-89-171 l l

5. ISSUED BY Code: l6. ADMINISTERED BY Code:

l (If other than Item 5)

U.S. Nuclear Regulatory Commission l Contract Administration Branch Div. of Contracts & Property Mgmt. l Div. of Contracts & Property Mgmt.

Contract Neg. Branch No. 2; P-1042 l Mail Stop P-902 Washington, DC 20555 l Washington, DC 20555 CONTACT - Donna M. Umbel l PHONE - (301) 492-4281

7. NAME AND ADDRESS OF CONTRACTOR l 8. DELIVERY Tracer Technology Resources, Inc. l () FOB ORIGIN 1601 Research Boulevard l (X) OTHER (See Biccx 11 Below)

Rockville, Maryland 20850 l, l 9. DISCOUNT FOR PROMPT PAYMENT l N/A Code: l Facility Code:

10.SUEMIT INVOICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN ITEM: 6

11. SHIP T0/ CODE 112. PAYMENT WILL CODE MARK FOR l BE MADE BY l

U.S. Nuclear Regulatory Commission l U.S. Nuclear Regulatory Commission Mail Stop MNBB-5721 l Division of Accounting and Finance Washington, DC 20555 l GOV /COM Accounting Section l Washington, DC 20555 l

13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) ( ) 41 U.S.C. 253(c) ( )

14. ACCCUNTING AND APPROPRIATION DATA B&R No. 940-20-05-260 FIN: D23759 g APPN NO. 31X0200.940 OBLIGATED: 557,000.00 g

'o 15A. ITEM 158. SUPPLIES / 15C. QUANTITY ISD. UNIT 15E. UNIT 15F. AMOUNT gg NO. SERVICES PRICE l The U.S. Nuclear Regulatory Commission hereby accepts yy. Tracor Technology Resources, Inc.'s proposal dated ovo May 8, 1989, as revised June 28, 1989 in response to E7 NRC's Solicitation RS-ADM-89-171, as amended April 24, 1989, pg'y all of which are incorporated into this contract by caz by reference. This is a Fixed Price Requirements Contract.

15G. TOTAL AMOUNT OF CONTRACT $93.541.20 EXCEPTION TO STANDARD FORM SF26 (REV.4-85) Prescribed by GSA F1NMMR fJMMELM8fini _ _ _

l .

AWARD / CONTRACT Page 2 of 2 Pages

16. TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S)

, PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF 0FFERORS L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0RS M EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE

17. (X) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 2 copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be suoject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications as are attached or incorporated by reference herein. (Attachments are listed herein.)

18. ( ) AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number , including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which censists of the following documents: (a) the Government's solicitation and your offer, and (b) this award / contract. No furtner contractual document is necessary.

19A. NAME AND TITLE OF SIGNER l 20A, NAME OF CONTRACTING OFFICER (Type or print) l Linda M. Apple l Elois J. Wiggins Contract Manacer l 198.'NAME OF C{NTRACT.6R / l 20B. UNITED STATE 3 0F AMERICA TRACQR TECHNOLO " fSOURCES, INC. l }m {N (fh,dw /

by #^t4 3 b \ ! M l by _V['r2 (Signatureofpersongthorizedtosign)' (Signatureof'ContraepgOfficer) 19C. DATE SIGNED l 20C. DATE SIGNED September 13, 1989 l /3 9

/ /

EXCEPTION TO STANDARD FORM 26 (REV.4-85)

,, f

( ,a. h[ ,

yi ' TABLE OF CONTENTS .PAGE 3'

., LAWARD/ CONTRACT . . . . . . . . . . . . . . . . . . ... . . . . . . .

1

, PART I - THE SCHEDULE. . . . . . . . . . . . . . . . . . . . . . . . 4 y

'SECTION 8 - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 4 l-B.2 ' CONSIDERATION AND OBLIGATION--DELIVERY ORDERS . . . . . . . 4 L

(JUNE _1988) 1; SECTION C'- DESCRIPTION / SPECIFICATION / WORK STATEMENT C.1 STATEMENT OF-WORK (MAR 1987) . . . . . ... . . . . . . . . . 6a-SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 7 F.2 DURATION OF CONTRACT. PERIOD (MAR 1987) . . . . .. . . . . . . 7 ALTERNATE IV (JUNE 1988)

SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 8-G.1 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . . 8

~ALTERNATEI(MAR 1987)

SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . . 9 H.1 . KEY PERSONNEL (MAR 1987) . . . . . . . . . . . . . . . . . . 9 H.4- DETERMINATION OF. MINIMUM WAGES AND FRINGE BENEFITS. . . . . 10 (JUNE 1988)

PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . 11 SECTION I -

CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 11 I.5 PROMPT PAYMENT (52.232-25) (APR 1989) . . . . . . . . . . . 11 I7' SERVICE CONTRACT ACT OF 1965, AS AMENDED (52.222-41). . . . 15 (MAY 1989)

I.9 REMEDIES FOR ILLEGAL OR IMPROPER ACTIVITY (52.203-10) . . . 24 (MAY 1989)

I.10 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT. . . . . . . . . 25 INTEGRITY -- MODIFICATION. 52.203-9 (MAY 1989)

I.11. PROTECTING THE GOVERNMENT'S. INTEREST WHEN SUBCONTRACTING. . 27 WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT (52.209-6) (MAY 1989)

I.12 RESTRICTIONS ON CONTRACTING WITH SANCTIONED PERSONS . . . . 28 (52.225-13) (MAY 1989)

I.13 DISCOUNTS FOR PRCMPT PAYMENT (52.232-8) (APR 1989) . . .. 29 t

r.,__ __._ _ _ _

. u ,.

", Page 4 j]

NRC-10-89-171 . Section B

- l (End of Clause) ]

8.2 CONSIDERATION AND OBLIGATION--DELIVERY ORDERS-

-(JUNE 1988)

a. The total estimated amount of this contract (ceiling) for

1. the products / services. ordered, delivered, and accepted under this contract is $93.541.20. 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 amount presently obligated with respect to this contract is $57,000.00. The Contracting Officer may issue orders for work up to amount presently obligated.~ . This obligated amount may be. unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligated

. amount shall, at no time, exceed the' contract ceiling as specified in paragraph a above. When and if the amount (s) paid and payable to the Contractor hereunder shall equal the obligated amount, the Contractor shall not be obligated to continue performance of the work'unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken by the Contractor in excess of the obligated amount specified above is cone so at the Contractor's sole risk.

(End of Clause)

__-_m______________a__________m__ -.__ W

seecamce no.or OOcunsi suuu ecun~uto gaac ce l 1, RS-ARM-89-171 5 30 ,,ac rs j' , NAML OF 0F F EROH OH CON T RACTOR ITEM NO, - sVPPLf Es/ SERVICES QUANTITY UNIT UNIT PRICE AMOUNT l

"Succlies/ Services" is revised as follows to l reflect revised estimated quantities-and the prices and amounts:

The contractor shall perform Collection ano Transportation of Urinalysis Samoles for Drug Testing in.accordance with the Statement of Work for a period uf one year with a one year option.

1. Collection of samples Year 1 (Base-Vear)

ESTIMATED FIRM FIXED QTY PRICE / HOUR ESTIMATED l

a. Headquarters (Atch 5) 490 HR $31.13 $15.253.70

- QC samples 225 HR $31.13 $ 7.C04.25 l

- emergency collections 5 HR $_46.69 $ 233.45

b. Pegions (Atch 5) 545 HR $31.07 $16.933.15

. - emergency collections- 5 HR $46.60 $ 233.00

c. Remote Sites (Atch 6) 275 HR $29.75 $ 8.131.25 l l l - emergency collections 5 I HR $44.63 $ 223.15 1

2. i Statistical Summary Report (Included 12 LOT Not Separately Priced in the price of Item 1.a., b, & c.)

i

3. ' Materials and Supplies (1325 collections / 3100 EA $ 2.00 $6.200.00

, 3100 Kits) 4 Shipment of Specimens to NRC Drug Testing 288 LOT 515.81 $4,553.28 Laboratories (Eacn shipment will range from j 1 to 75 specimens) i i

j Ceiling

5. ' Travel & Per Diem - Estimate one trip per 144 ' TRIPS N/A $34.725.97 month to Headquarters (two persons per trip), ,

1 one trip per month to Regions (two persons i per trip) and a total of six trips to Remote Sites per month (one person per trip).  ;

, Costs will be reimbursed IAW current Federal l

, Travel Regulation rates. The NRC may j

. unilaterally increase the ceiling amount at any time during the period of performance.

i

TOTAL CEILING PRICE (Base Year) $93.541.20 t

i I t _ . _ _ _ _ _ _ _ _

~ ~ ~ ~~

r ,,

-]

.' ,h e4EF ERENCL NO. OF DOCUMENT BEING CONTINULD PAGE OF I~ CONTINUATION SHEET: -

I c.hL - s RS-ARM-89-171 6- 30 ..cEs NAME OF OFFEROR 04 CONT RACTOR j

ITEM NO. SUPPLIES / SERVICES ' OUANTITY UNIT . UNIT PRICE AMOUNT ~

1. Collection'of samples (0ptionYear)

ESTIMATED FIRM FIXED QTY. PRICE / HOUR ESTIMATED

a. feadouarters (Atch 4) 490' HR $32.03 $15.694.'70 -

- QC. samples 113 HR $32.03 $ 3.619.39

- 5 emergency collections 5 HR $48.04 $ 240.20

b. .Eegions (Atch 4)- 545 HR $31.66 $17.254.70

- emergency collections 5 HR $47.50 $ 237.50

c. : emote Sites .(Atch 5) 275 HR 530.47- S 8.379.25-1 f

- emergency collections 5 HR '$45.70 5 228.50

~2. Statistical Sumary Report (Included 12 LOT Not Separately. Priced ir :r.e price of Item 1.a., b, & c.)

3. Materials and Supplies (IP35 collections / 2876 EA $ 2.01 $ 5.780.76 2876. Kits) 4 Shi::ent of Specimens to NRC Drug Testing 288 LOT $16.54 's 4.763.52 Laccratories (Each shipment will range from 1 t: 75 specimens)

Ceiling

5. Travel & Per Diem - Estimate one trip 144 TRIPS N/A $36.340.73 per :onth to Headquarters (two persons per tri:;, one trip per month to Regions (two I-pers:ns per trip) ano a total of six trips to : emote Sites per month (one person per

tri

;. Costs will be reimbursed IAW current

! Feceral Travel Reculation rates. The NRC may I unilaterally increase the ceiling amount at dny :Ime during the period of performance.

TOTAL CEILING PRICE (Option Year) $92.539.25 NOTE: The fixed price per labor rate is a burdened rate that includes labor, overhead, G&A, fringe benefits, costs dssociated With the preparation of statistical sumary reports, ano profit. The per hour labor rate does not include travel costs.

Page 6a NRC-10-89-171 Section C SECTION C - DESCRIPTION / SPECIFICATION / WORK STATEMENT C.1 5TATEMENT OF WORK (MAR 1987) he following administrative changes reflected are herecy made:

2.1.2.4 Collection Requirements' - Under Items 11. 14. . and 15.

120 milliliters should be revised to read 90 milliliters in each instance.

I f 5 5 I t

- I t p- .

Page 7 Section F NRC-10-89-171

a SECTION F:- DELIVERIES OR PERFORMANCE m

1

'F.: - DURATION OF CONTRACT PERIOD (MAR 1987)

' ALTERNATE IV (JUNE 1988) l I The ordering period for this contract shall commence on 09/'3/89 'and.will expire on 9/12/90. 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 L Government for an additional twelve months.

(End of Clause)

Page 8 NRC-10-39-171 Section G l

SECTION G - CONTRACT ADMINISTRATION DATA G.1 PROJECT OFFICER AUTHORITY (MAR 1987) o ALTERNATE I (MAR 1987)

a. .The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is:

Name: Richard A. Dopp Address: U.S. Nuclear Regulatory Commission Mail Stop MNBB-5721 Washington, D.C. 20555 Telephone Number: 492-4109

b. The Project Officer is responsible for:

1) Placing Delivery Orders for items required uncer this Contract.

2) Monitoring Contractor performance and recommencing to the Contracting Officer changes in requirements.

3) Inspecting and cccepting products / services provided uncer the contract.

4) Reviewing all Contractor invoices / vouchers recuesting pay ent for products / services provided under the contract anc making rec: emendations for approval, disapproval, or suspension.

c. The Project Officer is not authorized to make changes to the express terms and conditions of this contract.

(End of Clause)

N ,

py '

• Page 9

"% Section H

.NRC-10-89-171 7p ,

SECTION H - SPECIAL CONTRACT REQUIREMENTS H.; KEY PERSONNEL (MAR 1987) l a. The following individuals are considered to be essential to the successful performance of the work hereunder.

a The Contractor agrees that sucn personnel'shall net be removed from the contract work or replaced without compliance with c paragraphs b and c hereof,

b. If one or more of the key personnel for whatever.-eason be::mes, or is expected'to become, unavailable for work uncer this c:ntract for a continuous period exceecing 30 work days, or is ex:ected to devote substantially less effort to the work than incicated in the proposal or initially anticipated, the Contractor snail immediately notify the Contracting Officer and shall, subject t: the concurrence of the Contracting Officer, promptly replace such persennel with personnel of at least substantially equal acility and qualifications.

c. All requests for approval of substitutions hereuncer must be in writing and provide a detailed explanation of the cir:umstances necessitating the proposeo substitutions. They

ntain a complete resume for the proposed substitute, and ::ner information requested by the Contracting Officer to approve er cisacorove the proposed substitution. The Contracting Offi:er will evaluate such requestrc and promptly notify the Contractor cf his/her a::roval or disapproval thereof in writing.

e d. If the Contracting Officer determines that:

1) Suitable and timely replacement of key personr.el who have been reassigned, terminateo or have otherwise become unavailable for the contract work is not reasonably forthcoming; or

2) That the resultant reduction of effort would :e so 1

uestantial as to impair the successful completion of the c

ntract er the service order, the contract may be terminated by the Contracting Officer for def ault or for the convenience of tr.e Government, as appropriate. If the Contracting Officer finc: the C ntractor at fault for the condition, the contract price er fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage. s

., , Page 10 NRC-10-89-171 Section H (End of Clause)

H.2 DETERMINATION OF MINIMUM WAGES AND FRINGE BENEFITS (JUNE 1988)

Each employee of the Contractor or any subcontractor performing services under this contract shall be paid at least the minimum allowable monetary wage and fringe benefits prescribed under Wage Determination Humber 79-1201 (Rev. 6) dated 8/3/87 whicr.

is attached (See Section J for List of Attachments).

(End of Clause) i 1

Page 11 NRC-10-89-171 Section I-

.PART II - CONTRACT CLAUSES SECTION I -

CONTRACT CLAUSES

lerlace 1.5 Prompt Payment dated Feb 1983 and 1.7 Service Contract Act Of 1965 dated Apr 1984 with the following clauses:

I.5 PROMPT PAYMENT (52.232-25) (APR 1989)

Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause.

Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified.

(a) Invoice Payments (1) For purposes of this clause, " invoice payment" means a Government disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Government ahd final cost or fee payments where amounts owed have been settled between the Government and the Contractor.

(2) Except as indicated in subparagraph (a)(3) and paragraph (c) of this clause, the due date for making invoice payments by the designated payment office shall be the later of the following two events:

(1) The 30th day after the designated billing office has received a proper invoice from the Contractor.

(ii) The 30th day after Government acceptance of supplies delivered or services performed by the Contractor. On a final invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement. However, if the designated billing office fails to annotate the invoice with the actual date of receipt, the invoice payment due date shall be deemed l to be the 30th day after the date the Contractor's invoice is dated, provided a proper invoice is received and there is no disagreement over quantity, quality, or Contractor compliance with contract requirements.

(3) The due date on contracts for meat and meat food products, contracts for perishable agricultural commodities, contracts for dairy products, edible fats or oils, and food products prepared ' rom edible fats or oils, and contracts not requiring submission of an invoice shall be as follows:

1 .

4

', Page 12 NRC-10-89-171 Section I (i) The due date for meat and meat food products, as defined in LSection 2(a)(3) of_ the Packers and Stockyard Act of 1921 (7 U.S.C.

182(3)) and further defined in Pub. L.98-181.to include any edible fresn or frozen poultry meat, an' perishable poultry meat food '

procuct, fresh eggs, and any perishable egg product, will be as l close_as possible to, but not later than, the 7th day after product deli ve,ry.

(ii) The due date for perishable agricultural commodities, as defined in Section 1(4) of the Perishable Agricultural. Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later than, the 10th day after product delivery, unless another date is specified in the contract.

(iii) The'due date for dairy products, as defined in Section III(e) of the Dairy Production Stabilization Act of 1983 (7 U.S.C.

4502(e)), edible fats or' oils, and food products prepared from edible ~ fats or oils, will be as close as possible to, but not later

- than the 10th day-after the date on which a proper invoice has been received.

(iv) If the contract does not require submission of an invoice for :ayment (e.g., periodic lease payments), the due date will be as specified in the contract.

(4) An invoice is the Contractor's bill or written request for payment under the contract for supplies delivered or services performed. An invoice shall be prepared and submitted to the l designated billing office specified in the contract. A proper invoice must include the items listed in subdivisions (a)(4)(1) through_ (a)(4)(viii) of .this clause. If the invoice does not comply witn these requirements, then the Contractor will be notified of the defect within 7' days after receipt of the invoice at the designated billing office (3 days for meat and meat food products and 5 days for :erishable agricultural commodities, edible fats or oils, and food products prepared from edible fats or oils). Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in sub:aragraph (a)(6) of this clause.

(i) Name and address of the Contractor.

(ii) Invoice date.

(iii) Contract number or other authorization for supplies ,

delivered or services performed (including order number and contract line item number).

(iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.

1 (v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number and weight of shipment will be shown for shipments on Government bills

3c I- .

Page 13 i L '

I

<'s NRC-10-89-171 Section I

'of'1ading. j f (vi).Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contract or in a proper notice of assignment).

(vii) Name (where practicable), title, phone number and mailing address of person to be notified in event of a defective invoice.

(viii) Any other information or documentation required by other r requirements of the contract (such as evidence of shipment).

(5) An interest penalty shall be paid automatically by the Government, without request from the Contractor, if payment is not

. mace by the due date and the conditions listed in subdivisions (a)(5)(1) through (a)(5)(111) of this clause are met, if applicable.

An interest penalty shall not be paid en contracts awarded to foreign vendors outside the United States for work performed outside the United States.

(i) A proper invoice was received by the designated billing office.

(ii) A receiving report or other Government documentation authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition.

(iii) In the case of a final invoice for any balance of funds due the Contractor for supplies delivered or services performed, the amount was not subject to further contract settlement actions between the Government and the Contractor.

(6) The interest penalty shall be the rate established by the Secretary of the Treasury under Section 12 of the Contract Disputes Act of 1978 (41 U.S.C. 611) that is in effect on the day after the due date, except where the interest penalty is prescribed by other governmental authority. This rate is referred to as the

" Renegotiation Board Interest Rate," and it is published in the Feceral Register semiannually on or about January 1 and July 1. The interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive from the first day after the due date through the payment date. That.is, interest accrued at the end of any 30-day period will be added to the approved invoice payment amount and be subject to interest penalties if not paid in the succeeding 30-day period. If the designated billing office failed to notify the contractor of a defective invoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be adjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this adjusted due date. Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor.

4 .

Page 14

+ NRC-10-89-171 Section I:

l(i)1Forthesolepurposeofcomputingan'interestpenaltythat-might-be due the Contractor, Government acceptance shall be deemed to have occurred constructively on the.7th day-(unless otherwise-specified in this contract).after the Contractor delivered the supplies or performed the services in accordance with the terms'and conditions of the' contract, unless.there is a disagreement over j guantity, quality, or contractor compliance with a contract provision. In the event that actual acceptance occurs within_the constructive acceptance period, the determination of an interest penalty shal_l-be based on the actual date of acceptance. 'The constructive acceptance requirement does not, however, compel Government officials to accept supplies or services, perform contract' administration functions, or make payment prior to fulfilling their responsibilities.

(ii) The following periods of time will not be included in the determination of an interest penalty:

-(A) The period taken to notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 7 days (3 days for meat and meat food products and 5 days'for perishable agricultural commodities, dairy products, edible fats or oils, and food products prepared.from edible fats or oils).

(B) The period between the defects notice and resubmission of the corrected invoice ~by the Contractor.

(iii) Interest penalties will not continue to accrue after the filitg of a claim for such penalties under the clause at 52.233-1, Disputes, or for more than 1 year. Interest penalties of.less than

$1.00 need not be paid.

(iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contract compliance or on amounts

! temporarily withheld or retained in accordance with the terms of the contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the clause at 52.233-1, p Disputes.

l (7) An interest penalty shall also be paid automatically by the designated payment office, without request from the contractor, if a discount for prompt payment is taken improperly. The interest penalty will be calculated as described in subparagraph (a)(6) of this clause on the amount of discount taken for the period beginning with the first day after the end of the discount period through the date when the Contractor is pr.id.

(8) If this contract was awarded on or after October 1, 1989, a penalty amount, calculated in accordance with regulations issued by the Office of Management and Budget, shall be paid in addition to the interest penalty amount if the Contractor-(i) Is owed an interest penalty;

Page IS Section I NRC-10-89-171 (ii) -Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and (iii) Makes a written demand, not later than 40 days after the date the invoice amount is paid, that the agency pay such a penalty.

(b) Contract Financing Payments (1) For purposes of this clause, " contract financing payment" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or stage of completion (32.102(e)(1)) other than those mace under the clause at 52.232-5, Payments Under Fixed-Price Construction Contracts, or the clause at 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts.

(2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the (insert day as prescribed by Agency head; if not prescribed, insert 30th -

day) day after receipt of a proper contract financing request by the designated billing office. In the event that an audit or other review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified.

(3) For advance payments, loans, or other arrangements that do not involve recurrent submissions of contract fincncing requests, payment shall be made in accordance with the corresponding contract terms or as directed by the Contracting Officer.

(4) Contract financing payments shall not be assessed an interest penalty for payment delays.

(c) If this contract contains the clause at 52.213-1, Fast Payment Procedure, payments will be made within 15 days after the date of receipt of the invoice.

(End of Clause)

I.7 SERVICE CONTRACT ACT OF 1965, AS AMENDED (52.222-41)

(MAY 1989)

(a) Definitions. "Act," as used in this clause, means the Service Contract Act of 1965, as amended (41 U.S.C. 351, et seq.).

" Contractor," as used in this clause or in any subcontract, shall be deemed to refer to the subcontractor, except in the term

" Government Prime Contractor."

- m N Page 16 NRC-10-89-171 Section I

" Service employee." as used in this clause, means any person engaged in the performance of this contract other than any person emoloyed in a bona fide' executive, administrative, or professional s capacity, as these terms are defined in Part 541 of Title 29, Code of Federal Regulations, as revised. It includes all such persons regardless of any contractual relationship that may be alleged to exist between a Contractor or subcontractor and such persons.

(b) Applicability. This contract is subject to the following provisions and to all other applicable provisions of the Act and regulations of the Secretary of Labor (29 CFR Part 4). This clause does not apply to contracts or subcontracts administrative 1y exemoted by the Secretary of Labor or exempted by 41 U.S.C. 356, as interpreted in Subpart C of 29 CFR Part 4 (c) Compensation. (1) E:,ch service employee employed in the performance of this contract by the Contractor or any subcontractor shall be paid not less than the minimum monetary wages and shall be furnished fringe benefits in accordance with the wages and fringe.

benefits determined by the Secretary of Labor, or authorized representative, as specified in any wage determination attached to this contract.

(2)(i) If a wage determination is attached to this contract, the Contractor shall classify any class of service employee which is not listed therein and which is to be employed under the contract (i.e.,

the work to be performed is not performed by any classification listed in the wage determination) so as to provide a reasonable relationship (i.e., appropriate level of skill comparison) between sucn unlisted classifications and the classifications listed in the wage determination. Such conformed class of employees shall be paid the monetary wages and furnished the fringe benefits as are determined pursuant to the procedures in this paragraph (c).

(ii) This conforming procedure shall be initiated by the Contractor prior to the performance of contract work by the unlisted class of employee. The Contractor shall submit Standard Form (SF) 1444, Request for Authorization of Additional Classification and Rate, to the Contracting Officer no later than 30 days after the unlisted class of employee performs any contract work. The Contracting Officer shall review the proposed classification and rate and promptly submit the completed SF 1444 (which must include information regarding the agreement or disagreement of the employees' authorized representatives or the employees themselves together with the agency recommendation), and all pertinent information to the Wage and Hour Division, Employment Standards Administration U.S. Department of Labor. The Wage and Hour Division will approve, modify, or disapprove the action or render a final determination in the event of disagreement within 30 days of receipt or will notify the Contracting Officer within 30 days of receipt that additional time is necessary.

(iii) The final determination of the conformance action by the Wage and Hour Division shall be transmitted to the Contracting

F Si .

Page.17 7

NRC-10-89-171 Section I' Officer who 'shall' promptly notify the. Contract'or of the' action

. taken. Each affected employee shall be furnished by the Contractor.

with a written copy of such determination or it shall be posted as'a

!part o_f the wage determination.

(iv)(A) The process 'of establishing wage and fringe benefit- rates that bear a: reasonable relationship to those listed in a wage determination cannot be reduced to any single formula. The approach useo may vary from wage determination to wage determination

' depending on-the circumstances. Standard wage'and salary administration practices which rank various job classifications by pay grade pursuant to point' schemes or other job factors may, for example, be relied upon. Guidance may also be obtained from the way.

different jobs are rated under Federal pay systems (Federal Wage .

Boarc Pay System and the General Schedule) or from other wage determinations issued'in the same locality. Basic to the establishment of any conformable wage rate (,s) is the concept that 'a pay

• relationship should be maintained between job classifications baseo on the . skill required and the duties performed.

(3) In the case of.a contract modification, an exercise of an option, or extension of an existing contract, or in any other case where a Contractor succeeds a contract under which the classification in question was previously conformed pursuant to paragraph (c) of this clause, a new conformed wage rate and fringe benefits ray'be assigned to the conformed classification by indexing

'(i.e.. adjusting) the previous conformed rate and fringe benefits by an amount equal to the average (mean) percentage increase (or decrease,- where appropriate) between the wages and fringe benefits specified for all classifications to be used cn the contract which are listed in the current wage determination, and those specified

' for the corresocnding classifications in the previously applicable wage determination. Where conforming actions are accomplished in acc:rdance with this paragraph prior to the performance of contract worn by the unlisted class of employees, the Contractor shall advise the Contracting Officer of the action taken but the other procedures o in subdivision (c)(2)(ii) of this clause need not be followed.

(C) No employee engaged in performing work on this contract shall in any event be paid less than-the currently applicable minimum wage specified under section 6(e)(1) of the Fair Labor Standards Act of 193E. as amended.

(v) The wage rate and fringe benefits finally determined under this subparagraph (c)(2) of this clause shall be paid to all employees performing in the classification from the first day on whicn contract work is performed by them in the classification.

Failure to pay the unlisted employees the compensation agreed upon by the interested parties and/or finally determined by the Wage and Hour Division retroactive to the date such class of employees commenced contract work shall be a violation of the Act and this contract.

(vi) Upon discovery of failure to comply with subparagraph (c)(2) of tnis clause, the Wage and Hour Division shall make a final

p

.Page 18 t

E NRC-10-89-171: Section I

' determination of canf' ormed classification,-wage rate, and/or fringe benefits which shall be retroactive to the date such class or I clas'ses of employees commenced contract work.

(3) Adjustment of Compensation. If the term of this contract is more than 1 year, the ' minimum monetary wages and fringe benefits recuired'to be paid or furnished thereunder to service employees unter this contract shall be subject to adjustment after 1 year and not less often than once every 2 years, under wage determinations issued by the Wage and Hour Division.

(d) Obligation to Furnish Fringe Benefits. The Contractor or subcontractor may discharge the obligation to furnish fringe benefits specified in the attachment or determined under suecaragraph (c)(2) of this clause by furnishing equivalent ccmcinations of bona fide fringe benefits, or by making equivalent or differential cash payments, only in accordance with Subpart D of 29 CFR Part 4.

(e) Minimum Wage. In the absence of a minimum wage attachment for this contract, neither the Contractor nor any subcontractor under this contract shall pay any person performing work under this contract (regardless of whether the person is a service employee) less than the minimum wage specified by section 6(a)(1) of the Fair Labor Standards Act of 1938. Nothing in this clause shall relieve the Contractor or any subcontractor of any other obligation under law or contract for payment of a higher wage to any employee.

.(f) Successor Centracts. If this contract succeeds a contract subject to the Act under which substantially the same services were furnished in the same locality and service employees were paid wages ano fringe benefits provided for in a collective bargaining agreement, in the absence of the minimum wage attachment for this

-contract setting forth such collectively bargained wage rates and fringe benefits, neither the Contractor nor any subcontractor under this contract shall pay any service employee performing any of the centract work (regardless of whether or not such employee was employed under the predecessor contract), less than the wages and fringe benefits provided for in such collective bargaining agreement, to which such employee would have been entitled if employed under the predecessor contract, including accrued wages and fringe benefits and any prospective increases in wages and fringe benefits provided for under such agreement. No Contractor or subcontractor under this contract may be relieved of the foregoing obligation unless the limitations of 29 CFR 4.lb(b) apply or unless the Secretary of Labor or the Secretary's authorized representative finds, after a hearing as provided in 29 CFR 4.10 that the wages and/or fringe benefits provided for in such agreement are substantia'11y at variance with those which prevail for services of a character similar in the locality, or determines, as provided in 29 CFR 4.11, that the collective bargaining agreement applicable to service employees employed under the predecessor contract was not entered into as a result of arm's length negotiations. Where it is found in accordance with the review procedures provided in 29 CFR 4.10 and/or 4.11 and Parts 6 and 8 that some or all of the wages

n Page 19 NRC-10-89-171 Section I and/or fringe benefits contained in a predecessor Contractor's collective bargaining agreement are substantially at variance with those which prevail for services of a character similar in the locality, and/or that the collective bargaining agreement applicable

-to service employees employed under the predecessor contract was not entered into as a result of arm's length negotiations, the Department will issue a new or revised wage determination setting forth the applicable wage rates and fringe benefits. Such determination shall be made part of the contract or subcontract, in accordance with the decision of the Administrator, the Administrative Law Judge, or the Boarc of Service Contract Appeals, as the case may be, irrespective of whether such issuance occurs prior to or after the award of a contract or subcontract (53 Comp.

Gen. 401 (1973)). In the case of a wage determination issued solely as a result of a finding of substantial. variance, such determination shall be effective as of the date of the final administrative decision.

(g) Notification to Employees. The. Contractor and any subcontractor under this contract shall notify each service employee commencing work on this contract of the minimum monetary wage and any fringe benefits required to be paid pursuant to this contract, or shall post the wage determination attached to this contract. The poster provided by the Department of Labor (Publication WH 1313) shall be posted in a prominent and accessible place at the worksite.

l Failure to comply with this requirement is a violation of section l

2(a)(4) of the Act and of this contract.

(h) Safe and Sanitary Working Conditions. The Contractor or subcontractor shall not permit any part of the services called for by this contract to be performed in buildings or surroundings or under working conditions provided by or under the control or supervision of the Contractor or subcontractor which are unsanitary, hazardous, or dangerous to the health or safety of the service i employees. The Contractor or subcontractor shall comply wi+h the safety and health standards applied under 29 CFR Part l'""

(i) Records. (1) The Contractor and each subcon' crtor erforming work subject to the Act shall make and maintain f 3 years from the completion of the work, and make them available ic inspection and transcription by authorized representatives of the Wage and Hour Division, Employment Standards Administration, a record of the following:

(1) For each employee subject to the Act --

(A) Name and address and social security number; (B) Correct work classification or classifications, rate or rates of monetary wages paid and fringe benefits provided, rate or rates of payments in lieu of fringe benefits, and total daily and weekly compensation; (C) Daily and weekly hours worked by each employee; and l

l

Page 20 NRC-10-89-171 Section I (D) Any deductions, rebates, or refunds from the total daily or weekly compensation of each employee.

(ii) For those classes of service employees not included in any wage determination attached to this contract, wage rates or fringe benefits determined by the interested parties or by the Administrator or authorized representative under the terms of paragraph (c) of this clause. A copy of the report required by subdivision (c)(2)(ii) of this clause will fulfill this requirement.

(iii) Any list of the predecessor Contractor's employees which had been furnished to the Contractor as prescribed by paragraph (n) of this clause.

(2) The Contractor shall also make available a copy of this contract for inspection or transcription by authori:ed representatives of the Wage and Hour Division.

(3) Failure to make and maintain or to make available these records for inspection and transcription shall be a violation of the regulations and this contract, and in the case of failure to produce these records, the Contracting Officer, upon direction of the Department of Labor and notification to the Contractor, shall take action to cause suspension of any further payment or advance of funds until the violation ceases.

(4) The Contractor shall permit authorized representatives of the Wage and Hour Division to conduct interviews with employees at the worksite during normal working hours.

(j) Pay Periods. The Contractor shell unconditionally pay to each employee subject to the Act all wages due free and clear and without subsequent deduction (except as otherwise provided by law or Regulations, 29 CFR Part 4), rebate, or kickback on any account.

These payments shall be made no later than one pay period following the end of the regular pay period in which the wages were earned or accrued. A pay period under this Act may not be of any duration longer than semi-monthly.

(k) Withholding of Payments and Termination of Contract. The Contracting Officer shall withhold or cause to be withheld from the Government Prime Contractor under this or any other Government contract with the Prime Contractor such sums as an appropriate l

official of the Department of Labor requests or such sums as the l Contracting Officer decides may be necessary to pay underpaid employees employed by the Contractor or subcontractor. In the event of failure to pay any employees subject to the Act all or part of the wages or fringe benefits due under the Act, the Contracting Officer may, after authorization or by direction of the Department of Labor and written notification to the Contractor, take action to cause suspension of any further payment or advance of funds until such violations have ceased. Additionally, any failure to comply with the requirements of this clause may bo grounds for termination of the right to proceed with the contract work. In such event, the Government may enter into other contracts or arrangements for

)

1

-.x , -

Page 21'

.NRC-10-89-171 Section I y

completion of, the work,- charging.the Contractor. in default with any additional cost.

- (1) Subcontracts. The Contractor agrees to insert this clause in all subcontracts subject to the Act.

(m) Collective Bargaining Agreements Applicable to Service Employees. If wages to be paid or fringe benefits to be furnished any service' employees employed by the Government Prime. Contractor or any' subcontractor under the contract are'provided for in a collective bargaining agreement which is or will be effective during any period.in which.the contract is being performed, the Government Prime Contractor shall report such' fact to the Contracting Officer, together with full information as to the application and accrual of such wages and. fringe benefits, including any prospective increases, to service employees engaged in work on the contract, and a copy of the. collective bargaining agreement. Such report shall be made upon commencing performance =of the contract, in the case of collective bargaining agreements effective at such time, and in the case of sucn agreements or provisions or amendments thereof effective at a later time during the period of contract performance such agreements shall be reported promptly after negotiation thereof.

- (n) Seniority List. Not less than 10 days prior to completion of any contract being' performed at a Federal facility where service employees may be retained in the performance of the succeeding contract and subject to a wage determination which contains vacation or other benefit provisions based upon length of service with a Contractor (predecessor) or successor (29_ CFR 4.173), the incumbent Prime Contractor shall furnish the Contracting Officer a certified list of the names, of all service employees on the Contractor's or subcontractor's payroll during the last month of contract performance. Such list shall also contain anniversary dates of employment'on the contract either with the current or predecessor Contractors of each such service employee. The Contracting Officer shall turn over such list to the successor Contractor at the commencems.:t cf the succeeding contract.

, (o) Rulings and Interpretations. Rulings and interpretations of

l. the Act are contained in Regulations, 29 CFR Part 4 l

(p) Contractor's Certification. (1) By entering into this contract, the Contractor (and officials thereof) certifies that neither it (nor he or she) nor any person or firm who has a substantial interest in the Contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of the sanctions imposed under section 5 of the Act.

(2) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract under section 5 of the Act.

(3) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

i

.. Page 22

.NRC-10-89-171 Section I

-(q) Variations, Tolerances, and Exemptions Involving Employment.

Notwithstanding.any of the provisions in paragraphs (b) through (o)

K of this clause, the following employees may be employed in ace:rdance with the following variations, tolerances, and exemotions, which.the Secretary of Labor, pursuant to section 4(b) of the Act prior to its amendment by Pub. L.92-473, found to be necessary and proper in the public interest or to avoid serious l

impairment of the conduct of Government business.

(1) Apprentices, student-learners, and workers whose earning capacity is impaired by age, physical or mental deficiency or injury may be employed at wages lower than the minimum wages otherwise recuired by section 2(a)(1) or 2(b)(1) of the Act without diminishing any fringe benefits or cash payments in lieu thereof recuired under section 2(a)(2) of the Act, in accordance with.the concitions and procedures prescribed for the employment of ap:rentices, student-learners, handicapped persons, and handicapped clients of sheltered workshops under section 14 of the Fair Labor Stancards Act of 1938, in the regulations issued by the Administrator (29 CFR Parts 520, 521, 524, and 525).

(2) The Administrator will issue certificates under the Act for the employment of apprentices, student-learners, handicapped persons, or handicapped clients of sheltered workshops not subject to the Fair Labor Standards Act of 1938, or subject to different minimum rates of pay under the two acts, authorizing appropriate rates of minimum wages (but without changing requirements concerning fringe benefits or supplementary cash payments in lieu thereof),

applying procedures prescribed by the applicable regulations issued uncer the Fair Labor Standards Act of 1938 (29 CFR Parts 520, 521, 524, and 525).

(3) The Administrator will also withdraw, annul, or cancel such certificates in accordance with the regulations in 29 CFR Parts 525 anc 528.

(r) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they perform when they are employed and individually registered in a bona fide apprenticeship program registered with a State Apprenticeship Agency which is recognized by the U.S. Department of Labor, or if no such recognized agency exists in a State, under a program registered with the Bureau of Apprenticeship and Training, Employment and Training Administration, U.S. Department of Labor. Any employee who is not registered as an apprentice in an approved program shall be paid the wage rate and f"inge benefits contained in the applicable wage determination for the journeyman classification of work actually performed. The wage rates paid apprentices shall not be less than the wage rate for their level of progress set forth in the registered program, expressed as the appropriate percentage of the journeyman's rate contained in the applicable wage determination.

The allowable ratio of apprentices to journeymen employed on the contract work in. any craft classification shall not be greater than  !

the ratio permitted to the Contractor as to his entire work force uncer the registered program.  ;

g Page 23-

.NRC-10-89-171 Section I (s) Tips. An employee engaged ~1n an occupation in which'the employee customarily. and regularly receives more than $30 a month in tips may have the amount of these tips credited by the employer against the minimum wage required by section 2(a)(1) or section 2(b)(1) of the Act, in accordance with section 3(m) of the Fair Laser Standards Act.and Regulations 29 CFR Part 531..However, the amount of credit shall not exceed $1.34 per hour beginning January .

1. 1981. To use this provision --

(1) The employer must inform tipped employees about this tip credit allowance before the credit is utilized; (2) The employees must be allowed to retain all tips (individually or through a pooling arrangement and regardless of whether the employer elects to take a credit for tips received);

(3) The employer must be able to show by records that the emoloyee receives at least the applicable Service Contract Act minimum wage through the combination of direct wages and tip credit; ano (4) The use of such tip credit must have been permitted under any predecessor collective bargaining agreement applicable by virtue of section 4(c) of the Act.

(t) Disputes Concerning Labor Standards. The U.S. Department of Labor.has set forth in 29 CFR Parts 4, 6, and 8 procedures for resolving disputes concerning labor standards requirements. Such disputes shall be resolved in accordance with those procedures and not the Disputes clause of this contract. Disputes within the meaning of this clause include disputes between the Contractor (or any of its subcontractors) and the contracting agency, the U.S.

Department of Labor, or the employees or their representatives.

(End of clause)

o l]

, i m ,.

Page 24 NRC-10-89-171 L

l The' following full text clauses are added to this contract:

I.9 REMEDIES FOR ILLEGAL OR-IMPROPER ACTIVITY-(52.203-10)

(MAY 1989) :l (a) The Government, at its election, may reduce the price of a fixed price type contract or contract modification and the total cost.and fee under a cost-type contract or. contract modification by the. amount of profit or fee determined as set forth in paragraph (c) of this clause if the head of the agency or his or her designee, determines that there was a violation of subsection 27(a) of the Office of Federal Procurement Policy Act (41 U.S.C. 423) as implemented in the FAR. In the case of a contract modification, the fee subject to reduction is the fee associated with the particular contract modification.

(b) Prior to making such a fee or profit reduction, the agency heao or his or her designee shall provide to the Contractor a written notice of the action being considered and the basis therefor. The Contractor shall have a period determined by the agency head or his or her designee, but in no event less than 30 calendar days after receipt of such notice, to submit in person, in writing, or through a representative, information and argument in opposition to the proposed reduction. The agency head or his or her designee may, upon good cause shown, determine to reduce the contract or contract modification price or fee by an amount which is

. less than the amount determined under paragraph (c) of this clause.

(c) The price or fee reduction referred to in paragraph (a) of this clause shall be --

(1) For cost plus-fixed-fee contracts, the amount of the fee specified in the contract at the time of award; (2) For cost plus-incentive-fee contracts, the target fee specified in the contract at the time of award notwithstanding any minimum fee or " fee floor" specified in the contract.

(3) For cost plus-award-fee contracts --

(i) The base fee established in the contract at the time of centract award; (ii) If no base fee is specified in the contract, 10 percent of the amount of each award fee otherwise payable to the contractor for each incentive period or at each award fee determination point.

(4) For fixed price-incentive contracts, the Government may --

(1) Reduce the contract target price and contract target profit both by an amount equal to the initial target profit specified in the contract at the time of contract award; (ii) When the contract provides for multiple deliverables, reduce

e p;

Page 25 NRC-10-89-171 the amount otherwise payable to the contractor upon each delivery and acceptance by an amount determined by the Contracting Officer to be the profit portion of each payable amount until the cumulative total of such reductions is equal to the initial target profit amount specified in the contract at the time of contract award;.

(iii) In addition to any other withholdings, retentions or reserves, reduce the amount of progress payments otherwise payable in connection with each invoice or voucher properly submitted by the contractor for payment until the aggregate progress payments amounts so withheld equal the initial target profit established at the time of contract award; or (iv) If the Government elects either (c)(4) (ii)-or (iii) of this clause, at the time of total final price establishment, the price established in accordance with the incentive price revision provisions of the contract shall be reduced by an amount equal to the amount of. initial target profit specified in the contract at the time of contract award and such reduced price shall be the total final contract price. Any progress payments amounts retained by the Government in (c)(4)(iii) of this clause shall be returned to the contractor, if appropriate.

(5) For firm-fixed price contract or contract modifications, by 10 percent of the initial contract price; 10 percent of the contract modification price; or a profit amount determined by the Contracting Officer from records or documents in existence prior to the date of the contract award or modification.

(d) The Government may, at its election, reduce a prime contractor's price or fee in accordance with the procedures of paragraphs (b) and (c) of this clause for violations of the Act by its subcontractors by an amount not to exceed the amount of profit or fee reflected in the subcontract at the time the subcontract was first definitively priced.

(e) In addition to the remedy in paragraph (a) of this clause, the Government may terminate this contract or modification for default. The rights and remedies of the Government specified herein are not exclusive, and are in addition to any other rights and remecies provided by law or under this contract.

(End of clause)

I.10 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT INTEGRITY -- MODIFICATION. 52.203-9 (MAY 1989) l

! (a) Definitions. The definitions set forth in FAR 3.104-4 are I hereby incorporated in this clause.

(b) The Contractor agrees that it will execute the certification set forth in paragraph (c) of this clause when requested by the Contracting Officer in connection with the execution of any modification of this contract. A contract modification may not be executed without the certification.

'- . . . . I

% , Page 26 l NRC-10-89-171 l

(c) Certification. As required in paragraph (b) of this clause, the officer or employee -responsible for the modification proposal shall execute the following certification:

CERTIFICATE OF PROCUREMENT INTEGRITY -- MODIFICATION (MAY 1989)

(1):I, (Name of certifier), am the officer or employee responsible for the preparation of this modification proposal and hereby certify that, to :ne best of my knowledge and belief, with the exception of any information described in this certification, I have no information concerning a violation or possible violation of subsection 27(a),

(b), (c), or (e) of the Office of Federal Procurement Policy Act (41 U.S.C. 423), (hereinafter referred to as-the Act), as implemented in the FAR, occurring during the conduct of this procurement (contract num:er- ) (modification number ).

(2) As required by subsection 27(d)(1)(B) of the Act, I further certify that each officer, employee, agent, representative, and consultant of-(Nameof offeror) who has participated personally and substantially in the preparation or submission of this proposal has certified that he'or she is familiar with, and will comply with, the requirements of subsection 27(a) of the Act, as implemented in the FAR, and will report immediately to me any information concerning a violation or possible violation of subsections 27 (a), (b), (c), or (e) of the Act, as implemented in the FAR, pertaining to this procurement.

(3) Violations or possible violatiuns: (Continue on plain bond paper if necessary and label " Certificate of Procurement Integrity

- u dification o (Continuation Sheet)") (ENTER "NONE" IF NONE EXISTS)

(Signature of the Officer or Employee Responsible for the Modification Proposal)

(Date)

(Typed Name of the Officer or Employee Responsible for the Modification) Proposal]

THIS CERTIFICATION CONCERNS A MATTER WITHIN 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 TITLE 18, UNITED STATES CODE, SECTION 1001.

=- - _ - - - _ _ _ _ _ - .

~

9'. ,

Page 27 NRC-10-89-171

'(End of certification)

('d)~ In making the ~ certification in paragraph (2) of the certificate, the Contracter may rely upon the certification by an officer, emplofee, agent, representative, or consultant that such person is'in compliance with the requirements' of subsections 27 (a),

(b),,(c), or (e) of the Office of Federal Procurement Policy Act (41 U.S.C. 423), as implemented in the FAR, unless the Contractor knows, or should have known, of reasons to the contrary. The Contractor may rely'upon periodic certifications that must be obtained at least annually, supplemented with periodic training programs. These certifications shall be maintained by the Contractor for a period of 6 years from the date of execution.

(e) The' certification required by paragraph (c) of this clause is a material representation'of fact upon which reliance will be placed in executing this modification.

(End of clause)

I.'* PROTECTING THE GOVERNMENT'S INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT (52.209-6) (MAY 1989)

(a) The Government suspends or debars Contractors to protect the Government's interests. Contractors shall not enter into any subcontract equal to or in excess of $25,000 with a Contractor that has been debarred, suspended, or proposed for debarment unless there

- is a compelling reason to do so. If a Contractor intends to subcontract with a party that is debarred, suspended, or proposed for debarment (see FAR 9.404 for information on the list of Parties Excluded from Procurement Programs), a corporate officer or designee of the Contractor shall notify the Contracting Officer, in writing, before entering into such subcontract. The notice must include the following:

(1) The name of the subcontractor; (2) The Contractor's knowledge of the reasons for the subcontractor being on the list of Parties Excluded from Procurement

Programs; (3) The compelling reason (s) for doing business with the

- subcontractor notwithstanding its inclusion on the list of Parties Excluded from Procurement Programs; and (4) The systems and procedures the Contractor has established to ensure that it is fully protecting the Government's interests when

- dealing with such subcontractor in view of the specific basis for the carty's debarment, suspension, or proposed debarment.

(b) The Contractor's compliance with the requirements of 52.209-6 will be reviewed during Contractor Purchasing System Reviews (see FAR Subpart 44.3).

.. I age 28 NRC-10-89-171 I

i (End of clause)

I.12 RESTRICTIONS ON CONTRACTING WITH SANCTIONED PERSONS (52.225-13) (MAY 1989)

(a) Definitions. (1) " Component part," means any article which is not usable for its intended functions without being imbedded or integrated into any other product and which, if used in production of a finished product, would be substantially transformed in that process.

(2) ." Finished product," means any article which is usable for its intended function without being imbedded in, or integrated into, any other product. It does not include an article produced by a person, other than a sanctioned person, that contains parts or components of the sanctioneo person if the parts or components have been substantially transformed during production of the finished product.

(3) " Sanctioned person," means a company or other foreign person upon whom prohibitions have been imposed.

(4) "Substantially transformed," when referring to a component part or finished product, means that the part or product has been subjected to a substantial manufacturing or processing operation by which the part or product is converted or combined into a new and different article of commerce having a new name, charactor, and use.

(b) General. Section 2443 of the Multilateral Export Control Enhancement Amendments Act (Pub. L. 100-418) and Executive Order 12661, effective December 28, 1988, impose, for a period of 3 years, with certain exceptions, a prohibition on contracting with, or procuring (including rental and lease / purchase) directly or indirectly the products or services of (1) Toshiba Machine Company, (2) Kongsberg Trading Company, (3) Toshiba Corporation, or (4)

Kongsberg Vaaoenfabrikk. The Act and Executive Order also prohibit, for the same 3 year period, the importation into the United States of all products produced by Toshiba Machine Company and Kongsberg Trading Company. These prohibitions also apply to subsidiaries, successor entities or joint ventures of Toshiba Machine Company or Kongsberg Trading Company.

(c) Restriction. Unless listed by the Contractor in its offer, in the solicitation provision at FAR 52.225-12, Notice of Restrictions on Contracting with Sanctioned Persons, or unless one of the exceptions in paragraph (d) of this clause applies, the Contractor agrees that no products or services delivered to the Government under this contract will be products or services of a sanctioned person.

(d) Exceptions. The restrictions apply --

(1) To finished products of nonsanctioned persons containing components of a sanctioned person if these components have been substantially transformed during the manufacture of the finished

c.: .

Page 29 NRC-10-89-171 product.

(2) To products or services of a sanctioned person provided --

(i)-The products are designed to the specifications of a nonsanctioned person marketed under the trademark, brand or name of the nonsanctioned person; (ii) The business relationship between the nonsanctioned person and the sanctioned person clearly existed prior to June 30,1987; and (iii) The nonsanctioned person is not directly or indirectly owned by a sanctioned person.

(3) If a determination has been made in accordance with FAR 25.1003 (a) or (b).

(e) Award. Award of any contract resulting from this solicitation will not affect the Contractor's obligation to comply with importation regulations of the Secretary of the Treasury.

(End of Clause)

I.13 DISCOUNTS FOR PROMPT PAYMENT (52.232-3) (APR 1989)

(a) Discounts for prompt payrrent will not be considered in the evaluation of offers. However, any offered discount will form a part of the award, and will be taken if payment is made within the discount period indicated in the offer by the offeror. As an alternative to offering a prompt payment discount in conjunction with the offer, offerors awarded contracts may include prompt payment discounts on individual invoices.

(b) In connection with any discount offered for prompt payment, time shall be computed from the date of the invoice. For the purpose of computing the discount earned, payment shall be considered to have been made on the date which appears on the payment check or the date on which an electronic funds transfer was made.

(End of Claus.e) l 1

r.

L'

. . !L, '

REVISED 8/89 BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACTS General: The contractor shall prepare vouchers or invoices as prescribed herein. FAILURE TO SUBMIT VOUCHERS / INVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT IN REJECTION OF THE VOUCHER / INVOICE AS IMPROPER.

Form: . Claims shall be submitted on the payee's letterhead, voucher / invoice, or on the Government's Standard Form 1034, "Public Voucher for Purchasec and Services Other.than Personal," and Standard Form 1035, "Public Voucher for Purchases Other than Personal--Continuation Sheet."

These forms are available from the U. S. Government Printing Office, 701 North Capitol Street, Washington, D.C. 20801.

Numcer of Copies: An original and three copies shall be submitted.

Failure to submit all the required copies will result in rejection of the voucher / invoice as improper.

Designated Agency Billing Office: Vouchers / invoices shall be submitted to the following address:

U. S. Nuclear Regulatory Commission Division of Contracts and Property Management Contract Administration Branch, Ma11stop P-902 Washington, D.C. 20555 HAND-DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NOT EXPEDITE PROCESSING BY NRC. However, should you choose to deliver vouchers / invoices by hand, including delivery by any express mail services or special delivery services which use a courier or other person to deliver the

. voucher / invoice in person to the NRC, such vouchers / invoices must be addressed to the above Designated Agency Billing Office and will only be accepted at the following location:

U. S. Nuclear Regulatory Commission One White Flint North 11555 Rockville Pike Mail Room Rockville, Maryland 20852 HAND-CARRIED SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS.

Note that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts and Property Management.

Agency Payment Office: Payment will continue to be made by the office designated in the contract in Block 13 of SF 26 or Block 25 of SF 33, whichever is applicable.

= ___ - _ - __

., v..

2- REVISED 8/89 Frecuency: The contractor shall submit an voucher or invoice only after-NRC's final acceptance of services rendered or products delivered in performance of the contract unless otherwise specified in the contract.

Preparation and Itemization of the Voucher / Invoice: The voucher / invoice shall be prepared in ink or by typewriter (without strikeovers). l Corrections or erasures must be initialed. To be' considered a proper l voucher / invoice, all of the following elements must be included:

1. Contract number

2. Sequential voucher / invoice number.

3. Date of voucher / invoice.  ;

4. Project Officer's name and mailstop as designated in the contract.

5. Payee's name and address. (Show the name of the contractor and its  !

correct address. In addition, when an assignment of funds has been 1

made by the contractor, or a different payee has been designated, include the name and address of the payee.) Indicate the name and i telephone number of the individual responsible for answering questions the NRC may have regarding the voucher / invoice. l

6. Description of articles or services, quantity, unit price, and  !

total amount. j

7. Weight and zone of shipment, if shipped by parcel post. I 8-. Charges for freight or express shipments. Attach prepaid bill if shipped by freight or express.  !

1

9. Instructions to consignee to notify the Contracting Officer of  !

receipt of shipment.  !

10. For Indefinite Delivery contracts or contracts under which progress  ;

payments are authorized, the final voucher / invoice shall be marked  ;

" FINAL VOUCHER" or " FINAL INVOICE." j Currency: Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be made in that currency. However, the U. S. dollar equivalent for all l

vouchers / invoices paid under the contract may not exceed the total U. S. ,

dollars authorized in the contract.

Supersession: These instructions supersede any previous billing instructions.

L______..___ __ _ _ . _ . _ _ . _ _ _ _ . _ _ _ _ _ _ _ _ . _ . _ _ _ _ _ _ _ _ . . . . _ _ _ _ _ _ _ _ _ . _ . _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ .

g... ,

.r- * ,

, l PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec.

20-1.5401 Scope and policy.

20-1.5402 De.finitions.

20-1.5403 Criteria for recognizing contractor organizational

. conflicts of interest.

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405 1 General contract clause. -

20-1.5405-2 Special contract provisions. I 20-1.5406 Evaluation, findings, and contract award.-

20-1.5407 Conflicts identified after award. '

20-1.5408 Reserved) 20-1.5409 *

(Rese'rved)

( .

20-1.5410 Subcontractors.

20-1.5411 Waiver.

20-1.5412 Remedies. .

AUTHORITY: Sec. 8 Pub. L.95-601, adding Sec. 170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch. 14) 520-1.5401 Scope and Policy ,

(NRC)(a) It is the to avoid, policy of eliminate or the U.S. Nuclear neutralize Regulatory contractor Comission organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or' potential conflicts of interest in the event of contract award.

. (b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be ' applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?

(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other relat'ionships with NRC (e.g., parties to a licensing proceeding) are not s covered by this regulation. This rule does not apply to the acquisition of consulting services through the persennel appointment orocess, NRC I

I

7590 '

agreements with other government agencies, international organizations, or state, local or foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate.

I20-1.5402 Definitions (a) " Organizational 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 perfonned 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 prod'uct, or (2) may result in its being given an unfair competitive advantage.

(b) %Research* means. any scientific or techriical work involving theoretical analysis, exploration, or experimentation.

(c) ' Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; artd preparation of preliminary designs, specifications, or statements of work.

(e) " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).

~

(f) " Contractor" means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates thereof, s

or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants l or subcontractors, which is a party to a contract with'the NRC.

(g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern er individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).

(h) " Subcontractor" means any subcontractor of any tier which .

performs supplies and work under a contract subcontracts withofthe in amounts NRC except

$10,000 or less.subcontracts for l ,

(i) " Prospective contractor" or " offeror" means any person, firm,

~

unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or. unsolicited, to the NRC to obtain a contract.

l?.'.:.

w - _ - -__.

. t , , '

1 7590-01 (j) " Potential conflict of interest" means that a factual situation  ;

exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The tem " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or Aich must be . reported to the contracting l officer for investigation if they arise during contract perfomance.

I20-1.5403 Criteria for recognizing contractor organizational

. conflicts of interest (a) General. Two questions will be asked in detemining whether actual or potential organizational conflicts of interest exist: (1) Are

• 'there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC? (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts disclosed and the work to be performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential. organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and ,

research programs.

(b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offerer or contractor shall disclose infomation concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:

(1) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance ir, the. same arec to any organization regulated by the .NRC.

(ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.,

(iii) Where the offerer or contractor evaluates its own products or services, or the products or services of another entity where the offerer or contractor has been substantially involved in their development or marketing.

(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its

' judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offerer or contracter.

t

o

['

7590-01 ' .

(2) The contracting officer may request specific infomation from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances:

fi) Where the offeror or contractor prepares specifications which are tu 'oc used in competitive procurement of products or services covered by such specifications.

(ii) Where the offeror or contractor prepares plans for specific

. approaches or methodologies that are to be incorporated into competitive -

procurement using such approaches or methodologies.

(iii) Where the offeror or contractor is granted access to information

. not available to the public concerning NRC' plans, policies, or programs which could form the basis for a later procurement action.

(iv) Where the offeror or contractor is granted access to proprietary infonnation of its competitors.

(v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.

(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.

The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

advises that it is currently performing similar analyses for the reactor

. manufacturer.

Guidance. An NRC contract for that particular work nor1nally would not be awarded to the XYZ Corp. because it would be placed in a position

- in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.

(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the cas'e with other technically qualified companies respnnding to the RFP, the ABC Corp. is perfoming 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.

~

-4 e e: .

.;e::..

7590-01 1

Gu'idance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the perfomance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the perfomance of similar work for the' company developing the I advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type l-of comercial nuclear facility,- it is imperative that NRC secure specific

' data on various . operational aspects of that type of' plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with.whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decil; ions affect the reactor's design and thus the company's costs. '

Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.

Since the nature of the work required is vitally important in tems of

'NRC's responsibilities and no reasonable alternative exists, a waiver of

. the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

~

(4) Example.' The ABC Co. submits a proposa'1 for a new system for evaluating a specific reactor component's perfomance for the purpose of developing standards that are important to the NRC program. The ABC Co.

has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.

Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no infomation produced under the contract will be used in the contractor's private activities unless such infomation has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes infomation to the contractor for the perfomance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further.. the contract will stipulate that the contractor will infom the NRC contracting I officer of all situations in which the information developed under the

. contract is proposed to be used.

l

_ _ _ _ __-. _ . _ ---- _ . - - - - - - - - - - - 1 -.

q

. l

. l 7590-01

. 1

' (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and )

l 520-1.5403(b)(1)(1), ABC Corp. infoms the NRC that it is presently doing seismolog'ical studies for several utilities in the Eastern United ,

States but none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The contracting officer would nomally conclude that award of a contract would not ' place ABC Corp. in a conflicting role where its udgment might be biased. The work for others clause of 5 20-1.5405-1 (c would preclude ABC Corp from accepting work during the tem of the NRC contract which could create a confifet of interest.

(d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant to a determination of the existence of such conflicts prior to the award of a contract.

(2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.

520-1.5404 Representation (a) The following procedures are designed to assist' the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offerer or contractor.

(b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or

- activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation. provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

- . 75h0-01 P'

1

!0 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION j  ! represent to the best of my knowledge and belief that:

' /- The award to of a contract or the modification of an i l

I

' existing contract does-( ) or does not ( ) involve situaticns or relationships ,

) of the type set forth in 41 CFR's20-1.5403(b)(1).

kall(c) Instructions to offerors. The following shall be included in NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR i

5 20-1.5403(b)(1) are involved, or the contracting officer otherwise ,

detemines that. potential organizational conflicts ' exist, the offeror I shall provide a statement in writing which describes in a concise mannere I all relevant facts bearing on his representation to the contracting officer. If the contracting officer detemines that organizational conflicts exist, the following actions may be taken: (i) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 1, 20-1.5411.

(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required

~

by 120-1.5404(c), shall' resuit in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational

• conflicts of interest, propose to exclude specific kinds of work from the statements of work contained ir, a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerers, the proposal must be rejected as unacceptable.

(e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be . permitted to correct the omission.

i 20-1.5405 Contract clauses I

~

~ s 20-1.5405-1 General contract clause l

l ~

7590-01 .

All contracts of the types set forth in I20-1.5404(b) shall include a I

the following clauses:

(a) Purpose.

The primary (purpose of this clause is to aid in1) Is not plac ensuring that the contractor:

I; because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performaps of this contract. ,

(b) Scope. The restrictions described herein shall apply to perfomance or participation by the contractor as defined in 41 CFR I 20-1.5402(f) in the actitities covered by this clause.

(c) Work for others. Notwithstanding any other provision of this contract, during the term of thi", 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 perfomed under this contract.

The contractor shall ensure that all employees who are employed full -

time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor' believes with respect to itself or; any such employee that any proposed consultant or other contractual arrangement with any fim or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth

. in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).

l- (2) .The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interests of the government.

(e) Access to and use of information. (1) If the contractor in the perfomance of this. contract obtains access to infomation, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the cohtractor agrees not to: (i) Use such released information for any(private to the public; ii) compete purpose for workuntil the Comission for the informationbased has been

• .. -H-

3 ,* . ? -

an '

7590-01 on such information for a' period of six (6) months after either the completion of this contract or the release of such infomation to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the infomation without prior written approval by the contracting officer unless such infc mation has previously been released to the public by the NRC.*

(2) In addition, the contractor agrees that' to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use cf the information.

(3) The contractor shall have,. subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements

. of this contract have been met.

(f) Subcontract.s. Except as provided in 41 CFR 5 20-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The torms " contract," " contractor," and

" contracting officer,"*shall be appropriately modified to preserve the government's rights.

(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevaat interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be

• pemitted by' law or this contract.

(h) Waiver. A requ'est for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (E00) in accordance with the procedures outlined ini20-1.5411.

l 520-1.5405-2 Special contract provisions.

(a) If it.is determined from the nature of the proposed contract that organizational conflicts of interest exist, the (Sntracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through th.e use of an appropriate special contract provision. If appropriate, the offeror may negotiate the tems and conditions of these clauses, including the

- extent and time period of any such restriction. These provisions include

' but are not limited to:

.g.

_- -_- __ ______________ ._L

7590-01 .

1.

1.

~.

(1) ' Hardware exclusion clauses which prohibit the acceptance of production contracts following a related nonproduction contract previously.

performed by the contractor; (2) Software exclusion clauses; l

(.M . Clauses which require the contractor (and certain of his key personnel) to avoid- certain organizational conflicts of interest; and (4) . Clauses which provide for protection of confidential data and guard against its. unauthorized use, ,

4 (b) The following additional contrict clause may be included as section (1) in the clause set forth in 5 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.

.(i) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products -

or services of another firm if'the contractor has been substantially involved in the development or marketing of su'ch products or services.

(2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual The effort which is based on such statement of work or specifications.

contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting

- officer, in which case the restriction in this subparagraph shall not apply.

(3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government.

5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted,120-1.5404(b) by an offeror pursuant to the representation After evaluating requirements of this information and other relevant information.

agains't the criteria of f 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has oeen determined that conflicts of interest exist, then tne contracting officer shall eitner:

(a) Disqualify.tne offeror from a o rd, 4

'.a 10-3

- - - - - - - - - - - __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ }

g-

. .?

t-l .

7590-01 l

l (b) Avoid or eliminate such conflicts by appropriate measures; or

~ '

(c) Award the contract under the waiver provision of 520-1.5411.

52'0&1.5407 Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting-officer determines:that. such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as prov.ided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with $ 20-1.5411, neutralize the effects.

of the ident.ified conflict.

^

520-1.5408 (Reserved) 520-1.5409 (Reserved) 120-1.5410 Subcontracts The contracting officer shall require offerers and contractors to submit'a representation statement in accordance with !20-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.

I 20-1.5411 Waiver In the first instance, determination with respect to the need to

• seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive t.egal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the '

General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do j so. ]

Such action shall be strictly limited to those situations in which:

-(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor 1 whose interests give rise to a question of . conflict of interest; and (3) {'

contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval occuments shall be placed in the Public

. Document Room.

s

7590-01 520-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract f6r 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.

Dated at Washinaton. D.C this 27th day of Ma'rch 1979.

For the Nuclear Regulatory Commission ,

S CCtuuM'). bb_uk

. Samuel Chilk Secretary of the Commission e

• e 4

...... . .i2

/

1 m ,

r.

od r d

e v

/ .t a e l

- 3 scp beos 2 -

ra ee w f

. /

3 arn et e Lt e f

e yne ,f o -

ss , es yos 1 eesn e n

0e e h ye I

e l

e m

em 1

)h ay e

g u e rrt eso r g P

a e p

ee t st rrp l e f sa - om es oe f e 80 60 ~ s m

o

/

2 ser kn o ck 'ngth ee n

OD I

- n e e s

e e(

ew i

dt ee st s

Al I. ~

e m

u w te r nt o s

o I tt F e

~

) 3 nl 6 w - el ,td

se yue

~~ ret aot S- v ers D yc e e sp E- s f l as T'

A" e R

( a fI eeo amen ch T~ d ct ec i

t rme S I 1 u nem D

E l

t w

n o

0 2

1 wm shn rim ewse t a at o ecc Marn a

1~ 9 l ,t M a 7 ref ynl I N ecr eep 0 0 ti e 4c

, 1 cwp h a

,y.

3 . ac tA

~ e

. ,e

,w y 1 7

h ree r( ht m .

1 t tn sh t i.i B yw m

e m

a me.

a.

g

$ n ocn ee o s sa D e a

5 a .m ae et s 'n c y

- ahir

- 6i nt t t e ne nen e s e gd nt e woc I ee T 2

s. ca ht c eec n

a 2 e r sha c w cf t o a 0 ion e

uC e a

s e 1 v ,ds L $ rnc t

c ee yn a ay r sproe i

s vr D , ap n e of s sy H o s oes l e ah L i e c

k e roc 'ra D t O t ah e i N a ona e wy ewde eaw N n Yns f O U i n seru m a1h p er wvf I

T S f m e so t ) et o A NT ,

ore e v sf ar 0 est 3 r h .Ns ey R OC . e w

t M SN e T l A s, nt e lcge 6 t ei7 sk a l

oe . f d w1 aa rnd OI 0s D N s AT .c 4 i D e

s ot 3 eu l d4 ehr At 45 u NC. s s n t c 2 yT e Lul Av e a $ ncn a .ht I

Dve a

. M Hm ie n e i er ena t i g r f Vg

- o SADr HT s r c l t rt ,eeyo LNei. ia bn t

e o i oeedR pa n iuRD M0 o. -t Osm I DW a t n ao cc cce( Da m c h reiy .s y*

0n s A4 o O C. n c i u wve s

t aD9 Li O e e l n rt ya ey i l t pi od eptd na t

nAMn NOc EGICs g hl s mt iad e.

W l

o y ad e eil ri aTAe + A V. r sg e n pf t oel rS c o orcht o eh t Ee s WERi t t a a s ea A FS i. e a ig khvfdV O.

stsW ueV T GNAW OE . VLWe n w r

r n ee n

9 et e 5 egrt e wnes l

pym

.de RHwa ET

/so i r a p es .

ehr a a O

L T M i

t be e $ 2Lwe8nn P S r ey // /

M I

.o go 1 2~ 3~

E G t nl i p E c rs s H ne re ar 1i D

I

t mm l) i n l po odcgssu at t) sae n.mhc ur tl y- u t e t nf nnemswd 2 ocrt n no naaaq nm tt ceneaire enoe a f e dmenee o o a e o r m m ph r i e t i ct o ef wd eiel re rimr nnrwcarret

- tt oor evm,e t em f

s i ,nl o ior t nhl autafr e sa "r t gruni ssnehsff ii o b c a r nd e a sfrosr ce o hwuec u hf usaoneq c u eoee l eer t a bc qefsibt enive ror hd )Sspczysl ryo lh a eho dmnw 2 f ce dt n i e oeG ceen t ioya ol ut n a yoaecddd o i o i edrl ahsl -

asai fti r n nen hrtm h,i snet.fh e o pd s 'y m ec r noit r 7 aduh wo f yron shm ot e0rceo e co) t a l ao,6 nat s e rb ai e o pu 3en g nl gyn ti nf) hal i a a .nl e hsbi t rs f ee ptbt oae cee t oimgsoa ,l oe y pd m a r h n i gh L P mrirm ronuy icsrno( wsa r o eonerpet af at o aoa w neic " ti se l eicigo h hf f eehp l otd k ncmh pbf mniet ,t oedo rtl sapeil ef errt m il rirh e hn eusdvaeomee eosl erpt f vrgt at eacet pt hp et e ouw rmt , t s

akei t f 'r f .ttih oien syt e ycrert eam k e ckl sdeoot aat t om e r c oa gpcadgoer ntl cit t h yd s c l ea a a cho* i rc ht awc t b - ea pehwt 5 ml t w vo fet ct en rc mht no3 ar rweog armeor adroesnt rrp n ,oul et set .enoye e b eim 3 ro bh . se l wet pee net e ir dl hnerrrohnD egei l rdhes$as , t s h ,e synrw l oat ea rgt t ft) vesorgpect o 7

8 moi af m r fdenef s o nehic aec ec o gf o e pi s o o ,ol t n nsrieg

/ rl rt r 3 opeso hsst ao h h c s .i reei- fhoe f mdob sei oesrsse set enuhtddfTth

/

8 ienca ie t grti eadre a .atiftt eo ,

nyecnpanhwruc li na i rz n u L rrt at n c(i iddyroig .nf e ueah rocei ul njne u o yd a a mrenbw rnkoon t hl cf l nnn yt r pt a t oiri a rt uo f pabivaf hia e nceos dAnht ot ni D a ys mnuai aat rise et cwcot o e e s gt t st at et e yb wb( en t

t t r a a mid s h n r e pl et ga mua ai re ensam rw ti ttdp . eart o , gem dsirbreo icfdgcym ,e a an asaiee at ceit t t nht erao hoe nwt ernnahss ciwr rumt ef niennb t cg ,o i yg ort oi a .i ynoasct dan a i.i bm d cvf aniia m e t ril i nf rh e w e. aa eriep ai a n u r n r r r pe eooem rt aee ginrt e daaoo int yD eeat cyt e ee f it eict emhehc tt

)

uono rr nernhdl p ,i u h(i ebet rt yr 6

qcil e gol ait n c pw n qrt f n e acncl ra a aau ee piolf gh o n o g s

. e a ph y rdnisml ont t apndF ii ,

v rt mmT: ltibot me l a ei n e e nucn odeedoyo rdrr r nihs i e c rras l u saehsdersrda H eed bf l dnlhsarrom

( rmnn.n ooe ecnhh awsss adeoct aaet ral n 1 anaana t ldd ct cnif aas ,d heti el gh c o 0 r oi ere syst edrcewaft nt s ce 2 s e s yil as afogsw oiahiu r rriiSn 1

evmbt p rom ne hnos rlll t addp e e n r n pb ,t em eor am t c r s a gi c y c i t r ep e n 9

yG o e n o n ornnnnl ul cu cmnrd ct ooo u 7 o f nic otf ooiaaesnab arm i eo neosi cssie l eirm cuitbhet n f ieabrit pl adeeyayu ,

e ph n o r s bonc sl sit eti f uhuaaicnt nl ne f etl mt ubea r n iuecor obabsl n m e h yl e t st i etf rh om c canl gurvt ot rl e

fhees e goinoan ol l pop

. f ocbdd rwrnoucert e aheb ntf oihihf oypmf m o I u r o eo f us i i st smcnvbmonEf N sst ea shce soeeth ruin eri m o gd rmw l nhrt ce hbr t s e

t ssaa cisecsos id p n  : rgnan or y t t eye a arief g ef o een wa t o ,l et o f nal eby rhl f enynst od no2 cti y t cf nas t ccaiyobiet n i

n haes aio br imam,l o t rni,aos i ni soc d eisans) a aesmh t g t ut e e ,, cot p o h y e sl k uyms n whi n n i ee ,erset cm cwnd a ph r l obant v(

i ot nt rayi o f d yh t yel p ae ail mcocl ul ori vceuwnpscieD m l yuhbw codot novasrr ed t r l ul ei et t hnyo S im e Abft o al p n o p w r yd n a Tabrdf peo t eedc t dl er c , beal e mrf eel henmimmoenroh nd t . ane t D reosro TbI e( aeHt aoct :ieossdrohl sdaHi oh ft t eu nif Eemti lseti t l ial esd e

g i i spqe Oeosnli annt Trr oefhnonne O a neoxeh NEf aucmccosupaun N W

i t ( cert

ll .; -*

l Atch 4 1

_c HEADQUARTERS t

~ 0ne White Flint North- 11555 Rockville Pike y RocKville, MD 20852 1

REGIONAL OFFICES Region : 475 Allendale. Road King of Prussia, PA 19406 Region :: 101 Marietta Street, Suite 2900 Atlanta, GA 30323 Region ::: 799 Roosevelt Road Glen Ellyn, IL 60137-Region !? Parkway Central Plaza Building 611 Ryan Plaza Drive, Suite 1000 Arlington, TX 76011.  !

Region-l 1450 Maria Lane, Suite 210 Walnut Creek, CA 94596

1 b

Atch 5 TENTATIVE COLLECT *0N LOCATIONS ALAEAFA ICWA NEBRASKA TENNESSEE Decatar Cecar Rapics Nebrasta City Daisy Gotnan Omana Soring City Scottscoro Chattanooga ARIZChA XANSAS NEW HAMPSHIRE TEXAS Phoenix Burlington Seabrook Glen Rose Palacios ARXANSAS LOUISIANA NEW JERSEY VERMONT Russelville Baton Rouge Forked River Brattleboro New Orleans CALIFORNIA MAINE NEW YORK VIRGINIA San Clemente Bath New York Richmond San Lius Obispo Brookhaven Newport News Sacramento Oswego Rochester COLORADO MARYLAND NORTH CAROLINA WASHINGTON Golden Lusby Charlotte Richland Pl atteville Sout@ ort CONNECTICUT Newhill Merider MASSACHUSETTS OHIO WISCONSIN New London Plymouth North Perry Green Bay DELAWARE Pittsfield E. Liverpool Manitowoc Toledo Wilmington Mich!GAN OREGON FLORIDA Benton Harbor Portland Fort Pierce Laguna Beach Red Level South Haven PENNSYLVANIA Miami Charlevoix Harrisburg GEORGIA MINNESOTA Berwick Philadelphia Baxley Minneapolis Lancaster Waynesboro MISSISSIPPI SOUTH CAROLINA ILLIN0IS Vicksburg Broad River Rock Hill Braicwcod MISSOURI Greenville Clinter Hartsv1 He Morris Fulton Columbia Rockfore Ottawa Moline Chicago

Atcn 6 mas rM a-v L as. M., se .

Presidential Documents

, wr. s ne r r. sess M b- Essainve ordar 12544 er september it is'as The President Drup Fm Federal Workplace L RONALD REAGAN President of the United States of Amenca, red that:

Drag ase is having senem advwne e5ects upon a significant proportion of the naconal work force and results in bil! ions of dollars oflost procucurity esca year.

N Federal gevenunset. as an employer. is concerned with the well.bei. cf its employees the successful accomphshment of agency intsesons, anc the seeo to amatan employee produc.rvtty:

% Federal govemment. as the largest employer in the Nation. can and should abow the way towards achievmg drag. free workplaces thr utha prog tm designed to o6er drug veers a helping hand and. at the same t:.=e.

democotranna to dnas neers and potentral dmg users that drugs will not be tolerawd in the Federal workp. lace:

N prv$ts frees iRegel dnsgs primde the single greatest source ofin:r=e f::

organ: zed enme. fuel violent street anme and otherwise contnbute to the breakdown of our society:

The use of degal dmes, on or of duty, by Federal employees is inconsistent not c=fy v.th th law. abiding behavior expected cf all citizens. but also witn the rp6=al e.ts; placed 5 auca amployees as servants of the public:

Federal employees who use illegal drugs, on er off dery. tend to be less produm:ve less rehable and prone to greater absentee sm than their fe!!cw enricyees who do est aae i!!egal drsgs:

N use of illegal dmas. on or o!! &ary, by Federal employees impairs the ..

efficiency of Federal departments and agencies, uncer==es pubhc confider.ce in de=. and makes it more difficult for other employees who do not use illegal drurs to Mrfer= their jobs effe::vely.N use of11!egal dmss, on or off duty.

by Federal employees also can pese a senous health and safety threat to me=cers of the public and to e rr Federal e=ployees:

The ese of illegs! dmas. on er ef! duty by Federal employees in cens=

positiens evidences less than the complete rehability, stabahty, and go:d judg=ent that is conststant with access to sensiuve infer =suen and crestes the possibibry of coercion. influence. and irresponsible acuen under pressu e that may pose e aarsons nsk to manenal secur.ty, the public safety, and de effecc:ve enforce:nent of the law; and Federal empicyees who sme illeral d ags must themselves be pnmanly res;:n.

sable (cr chang =g their beisvtor anc. if necessary, begm the process cf rehabilitatmg themselves.

By the authonry vested in me ss President by the Censutution and 1sws of the Uruted States of Amenes. inch: ding scenen 3301: ) of Title 5 of 4he Unitec States Code. seecen 7xn of Title 5 of the United States Code. se:tien 230ee-1 ef Title 42 ef the United Statee Code. deeming such scuan tn the best mterests of natonal secunty pubhc heald and safety, law enforcement and the ef.cieney of the Federal service. and in order to estabhsh standsrcs one procecures to ensure fairness m sentevmg a drag free Federal workplace and M prmeet the pnvecy of Federsi c=ployees. it is hereby orcered as follows-Sectico 1. Drug free Waritplace.

( w cuah - - - x ~ -

i teneral Omaasr / Val 51. Wo. no / Wedneedsv. Secessaber

• tens / Presidential Documen -

. Jb) Before as-W a dmg test. Iba assory shall inform the employee to be tussed af abs oppersmarty as sehmat medical documenteuen that may support a lspanate use ist a spamfzshrus. ,

W) Dag tasting programs shan aantain procedures for timely submission of  !

aquesta for atention of records and epecumens: procedures for retestmg: and proceduros. consissent with app!! cable Isw. to protect the confidenush y of /

tast resans and estated medical and pobabilitation records. Procecures for providing artne specumens must allow individual pnvecy. unless the agency

. mas reason to believe that a parceular individual may, alter or subsutute the .

sPamman as be prended.

(d) The Seentary of Health and Human Services is authertred to pre =u! gate seennSe and technscal r.odehmes ser 6.:s tesung programs. and agen :es shall sosdnet their drug tesuas programs m accordance with these gn:cehr.es once pmenu! gated. .

Sen. L Parsarinaf Ace' oms.

(a) Agenmas shad. la addition to any appropriate persormel actions. refer any employee who is inund to ese (Degal drugs to an E=ployee Assistance Program for assessmait, openseling. and referral for treatment or nhab:.hta-tion as appsopnata.

. (b) Agences sha!! laidrte action to discspline any empicyee wne is !:=d to ase 111sgsl drgt preesord ahet escit aston 3 not required for an e=;icyee who:

(1) Vohatardy ident$ss himself as a aser of illegal drugs or wto vol=teers ist drug tseung purenant to secdon a(b) af this Order, pn=r to ben idennSed through other maana

$4 Ornrms ciranneling er sehah&detsen through an E=ployee Assistance Pmgranc and (3]7ternaharnfreios 8rna usigITeagal drugs. ,

(c) Agences shall not aE w arry emp'aoyee to n=ai:. on duty in a sens:tive posinon who is found to use sileSal drug.a. pner te successful comp!et:en of ,

rehabilitation through an E=ployee Assistance Pregrac.H: wever. as part of a rehabilitation or anunaeling program. the hesd of an Execut:ye agency =ay. in his or her d:acrenon. allcw an empioyee to ren:r= to duty m a sens:tve

~ position if it is dataruused that this ecuar. would net pose a danger to pubhc

. health or safety or tha natscral secunty.

(d) Agencies aba!! Imitata seson to remove frc= the semce any e=picyee who is found to nas 15egal dmss and:

(1) Refcses to obtain counseling or rehs'oEitation th.,cugh an E=p! yee Assist-anca Prograsu er (2) Does'not thernahar n.! rain from using Elegal 6.:gs.

(e) The reeults of a dnig tear and informsuon developed by the agency in the course of the drug tesung af it:a employee may be considered in pre:essing any advarse acuen agamat Lt.: e=ployee or for other scm::ustranve put; ses.

Prth=inary test resulta may not be maad in an admu:ustratve proceed:ng anless they are condt ed by a second analysis of the same sample or tm!ess the empicyes can6r:as the occurney o( the uuual test by ad=sttmg the use of tilegal drugs. .

(flite determination of an agency that an employee uses it.4 gal 6.:ss can b made on the basis of any appropriate evidence. includmg tiirect observaten. a c.minal conviction. admm:strative inquiry, or the results of an auth::. zed teecng program. Posieve drug test resuha may be rebuned by other evidence that sa employee has not ased illegal drugs (g) Any scuen to disciphne an en:ployee who is using illegal G.us (includeg nmoval from the service. if apprepnete) shall be taaen in compnance mir:

otherwtse appbcable procedures, meludmg the Civil Service Reform Act.

h.. .

7,..

,.' -' Yoderal'Resistar / Tel 't Ni' 185 / Wednesday.- September.U 'uso s erromannan um... . ...

., = -

(4)IAw enforcement of!!cers as denned in 5 USC Am(::0): and ,

(5) Other positinas that the agency head detenninas involve law enforce =er.t.

assonal secunty. the pmtecnon of Efe and propeny. public health or safety. or  !

ether haetions reganng a high degree of trust and con &dence. 1 (t) For purposes of this Order. the tann " employee means all persons appomted in the Civil Service as described in 5 USC 205 (but exch:di ; , i persons appomted in the armed semces as defined in 5 USA Oc:1:l). '

'[f) For purposes of this Order, the tann " Employee Assistance Preram" means agency based ceunseling programs that offer assessment. shcrt.ter=

counseling. and referr:1 semees to employees for a mde range of d..:g.

alcohol. and mental heshh programs that affect employee job perfor=ance.

Employee Assistance Pregrams are responsible for refernas drug useg em-playees for rehabilitanen and for momtorma employees' progress =tule m.

treatment.

Esc. 4. Egective Date. This Order is e!!ective immediately.

THE WHITE HOUSI.

M k J Mem D September 25. 1966.

Fu nm. aute Pued e.it a w pel El.as user r:n-m es Idims! aste. For the Presicent a remuis of September 13 os em LO '.:ssa. ese ce Weeily Casquevan of hwcent;d ocwenu twoL m. sa. 3s).

e 0 m

I Atch -

. )

.== _ _ _ ._

-

=- = Monday April 11,1988

_=

_8=i!!! =

"*w = ,

a_. . . _ . . = . . . _ . _ . = _

~=

~

l l

l

_=_=-

=_

=___R_

g l . . . . . . . . . . . . ,

= ___

== -

r _== s n = = = _s:=_= -

m =-

. _ == --

_-s_

r =

T Part IV

= s r--

~_

Department of I 2 Health and Human

__..__.m_

it m. 2

= ,

Services s:- e Alcohol, Drug Abuse, and Mental Health M Administration

=

- Elk Mandatory Guidelines for Federal EE .E Workplace Drug Testing Programs; Final Guidelines; Notice

=

.l..._

__ =

ll

_ = -

L

==

-l I am I

I m =

- - _ - - - _ _ _ - - _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ _ m

g

.. i Federal Register / Vol. 53. No. 69 / Monday. April II.1988 / Notices n971 lustice system. The Guniehnes also do provide any additional quahty not appiy to mihtary testmg of service testmg laboratory and require that .

assurance. In many cases these laboratory employees meet those personnel or apphcants to the mahtary. individuals recommended that the standards. For the purpose of meetmc Response to Comments current Medicare and CL!A personnel laboratory personnel requirements. no standards be used in place of the provision is made for the use of Wntten comments to the Notice of standards proposed in the Guidelines.

proposed Guidehnes euclished August consultants who are not mvolved in the 14.1987, were receiveo from Other mdividuals and organizations dav-to-day management or operation of approximately 150 indmduals, stated that the proposed personnel the' laboratory.

orgamzations, and Federal agencies. A!! standards m the Guidelines were not The Final Guidelmes set funcuanai stnngent enough.Some recommended wntten comments were reviewed and reqmrements for individuals eneageo m that specific standards also be adopted the cay-to day manaeement ano taken mto consideration m the preparation of the Final Guidelines. This for the personnel performmg the tests.

operation oflaboratones engaged m section summantes tnaior comments The Department carefully considered unne drug testmg for Federal anencies.

and the Departments response to them. the comments about the personnel They do not specify requiremerits for stancards proposed m the Guidehnes- other personnel. inciuding empiovees milar cornments are considereo most of which came from employees of who perform the assays. but ratn'er

i. Several commenters recuested that chnical laboratones or orgamzations depend on the ability of those the Guidelines require a spht sampie representmg those employees-from the responsible individuals to seiect and techmoue m which a second sarnple or a perspecuve of the mtent of the oversee properiy quahlied empicyees in portion of a sample could be saved for "i elines. it is n t p ssible t reconcile eacn specific laboratory, and they furtner testmg. Although this possibihty the oivergent viewpomt represented in depeno on outcome measures or was considered. it is viewed as a the comments. In this connection it laboratory performance such as cumoersome and expensive process should be noted that credentialing performance testmg. The indiviouai mvoiver the collection cf two separate stancards for laboratory personnel have responsible for day to-day laboratory sets oisampies and the retention of one been an issue for a numoer of years m manarement is responsible for for an mdefimte pened of tirne m some ther laboratory programs admmistered determmmg staffing needs and types of type of secured long term refngerated by DHHS. ps weil as among those who personnel required to penorm carucular storage. The use of a scist sampie was c mmented on the Notice proposmg functions in a specific facihty. The suggesteo as a mechanis n to overcome these Guidelmes. mdividual responsible for day to-cay perceived proolems ansmg out of The laboratory resormel laboratory operationst is responsicie for situations such as sampie mtxups. requirements in the Guidelines are supervision cf analysts performing crug er oneous identificanon of sampies. and designated to assure tnat any nicmdual tests and related duties. Outcome lost samptes. The Department does not resp nsible for testyeview and r2ruit. measures will provide the responsible aeree tnat spLt or acdtnenal samose reportmg is quahf;eo to perform the mdivioual with fecoback on :ne proposai would have snv sc:entific function and could appear as an expert performance oflaboratery empicyees.

advantare over the cur 4nt ssstem ncr witness m a coun ;hallenge of frie Withm this fraa' wort the Guicent.es wouid taev mereese renabihtv. In fact

~

resuits. This requires far. shanty with a do not establish quahfications for sucn a sys' tem could increase the nsk of wide range of matenal reistect to test a dditional laboratory positions.

admmistrative error ov ocubline tte

~

selecnon, quality assurance. The mdividuals who perform tne tests labehng. mmalma, storare, and' interferences with vanous tests. are a vital part of any laboratory acccuniar,thty requirements. maintenance of chain of custody, operation. and there is no mient to Furtt.ermore, tne Guidei:nes alreaov '

documentation of finomes. mmimize theirimportance bv coumns melude sufficient saieruarcs to interpret 6 tion of test res'its.

u vahdanon qualifications for them. However. by '

ehmmate tne proolems tne use of spist or and verification of test results. ano tne holdmg the apprepnate laboratory additionai samples are tnouent to abihty to testify as an expert m iegai officials responsible for review ano address: e.z.. detaileo safegu' arcs for proceecmgs.The Guicelines set certification of all test results before labeims ano cnain of custody of the personnel requirements for the they are sent forware and by relyme on unne sampie. Accoremsuy. we do not indmduals responsible for day-to-cay vanous quality control and quauty pro, ret any real scienufic. cham of management and operation of assurance measures. performance custocy. or rentability benefits sufficient laboratones engaged m unne drug testmq and on-site evaluations to to lustify piacmg the added requirement testmg for Federal americtes airned at provide direct measures of the cuanity of of coilection and storate of spht ensunng those competencies. tesung. the Department expects to sampies of Feoeral atencies and have While a consultant may be able to ensure a standard of excellence m crue retected the spist samole requirement. carry out some of these spectahred testma without settmg additional Furthermore. these Guiceimes functions. it is essential that personnel requirements. This renance on specificativ retect allowme the tested comprehensive oversignt and control of *he cuahfications of the mdividuais

-mployee or anyone eise from the responsibshties cited above be responsible for the cay-to-day presentme to tre Mecical Reww esercised by thcse wno are carectiv management and operation of utme crue Officer a sont sampie or cnvate sampie responsible on a day.co. cay basis for testme laboratones ooes not pronioit tre that coes not fully comp:y witn these the laboratorv. who are accountable for laboratones themsesves from settma Guicehnes the test results. and wno may be calied addmonal employees stancaros wnicn

2. A numoer of commentors saio that on to consult with the agency for wnich may mclude specihc credentials.

specihc educational and expenence testma is perfortned as weil as to appear certshcations. hcenses. resistnes. etc..

requirements for laboratory airectors at any legal procecome to defend the for specific functions.

ario supervisors were too restrict \e and quahty of testmR m the laboratory that specific coard cert heations. However. once a laboratorv is Therefore. the Guidehnes set funcuonal certified m accordance with these expenence, and degree requirements employee quahfication standarcs which Guidehnes. laboratory employees wnose were also too restrictive and did not are essenual to the mission of a drug funct ons are prescribed by these

+

-e Federai Reeister / Vol. 53. No. 69 / Mondar. Apnl II.1988 / Notices 11973

'swe.m those ornnosed is*e 5: FR themseives for resime. In cases where 30H1L There also were commentors c mnoi foresae or define evers the mdsvidual does not have a proper contmsency which might occur. Thus.

who tehered that the cutofflimits for photo identification. the collection site the screenme and con 6tmation tests " unusual behavior"is not furtner person must get the emptcyee's defmed m the Guidelines.

shouto be set at the same leul. supervisor, coordmator of the drug The mitialimmunoassay test cutoffis it should be noted. however, eat testme program. or any other atency other indicia of " reason to behes e' are estaciished at les els generally similar to official who knows the emoloyee to those used by the Department of set out m aafl. For example. 200ti:1 provide a positive identification and (13) require a temperature readine Defense and available with commerciai (20!f)(:ll.

immuneassavs.These levels are upon collection of the specimen and

8. Several commentors suagested that mdicate those temperatures wnien consistent with detection of recent cruc toilets. water faucets. and other sources use. would give nse to a reason to tenese of water which could be used as that a specimen may be alterec cr The second set of cutoffleveis is for adulterants should be taped shut or the cas enromatocrapny/ mass sealed to prevent acuiterauon of the substituted. Elsewnere the Guiceimes spectrometry IGCl.\lS) confirmatory sampie at the collection site.The require the collection site person to test. cnosen so that the specimens mspect the sr. mole for unusuai ecior or Department acknowiedses that sources deter =med to be positive by the first other signs of contammants ( P(14ll-of water should not be available which likewise. if a collection site pe son sees tecnn::ve iscreenmg techniquel ceusd be confirmed at a reasonable les et ci would enable the sampic. an mdincual However, there aretoalso adulterate unusual behanor wnich causes nam or analp: cal s ecuracy. her to question the mtegnty oide needs. such as hand wasnme. for a sample such that tt leads to a reason to The Finai Guidehnes retam all the relatively convement source of water.

procesca mitial test cutoff values These Guidelmes cannot anucipate the beheve that a particular indivicual may 10.4:em Conf rmation for maniuana is alter or substitute the spectmen to be needs at each collecuen site and the chantec ey 5 ng/mi m accordance wim provided. the Guideimes require sat hardship which would be tmposed by DOD escenence. Lsewise. confirmanon seahns all sources of water at thesuch an observation ce noted m wntme i for am:netammes reflects the cutcif However the proposec and Final msite.

the permanent recctd book (200l81). ,

mtenceo for trie nouce of proposeo Guidelmes do include m :0 precauuons The Final Guidehnes also add a l gumennes consistent with DOD leveis. m spectmen co!!ecuen procedures to requirement that any " reason to Cutoffs fer specific opiates (morpr.me believe" observanon ce concur ed in by ensure the mtegnty and scentity of the a higher level supervisor of the and cecemet and amphetammes specimen. Because we have taken lam:r.etamine and metnamphetammel reascnacle steps to enstre that collecuon site person (:. !f)l :t are cei:neated for Cittf.y (2 4l[- specimens are not aduherated at the With regard to reason to beheve that in fmanzmc Doth screer.mp at:0 & parnCular indiYtdual may alter er coltecuon site and because there are confr .ation cutoffs. among the matters substitute the spectmen besed en :he practical reasons for harmg a consicered were prevalence rate: cicss- spec: men's te9penrturr falling cuts.de reatmtyt state of the art m drte convement sourre of water. the r.i%l Guidthnes tic not requt*e that all the acceptable tante the finai cctecten: and the expenence ci &e sources el water be tauc or Sealed shut Guidelmes perauf an individual to Decanment of Defense and a her stou0s out rather raune that precautwns t>e tcluatert to nase an cra) temperature m latte4en.me drua testmg progisms. readme to provide evidence that tne taken to ensure thtt uracuiterated

6. Se.erai commentors indu.atec bat specimens are obtameo. Among the temperature of the specimen was aicorof snodd be mciudea amone tr.e precautions mcluded m :Of) to ensure consistent with the mdividuars becy s uostar.t.es ta be teste1 The Department unadulterated spectmens is a .emperature. i.e. an mdividuars fever I

accewiecres the siendicanct ci requirement to use a blumg agent so that couid cause an elevatmr. in the Mconoi and its uw as weil as its temperature of the spectmen (20'P(1311. cotentat impact on performance m the the water in the toilet tank and t' owl are calorea blue and that there ce no other 'a Several commentors said that d wory:. ace. in any es ent. alcohol :s not source of water in the enc;osure unere ne 6,t rnecimen is subject to a reason an mesa, suostance. and Dece!ne ho beheve that the parncular mc vioual

                                                            'the surnpe is given.

Oroer :21M. wnsen inese Guiceimes 9. Several commentors requested may alter or subst:tute the spect=er. implement only aumonzes testmg fcr more specific guidelmes to define wnich would reouire a second specimen dhen crues hsted m Schdule 1 ano " unusual behanor

• st the unne to be collected. the second specteen Schecuie 11 of the Controlled Substances collection site which would give reas should be collected immediately. The Act. liowever, nothmg m these Department concurs that the seconc to beheve a particular mcwidual may Cmce..ncs restnets the auinor.t> ci alter or subsutute the specimen to be specimen should be collected as soon as asencies to test int .iconoi under prov:ded which. :n turn. would tnE;;er the need for it is established. Therefore.

authermes otherinan E.O.1:5H the requirement to obtain a second the Guidelines provice that the second

• Scaran commentors moicatec mat specimen under direct ceservahon of a spec: men shall be coilected as seen as pho'n 2: entibcations snould be reovirert possible whenever there is reason to same sender collection 5:te person (see at the ' ester site to ensure that the :llf)(it>ll. The guidelmes focus on believe ' hat the par *icular md:vic.ai teswc munmualis properiy identihec wnether there is " reason to beheve" (see :may alter or suostitute the spec: men.

We concur that proper identshcation shewc te rovided by the mdnicuais at 12 for definitions that a sampie m (20 @ M adulterated Observanor.s of unusual 11 Several commentors wantee to the tes's"e to assure that the correct behauor may bear on w?'e*her there is a know the basis for the choice of cecame " mdincaat will be tested. Smce most reason to beheve~ anc for that reason and inanjuana as the drugs recuireo to Federat caencies aireaoy issue pnoto the Guidehnes require sucn be sc eened bv all asencies. The denuhcawn cards to their empmvees observations to be cocutnanted m the reouit? ment triat all anencies screen for and most employees nave a drner s permanent record book. While it may be cocame end mantuana was basco on hcense witn photo identibcatmrt. at is desirable to prende specific the meidence ano prevalence of their not unreasonable to require this form of desenptens of or guidelmes to identify abtse m the general population ano the idenuhcaten for mdniduals preseniina " unusual behanor." the Department expenences of the Department of

Federal Registar / Vol. 53. No.'69 / Monday. Apnl 11. 1988 / Notices 11975 that the laoorstorv must ensure the bottle and m the permanent record oversieht function appropnate to the secunty or cata transmission ano limit book. lf unmatched mitials prvvede dCcess to any cata transmission. management of the laboratory, reason to believe that a pan:Cular We have also clanfied that the storase. ano retneval system t: 4(gl(41). indmdual may hase altered or mdmdual responsible for the dev-to-

18. Several enmmentors stated that subsutated the speamen. both the day management of the drug testme mdividuals snould have access to ail proposed and the Final Guidehnes laboratory is the mdividual responsible -

recorcs cata. and documents reistms to provide that the specimen be forwarded for sigmng the manual (2.3(a)(5)). It is their test results and the cerufication cf for testmg along mth a second sampie not apprepnate for the individual who es the laboratcry which performed the obramed as soon as possible after responsible for day-to-day operations urme crun test. Section 503 of Pub.1- reason to balieve the mdmdual may and supervision of analysts or for any 100-71 novides that any Federal employee wno is de suosect of a dnet have ehered or substituted the specimen other mdividual to be delerated this is estabhshed (2. ff) (15) and (191). The responsibility since the manual es the test snail. uoan written request. have Final Guidehnes ensure the vehicle for selection of methodologies, access to any receras relaung to his or identificanon of the person from whom and the approval of methodologies is a her drus test and any records relaung to the specimen is collected through the prmcipal reason for reovirmg rne the renuits of any relevant ceruficanon-requirement for photo identification (see individual responsible for day-to-day review. or revocaton-of.cernfica n*  :.:; fit:1). In addition. a pnncipal management of the drug tesnne proceecmts. In response to this responsQhty of the coilectron site laboratory to possess detailed commentue provisions of the statute person is to gather and venfy knowledre in the area of toxicciogy. has e been set'oc. m a new pararraco at 0.9. The De:artment anticipates that miermation on site and to detect anv 23. One commentor mdicated that problems mth the identificanon of the laboratones should be nonfied when mdividuais will be sole to obtem specimen. Until expenence m the they may discard samples. We have mformacon aoout their own test resuhs prog am indicates that misidentified from the asency : Mecical Review reviewed the commem and concur that sampies ansmg out of unmatched the agency should be able to notify the Officer. em:icyee asststance pretram, initials is a srgmficant problem. the laboratory m wntmg if it determmes or other staff person cesignated by tne Guidelmes mil require that the that sampics no longer need to be agency. Any otner reievant mformauon individualimtial the spec: men bottle retamed because no further action is will be mace avadable m acccrdance and argn the permanent record book to pending which will require the samoies. with the statute. cemfv that the idenufied sample is the Both 2.4fg)(8) and .4th) permit the agency to instruct or authonze storace the19. Ses statistical erst laboratones summary mdicateo that one c'itected from the individual. o mont:tv f r less than de penod for which there requtrec cf the testma laboratones 21. One commentor asked if ute Guidehr.es apply to Feceral contract is a storage requirement. would be costly ano an excesswe burce .. De Department views the emoiovees. De Guidelines do not appiv 24. Several commentors indicatec a monthh cata as necessarv for severai m FderW cwan emhyeem howev5. discrepancy irr ine penods for any agency may require a centractor to mamtenance ohm:en sampb in purposes tr.c: acme evatuattrg tne stcrage-1 year m the proposea woorrstorv :uune procram, gatnenne test us nn mployees idlowing h procedures in the Guidelines by making guidelmes anc 6 months m Appencix B statistical cata to evaluate the org t the proposed guidelines. The time mestmr proe am s effectiveness. and the requirement a term or condition of

                                                                   .e teact.                                  interval m the appendix was m e-rer.

providmc demographic cata on crus use The Final Guidehnes coninstentry call by the Fece-at wort fo ce.The . Cne :cmmrntor md.cateri that the PMPC8'a r'C..nrement for sgrurg a for fruten storare of confirmed fosinve nformacen mn assist m manne sampics for 1 ye'ar (2.4th)). None that the decisions concermns cnanses m pohey proteaure mr.nual sm an annual taua Appendix has been omitted.althouan or orotram immementation anc was m confhet mth current DHHS penmem provisions from it are icentifymr scectiic pror:1rms for effens m the Medicare ano CLIA mtegrated in the Final Guidelines. attention U.e Decartmem anucscates prostams to delete the annual signmg 3. In response to cancem that that the coet of crevidme the data wul requirement and replaca u with a specimens may be miettsed to test for be ouilt into ce contract the laboratory requirement that the manual be signeo physiological states other then dn:g siens witn esca arency.Therefore, trut2 ally and whenever cnages are abuse (e g.. pregnancyL a provtston has crovision of tre cara mil be a funcuen rnade. We concur mth tre cornment that been added to tee Final Guideltnes to for which tne laboratorv is dulv the important factor is that the manual prohibit the specimens collected for rompensatec. not an unoue cost or be signec by the responsione mdividual unne drug testme from bemg used for burcen #2.tslI6)l. whenever a procedure is matituted or any other types of analyses unless

20. One commentor indicated that chansed or whenever a new mdmdual othermee mutnonreo by la w. it is umples for wnich the mitials on the becomes responsible for tee day to-day important to the miernty and reais of specimen come and in the permanent management of the drug tesimg the P esident's pmeram to achieve a mcore bons to not maten should not ce laboratory. The Guidehnes co not drua. free worn place that any spec: mens min.ted aucmaticallv smce that wnuid recuire annual sigrmg of tne procedure collected for that purpose not be ronoe an cecortunav for inemduais to manual. ~

arialyzed or used for maoprovnate

               .etempt to noe their specimene rerected                ne on-site review of me saboratorv     ::urposes To ensure that outcome .i w nen :nes new the scecimens wouac              io7etner witn ene assientnent to an           paragrapn has oeen acced at 2.Ur.:

iest positne We nave considereo the indmdual of the overast responsibihtv statme that specimens may be useo only j fact that memouals mithi debberatels for the testme will assure that the to test for those crues mciuded in the  !

               .u:er meir ictiais m an attempt to nave         pmcedures m the manual are current            agency crus. free worn;; ace plan ano their sampies reiected However. we rio          and followed. If the procecures m the         may not be used to conduct any ottier not anticipate tnat samples shouio be           manual are not current or followeo, it is     analysis or test unless the agency is thrown out soielv on the basis of               an mdication that the responsible             authonzed by la w to perforen other tmmatched mitials on the specimen               mdindualis not performme the                  analyses l

l

Federal Regtster / Vol. 53. No. ti9 / Mondav. Aoni 11. 1988 / Notices 119~' bbormnes li.e 1.000) for mmat unnecessary to notify each employee ceru6 canon and (i.e 250 per quarterj rather are consistent!v treated as a basis that an error was oiscovered and for promet acuan aes'mst the laboratorv for conunuma certification was subsequently corrected. If a discovered by the responsible officiais. excesso e and would be too cosdy. The error affects an empioyee after resutts commentors also indicated that it was 3tL Several commentors indicated that have been reported. the Medical Review laboratorv mspections should be not cear wnether the laboratory or the Officer will be nottiied and the affected submigng orgamzauon would bear the conducted unannounced and that union employee wdl also be noulied throutn representanves should be permitted to cost et ce samples and if it were the appropnate meenamams estachshed acccmoany the mspection teams. The necessarv for each submuung by eacn agency. orgam2:non to submit this number of Guideimes neither re quire nor prohibit sametes to each laboratory. In response 35. Several commentoni mdicated that unannounced inspecuens. ney the laboratory contract should be contemesate that agencies will. throuch to the c:mments, we have revised this suspended if the laborato y commined secti:n a mdicate that caen agency their contract mth a certified shall s;.:mit blind performance test the same admmistratve error twice and laboratory. specify the terms and that the designated reviewing officiars condition's ofinspections in accordance specimer.s to each laboratory it discrecon to'contmue a laboratory in with the requirements m the Guidelines. contra::s mth in the amount of at least the prograrr J - 3 be more lirmted or 50 percen: of the total number of ifindinduals other than members of the more clearly c d. The Department inspecnon team were entitled to sarnptes suomitted (up to a maumum of has reviewed ir a wmments concernmg accomoany the inspectors. it would 500 sam :esi dunng the initia! 90-day the pomt at whica a contract should be significantly complicate coordination pened :f:rogram implementation and a suspended because of an admimstranve and conduct of the inspections. More mmtmum :(10 percent of all samples (to error ano submits that the current poiicy imponantly. we see additional a mat =;= of 250) subnutted per allows sufficient flexicihty.and quar er mereafter. The Final Guidelines participants in the inspection as protection to the employee and the inhibinne the laboratory's freccom to also c.a :fv that approx 2ciately 80 laboratory and that it snould not be percent :i the blind performance test provice complete cooperation out of changed. There are no circumstances concem for protecting propnetary samo!es are to be blank (i.e cerufied to under which admmistranve or human be dn: freel and the remamtng samples informanen. While some laboratories error can be enttreiy eliminated.ne may be willing to provide escorted tours are te e: posttives (2.52fd)(3) and 3.7). maior assurance of accuracy m the The ces: of the blind performance test to union officials to illustrate the quality overall program is the senes of checks of their processes. the Guidelines do not sampies wtil be borne by tne submittmR to assure that sucn enors are detected anency estabhsn a nght for umon officials to and correctecL The revtewtng official partic::ste in inspecuens incident to M. Semai commentors requested has been siven the riecessary flexibihty certificanon oflaboratones under these correem e action and resnalysis of and defimvan of auttonty to make tne Guideimes (2.4(1) and 3.20). prevers*y nm specimens in the case of appropriate tccr.wri ar.c procam 37. One conunenter mdicated that sny ciscose e: labors. tory admtmstrative judcments concemmg me statur tei cach of the fue eeneral fretm nidicated in e rce. Div aire reouested that the umen fae hty ano to assure tnat teasonacle ano an emotoyees who tested pesttive 313lb' as a cessible bans for revcestie. and resecas.ble cec:sions are made. m the centficanon reatnrements should be nonf.e: of the error in wntmg. The New tth eless. the i~inal Guidehnes acd inevitaoly read to revocation without i recom rencanon was to non!y ail severas features to put treater any furmer determmenon that the empiones with poemve results wrio responsibihty on toe moividual revocanon is "necessary." The issue of were tes:co between tie time of responsible for the cay to-day how many potennal grounds for esolucca cf the ener and the precedmg management of tne anut testing revocauon are necessary to de.termme cycie ci c:r ect results.in the case of an laboretory for the quauty sseurance tnat revocetion of a laboretoryis acmtr.:strseve error. there are no plans p:ograrn and et.runng that gruditv necessar was;onsidered when thelist to autcmancaMy have all specimens assurance proceoures are failowed. retessec. ~he cecision on wnether to of grouncs was developed.The , These Guidelines also more cleany Depanment views the nature sna retest w.u be cependent on the type and desenbe what consututes a quahry senousness of the facts concermng the extent c! tr,e error. For exarnple. if a assurance and quauty centrol procam grouncs for revocanon as factors to be smeie e :iovee s test results were to detect and correct errors (2.5) and a weighed in deciding to revoke a transen:*o mcorreedy. nothms would procam of performance testing (3.17- cernficanon. It is difficult and would not be nameo from renmnma all the 3.19). contneute to the maintenance of high spec:rnens m a given t2meframe smce it we have chosen not to include a quabry tesnng standards to develop o wouic r.ct enanse the values attnbuted formal defitution of ac=mistratne or pnon statements about the magnitude of to the s:mmens. lf an error occurred clencai error tn the Guidelines as was an offense or a combination of sucn tnat it was not clear wnese sue,gested. Among the errors to whicn violations and to formulate necessary specimen was bemg testec and which either term refers are mcorrect actions m respostse to each possible resuits u.onsed to wnica specimen. this transcnonon of test resuits or errors m violanon of the provtsions of 3.13. All woulc re*:uire retestma of the aroup for recorcmg speamen identities. s.e. errors five factors listed are considered serious wnien :ne vuues wnere uncertam and that are not due to the analysis of the violations of these certificanon cntena. for incse anaiytes for whien the values specimens with reearc to analytical and it is not necessary for more than were uncenam. However. it would be accuraev. precsion, mterpretanon of one fac:or to be violated to take action unproc c:ae to require the automatic test results. or calibratico of equipment. aramst a laboratory. However, the retesuns ci all spectmens for anv error. Cleariv analvtical errors are not Guideimes retam the flexibility for the

                                                                                        ~

Agency poucy under wnicn ' considered "admmistrative." While it is Secretary to determine that revocanon indmoua.s are noufied of errors will not possible to wnie guidehnes that is necessary to ensure the full reliability depene en tne circumstances. if the cover every possibihty et no place m and accuracy of drug tests and the error ts corrected before the results are these Guidelines are mcorrect analyses accurate reporting of test results reportec *o any employee. si is corisadered admmistrauve error but (31Hbi)

Federal Register / Vol. 53. No. 69 / Monday. Apnl II.1988 / Notices 119 3 Secuen 4Idi of E.O.1:568 states that subpart C-caruficauon of Laborsiones (d)The intelligence Commumty as

                 ,' agencies snall conduct their drug        Engaged m Unne Drug Testmg for receral        dettned by Execuuve Order No.1:333.

test:ng programs m accorcance with AgeDCae8 gggjj ge gugiect to these Cuidelmts onjy

                 * * * : scientific and tecnnicall           3.1 Introduction.                             to the extent agreed to by the head of guicennes' promulgated by the               3.2 Coats ana Obiecoves of Ceruncanon.        the affected agency.

Secretarv of Health and Human 3.3 Ceneral Cernficanon Reevirements. 34 Capabihty to Test for Five Classes of te)These Cuidehnes do not apply to Sernces. Since the Gmdelines impose mancatory requirements on a D 3.5 Ininai and Confirmatory Capanintv at autnanty other than E.O.1:564. Cm er . ment. wide basis. they are s, , si,, meiudmg testmg of persons m the esem:t frem the c,uty to barsam uncer 3.6 Personnel. cnmmal justice system. such as secticn 7117{aH2) of the Federal Semce J.? Quahty Assurance and Quahty Control. arrestees. detaine'es. proba tioners. Labor. Management Relations Statute. 3.s Secunty ano Cham of Custoov- incarcerated persons or parolees. Information Collection Requirements Po u es () gencies may not deviate from the 3.10 Documenta uon. provisions of these Cuidelines without Inict ation collection and 3.33 geports, the wntten approval of the Secretary,in recor:seepmg requirements wnich 3.13 Certincation. requestmg approval for a devianon. an wou:c :e imposed on laboratones 3.13 Revocanon. agency must petition the Secretary m eneagec m unne drug testmg for Federai 3a4 Suspension. wnuns and desenbe the specific agenc;es concern quauty assurance and 345 Nouce: Opportunity for Review provtsion or provtsions for which a quaint centroh secunty and cham of 336 Recernficanon. dmanon is sought and the rationale cus:ccu =ccumentation: reports: 3a? Penomance Test Requirement :ct . Ce cau therefor. The Secretary may approve the perictran:e testmg: and inspections as 33, p request upon a finding of good cause as n ance Test Specimen set eu: ?. 3.7. 3.8. 3.10. 3.11. 3.17. and dete-mmed by the Secretary. Ccecos.nen. 3.20. T: N:mtate ease of use and 3 19 Evaiuauon of Ferfcrmance Testir.g. urmorm reportmc. stancard forms nave 3.:o inspecuens I** Sefitutions* been ceseioped for cham of custody 3.1 Results ofinaceousie Performance. For purposes of these Guidelmes the recer:s anc the permanent record books Authonty: E.O.17.364 and sec. 503 of Pub. L followmg definitions are adopted: as reteren:ed m 2. !c) and (f). 10ML Alievor A portion of a specimen used The .ni:rmanon collec::en and Subpart A-General or tesung. recct:ne:mg reqmtements contamed CAcm of Custoo'y Procedures to in tnere F nal Gucelmes have been  !.1 Applicabihty account for the integnty of each unne appre.e::y the Office of Management (a) These mancatory gwdelines appiv spectmen by trackmg tta handling and.

                                                                                                      ~

an:: 5.: ret :ncer section 3534!ht of the to; storage from point of specimen Pa;e w:s Twdacues Act of 1960 and (1) Decuuve Apncies as defined m 5 collecuen to final d:sposition of the I: ha t e :m assiped con:rol runoer I?.52.10S; specimen. These procedures shall 093X*.1 a:;,roveo througn AprP 30. (2) Tha Uniformec Semces, as reqmre mat an approved agency cham 19E defmed m 5 U.S.C. 210173) (but of custocy form be used from time of Da:e 2: a t.198a exclucmn the A.med - Forces as defmed colleccon to receipt by tne labnratory Robert E .uocat m 5 USC. 210112)); and that upon receipt of the laboratory

e. .c:e Amicev er dm.- (3) And any oter empiovme urut or an a:proonate laboratory chaLa of authonty ri the Federal Goverhment custody formis) account for ther sample excep' the United States Postal Semce, or sampie aliquots withm the laboratory.

Ous a. p n. the Festal Rate Ccmmission and Cham of custody forms shall, at a i'Nc - empioymg umts or authonnes m t e mmunum. tnclude an entry documennng There F.nd Mancatery Cameimes are Jac.cial and Legasiatne Brancnes. date anc purpose each nme a specimen tereos a:cotec m accorcance with (b) Any agen:y or component of an or abouet is handled or transferred anc becutae Order 1:564 and secuan 503 agency with a cnis testmg procram m ident2fytmt every mdmdualin the efrai.n of Pu:. L 130-71 as set forth below: existence as of Septemoer 15,1966, arid of custocy. the Departments of Transportation and Collecten Site A piace designated by MAND ATORY GUIDELINES FOR the agency where mdividuals present Eneyy shall take sucn acuon as may be FEDERAL WORKPLACE DRUG themselves for the purpose of providms necessary to ensure that the agency is TESTING PROGRAMS brouant mto compitance with these a specimen of their unne to be analyzec suboan A--General Guidelmes no later than 90 days after for the presence of drugs.

             .        Are :alov                           they take effect. except that any jue:cial        Collecten Site Person A person who 1: De6. :i,ons .                              challence that affects these Guideimes         metrue:s and assists mcmduals at a

r., ... %,s.on s shall noi affect drue testma programs collect

en site and who receives and SuboenE M.caenufic and Technx.at subiect to this paragrapn. makes an mittal exammanon of the

             *" " ""                                        (c) Except as provided m 2.6. Subpart     utme specimen provided by those C of these Cusceimes (wnich estacashes        mmviouals. A collection site person 21 7 * ?"                                     laboratory certificauon standaros;            sha.1 have successfully completec

e. .en Coacnon P ocecures appines to any lacoratory whictn has or trainitie to carry out this function.

            .        Le./ i      Ana s s Pmceoutes
            !! La.m Assurance and Ooahtv Cuniroi          resting i r Federai agencies uncer a crue ana:ytical procedure to identify the

6 Ir.:er: i Ceruhcanon Proteaures testmg program concucted uncer E.O. presence of a specific drug or metabohte 2.r Feov :r.a and Review of Renun, 1:5&l. Only laboratones certified under wheen is mdependent of the imtial test 2.8 Proveenen of Employee Records these stancards are autnonzed to and which uses a different techmque 2.3 Inomoual Access to Test and perform arme crug testmg for Federal and chemical pnnciple from that of the Lacoratory Certshcanon Resuus agencies. mtaual test m order to ensure reh bahty

E f Federal Re;:ister / Vol. 33. No. t)9 / .\londay. April 11. 1988 / Notices 11981 any ott:er matenais wmch could be used contammate the specimen. The time  ;::) The mdividual shall be asked to to souitetute the specimen. from unnation to temperature reaa and sign a statement in the (7) The mdividual may provide hisi measurement is cntical and m no case her specimen m the pnvecy of a stall ur permanent record book certifymg that shall exceed 4 mmutes. the specimen identified as hawmp been cinerwise partitioned area that ailows (13)lf the temperature of a specimen for momriual pnvacy. coiiected from nim or her is in fact thai is outside the rance of 32.5*-37.7*C/ specimen he or she provided. i81 The collection site person snail 90.5*-99.8'f. that is a reason to believe note any unusual benavior er  !:31 A higher level supervisor shall that the manvidual may have altered or review and concur m advance with any appearance m the permanent record substituted the specimen. and another bmL decision by a collecuen site person to specimen snall be collected under direct obtam a specimen under the direct (911n tne escept onal event that en observation of a same gender collection scene).cesignated codection site is not observation of a same gender collection site person and both specimens shall be site person baseo on a reason to believe . [ accessinie and there is an immeosate forwaroed to the laboratory for testmg. recurement for specimen collection that the individual may alter or An mdividual may volunteer to have his substitute the specime'n to be provided. (e e.. an accident mvesuranoni, a public or her oral temperature taken to provide rest roem may be usea accordmg to the (:41 The collecuan site person shall evidence to counter the reason to comoiete the enam of custody form. fouowine procedures: A collection site believe the mdividual may have altered persen et the same pencer as the  ::$1 The unne specimen and chain of or suosututed the specimen caused by motvicuai shall accomcany the custocy form are now ready for the spec: men s temperature fallmg shirment. If the specimen is not moivicuas into the puouc rest room outside de presented range. wnien snail be mace secure dunng the immediately prepared for shipment. it (til immediately after the specimen is codecnon procedure. If possible. a todet collectec. the cellection site person shall sha!! be appropnately safeguarded muing acent shall be piaced m the bowl also mscect the specimen to determme durmg temporary storage. ano any accessible todet tank. The ':61 While an'ypart of the above its color and look for any siens of codecten site person snail remam m the contammants. Any unusual findings eg'am of custocy procedures is bemg rest rocm. but outsice the stall. untd the shall be noted in the permanent record performed. it is essennal that the unne s:ec: men is collected. If no blume agent book. specimen and custoov documents be is asaiiacie to deter specimen ddution. (151 A!! specimens suspected of being uncer the control of the involved codecuan sue person.!f the involved g.e conecuan sue person shall mstn:ct adultera:ed shau be forwaroed to the codection site person leaves his or her 7..e

                     .e spec:mc:vidual men is not to flush cebtereo      the todet until la boratory for testmg.

to the work station momentanly. the specimen (16) W henever there is reason t ecdecucn site persort After the beheve !nat a parucular mdividual may anc custodv form snall be taken with conect:en site person nas possession of alter or suc6titute the specimen to be h:m or her or snall be secured. After the tne spec: men. the mcivicual will be provided a second specimen shall be couecuon sue person returns to the estn:::e: to flush the toilet and to cotameo as soon as possible under the wom stanom me custody process will paruci a:e with the collecuan site direct ocservaton of a same gender c nme. H the couecuan sue person is persen in completmg tne cham of cellect:en site person. aeasma for an estenced penod of tirne. custocv p ocecures. 117) Bom the mdivicual being testec me scecim.9 snad be pa%eo br (101 Upen receivmg the specirnen frem dnd the collection site person snail keep er mg cefore nr: or she leaves the site. me merv:cual. ihe cc6ecten site perton the speumn m view at all times prior to /g> Co!/ect on Contml To the snail cete-mme that it contams at least r;s tema sealed and labeled. lf the mammum extent corsde, ccliecm sne 60 rnniO:ers of unne. If there is !ess thar spectmen is transferred to a second personnel shall keen the mdividutis

                  % tm.;Uters of unne m tne contamer.               bott'e. tne collectica site person shall       specimen bottle withm sight botn before
                  .ocmona utme snad be collected m a               request the mcividual to observe the           ano aiter Ine mc.vtcual has unnated.
                  <ecarate contamer to reach a total of 60          trar.sier of the specimen anc the              Af ter ce specimen is collected. a shall m'ililite s. ITI e temocrature of the            placement of the tamperproof seal over         be propeny senied ano labeled. An parnal s:ectmen m each separate                   the botte cap and cown the sides of the       approveo cham of custody form snail be contamer snau be rr casures m                     bottle.                                        usco for maatamma control and accorcance mth parserapn if](1::) of tbs               (18) The co;lection ::te person and the   accountabihty of eacn specimen from secuen. and tne parual specimens snail            mdividual shall be present at the same         the comt of collecuon to final c' e comomeo in one contamer.) The                time dunng procedures authned m                disposiuor, of the specimen. The ciate meruot.ai may be eisen a reasonaole               paracracts (f)[(19Hf)Im of this section. ano purpose snau be documented on an
                 . mount of hquid to enna for tnis                      (19) The collection site person shall     approveo cham of custody form eacn parpose se n.. a Riass of water). If the          place secureiy on the bottle an                time a specimen is handled or inciuc;.a ! ads for any reason to                 identificanon label which contams the          transferred and every mdividual m the provice *;0 muhhters of unne. me                  date. tr e mctvidual s spec: men number.       c. ham shall be scenufied. Every effort code. tion site person snali contact tne and any otner identifyma mformation            shad be maoe to mmimize the numoer of a:prc:r: ate autnontv to ontom cuic ni.e          prouded cr required bi the agency              pe-sons hanches specimens.

on tr.e accon to be tanen. (201 The mdividual snall instral the /h/ Tronsoorronon to Lcborcrory.

                      'lll A!!cr the specimen has oeen             identificanon label on :ne specimen            Codecuon sue personnei shall arrante picuceo and suumitted to the coni.own bottle for the purpose of certifymg that it to srup the codected specimens to the s.te person. the mcivicual shall be               is the spec: men collected from him or         drus *estma laboratory The specimens asioweo to wasn his or her hands.                 her                                            shall be placed m contamers designed to 11:llmmediately after the specimen :s             1211 The coilecuon site person shall      mmimize the possibdify of damage f.us.ectec. ine codection site person scet! .riter m me permarient record book all               dunr2 snipmer.t. for exampie. specimen measure tne temperature of the                    mformat on idenufying the specimen.            bones or padded maders: and those specimen. The temperature measuring               The collecuan site person snall sign the       contamers snall be securely sealed to de ice useo must accurately re: lect the          permanent record book next to the              ehrimate the possibility of undetected ter perature of the specimen and not              identifying mformanon.                         tamoenns On the tape sealmg tne

s . Federal Register / Vol. 53. No. 69 / Mondar. April IL 1988 / Nouces 11983 W Rccerrm.e.11) When a snement of 1:1These tese leveis are subiect to I:) The laborainry shalirevorr as l: specimens is receiveo Lboratory I chan:te by the Department of Heaitn ano reyerac all spectmens whien are personnel shall mspect each pacmage for Human Services as davances in encence of possible tamperme and negative on the imtial test or riegative tecnnolopy or other considerations on the conhrmatory test. Oniv compare miormanon on specimen warrant adet.tification of these bottles withm escri packase to the specimens conhrmed positive shall be substances at other concentranons. reported positsve for a specific drus-mformanon on the accompanyme enam fruttal test methoos and tesime leveis for (3) The Medical Review Ofhcer may ni custocy forms. Any direct evioence of other drugs stiall be suomitted in wntmE request from the laboratory and the tamoenng or anscrepancies m tne by tne agency for tne wntien approval laboratory shall provide cuanutauon of mformation on specimen bottles and the of the Secretary. agene) s cham of custocy forms test resuits. The Medical Review Officer th Confirmatory Test. (1) All may not oisclose quanutanon of test attacned to the stapment snail be specimens idennhea as positive on the results to Ine agency but snail report immediately recorted to the arency and inmal test shall be confirmed usme gas only wnetner the test was posmve or shall be noted on tne laboratory s cnam chromatography / mass spectrometry negative. of custooy form which shall accompany (CClMSI techmques at the cutoff values (4) The laboratory may transmit the specimens wnsle they are m the hsted m this paragrapn for each drug. laboratcry s possession. results to tne Medical Review Ofhcer by - All conbrmations snail be by vanous eiectrome means tior example. [21 Scecimen bott!es will no=stiv be quanntance analysis. Concentrations - teleprmters. facsimile, or computeri m a - retameo withm tne laboratory s whten exceeo the hnear region of the manner cesigned to ensure access.cn area unni all anaiises nase stancard curve shall be documenteo in confidennainty of the mformanen, been comcietec. Abouars an'd the the hboratorv recora as " greater than Results may not be provicea verosiiy by laboratcry cnam of custoov forms highest standard curve value." telephone. The laboratory must ensure snail be useo by laboratory personnel coroma. the security of the data transtntssion for concuc'.ma ist:al and con 6reatory ests, Q', ma and limit access to any data transmission. storage ano retneval sc) S?c-r-Term Re4rgerctec 5.wcee. ~ m,sna menoon . ,s 'Y** Specirrens that oo not receive an iniual co:ane m wes - - iso (5) The iaboratory shall send only ta test witnm 7 davs of arnvai at tr.e **'" the Mecicai Review Officer a cerunec laboratcrv shall be piaced in secure 7,,na ~ ]. copy of toe ngmal c}.atn of custooy refngeration umts. Temperatures shall deweend :5 form strnea by the mdivicual not et crea 6'C. Emer;ency power ^mpaetam'a,, responsioie io'r day-to-cay manarernent equipment snall be available m case of ***'""'-~ m f the dmg testmg laboratory or the proiotsee power failure. - -- motviouas responsible for attestmg to the vahd2tv of the test reports.

                         /dlScec:m Percersep Laboratory
                    .acmt:es :ct er:ne crug testms was
                                                                                      ;y           ey=*S *" "                          l6) The iacoratory shati provice to tne nor an. p ocess suec: mens by pouptna                                                                          ecency offic:si responsible for
                                                                                       ,= T'sese test leve;s are suotect to        coor::inanon cf the cran-frea workoiace them into catches. The number ci specs. . ens m each baten may ury                             chance by the Depa:tment Lf Health ano program a enonthly statasucaA suru cary Human Semees as acvances m                       cf urinaiysis testma of Fecerai sipuEcAn:ty deperdug on tne st E,of                           ,,g.c!ogy or other considerat ons                erapioyees ano shill not include in the the facarators t.r.c as workloa7. M hen                       warrsnt ident:Ect.c.on of these                  sum =ary any personal identifying cor.ouceng g m.tal or corArmatory                              substances at ciber concentrations.

tests. m y cata snai. contam an mformauer. Instrai and conirmanoo approcrate number cf stancarcs for Conbrmstory tes< metnods and testm8 data snail be mcauded frorn test reemts leve:s fer othrer dr.:ss sr,all be suomitteo reportee witrim inat montn. Normaslv cohbrat.nz Te ete:mentat.cn anc a in wnt ng oy the asency for the wntrer mmiram of a percent co : trois. 5cth this summery shall be forwardeo by approvalof the Secretary. ree:stemo cr certthed mani rot more quainy c:n:rcl ann blind performance test samoies sha!! appear as crdinary /g/ Reporreg Reswts. (D The than 14 ca:encar oays aftet t?e eno of i sa neses to :s:>osatory analysts. labora< cry shall repcrt test results to the the enontr. covereo by the senaruuv. The agency s Mecical 'levtew Officer withm summary sna 6 contam the foilowics

                        /e/ k:cci Test. n) The tmual test                         an aseruse oi5 workms days after                 informanon:

shati use an immunoassay wrucn meets rece:pt of the specimen by the (i) Imtian Tesung: the requirements of the Food anc Drug laboratory. Before any test result is (A) Numoer of spmmens receiveo: Admm:stratmn for commercial reported Ithe resuits of mittat tests. distriouuon. The fodowmq minal cutoff (D) Num:er of specimens reported out. confirmatory tests. or quality control ano levets sr.a.1 be useo wnen screenmg datas. it shall be reviewed ano the test (CI Numoet of specimens screened specimens to cetermme whetner tney certthed as an accurate report by the are naranve for inese tne crugs or positne for resonesible motvicuai. The report snail y3 wa*.a rnetabohtes aasses : c tas

                                                                                  ,centav ene crussirr.etaoohtes tested Cocame metabohtes wi..         for.

• nether posstne or nenative. and wu Opiate metabolites the cutoit for eacn. tr.e specimen numoer phencycacme

                                                                   , .,g , m,,    ass:snco by tr.e agencv. and the drus                 gepng,s ,mes
                   ,                                                       ,ng    testma laooratory spec: men u ,,                                                          identihcanon number. The results g                     gy 300 r)w. merw ,               . . .                      ' 300    (positive ano neeauver for all specirnens              I A) Namoet of specimens receiveu for p'=cvew. _ ~ - . . - _ . . .                                                                                    co arma ucr.,,

amo, caw s. 25 suomated at the same time to the i coo (B) Numoet of specimens conhrmeo laboretory shail be reported back to the

                       . ;sno , ,,, , ,,,,,,,o.u,, ,,,c,,,c ,o, ,,       mo, . Meoical Review Ofheer at the same                   positne for:

p time. Marnuana metabo ite

i r..: Federal Register / Vol. 53. No. 69 / Mondav. Apnl 11. 1988 I Notices 11g85 test:nc of an mdmduai's specimen shall performance test resuit. A recorti shail carnfied for uncalysis tesung by the be cocumented. A mmunum of to be make of the Secretary a mvesnganve Department of Defense:ce percent of all test sampics shall be findmts and the correcuve action taken (bl Asencies may develop intenm self-quauty control specimens. Laboratory by the laboratory. and that recore shall certification procedures by estabbeturie quauty control samples. prepared from be dated and stened by the andmduals preaward mspecnons and performance spsea unne samples of determmed responsible for tne day-to-day testmc plans approeed by DIGIS, concentration shall be included m the management ano operatson of the umR (c) The penod dunng which these run anc should appear as normal testing laboratory. Then the Secretary intenm certific.stion prowdures will sarn:.es to laborainrv analysts. One shall send the cocument to the agency appiy snalt be oetermmed by the percent of esca run. with a mmimum of contracting officer as a report of the Secretarv. Upon nonced by the dt kcasi one samole. snalt be the unsallsfactory performance testing Secretary that these Intenm certJficatieft laboratorv s own qualifv control incident.The Secretary shall ensure procecures are no lonnee available. all same.es. notification of ine fmdmg to all otner Federat aeencies subiect to these per i.::oreton- Quchty Contro/ Federal agencies for which the Guideime's shall only use labore1ones Securements for Contermation Tests. laboratory is engaged m urme drug that hn e been certified m accortlance Eacn anaiytical mn of specsmens to be testmg and cooramate any necessary with Subeart C of these Guidelines ano ceni:r co shallinclude: action. . alllaboratenes approved for mtenm til Crme specm. ens cernfied to 15) Shoul;l a fa..se potatsve error occur certificanon under parseraphs fa) and conta;n no crus: on a bimd per:ctmance test specimen (b) of this section shall become certified i:1 Cr:ne specimens forufied w un and the mot is cetermined to be an admmistrative error (clencal sampie in accercance with Subcart C withm 13 inew . s:ancarcs: ano days eide cate of this nonce. 13; F smve controis with the drug or mixup etc.). the $ecretary shall require , . mets:eine at or near tne triresnold the laboratory to take corrective action 2.7 neportmg andReview ofResuits. leu:cy to mmim ze tne cecurrence of the (d.Medmai Revim 0FicerShu The ;.neanty and prec;sion of ihe panicular em m the future: and. if Review Resuits. An essenual part of the metnc:::all be penocically there is reason tc believe the er cr could crug testmg prograni is the final review cocumented. Implementation of have bm systemauc. the Secretary . of resu::s. A posmve test restdt does not prece:.res to ensure tnat carryover may also requ;te review and reana!ysis automaucaily toennfy an employee / coes ret contammate the testmg of an Sho a e pos u erre*9ccur "E ' ' ' " " 'I' "'#~ mer.::;ds specimen snall also De memo.:as with a detanted knowledre ci cocumen:ed, en a blind performance test spee en - po,33g.e alternate mecical explanacons Y 4;encyBlindretsreence Test an the em is cetennmed to be a

                                                                                              "*                               is essennai to the renew of results. This Pecee.=es. (1) AFenc:es shall purchase                                                             review snail be performed by the cr_g :rt mg semees cely frem                         fa'b'                                 .

Me :ca. senew OfIicer pnor to the

                            !aberstones cert:fied by DHHS or a con id specimens whicn mc!uded the false             transessen f muns t aF N Y CHMS.:ecocnt:ed ce-:ficanon precram                                                                'U #'"**                         '**#

posttn e specimen. In additism. :he a arcc cance with these Guideimes Lacers::ry partictrsuon is encocra;cd laaoratory shai! tetest all specimens M*## " " " A"" @##M ###'"

                                                                                                                                                                                  .      D' anaiyzed cosmve for that drug er m c:ner :ertortmance testme surveys by               metacolite f or; me ume of fmai                      car nm wrucn me laboratoly v penormance is                                                                I*** P"YU '"

ali Ka resolutiv. of the error bark to the time '"E ' # corn; area with peers anc reference ru'e sta. ice aouse dmen and may m tif the last satisf actory performance test v la MueS- an am u contram empw h C: 7.rng tr:e trutias Lday pnsod of cvele. This retesans shall %e r4 cur,ented bv a s.tatement sis;ned by role oime Meoncal Renew Of5oer is to on> new crug testme p:caram.eacn me meividua!' responsible foe cayao- renm ano minpm posmn test nmuts atency snai: suo=tt time reriormance day nanare ne;st of the laboratory s obtamac throuss de asency a tesw

est s:ec: mens a ea*.n laboratory it an'ne crug'testn;.The Secretery mav pregram. In earryms oss than

                                                                                                                          ~

cer.tuc:s with m the amount of at least regtnre att ;asite review cf the ""*4U##MN 50 pe cent of the totairanier o' labontory whten may be conduct *r: M.r, car stad exwm anstate meracas - . sarn:.es suommed (up to a muernum of unannounced c. : c any Fours nf pen.name fu any petun tee mmut. 500 neciesl and thereafter a mmimum operanons of the lat> oratory. He 4 bis acnon could incluoe conductma a of :D:e- ent of all samnies (to a Secretary has me optren nf revoHrg meetcas mtuwm with the mdmdual. max: mum of 2501 suDmitted per t;uarter ;3 :31 or suspent:ns (314! the rmm i the memdual s menical "l! A::roxtmately 80 cercent of the laboratorv s ce nfication or histor.. cr review of soy otDer relevant ! bime :a dormance test sampics shall be recommeridin at no further action t, biomec:cas factors. The Medical Review l olan. e cernfied to contam no cnse! uken if the ecse s one ofless senous Officer snad rmm au meicai ncmos unc :re remamme samoies shall be error m whict --- ect?ve action nas map asatiable by the testeo mtimduas van . ! r one or more crues per eireacv bee- N'en. tnus reasorach unen a conumo posit we test cousd

                             ..e: e n a distnoution sut.h t%t .nl tha             .issurme thn' -, a"or wiil not ecc ;r                          from Mah pmdeo c ucs = ne tested are meiaded m                         g ,:n haw asam,,he mec,renun      t                   Mecica4 Review Office er*: :matelv caualircouencies of                                                                  sna:: n:t. nowever. consicer the reswts i.n...me. The positne sampies snail 5,               M <Wmn Censconon Procecures                   ci unne samp.es that are not octameo er
                            *pise; onsy witn those orars for wn:ch                    Danrg the :nterim certification pennd    prr,cessec m accorcance with these
                            +e nenev is testma                                    4s determ:nec . .cer paracranh Ict           Caicennes.

) L T e secretary stian msesusate ont utenews shall ensure laboratort ac/ hsinve Test Resuit Pnor to uns.t.sfactory performance testmc competence uv ene of the followt .c mance a hnal decision to verify a resur .ra. basco on this mvesugauon. nethocs: positise test resust the Meoncal Review the racoratory snail take action to f a! Agencies may use gency or Offict r snail nive the mdmdual an r.urre- ne cause of the unsatisf actory r.untract laboratones that nave ocen opporyn.tv to ciscuss the test result m____.____________.______ _ _ _ _ _ _ _ _ _ _ _ __

h . fI, Federal Register / Vol. 53. No. 69 / Monday. Aortl 11. 1985 / Notices 11987 L u menem/ Cenmccr:an specimen acautsinon. chain of custody. acenroance with these Guidelmes if the Recc:rements. secunty and reportmg of resuits. imual Secretary determmes that revocation is A !aboratory must meet all the and conftnnatory testmg. and vahdation necessary to ensure the full rehabihty pertment provisions of these Guidehnes of analytical proceoures. Quahty control ano accuracy of drug tests and the m er::er to quahiy for certshcation uncer procedures shall be designed. accurate reportmg of test resuits. these stancards, implemented. and reviewed to momtor ;blfactors to Consider. The Secretary the concuct of eacti step of the crocess snail consider the followmg factors m g g, g ,j , of testmg for drugs as specified m15 of gg ., determmmg wnether revocanon is these Guideimes. neerssary: Tc be certified. a laooratory must be @ Uns'ausfactory performance m l J.B Secunty and Chain of Custody. cacao:e o testmp for at least the analyzma and reportmg the resuits of folicwmg five classes of drugs: I aboratones shall meet the secuntF drug test':s for examoie. a false posius e - Mamuana. cocame. ceintes, anc cham of custody requirements error m reportmg the resuhs of an amOnetamines, anc pnenC)Clidme, usmg provided m :4 tai. empioyee drug tese the mma' immunoassay and (21 Unsatisfactory participation m J.9 One.l'ecr Stomre /or Confirmed quar.utative confirma tory GC/MS py,,,, y,,, teriormance evaluations or laboratory memoos specuied m mese Guidehnes. inspections: The certification program wdl be hmited All conhrmed posmve specimens (3) A matenal violation of a to tne uve classes of crugs (111a)(1) shall be retamec m accorcance with the cemficanon standard or a contract term anc '! and the metnrns (14 lei anc tf)) provisions of 14(h) of these Guidelines. or otner condition imposed on the spec:::ec m these Guiceimes. The 3.10 Document:rion. laboratory by a Federal agency usmg labcra:Ory will be su veyed anc the Iabwatory s suces: peri:=ance testec en:y for these The laboratory shall r:ramtam and make avai!able for at least : years (4) Conviction for any enminal offense metrocs and druss. Certification of a committed as an meident to operation of labcratory meicates tnat any test resuit documentaaon m accordance with the specincahons m 14(m). * *,N" re:enec by the laboratory for the (51 Any other cause wn.ic. h matenally Feceral Govemment meets the y y; ge . affects the ability of the laboratory to star.carcs m these Gacelines for the five c. asses of usms tne metnocs The laberatory shall report test results ensure the full reliabihty and accuracy in acconf ance with the specifications m of drug tests and the accurate reportmg specified. Certified laboratories must ag). resuus. cleany mform non.Feceral clients wnen procecures followeo for those chents

                                                                                                                                                                "       #        #   E*" "

J.;? Certification- terms of revocanon shall be cetermmec coni:= to the stancarcs specified in these Guidelines. (c/ Cenerel ne Secretary may certify by the Secretary and shall depend upon any laboratery that meets the standards the facts and circumstances of the 3.5 N trici and Co::9merary m these Guidelmes to conduct unne revocanon anc the need to ensure C:::::itrv et Scre SJ:e. drue testmg. In addition. the Secretary accurate and rehable drug testmg of Cer::fied laboratenes shall have tne may consider to be cemfied and Fecerai employess. ca:a::hty, at the same laboratory sue. laboratory that is cemfied by a DHHS- y,y gy,p,,,jg,, ofi.e fo=mg hos :nmalimmuncassavs recog zed crmfication program tn ar.cordance with tr.ese Guidehnes. Io/ Cntena. Whenever the. Secretary anc ::nhm.a'torv GCiM5 tests (14 (e) snc 9 for meniuana. cccame, opiates. /b/ Cntena. in detenninmg whether to has reason to beheve that revocauen amretarnmes. anc ;nency chdme acc certify a laboratory or to accept the may >>e requirea ano that,imenensate for say other drua or ::tabohte for er ttification of a DHHS-recos:mzed ~ accon is necessary m croer so protem wn::n agency crut.estmg is authon=eo cemfication proeram tr. accorcance with the mterests of the U tited States and its (10at til and 1:1). A;! positive mmal these Guidelmes. the Secretary shr.il emotoyees. the Secretary may , test resuits shall be c:nfim:ed pner to consider the followmc mttena irnmecia:ely susoeoc a laboratory s repen:ng them. (1)The adecuacy of thelaboratory cemficanon to concuct mne orug

                 .                                    fac:lities:                                                                           tesnnr for Federal egeneses. De:

Ji r'"mel ~21The expe tists and expenence of Secretary may siso acapt anspension of 'i Laporatory rerso :nei shall meet the the laboratory personneh cem0 canon by a DHHSe:ecos; tuned recerements specif;ec in 2.3 of these (3) The excedence of thelaboratory s cerufication program m acenrriance with Co.:ennes. ~1hese Gmeeimes estabhsh quahty assurance /quahty control diese Guideltnes. the oclusive stancarcs for quahfymn or program: Ib/ Penoo end Terms. The penod and cer*Amg those laboratory personnei (4) The performance of the laboratory terms of suspension shall be determioed mtc ed m urmahsis testing wnese on anv performance tests: by the Secretary and shall depend upon func:.:ns are presencec by these (5) The laboratory s compliance with tne facts ano circumstances of the Gu:tmes A cernficanon of a standards as reflectec ir. any laboratory

                                                                                        '                          ~

susoension and the need to ensure

         !statorv under tnese Guidehnes shall         inspecuons: and                                                                       accurate and reliaone drug testmg of be . :etermmat on tnat these                    (6) Any other factors affectme the                                                 Federal empioyees.

qua..f. cation requirements hue been renabihty and accuracy of drug tests 3 15 Notice: Opportunity for Review rne- anc reportmg cone oy tne laboratory. ' (c/ Wntien Notice. When a laboratorv

3. gucitty Assurt:nce end Quolity J13 Revocation. is suspenaed or the Secretary seeks to

                     '                                   /c/ Generol. The Secretary shall                                                   revose certificanon. the Secretary snail 0 .s testmg laboratones shall have a     revone cernhcanon of any laboratory                                                   immediately serve tne laboratory witn qua.. s assurance pr0 gram wnich             ceruf ed unoer these provtsions or                                                     wntten nonce of the suspensson or enccmcasses all aspects of the testmg         accept revocanon by a DHHS.                                                           proposeo revocat on oy personal service process meludma bat not hmited to            recosmzed cernficahon program m                                                        or registered or cert fied mad. return

Federal Register / Vol 53. No. 69 / Mondav. April IL 1988 / Notices 11989 faise crue identifications are acceptable cernficanon for all drugs or for only ine to successfully quantitate. The for any crues for w nich a laboratory drue or drun class m which the error Lboratory shall be allowco 5 workma offers service. Uncer some ocestred. llowever. if the case is one of days m which to provide any circumstances a false positive test may a less senous error for which effective explanation for its unsuccessful resud m suspension or revocation of corrections have aiready been mace. performance. meludmg acmmistrative certificanon. The most senous false thus reasonably assunng that the error error or methodological error, and pos4uses are by crue class. sucn as will not occur agam. the Secretarv rna) evidence that the source of the poor reportme WC in a plank specimen or decide to take no further acuen. perfo=ance hes been corrreted. The reportme cocame m a specimen known (vil Dunng the time required to to contam oniv opiates. Secretary may revoke or suspend the resolve the error. the laboratory shall laboratory s certificanon or take no Misioenuficanons withm a class le g.. remam certified but shall have a further action, dependmg on the coceme for morpnines are also false designation mcicatmg that a false positaes whicn are unacceptable m an senousness of the errors anc whether positive result is penomF resolution. If there is evidence that the soutte of the approonately controlled laboratory. but the Secretary cetermmes that the poor performance has been corrected they are cleariy less senous errors than laboratory's certification must be and that current performance meets the misidentification of a class.The susoended or revoked. the laboratory s requirements for a certified laboratorv follonme procecures shall be foilowed official status wiil become "Suspendeu" wnen cealms with a false posmve: or " Revoked" unul the suspension or under these Guideimes. The Secretarf may require that additionai performance li)The acency cetectmg a false revocation is hfted or any recertificar:on posttne error shail immediately notify tests be carned out to determme process is comoiete.

• nether the source of the poor the iaooratory ano the Secretary of any s2/ Recurrement to identify ana performance nas been removed. If the sucn error.

Caniitm W Percent of Total DruS Secretary octermmes to susoend or (n) The laboratory snail provide the CAcdentes. In orcer to remam certifici Secretary witn a wntten explananon of revoke the laboratory a certification. the laboratones must successfully comoiete the reasons for tr:e error withm 5 laboratorv s official status wiil become six cycies of performance testmg pe? "Suspenc'ed" ct " Revoked" until the wornme cays. Il recuired by parastaph 3 ear. Failure of a cert:fied laboratory to (bHWvi below. tnis explananon snail suspension or revocation is lifted or mamtam a grace of 90 percent on anY unut any recerufication process is inctuce the submission of all cuainty recuired performance test cycle. t.e.. to compiet'e, contro cata frcm tne batch of identify 90 percent of the total drue spec: mens that meluced the fas,se (c) 80 Percent of Porncmct:ng challenges and to correctly confirm 90 tegg7;fyne,37ygf g,f,gg gnfg, A positne specimen. percent of the tetai drug challences. r ny laid The Secretary snali review me noramry s performance snail be resuit in suspens;cn or revocatiun c:, laboratorv s exp!anation withm 5 evaluated for all samples for which cerufication. wornmg cays anc cecide wnat furtner /J/ Requirement to Quantitcte 60 crugs were spsed at concentrations acuen. :I any. to take. above the specified performance test Percent or Tote: Drue Cbc//enges c:

                 'avl af the error :s cetermmea to oe an                                                :evet un.ess tne overail response from
                                                            =.D Percent or ::s:ancare ceno:::: s        parucipatme laboratones mdicates that actnm:stratn e error ic!encal. samose         Quantitaure values obtamed by a mixt::. etc.), the Sec etary may c: rect                                                   !ess : nan 80' percent of them were acie certitied laboratory for at least 80 the iacoratory to taae correctne acuan        percent of the total drug challenges must    to cetect a cr.r.

to inmimize the occurence of the or =20 percen? or :: standard Id/ Perne;;5 ion Pequired. Failure to particu;ar error in tne future anc. if there certations of the calculateo r2ference , , g ,, g

s reason to beliese the error couid have troup mean (whicuever is large:1 "

gy g oeon cvstematic. tnay require tne Hi hecut.went to Quantitcte ettin *9?'*** ("*** *** *5 lacoraiory to review and teanai>re 50 Pe cent of C !culatta Referrace ce nincanon. ' previousiv run specimens. Croup Afeen. No quantitative values J;p inscecaces. vlif the error is cetermmec to be obtamec by a certified laboratory mas tecnn: cal or metnocciocical er r. the differ by more than 50 percent from 're P-ior to laooratory cerufication uncer laboratory snali suotrat to the Secretary calculated reference group mean. mese Guadennes ano at least twice a all cuanty r.ontrol cata from the batch of /5/ Requ4remers to Scccessfui/y year after ceruficanorL a team t.f three specimen's wtuch menuded the false Detect and Qucnnto e 50 Percent or tne cualified inspetor5. u le:4st in of posita e specimen. In acdiuort the 4 TotalDrug Cheilenyes for Any wham nave oeen trameo es sabcratory laooratory shall retest all specirnens Inireduo/ Drue. For sny mdividual inspectors. snail conduct an en site ana peg positne oy me laboratory from crtg. a cert'fied !aboristory must mspecuon oflaboratory premises. I ' the t'me fo final rescrution of the error successfully detect and quanutate m !nspections snall document the overau, bacx to the time of the last satisfactory acccrdance with parseraphs (bl(21. cuaaty of the laboratory t,etimg for tne performance test evete. 'Dus retesimg tblf 31. and (bl(4) of this section at least purposes of cerufication to concuct snail ce cocumentec bv a statement 50 percent of the total drug challenses unne crug testmg. inspection reports stenec bt, the mcivicual responsible for e6/ Procecures When Requirements .n may also con'am recommencanons to

             *he capio cav mar.arement of te               l'uregfrpns /b//2/-b//51 of snis See:gn      me laoorstory to correct cencienc2es
             !acoratory s urme crug testme.                he.Vot Afet. If a reruhed laboratory         noted dunne tne mspecuan Decenc:ne on tne type of error wnicn          fanis to ma:ntain a :: race of 90 percen:

causec the false positive. this retestmg per test cycle after minal ceruficatien as g m may ce umsted to one analyte or may raouireo by parasrapn (bil2] of this Pedormance. mciuce any crues a laboratory cert hed section or if it fads to successfully Failure of a laboratorv to compty witn uncer mese Guicchnes must be cuantitate resuits as required by .,nv aspect of tnese Guicennes may ieac preparec to assav. The laboratory shall paragrapns (bif 31.1t)(4). or (b)(5) of m 5 to revocanon or suspension of immediately notify the scency il any section. the laboratory shall be resuit on a retest sample must be certshcation as provioed m 313 anc 3M i immedimiety mformed that its of these Guidelmes. correcteo because the entiena for a performance fell under the 90 percent positive are not satisfied. The Secretary level or that it failed to successfully FR Doc. 68 __m_ _mm. _ _ _-r864 Fded 44-68 8 45 ami

                                   -                                                                                      Atch 8 1

Office of Perwnnei Management . FPM Letter 792-16 l Federal Personnel Manual System P e tshee e aswance a' aca'na'*"aa a

• FPM Letter 792-16 Supp. 792-2 1 SUWECT: Establishing a Drug-free redersi Workplace , ,, j Washington. O. C. 20415 ftNuneser 28, 1986 Heacs of Decanments and independent Estabirshments:

1. PURPOSE.

a. n e use cf illegal drugs by a significant propertien of the national verkferee has majer adverse effects en the welfare of all Americans, and results in tillicas of dollars of lest productivity each year. nere is ne reason te believe that there is a greater incidence of illegal drug use in the Federal workforce than in the private workforce. However, as the Natien's largest employer, the Federal government and its two nr.111cn civilian employees must be in the forefront of our national effers to eli=inate illegal drugs frenn the American workplace.

b. n e use of illegal drugs by Federal employees, whether en cr off the

b, cannet be tolerated. Employees who use illegal drugs have three to f ur times . acre accidents while at work. Federal workers have a right to a safe and secure workplace, and all American citizens, who daily depend en the work of the Federal government for their health, safety, and security, have a right to a reliacle and productive civil service.

Federal agencies must take action fer the protection of individual drug users, their co-workers, and the society at large. In recognition of this, President Feagan, in Ezeeutive order 12564, set forth the policy cf the United States Government to eliminate drug use from the Federal verkplace.

c. Agencies will establish a comprehensive drug preventien program --

which is hu=ane, responsible, and effective. In recognitten that empicy-ees who use drugs are, themselves, prs =.arily responsibin for changing their behavier, the program will include d: ug education and training, e=picyee c unseling and assistance, and voluntary drug testing. However, where appropriate, there will be mandatcry drug testing and disciplinary a:ticn.

d. Ris will be a talanced program shich empha61rea offering a helping hard to eepicyees who are using 111ecal drugs. At the ss.ne time, it

                                          =ust be cleer to all that co Ainued illegal drug use by empicyees will r.:: be t:2ernted.

e. Under the Executive Order, CPM is directvd to issue government-wide guidance tc agencies en the implementation of the terms of the Crder.

f

. AGEN N PESPONSIBILIb!ES.

a. De head cf each Executive agency shall develop a plan for achiev-ing the eb;ective of a drug-free workplace with due consideration of rights cf the government, and the cepicyee. Agencies should make every inouiries: Cffice of the General Counsel. (202) 632-4633

("ooe: 792. Tederal Espicyees* Health and Ccunseling Programs Basic.TPM. TPM Supplement 792-2 o'*'o""

• Distribution:

p Attachment 6 to TPM I.atter 792-16 (3) (c) develop and maintain counseling capability (through personnel, medical, or other counseling resource, including contracting out); (d) establish liaison with community education, t:satment and. rehabilitation f acilities und, (e) evaluate the program and report to management on results and effectiveness. C. Emolovee Assistance Counselors. (1) In ocae instances, the EAP Coordinator may have the necessary skills, time and motivation to function as the Employee Assistance Counselor. The Employee Assistance Counselor serves as the initial point of centact for employees who ask or are referred for counseling, and will be allotted sufficient official time to implement the procram effectively. At a minimum, persons designated as Employee Assistance Counselors should be, or provisions should be made for them to ber (a) Familiar with the provisions of Executive Order 12564, " Drug-Pree Federal Wrkplace" and Federal Personnel Manual Le eter 7 92-j6,, " Establishing a Drug-Free Federal Wrkplace" . (b)' Trained ins

                                                - counseling unployees in the occupational setting,
                                                - identification of drug abune, and,
                                                - administering t.he Employee Assistance Program.

(c) Able to communicate effectively with employees, supervisors and managers concorr,ino dru.; use and its symptoms and * } c enseque nces. (d) Knowledgeable about community resources for trea tment and rehabilitation of drug users, including information on fees and payment schedules. (e) Able to discuss drug treatment and rehabilitation insurance coverage available to employees through the Federal Imployee Health Benefits Program. (f) Able to distircuish the occasional user from the addicted user and to stasgest the appropriate treatment based on

 #                            that information (e.g., af ter hours attendance at Narcotics
 .                            Anonymous meetir}gs to significant medical assistance).
                                             *V

Attachment 6 to FPM h tter 792-16 (5)

6. Trainino and Education.

A. Supervisory trainino. Esployee counselors will conduct or otherwise provide training sessions for acency supervisors on the handling of problems of substance abuse. Appropriate topics includes (1) Drug awareness and symptoms of drug use. (2) Recamended methods for dealing with the suspected or identified drug user. (3) Supervisory responsibilities under E.C. 12564. (4) Confrontation and referral techniques. d (5) Explanation of the (agency) employee assistance program and its relationship with the (agency) drug testing program. (6) General principles of rehabilitation including technicues for supervisors to assis.t employees in returning to the worksite, given specific (agency) needs and requirements. (7) Personnel management issues (e.g., relationship of this program to performance appraisal and disciplinary programsf leave usage and, supervisory notes and documentation). B. Ecolovee education. The Employee Assistance Coordinator will ensure that employee seminars on topics dealing with drug use are provided periodically. Managers and supervisors shall encourage employea attendance at these seminars and provide other appropriate support. On a continuing basis, educational materials and irrformation on drug abuse will be available to individual empl'ayees.

7. Publicity of EAP to employees.

A. his policy and program will be made known to all (acency) employee s. All new employees will be informed of the services available under this program as they enter on duty. B. ne names and locations of Employee Assistance counselor (s) should be listed in telephone directories and displayed on employee bulletin boards. C. Periodic employee memoranda and other appropriate publications should be used to keep employees informed of EAP

                                      ^

e rv ic e s.

FPM Letter 792-16 (7) netice that includes information contained in section 4.b., paragraphs (1), (3), (4), (6), and (7). ,

d. Agency Response to Persons Refusing to Participate in a Required trug Test.

(1) To maintain the inteerity of the testing and enforcement program, aseneles sust taxe etsc:plinary action to ceaA watn escacyees wne reruse te se sessen. aucn acsson may ancause, sus as not necessarAAy Atatten to, removs1 of such employees as ra1Aang to meet a ceneissen as c'ermons. (2) Applicants who are not current employees and who refuse to be tested

                                                       ,must be refuses that employment.

e. Technical Guidelines for Drug Testing. The Secretary of Health and Ecman Services, as directed by Executive Crder No. 12564, will issue scienti-fic sad technical guidelines for drug testing programs. Agencies will eceduct their drug testing programs in accordance with those scientific and technical guidelines.

f. Confidentiality of Test Results. Agency drug testing programs under E.O. 12564 shall contain procedures to prctect the confidentiality of test results and related medical and rehabilitation records.

(1) Records cf the identity, diagnosis, prognosis, or treatment of any-patient which are maintained in connection with performance of a drug abuse prevention program conducted by a Federal agency must be kept confidential and may be disclosed only under 1Lmited circumstances and for specific pur-poses. Agencies may wish to refer to. regulations issued by the Department . of Eealth and Human Services (42 C.F.R.62.1, ej sec. (1986)) on maintaining the confidentiality of treatment records. (2) Drug abuse treatment records may be disclosed without the consent -- cf the patient only: (a) to medical personnel to the extent necessary to meet a genuine medical emergency; (b) to qualified personnel for eenducting scientific research, management audits, financial audits, or program evaluatien, with all identifying information removed from the data; or (c) if authorized by an appropriate court order granted after application ebowing good cause. l (3) Any other diselecure may be made only with the written consent of the patient, and only under the circumstarcos set oct below. Such consensual disclosure mcy be made to t.he patient's empicyer for verification of treat-rent or e general evaluation of treatment progress. (4) Agency drug teeting programs should include confidentiality protec-tions consistent with the above requirements. These projections should extend to drug testing records as well as to treatment and rehabilitation records.

                                                     \        (5) Ace     ingly, neither drug test res to nor drug abuse         trent r
                                                                                                                                     .. e on records  may be ctherwise   sclosed by  agene     withou
                                            $0 f?O/   rehabilit censent    f the employee involved.      trole consent  fc     lesse     patient R$
                                                                           *Y j

FPM Letter 792-16 (9) confirmed results of the agency's drug testing program, the employee's own admission, or other appropriate administrative determinations.

b. Mandatory Removal from sensitive positions. While reeIowal of an emelovee confirmed to see illegal drues is authorised under the sasentive order, removal tram sne reeereA servsee as toquares arter a sw setermanation that the employee uses illegal drugs. It occupytne a sensitive position, the empicyee must not De allowea to remain on euty status sa t.nat posation.

RemovaA or a sensatave empAcyee esserv.anse se use aaangea .,. - r v. s.- quaree iz. taere are no non-sensatsve posastons to wnacn sne espAsyse may se, transferred in sne agency, unAess sne agency asas esseru.anse saas maamassang sne empAcyee an sne sensatave posasaen wouas nos - s a esager se pusaac hpalth er safety er sne nationaA security.

c. Mandatory'EAP Beferral. Upon reaching a finding that an employee uses illegal 11 rugs, agencies will refer the employee to an Employee Assistance Program and give the employee an opportunity to undertake rehabilitation.

While agencies should provide reasonable assistance to employees who demon-strate a desire to become drug-free, the ultimate responsibility to be drug-

                                                                **        free rests with the individual employee.           ,            ,

d. Discretionary Disciplinary Actions. Upon the' first confirmed _determina.-

tien that an employee uses illegal drugs, there are a range of. disciplinary actions available to an agency, from a written reprimand to removal. Except fer empicyees who voluntarily identi:y themselves as users of illegal drugs, cbtain appropriate counseling and rehabilitation, and thereafter refrain from illegal drug use, agencies are required to initiate disciplinary action against employees who are rounc to use illegal drugs. Agencies have discre-tacn an cectuang unas cascapaanary measures to Anatiate, consistent with the requirements of the Civil service Refers Act and other appropriate facters. Among the disciplinary measures available to agencies are the following: .. (1) Reprimanding the employee in writing. (2) P acing the employee in an enforced leave status, consistent with the procedural requirements of 5 C.F.R. 752.203 or 752.404 as appropriate. (3) suspending the employee fer fcurteen days or less consistent with the procedural requirements in 5 C.F.R. 752.203. (4) suspending the empicyee for 15 days or more consistent with the procedural requirements in 5 C.F.R. 752.404. s (5) suspending the empicyee, consistent with the procedural requirements in 5 C.T.R. 752.404, until such time as he or she successfully completes ecunseling or rehabilitation or until the agency determines that acticn other than suspension is mere appropriate to the individual situation. (6) Removing the empicyee from Federal service, consistent with the procedural requirements of 5 C.F.R. 752.404, for confirmed illicit use of an illegal drug; refussil to take a drug test authorised by E.o. 12564: refusal to obtain er successfully complete counseling or rehabilitation as required by the 'Ezecutive Orders or once having completed counseling er rehabilitatten, failing to refrain frca illegal drug use. (7) Separatine the orcievee frem rederal service is mandatory upon a seccnd ecnfarrec fincino et 111ecaA cruo use.

t. FFM Letter 792-16 (11) and monitor the employees' progress through treatment and rehabi2itatient (b) Provide needed education and training to all levels of the organization on types and effects of drugs, symptoms of drug use and its impact on performance and conduct, relationship cf the employee assistance program with the drug testing program, and related treatment, rehabilitation, and confidentiality issues (c) Ensure that the confidentiality of test results and related medical and rehabilitation records are maintained in accer-dance with the specific requirements contained in Public Laws 92-255 and 93-282, with regulations published in 42 C.T.R., Part 2, and with guidance contained in section 4. of this Letter. (4) Adequate treatment resources have been identified in the community in crder to facilitate referral of drug abuse clients. (5) All employees in the agency are informed about the EAP and its services. (6) The E=picyee Assistance Program plays an appropriate role in the deveicpment and implementatica of the agency's drug testing program. EAP's should not be involved in the ecliection of urine samples er the initial reperting of the results of drug tests, but rather be a critical ec=penent in the agency's efforts to counsel and rehabilitate drug-abusing empicyees, as well as in educating the workforce on drug abuse and its syrptcms.

e. Further EAP Assistance.

(1) Attachment 4 prevides a list of consortia throughout the United States. Agencies wishing to join an existing censcrtice should centact the individual listed regarding that possibility. (2) Attachment 5 prevides the names and addresses of crganizatiens which have developed information on treatment facilities in the Washingten, 0.0. area and throughcut the U.S. 6 (3) The Model E=picyee Assistance Program provided as attachment addresses these functions we consider essential for an EAP to previdebe It shculd in of suppert of the President's drug-free workplace initiative.to agencies use 632-555E) in de existing pregrams. CPM's Employee Health Servicate tranch (Tel. TTS is available fer technical assistance en these provisiens. Ae -- Constance Iformer Director Attachments

Attachment 2 to FM Lattar 792-16

                                                                     -SAMPLE-CONSENT FOR RELEASE OF PATIENT INFORMATION DURING OR AFTER TREATMERT OR REHABILITATION I,                                     ,   hereby consent to the disclosure of (Employee /Pattent name) information concerning my progress'in terminating illegal drug use. I authorize the                                            to disclose that information to TTreaisent/Renantlttation facility)
                                                                , director of the Employee Assistance Program tname)                                                                               my supervisor at                                        and to                                            ,

(Mase of Agency) (hame of supervisor) ano to the agency Medical Review Official for drug use monitoring under Executive Order 12564, which provides for a drug-free Federal workplace. I understand that this consent is subject to revocation at any time, except to the extent that action has been taken in reliance thereon, upon and that it will expire without express revocation (cate, event, concition.) This consent to disclose the above-described treatment records was freely given, without reservation, for the purpose set out aoove. (Signature of empsoyeetpatient) (Date on wnten consent is signeo) CLAUSE FOR USE IF EMPLOYEE 15 A MINOR OR LEGALLY INCOMPETENT I, , the [ parent / legal guardian or personal thase; legal representative] of the above named employee / patient, hereby consent to the aforementioned release of information on his/her behalf. ($ t g n a t u'r e ; (Date;

                  -      . _ - =

Attachment 4 to TPM utter 792-16 !Y CDULENT CPERATING CutECRTIA GtGANIIC IIrATIDN IEAD A2NCY 3CINT T CDNDCr T112 NO. A!CBOUE, AK FAA S MES CER ER 907-271-5875 ATIANIA, CA BBS MMtII.1N ENICCM5tY 242-2713 BCE;tN, MA CEM . ZEN IIEftEDY 223-2273 BIFFALO, NY BIEi BCB MAEECIII 264-5505 CEI3CD, IL SES FINCES WE2CE 353-1719 CDEINNETI, & 955 FItAICES M3CE 353-1719

                    .DJ.J.AS, TlC                 EES           MMtY IERKDE         729-3126 IEh"KR, CD                   PIE           IR. R. IIRIS2IR    776-0078 IA!EAS CITY,10               BBS           2)IutM m Y          758-3597 ICH3 ISIAND, NY              BBS           stb MAEECCHI       264-5505 SATE & MiC2ICAN              EES           F3WCES MDCE         353-1719 hTERK, li7                   IES           BCB MA22CGI         264-5505     .

NDT YORK CI"Y, NY HES IKB MA2:'/CIII 264-5505 EI!RII.EIA, PA BES BEVEX.Y .2ND4 596-6712 SM JAN, F. EES BCB MA2:CCHI 264-5505 SDC"!.E, E A3MY CERP TIRRY CDNCMR 206-764-3568 T DG. VIRGIN ISIANG EfB BCB MA2:oCHI 264-5505 ESHDKZION, IC PHS ANY BARKIN (PBS) 443-4357 CMC:. BJE (01M) 653-B438 1

                                      'Y

B Attachment 6 to FPM Iatter 792-16 MODEL DtPIDYEE ASSISTAICE PROGRAM IN SUPPORT OF A !3 TUG-FREE IIORKPIACE ,

1. Purpose. Tts implement fully an effective Suployee Assistance Program (EAP) within (agiancy) which provides short term counseling and referral services to employees with drug problems. His is in keeping with the President's policy, set forth in Executive order 12564, to eliminate drug use from the Federal workplace and to of fer an opportunity for Rehabilitation to users of illegal drugs. This model is intended to supplement ongoing employee assistance programs which, in addition to drug abuse, address alcohol abuse and other amployee problems.

2. Backereund . Public Law 92-255, as amended, recuires Federal agencies to oevelop 'and maintain appropriate prevention, treatment and rehabilitation programs and services for drug abuse among Federal employees. Regulations implementing this-requirement are contained in Title 5, code of Federal Regulations (CFR) Part 792. Guidance is further provided in Subchapters 5 and 6 of Federal Personnel Manual (FPM) Chapter 792, and FPM Supplement 792-2. Executive order 12564 of September 15, 1986, established further requirements for agencies and employees in order to obtain a drug-free Federal itarkplace. On October 27, ,

1986, the President signed into law the Cunibus Drug Enforcement,- Education, and Control Act of 1986, P.L. 99-570. That law reiterates Congressional concern about the perention of illegal drue use and the treatment of Federal employees who use drugs. "

3. Obiective. The objective of the EAP is to assist emplcrfees with drug problems to find treatment, to follow up with them during recovery and rehabilitation, and to help them remain drug-free.

4. Poliev.

A. As an employer, the (acency) is concerned with the well-being of its employees, the maintenance of workforce productivity, and the preservation of a safe and secure workplace. The use of illegal drugs by (agency) employees, whether on or of f the job, is inconsistent with these coals and will not be tolerated. B. De (agency) stands ready to assist employees in beccming drug free. C. Employees who are users of illegal drugs are encouraced to seek counseling and other appropriate assistance voluntarily, including that available through the (agency's) Empicyee Assistance Progr,am.

  *s    ,

FFM Letter 792-16 (3) y (e) Other positions that the agency head determines involve law enforcement, national sacerity, the protection of life and property, public health or safety, or other functions requir-ing a high degree of trust and confidemos. . (2) 1%e head of each agency has discretion to determias thish sensitive positions for which random testing is authorised should be subject to such testing. This determination should be based on the nature of the agency's mission, its employees' duties, the efficisat use of agency resources, and f the danger that could result from the failure of an employee to discharge his or her duties adequately. Thus, who will actually be tested is a' fuse-tion of a two step analysis by the agency head. (a) First, the criteria set forth La Section 7(d) of Esecutive order 125M most be applied to all employees in the agency to determine which employees fall into the *posiof employees potentially subject to drug testingt this is the pool of

                                                 *amployees in sensitive positions

• as defined in the Executive order. While the definition of the pool of ' employees in sensitive positions
• is the same from agency to agency,~the

                                .                testing of all employees in that pool say be appropriate for some agencies and not for others depending upon the duties of the positions and the missions of the egencies. If an agency head decides not to test all employees in the pool, then a further determination must be made as outlined below.

(b) Second, a determination must then be made from this pool as to which positions will actually be tested. per the sake of clarity within this guidamoe, this essend group of positions + is referred to as testing designated positions. ghes, an agency head may determine act to designate all sensitive positions as testing designatedFor positions, instance,but thismay maylimit include ~ testing to certain positions. positions where national security considerations are present, as well as positions where there is a clear impact on public health or safety (e.g., air traffic contro11 erst operators of ' motor vehiclear medical, nursing, and related health care personnel) or positions relating to illegal drug control (e.g., law enforcement officers such as customs agents and drug enforcement agents). Other positions should be reviewed with particular care when one or more of the following are present as regular, recurring duties: operation or mainton-ance of any transportation, motor vehicle, aircraft, or heavy or other large mechanical or electrical equipments work with explosive, toxic, radioactive, or other dangerous materials work with fluids or gases under heat or pressurer work by employees uniquely positioned to exploit highly sensitive computer or financial data for financial gain. (3) When selecting testing designated positions, agencies should ensure that the selection process does not result in arbitrary, capricious, or discriminatory selections. Agencies must be able to justify their selection of testing designated positions as a neutral application of the selection criteria set forth in section 3.a.(2)(b), above. Agencies are absolutely prohibited from selecting positions for drug testing on the basis of a desire to test particular individual employees.

                                                     *V

t. 4- 4 4A FPM Letter 792-16 (5) l l l-

d. Specific condition Testing. The head of each agency is also aut.horized to test an employee for illegal drug use in an examination authorized by the agency regarding an accident or unsafe practice.

e. Followup Testing. The head of each agency may also require agency admin-intered followup drug test during or after counseling or rehabilitation for illegal drug use through an Employee Assistance Program. While icilowup testing may be undersaken as a part of counseling or rehabilitation under the Employee Assistance program, only the results of agency-edmint.stered followup testing may be used, if confirmed positive results are obtained, to support an adverse action taken under section 5(d)(2) of the Ezeeutive order. Such agency-edninistered followup, testing should be -

                                                                                                                              - .ced.

f. Applicant Testing. The head of each Executive agency is authorized, but not required, to test any applicant for illegal drug use. Agency heads who choose to test applicants for illegal drug use have a variety of options.

For example, depending on the mission of the agency, an agency may wish to test all applicants for employment. On the other hand, an agency may deter-mine that it will limit applicant testing to applicants for testing desig-nated positions. Where an applicant must submit to a physical examination as a conditica of employaient, an agency may wish to require a drug test as part of the physical examination procedures. I (1) Agencies should include notice of drug testing on vacancy announce-ments for those positions where drug testing is required. A sample notice provision for vacancy ar.nouncements or ether iniczmation about the position would read as follows: "All applicanta kr this position will be required to submit to a urinalysis for illegal d2 9 use prior to appointment in the Federal service." (2) Where applicants are given preestplent physical examinations, drug testing may be performed as part of the physical examination procedures. Where no physical examinations are required, applicants should be contacted and directed to report to a designated contractor or agency facility for their drug test. Refere conductine a drue test. all applicants should be advised of the opportun1tv to suomat medical documentation that r.a v sueport a leestar. ate use ter a specific drue. Aside from the general notice of sne drug testing requirement in vacancy announcements, applicants should receive as little notice as possible of the actual date and time of their drug test. A urine specimen should be taken no more than forty-eight hours after the applicant is contacted to set up the drug testing. (3) In remote locations, applicants should be directed to report to the nearest contractor or agency facility. Agencies shall provide for reim-bursement to applicants for reasonable expenses incurred in travel to the drug testing facility. In extremely remote areas, the contractor may be required to travel periodically to the region to perform drug testing of applicants. (4) All applicants with confirmed positive test results shall be refused employment.

g. Hardship Exemption. Aconcies may choose to exempt certain positions frem the crug testing program on the basas. of harcship cue to tne remote tne unavaA4acAAasy or on-site location cz tne cuty statacn oz tne po s itions .

testing personneA. or Lne Aaca cz an appropriate sate zor test sem _i ni s tr a-tion. Agencaes enouAc, nowever, use reasonacAe means to cverccme sucn nard-snaps.

                                                                           .y

4

                                                                                                            \

Attachment 6 to FPM Letter 792-16 (7)  !

               - 10.      Program Interrelationships.

Relationship with Drue Testino Procran. As called upon, A. the EAP statf will wort with the drug testing program staff in the development and implementation of the drug testing program. However, EAP staff are not to be involved in the collection of urine samples or the initial reporting of drug test results. EAP l ef forts are to focus on counseling and rehabilitating drug- { abusing employees, as well as on educating the workforce regarding drug abuse and its symptoms. I

3. Relationship of the Superviser. Supervisors have explicit expectations of their espiogges in terms of job performance and behavior. Wien supervisors are advised of confirmed employee drug use, they are recuired to refer the employee to an Employee Assistance Program and to initiate an appropriate personnel action. In those situations involving illegal drugs, except as provided in Section 5(b) of Executive order 12564, disciplinary action is required to be initiated against employees who are found to use. illegal drugs.

Supervisors should work with the Employee Assistance Counselor to monitor the employee's progress during treatment and rehabilitation and take. appropriate personnel action should the employee - fail to ramain drug free. - The support and C. Relationship with Labor organizations. active participation of labor organizations is a key Therefore, element in where the success of an employee assistance program. there are units of exclusive recognition, management should , (1) Ccamunicate to labor organizations a strong cenmitment to providing assistance to employees. the (2) Consult or negotiate, as appropriate, concerning implementation of the EAP. (3) Include union representatives in appropriate training and orientation programs to ensure a mutual understanding of program policy, referral procedures, and other program elements.

11. Recordkeepino and Raportine.

A. Counselino Records. Records on employees who have been referred for counseling will be maintained in a secure and confidential manner. Information on any drug abuse client will be released only to the management official empowered to reccamend or take action, in accordance with the employee's consent to roles,se, and for the reasons identified in section 8C

                . a bov e . Any in, formation obtained by a supervisor from the counselor must be maintained, as    In' with all employee addition,   to the eKtent      records, in a that ORR6@@W G8nfidential manner.                          - -    _ _ _ _ -

e aA. n .

'. ,           e

'L , 1 3.

                      ' Office of Pmonnel Management                                      FPM Letter 792-17 Federal Personnel Malmal System FFM latter 792-17                                                  of sumpumma a N Sgp. 792-2 REECT: Establishlag's Drug-Free Federal Workplace anna m m
                                ,                                                         Washington,' D, C. 20415 Heads of Deparsnents and kulependent Establishments:                                        *

1. The purpose of this letter is to sesend the guidelines pub!!shed by this a ency on November 28, 1988, in Federal Personnel Manual (H J 1etter 792 18, with regard to the seaffdestiality of drug test results. De following portion of the guidelines supersedes the eerrespondlag portion of FPM 1etter 792-18. Both of these FPM letters wul be ineerporated inte FPM '

Supplement 782-2 which is scheduled for release in, the near future. '

2. The assendissat of the guidelines was warranted by the reeest issuance of-technical and setentifle guidelines sa drug testing by the Department of Health and Human Services. These amendments starify the parameters of the eenfidentiality preteetion to be afforded drug test results under Executive Order 12584, a Drug-Free Federal Workplace, lassed on Septsunner 15, 1988.

It should also be acted that the Of flee of Forsonnel Managvunent will soon issue amenenents to several government-wide systems of records notices required under the provisions of the Privacy Aet, 5 U.S.C. $ 552a, et see.

3. Subparagraphs (5), (8), and (7) of Bestion 4f of FPM Letter 792-18, are replaced by the following subparagraphs, whleh include the amendments:

(5) Accordingly, drug abuse treatment er rehabilitation records snay not be otherwise disclosed by agencies without the consent of the employee involved. A sample consent for release of patient information during and after treatment er rehabi!!tation and a sample , release memorandum are laeluded la attacharants 2 and 3, respectively. Any disclosure without such consent is strictly prohibited. (8) As part of the drur testine nrocedure, confirmed positive test results snould only oe releasee to the areney's mecica4 review oslaesaA tas cessneo in the mis guacelaness. the ecmannstrator or the agency unp r oy e e as s a s tan t rrogram tr.Ars, anc to the manarement ozziesa4 empowereo to remorsneno er take set ton. (7) Af ter examination by the medlee t review of fiele t , confirmed positive test results w 44 os rotwarces to the arenby LAP program samanastrator anc to the management offletal empowered t o recoermend o r Taxe act.on. urut test results well be protected uncer the provisions of the Privacy Act. & U. 3. C. 5 &&2a. et seq., and may not he released in vnolation og snat Act. Records of unconiltmed.posative test resutts ano negatave test results will be destroyed by the laboratory. h Constance Horner Director p office of the General Q:r.maal, (202) 632-4632 Code: 79". F*d*ral Dployees' Mth and hiing F w.- Distribution: Basic m, FPM Supp1wnerrt 792-2 v

                                                                                                   .W O O .S&

t L ..;

 'gO                                                                                                                         ~ JNIRALI.OCOOL                 PAGL vp HAutb

!

• AMENDMENT OF SOLICITATION / MODIFICATION OF CONTRACT j '[ 4

     . 2. AMLNOMENTiMOQit'ICA T aON NO.

J. EF FECTIVE DATE 4. HEQUl51140N/ PURCHASE R EQ. NO. 5. PROJECT NO. (J/ oppsaccede 8 L One (1) 4/24/89 RS-ADM-89-171-

6. IShutO BY  ;

j 1. ADMINISTERED BV (1/ orner roan item os g

           - U.S. Nuclear Reculatory Commission Division.of Contracts & Property Manaoement
            . Mail Stop P-IO42
           ' Washington, DC 20555

a. uAMe AND ADO R E3s OF CON r R AC TO R ,uo.. ..re,.. county. 3,a,, ana zJe cos,, gi i,A. AMeNOMeNT OF solicit ATiON No.

RS .RM-89-UI 98.DATEOISEEITEMJJI ALL OFFER 0RS 3/31/89 1CA. MOOJF iCAT60N OF CON T R ACT/ ORDER NO. 108. C AT EO (SEE JTEM J JJ CODE j FACILITY CODE 11 NIS ITEM ONLY APPLIESTO AMENDMENTS OF SOLICITATCS The aoove nuvec sciicitation .: amenced as set tortn in item it.. The r'eur and cats specifiac for receipt of Ot'e*s is extenoeo, is not ex. tenoec. Offers must acanow e:;e receiot et t s amenoment prior to tne hour ano cate specifico in the scheitation or as amenceo ov one of the toilowing metnoos: (a) By compieting lie : S ano 15.ano returning cecies of the amenor ent; tbl By acunowieoging receiot of t s amenoment on eacn copy of the offer submitted or ic) Ev se:arate setter c' te egram wtucn inciuoes a reference to re sencitation and amenoment numoers MILURE OF YOUR ACKNOWLEDG-MENT TO BE RECE:'.ED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN FiEJECTION CF $ SR OFFE A .t* Ov virtue of ttus amenornent veu cesire to enange an offer already submitteo s.cn enange may ce maae ov teiegram or istter, provioeo eact te egram or setter r9 anes reference to tne schcitation ano tms amenoment, and is receivec orior t: t*e opening nour anc cate specified.

12. ACCOUNTING ANO APPROPRI AT eQN DATA (Jf regenea A

13. In's ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS /CPDERS.

                                                 'T '.'ODIFIES THE CONTR ACT/ ORDER NO. AS DESCRIBED IN ITE* ! ' A N tM. THib CHANGE CROER is iS5vED PURSUANT TO: sSpecary ournoraryi THE CHANGES SET FORTH iN ITEM 14 ARE MADE IN THE CON-
               !    TRACT OROER NO. IN ITEM JoA I

B. THE ABOVE NUMBERED CONTR ACT/08tOER 15 MOOlFIED TO REFLECT THE ADMiNISTR ATf vE CHANGES (such as changes an paying office, appropriasson care, etc.; SET TORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.lo3(D). C.THibbuP&LE'.'ENT AL mGREEMENT iS ENTERED iNTO PUR$UANT TO AUTHORITY OFs O. OTHER ibpecary t>pe of maastscanon and Latnorstyp r-E. IMPORTANT. ~ ;ntractor l_._ s not, is recuired to sign in:s coCurnent and return 1 noies to the issuing office.

14. OEbcRiPTiON GG AMENOMENT.MOOlFICATiON IUrganaea Oy UCF sernon neaanngs, sncusasne soncstataonicantract sunsect matter wnere /eassone.s

1. Section B. Supplies / Services

a. Uncer the column heading Unit, Item No. 1.a.,b., and c. should read "HR" instead of "EA" for the Base-Year and the Option Year.

b. Uncer the column heading Supplies / Services for the Option Year:

                              /1). Item 1.a should read "Heacouarters (Atch 5)" instead of " Headquarters (Atch 4)".

(2). Item 1.b. should read " Regions (Atch 5)" instead of " Regions (Atch 4)." (3). Item 1.c. should read " Remote Sites (Atch 6)" instead of " Remote Sites (Atch 5) (4). Item 3 should read " Materials and Supplies (1325 Collections /2876 Kits)" Em. cot as oromaea ner.in 5 abe1?N cNo. onM a gey,ip,1,3,,a,$,,,S,g,1,g, Q 2p,,cg,1,1,e,p,g/p,j,7,g,,Q,@,[,, ,,, ,, ,,, , ano enect. ISA. N AML AND 7 6TLE OF SsGNER tType or prins) 16A. NAME AND tit LE OF CONT R ACTING OF F tCER (Type or prines Patricia A. Smith a t,C. OATL SiGNEQ 163. CUNT R ACT G4/OF F EROH abC.OATL 56GNLO 168. UNITED ST ATES OF AMLH4CA __ _ . . .. @V _ J "b h I

     .O F

RS ARM-89-171 1. Section B. Supplies / Services (Continuea)

c.  !!nder the column headina Cuantity, Item No.1 should read "490" instesa of "747" for the Option Year.

2. Attachment 5. Replace with revised Attachment 5.

3. Attachment 5. Replace with revised Attachment 6.

The nour and-date specified for receipt of offers is hereby extended t: 2:03 P.M. Loca ime, Moncay, May 8, 1989.

b,' J;h .

                            .n.,.

3 HEAD 00ARTERS One White Flint North 11555 Rockville Pike Rocxville, MD. 20852 REGIONAL OFFICES ,. Reaion I 475 Allendale Road King of Prussia, ,PA -19406 Region II 101 Marietta Street, Suite 290C Atlanta, GA 30323 Region I!! 799 Roosevelt Road Glen Ellyn, IL 60137 Region.IV Parkway Central Plaza Building 611 Ryan Plaza Drive, Suite ~1CC:

                                                                                                ' Arlington, TX 76011 Region.V                                              1450 Maria Lane, Suite 210.

Walnut Creek, CA 94596

x 5 ' f/-fe . X., g. e .. ( x *TENTAT:VE. COLLECT:0N' LOCATIONS-p k [ALABAMA > 10WA NEERASKA ' TENNESSEE y lecaturl Cedar Rapias Nebraska City Daisy Dothan- Omana . Spring ' City.

             -Scottstoro                                           Chattanooga ARIZCNA          'XANSAS           NEW HAMPSHIRE    TEXAS Phoenix          :Burlington     ' SeaD roo k L     Glen Rose.-

Palacios-

             ' ARKANSAS-         LOUISIANA        NEW JERSEY-      VERMONT
             .Russelville        Baton Rouge. Forked River     Brattleboro' New Orleans CALIFORNIA        MAINE            NEW YORK-        VIRGINIA
             ' San Clemente      Bath             New York         Richmond-
             . San Lius Obispo.                   Brookhaven       Newport News.

Sacramento Oswego Roct: ester

            . COLORADO           MARYLAND         NORTH CAROLINA   WASHINGTON j))g     'Lusby            Charlotte      .Richland~

Southport CONNECTICUT- Newnill Merider MASSACHUSETTS OHIO WISCONSIN New London. Plymouth North Perry Green Bay DELAWARE Pittsfield E. Liverpool Manitewoc Toleco-Wilmington-MICHIGAN OREGON FLORIDA Benton Harbor Portland Fort Pierce Laguna Beach Red Level South Haven PENNSYLVANIA Niami Charlevoix Harrisburg GECRGIA' MINNESOTA Berwick Philadelphia Baxley Minneapolis Lancaster Waynesboro MISSISSIPPI SOUTH CAROLINA ILLIN0IS Vicksburg Broad River  ! Rock Hill i Braicwood MISSOURI Greenville  !

             .Clinter             Hartsvilie Morris             Fulton          Columbia

Rockforo Ottawa:

rMoline Chicago

                                                                       -   __- ____}}