ML20212D616

Contract: Strategic Long Range Planning to Use as Basis for Developing 5 Yr Plan, Awarded to Strategic Decisions Group

ML20212D616
Person / Time
Issue date:	01/12/1987
From:	Hagan T NRC OFFICE OF ADMINISTRATION (ADM), STRATEGIC DECISION GROUP
To:
Shared Package
ML20212D545	List: ML20212D540 ML20212D616
References
CON-FIN-B-1560, CON-NRC-34-87-328 NUDOCS 8703040157
Download: ML20212D616 (28)

Text

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18 Reimbursable Travel in support NOT TO EXCEED---- 5 4,858.00 of the above services.

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Strategic Decisions Group f4RC-34-87-328 Page 2 Item 158. Supplies / Services - continued

- strategic long range planning to use as the basis for developing a Five-Year Plan, in accordance with the Schedule and the contractor's proposal dated December 3, reference and 1986, made aexcluding Attachment 3, which is incorporated herein by port hereof.

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NRC-34-87-328 Page 3 Section B - Supplies or Services and Prices / Costs B.1 _Brief Description of Work The Contractor shall provide consultant services to assist the Nuclear Regulatory Commission (NRC) in strategic long range planning to use as the basis for developing a five-Year Pim in accordance with the Statement of Work set forth in Section C.

B.2 Consideration and Obligation The total amount of this contract is $40,429.30. Payment will be made upon completion / delivery and acceptance of all required products / services.

i t.. Section C - Description / Specifications / Work Statement C.) Statement of Work C.1.1 Bcckground .

The Strategic Decisions Group, Menlo Park, California (SDG), was selected as the successful offeror following a cornpetitive procurement action to provide expertise to the NRC in strategic long range planning.

SDG is providing assistance to the NRC in the development of strategic directions for the agency to follow in ineeting its rnission of protecting g, the public health and safety. In this activity, SDG has participated in g planning sessions with the highest levels of agency tr.anagemen t ,

including the Chairman and each of the Conunissioners, as well as the Executive Director for Operations. As an outgrowth of these planning sessions, SDG met with Office Directors and Regional Administrators to develop their views on strategic challenges that face the agency in the years ahead.

C.I.2 Objective NRC now requires additional contractual services to continue beyond the initial strategic planning effort. The centractor shall utili7e the information developed from previous sessions with agency managtnient and facilitate the conversion of this inforria tion into irnplementabic strateoic decisions. The goal of this strategic planning effort is to enable the NRC to best protect the public health and safety in the corwnercial use of nuclear power by: (1) improving NRC's strategic direction; and (2) providing a basis for developing a cuality five-year plan that contains specific plans and respensibilities and allocates resources consistent with this direction. The objective of this contract is to provide advice and assistance to f!PC rnanagement and staff 50 that the products needed to achieve this goal can be available by the end of February 1987.

t%C-34-87-328 Page 4 C.I.3 _ Scope of k'ork C.I.3.1 building on the base of efforts performed to date, the contractor shall provide advisory services necessary to bring the NRC strategic planning effort to a successful conclusion. The contractor's efforts shall be consistent with the philosophy of evaluating alternative strategies outlined in SDG's July 18, and August 4,1986 letters to the NRC, which are incorporated herein by reference and made a part hereof. The contractor's responsibility shall be to assist the NRC Steering Committee for Strategic Planning in its development of approaches and documents as outlined in the July 18 and August 4, 1986 letters. Specific, substantive modification to contractor deliverables and schedules under any given phase shall be as directed by the Chairman of the NRC Steering Comittee for Strategic Planning and confirred by modifications to this contract.

S., C.1.3.2 To fulfill the requirements stated above, the contractor shall perform the following specific tasks:

. Assist the Steering Group and any support staff in developing and evaluating alternative strategies for raceting the Challenges of issues applicable to the NRC, the industry, and future NPC initiatives. This involves: assistance in developing the best apprcach, reviewing interim products for quality and interrelationships, ano providinc advice on the best method of presenting the results to the t!RC Executive Director for g Operations (EDO) and senior NRC management.

. Participate in two meetings involvir.g the Steering Group. At these meetings, the Steering Group will present the strategic challenges and alternatives for rnecting these challenges for discussion and comment and decisions will be made by the Steering Group.

. Assist the Steering Group in integrating the corrments of senior NRC managers into its approach and in presenting te the Chairmar and the Comission its report and recorrendations on strategic action plans and alternatives, where appropriate, before the end of February 1987.

C.l.3.3 lhe final report and recommendatinns on strategic action plans and alternatives will be prepared by the Nkt Steering Grnup. Advisory services will be provided by the contractor.

NRC-34-87-328 Page 5 C.2 Acetings and Travel Contractor Meeting /tength Representation Location Date First - two days Director / Principal Bethesda, MD Jan 20-21, 1987 Second - one day Director / Principal Bethesda, MD Feb 6, 1987*

• The date for the second meeting is tentative. The meeting will be scheduled for a date in February 1987 by mutual agreement of the parties.

Section D - Packaging and Marking D.1 Packaging and Marking When Delivering a Product 4 ' The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by comon carrier and safe delivery at destination. Containers and closures shall comply with Interstate Comerce the Comission Regulations, Uniform Classification Rules, or regulations of other carriers as applicable toFreight the mode of transporta tion. On the front of the rackage, the Contractor shall clearly identify the contract nunber under which the product is being provided.

Section E - Inspection ar,d Acceptance

% E.1 Place of Inspection and Acceptance Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destfration.

Section f - Deliveries and Perfomance f.1 Place of Delivery Materials and other items to be furnished hereunder shall be delivered, with all transportation charges paid by the contractor, te' O.S. Nuclear Fiegulatory Comissinn Attention: Mr. Harold R. Denton, Chairman NRC Steering Comittee for Strategic Planning Ofttce Symbol: NRR Mail Stop: P-404 Washington, D.C. 20555 The above address is for deliveries via the U.S. Postal System. For comercial D.C. 20555,delivery services, in lieu of the Nail Stop and Washington, substitute:

7920 Norf olk Avenue, Room P-404 Dethesda, Maryland 20814

r NRC-34-87-328 Page 6 f.2 Duration of Contract Period This contract shall comence on January 8, 1987 and will expire February 28, 1987.

Section G - Contract Administration Data G.1 Travel Reimbursement 1.

Total expenditure for domestic travel shall not exceed $4,858.00 without the prior approval of the Contracting Officer. The contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract and accepted by the Contracting Officer, in accordance with the contractor's established travel policy on file with the NRC.

.t- 2.

1 All conson economy carrier class travelavailable.

rates when reimbursable hereunder shall be via If not available, reimbursement vouchers will be annotated that economy class accomodations were not available. First-class air travel is not authorized.

3.

Reasonable actual costs of lodging, meals, incidentals and local transportation in the Washington, D.C. area shall be allowable to the extent that such actual costs do not exceed $185,00 per day /per person.

4 P-. Local travel in Henlo Park, California, incident to travel will be

, reimbursed 6 S.205 per mile.

5.

Receipts are required for comon carrier transportation, icdging end miscellaneous items in excess of $15.00.

G.2 _ Project Officer Authority a.

The Contracting Officer's authorized representative hereina f ter referred to as the Project Officer fnr this contract is:

Name: Linda E. Portner Address: U.S. Nuclear Regulatory Comission Office of the Commission (OCM)

Mail Stop H-ll49 Washington, D.C. 20555 Telephone Number: (202) 634-3300

b. The Project Officer is responsible for:

1) Monitoring Contractor performance and recomending to the Contracting Of ficer changes in requirements.

2) Inspecting and accepting products / services provided under the contract.

NRC i-87-328 Page 7

3) Reviewing all contractor invoices / vouchers requesting payment for products / services provided under the contract and making reconnendations for approval, disapproval, or suspension, c.

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

G.3 _ Method of Payment a.

Payment under this contract will be made by wire transfer through the Treasury Firancial Communications Syster. for each individual pa3eent in excess of $25,000 and b Treasury check for each individual payment of $25,000 or less. y b.

In the event access that the Contractor's financial to the Federal Reserve Communicationsinstitution has 6 System, Contractor shall forward the following information in writing the to the Contracting Officer within seven days after the effective date of the contract. "

1). Name and address of organization.

2). Contact person and telephone number.

3). Name and address of finaccial institution, y%, 4). Contractor's financial institution's 9-digit ABA identifying nun.ber for routing transfer of funds.

5). lelegraphic abbreviation of Contrac tor's institution. financial 6). Account number at Contractor's financial institution.

7). Signature and title of person supplying this information.

c.

In the access event to thethe Contractor's financial institution does not have federa l Reserve Consnunica tions System, the a

Contractor shall correspondent forward the following infornation with regard to or alternate financial institution. The information shall be in writing and submitted Officer within seven days after the ef fective date of the to the Contracting contract.

1). Name and address of organization.

2). Contact person and telephone number.

3). Name and address of financial institution.

4). Telegraphic abbreviation of institution. Contractor's financial

NRC-34-87-328 Page 8 5). Account number at Contractor's financial institution.

6). Name and address of the correspondent financial institution that has access to the Federal Reserve Connunications System.

7). Correspondent financial number for routing transferinstitution of funds. 9-digit ABA identifying "

8). Telegraphic abbreviation of correspondent institution. .

financial 9). Signature and title of person supplying this information.

d. Any changes to the information furnished under this clause shall '

be furnished to the Contracting Officer in writing. It is the

-q, Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.

G.4 Payment Due Date '

a. Payments under this contract will be due 30 calendar days after the later of:

1) The date of actual receipt of a proper invoice in accordance with the attached " Billing Instructions". or 2) k The date the final deliverable product / service is accepted by the Government,

b. for the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of the final deliverable product / service performed in accordance with the terns of the contract.

c. If the final product / service is rejected for failure to conforn to the technical renuirements of the contract, the provisions in par final 69raph product /bservice.

of this clause will apply to the new delivery of the

d. The date of payment by wire transfer through the Treasury financial Connunications System shall be considered the date payment is mede for inoividual payments exceeding $25,000. The date a check is issued shall be considered the date payrnent is made for indivic'ual payments of $25,000 or less.

G.b _ Interest on Overdue Payments,

a. The Prompt Payrrent Act. Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payments under this contract and requires the payment of interes t to Contractors on overdue payments and improperly taken discnunts.

NRC-34-87-328 Page 9 b.

Determinations of interest due will be made in accordance with provisions of the Prompt Payment Act and Office of Management and

. Budget 1982. Circular A-125. Vol. 47 Federal Register 37321, August 25, that: Among other considerations. OMB Circular A-125 provides

1) Interest penalties are not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning compliance with the terms of the contract.

2) Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the payment at the interest rate applicable on the payment date. Interest will be computed from the day after the due date through the payment date.

, Section H - Special Contract Requirements H.1 Private Use of Contract Information and Data .

Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the performance of this contract, shall be used only in connection with the work under this contract.

H.2 k Contractor Croanizational Conflicts of Interest (OMB Clearance Number 3150-0112)

a. Purpose.

The primary purpose of this clause is to aid in ensuring that the Contractor:

1). Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizaticnal, or otherwise) which relate to the work under this contract, and 2). Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

b.

Scope. The restrictions described herein st.all apply to performance or participation by the Contractor as defined in 41 CFR

$20-1.b402(f) in the activities covered by this clause.

NRC-34-87-328 Page 10

c. Work for Others. t!otwithstanding any other provision of this contract, to forgo during the tem of this contract, the Contractor agrees entering into consulting or other contractual arrangements with any fim or organization, the result of which may give rise to a conflict of ir.terest with respect to the work being performed under this contract.

The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization rnay involve a potential conflict of interest, the Contractor shall obtain the written approval Officer prior to execution of such contractual arrangement.of the Contr

d. Disclosure after award.

l). 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 20-1.5402(a).

2). The Contractor agrees that after award if it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall

• . include a description of the action which the Contractor has s,' taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termiration to be in the best interests of the Govert nient.

e.

Access to and use of information.

1). If the Contrcctor in the performance of this contract obtair.!

access to informa t ion , such as NRC plans, policies, reports, studies, financial plans, internal data protected by Privacy Act of 1974 (Pob. L.93-579), or data the which has not Leer, releascd to the public, the Contractor agrees not to:

(i) Use such inforniation for any private purpose until the inf c,rmation has been released to the public; (ii) Compete for work for the Cornmission based on such inf ormation for a period of six (6) months af ter either the completion of this contract or the release of such information to the public, wnichever is first; (iii) Submit an unsolicited proposal to the Governnent based on such infomation until one yrar af ter the release of such inforriation to the public , or

t s l

liRC-34-87-228 Page 11 (iv) Release the infomation without prior written approval by the Contracting Officer unless such infomation has previously been released to the public by the NP.C.

2). In addition, receives or the Contractor agrees that to the extent it is given access to proprietary data, protected by the Privacy Act of 1974 (Pub. data other confidectfal or privileged tpchnical, L.93-579), or financial business, or information under this contract, the Contractor shall treat such infomation v placed on use~ cf the infomationtin accu dance with restrictions ,

3.

The Chotractor 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.

• ' .3 f. Subcor. tracts. Except as provided in 41 CFR 20-1.540 h the

, Contractor shall include subcontracts of any tier.

this clause, including thik parg,'g(ra)p,h, in The terms " contract,* "Centractor," and "Centracting Officer." shall be appropriately modified to preserve the Government's rights. '

g. Remedies, for breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for

• v such erroneous Govsrnment representations as necessarily imply bad faith, the may terminatti the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be pemitted by law cr 'this contract,

h. Waiver.

y' ' in writing A request for waiver under this clause shall be directed through the Cnntracting 0*/ f icer to the D ecutive Director for Operations (E00) its a ccor<iance wtth the procedures nutlined in 620-1.5411.

e a

ERC-34-87-328 Page 12 PART II - CONTRACT CLAUSES Section ! - Contract Clauses

.j2.252-2 CLAUS,ES INCORPORATED BY REFERENCE. (APR1984)

This contract incorporates the following clauses by reference, with the same

, force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. ,

1. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E.

52.246,4 INSPECTION OF SERVICES--FIXED-PRICE. (APR1984)

. , .. Secticr. F 52.212-13 STOP-WORK ORDER. (APR1984) 52.212-15 GOVERNMENT DELAY OF WORK.

52.247-34 (APR1984)

F.0.8. DEST!!!ATION. (APR1984)

Section 1 52.202-l' DEFINITIONS. (APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT.

52.203-3 (APR1984)

GRATUITIES. (APR 1984)

% 52.203-5' COVENANT AGAINST CONTINGENT FEES, (APR 1984) 52.203-6 RESTRICTIONS ON SUBCONTRACT 0P SALES TO THE GOVERNffEtli

~' (JUL 1985) 52.215-1 EXAMINATION OF RECORDS SY COMPTROLLER GENERAL. (APR 1984) 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215-33 ORDER OF PRECEDENCE. (JAN 1986) 52.219 8 UTILIZATION OF SMALL BUSit.ESS CONCERNS AND SMALL

.. s blSADVANTAGED BUSINESS CONCERUS. (JUN 1985) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL CUSINESSES. (APR 1984 52.220-3 52.222-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS.

CONVICT LABOR. (APR 1984)

(APR1984))

52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL D!SAPLED AND VIETNAk EPA VETEPAh5 (APR 1984) 52.222-36 52.227-1 AFFIRMATIVf ACTION FOR HANDICAPPED WORKERS (APk 1984)

AUTHORIZATION AND CONSElli. (APR 19f.4) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATEt:T AND COPYRIGH1 INFRINGEMENT. (APR 1984) 52.227-3 PATENT INDEMNITY. (APR 1984) 52.229-3 FEDERAL, STATE, AND LOCAL TAXES (APR 1984) 52.232-1 PAYMENTS. (APR 1984) 52.232-8 DISCOUNTS FOR PRONPT PAYMEllT.

52.232-11 (JUL 1905)

LXTRAS. (APR 1984) 52.232-17 INTEREST. (APR 1984) 52.232-23 ASSIGNMEN1 0F CLAlHS. (.)AN 1986) 9

O' hkC-34-87-328 Page 13 g

52.233-1 DISPUTES.

j, (APR 1984) 52.233-3 52.243-1 PROTEST AFTER AWARD. (JUN 1985) ,

CHANGES--FIXED-PRICE.

52.244-5 52.246-25 COMPETITION IN SUBCONTRACTING.(APR (APR 1984) 1984)--Alterna 52.249-1 LlHITATION OF LIABILITY--SERVICES. (APR 1984)

TERMINATION (SHORTFORM). (APRFOR1984)

CONVENIENCE OF- THE GOVERNMENT (F 52.249-8 DEFAULT (FIXED-PRICE SUPPLY AND SERVICE). (APR 1984) 1 I ,'

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(

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fRC-34-87-328 Page 14 PART 111 ~ LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachrnents Attachment Number Title 1

NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20), 12 pages 2

Billing Instructions for Fixed Price Contracts and Purchase Orders, 2 pages

~

$J

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

20-1.5401 Scope and policy. '

20-1.5402 Definitions.

20-1.5403 Criteria for recognizing contractor organizational sonflicts of interest.

20-1.5404 Representation.

20-1.5405 Contract clauses. .

20-1.5405-1 General contract clause. -

20-1.5405 '2 Special contract provisions.

20-1.5406 .

Evaluation, findings, and contract award..

20-1.5407 20-1.5408 Conflicts identified after award.

>. ~. (Reserved) 20-1.5409 (Reserved) 20-T.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

(.h - .

(NRC)(a)'It is the policy of the U.S. Nuclear Regulatory Connissi to avoid, eliminate or neutralize contractor organizational conflicts of interest.

The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or per::ons (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.

in advance a specific method or set of criteria which would serve toIt is 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 policybe alert to other situations which may warrant application of this 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) '

to contractors and offerors only.The conflict of interest rule contained Individuals or firms who have other .

relat'ionships covered by thiswith NRC (e.g., parties to a licensing proceeding) are not regulation. .I.

of consulting services through the personnel appointment orocess

7590-01 1

agreements with other govkrnment agencies, international organizations .

i

. conflicts of interest will be employed ine.such agre

• 520 ,1.5402 Definitions .

~

-(a) _

exists whereby a contractor or prospective contractor i

planned contract interests which: 1 related to the work to be performed under an NRC .

sound, objet:tive a(ss)istance and advice or may otherwis -

biased work competitive product, or (2) may result in its being given an unfair advantage. .

b) g theore(tical analysis, exploration, or experimentation"Res .

(c) t* * > logy, y,* Evaluation activities" means any effort involving the appr u ,-prvhi., or policy. ~~_

(d) internal assistance to a component of the NRC in the fomu 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 infomation . Such Q Plans; and preparation of preliminary designs, specifica statements of work.

(e) with the NRC except as provided in Section" Contract" means any contra .

20-1.5401(c).

(f) joint venture" Contractor" means any person, firm, unincorporated association, or their succe,ssors in interest, including their chief executives,co-directors, key personnel (identified in the contract), proposed consultants

. or subcontractors, which is a party to a contract with the NRC.

(g) each other " Affiliates" when eithermeans directlybusiness concerns or indirectly one concern which are affiliates of or individual '

controls or has the power to control another, or when a third part controls or has the power to control both (41 CFR 51-1.606-1(e)). y

.(h)' " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less. '

(1

" Prospective contractor" or " offeror" means any person, firm, unincorp) orated association, joint venture, partnership, c affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors submitting obtain a contract. a bid or proposal, solicited or unsolicited, to the NRC to

L 7590-01  !

U)

"Fotential conflict of interest" means that a factual situation arise from award of a proposed The contract. exists that suggests term " potential conflict-of intemst" 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 which must be reported to the contracting officer for investigation if they arise 'during c'ontract performance.

520-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. '

actual or potential organizational conflicts of interest(1)Are exist:Two qu there conflicting roles which might bias a contractor's judgment in m1ation to its work for the NRC? (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

'6~. '

The ultimate determination by NRC as to whether organizational conflicts

- of intemst exist will be made in light of cosmon sense and good business Judgment based upon the relevant facts disclosed and the work to be Perfonned.

While it is difficult to identify and to prescribe in advance which might involve potential organizational conflicts of in 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 g NRC's decisions on regulatory activities, future procurements, and research programs.

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

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

• (ii the same)or similar matter in which it is also providing assist any organization regulated by the NRC.

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

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

L .

7590-01 (2)

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

(1) are to be used in competitive procurements of products or s covered by such specifications.

(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.

not available to the public concerning NRC plans (iii) Where th which could fonn the basis for a later procuremen,t action. policies, or programs information of its competitors.(iv) Where the offeror or contractor is gran (v) the offeror or contractor in a conflicting role in which its j dW may be biased in relation to its work for the NRC or umay gment otherwise result in an unfair competitive advantage for the offeror or contractor ** .

s (c) Policy application guidance.  ;

(.. illustrative contractor or only and are not intended to identify and resolve allThe following ex The XYZ Corp.ganizational conflict of interest situations.

, in response to a request for proposal (RFP), proposes to(1) Example.

undertake certain analyses of a reactor component as called for in the RFP.

well qualified. The XYZ Corp. is one of several companies considered y to be technicall In response to the inquiry in the RFP, the XYZ Corp.

advises that it is currently performing similar analyses for the reactor manufacturer.

Guidance.

not be awarded to the XYZ Corp. because itn would be placed 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 type of advanced certain analyses reactor. of a reac, tor component which ne are unique to o companies responding to the RFP, the ABC Corp. is performing vario projects for several different utility clients. 4 projects have any relationship to the work called for in the RFPNone of the ABC Corp.

. Based company to perform the work outlined in the RFP.on e the NRC eval l

t 7590-01 l

. Guidance. i An NRC contract normally could be awarded to the'ABC i Corp.

with respect because to the no work. conflict of interest exists which would motivate biaj An appropriate clause would be included in work during the perfonnance of the NRC contra which could create a conflict. _

from the perfonnance of similar work for the company deve advanced reactor mentioned in the example.

(3 Example.

As a result of operating problems in a certain type of comune)rcial nuclear facility, it is imperative data on various operational aspects of that type of plant so as to assure adequate safety protection of the public.

-has extensive experience with that type of plant. Consequently, Only one manufacturer that

, conduct the testing programs required to obtain th time.

' That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect reactor's design and thus the company's costs.

• which its judgment could be biased in relationsh .

NRC's responsibilities and no reasonable the policy may be warranted.

, a waiver of alternat Any such waiver shall be fully documented 6 and coordinated in accordance with the waiver provisions of this em with to guard particular against bias. attention to the establishment of protective mechani (4) Example.

The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purp developing standards that are important to the NRC . The ABC Co.

program has its advised has practicability NRC beenthat it intends to sell the new system eto industry demonstrated.

Other companies in this business are using older systems for evaluation of the specific component.

r reacto the contract stipulates that no information ract produced has been reported to NRC. Information which on n ractors is will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes infonnation to the contractor for the performance ract of cont work, it shall not be used in such information is generally available to others.

the contractor's private activities unless Further, the contract will stipulate that the contractor will inform the NRC contracting officer contract is ofproposed all situations to be used. in which the information developed under the

{

7590-01 (5) Example.

The ABC Corp., in response to a RFP proposes to assemble fold belt. a map showing certain seismological features of the Appalach In accordance with the representation in the RFP and

$20-1.5403(b)(1)(i), ABC Corp. infoms the NRC that y it is prese tl doing seismological studies for several utilities innthe Eastern United States by the NRCbut study.none of the sites are within'the geographic area contem Guidance.

award of a contract would not place ABC Corp. in a confli where its judgment might be biased.

The work for others clause of 5 20-of the NRC contract which could create a conflict of i (d) Other considerations.

and later avoid, eliminate, or neutralize any potential organizational (

conflicts arising from the performance of a contract is not relevant to aa contract.

detemination of the existence of such conflicts prior to the award of (2)

It is not relevant that the contractor has the professional " "d conflicts of interest, or that a follow-on procurement is or that a contract is awarded on a competitive or a sole source basis. ,

520-1.5404 Representation officer in determining whether situations or relationsh may constitute particular offerororganizational or contractor. conflicts of interest with respect to a (b) Representation procedure. The following organizational solicitations and unsolicited proposals for: conflicts of interest repr activities; (2) technical consulting and management support services;(1) E conflicts of interest provisions are noted in the solicit bG included in toe resulting contract.

contract except those issued under Where, the "however, changes" clause.

a statement of the type required by the organizational confl shall be required. regard to the contract being modified, only an updating of such st J

ww -

7590-01 ORGANdATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:

The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer.

", If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1) 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 5 20-1.5411.

(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required by 520-1.5404(c), shall result in disqualification of the offeror for award.

7 The nondisclosure or misrepresentation of any relevant interest 3""' 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 prohibits of work contained in a RFP unless the RFP specifically such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

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

5 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause i

c- .

7590-01 the following clauses:All- contracts of the types set forth in f 20-1.5404(b) shall incl (a) Purpose.

ensuring that the contractor:The primary purpose of this clause is to aid in (1)Isnotplacedinaconflictingrole or otherwise) which relate to the work under (2) this contract, and virtue of its performance of this contract.does not obtain an unfair comp (b) Scope.

performance or participation by the contractor as defined in 41 CFRTh s 20-1.5402(f) in the actitities covered by this clause.

.,~

(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with of interest with respect to the work being performed under this 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 m.a proposed consultant or other contractual arrangement with any 4' . 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 in this contract, it does not have any organizational conflicts ofth interest, as defined in 41 CFR 520-1.5402(a).

(2) The contractor agrees that if after conflicts of interest with respect to this con, award it discovers organizational imediate and full disclosure in writing to the contracting officer. tract, it shall make an This statement shall include a description of the action which the conflicts. has taken or proposes to take to avoid or mitigate such contractor 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 perfonnance of this contract obtains acces(s)to information, such as NRC plans, policies, reports, studies, financial plans, internal data not been released to the public, the contractor agrees not to: protected (1) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based

4 7590-01 on such information for a period of six (6 completion of this contract or the release)of smonths after either the

'public, whichever is first, (iii) submit anuch uninformation to the such information to the public,eror (iv) release the release of th9 prior written approval by the contracting officer 'without e information has previously been released to' the public unless e NRC.

suchbyinformation th (2) In addition receives Privacy Act ofor is given 1974 a,ccess to proprietary datathe contractor agree

, data protected by the technical, business,(or financial informationPub. L. .

e 93-579), or f

placed on use of the information. contractor shall treat such restrictions (3) provisions of this contract, the right security to use te h iThe co under this contract for private purposes provided thc n cal data it prod of this contract have been met. at all ' requirements (f) Subcontracts.

contractorof any subcontracts shall tier.include this clause, includingaragraph, in this pExcept as 4,

%~,s government's rights." contracting officer," shall be appropriatelyThe modified to preserve the (g) Remedies.

intentional nondisclosure or misrepresentatiFor breach or of any of the

( representations as necessarily c imply or for bad faithrequired such erroneous terminate the contract for default, disqualif , the government may y the contractor from permitted by law or this contract. subsequent e es as may be contractual eff (h) Waiver.

directed in writing through the contractinA request for waiver under this c Director in 520-1.5411. for Operations (EDO) in accordanceg officer to the Executive with the procedures outlined 5 20-1.5405-2 Special contract proviricns . .

(a) that organizational conflicts of interestIf it iscontract determined from the waiver in accordance with i20-1.5411,may or after obtaining determineithat a suc appropriate special contract provision. neutraliz d th rough the use of an e

extent and time period of anyuses, but are not limited to:

such restrictionnegotiate including the th

. These provisions include

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7590-01 (1) production contracts following a related performed by the contractor; ance of nonproducti ract previously (2) Software exclusion clauses; (3) personnel) to avoid certain organizational conflicts  ; and (4) guard against its unauthorized use. Clauses which provide for prote (b) section (1) in the clause set forth in sThe following additional c conflict of interest.that award of20-1.5405-1 whencontract a follow-on it is determined n zational would constitut (i) Follow-on effort.

participate in NRC contracts, subcontracts, or proposals th solicited or unsolicited) work which stem directly from the contractor's under this contract. perfonnance the contracting officer, the contractor shall not perfoFurthermore, u rm any technical under this contract on any of its products or servi s s ' ~ '

or services involved in theofdevelopment another firm if the contractor or marketing has of such products y been or sesubsta

% rvices.

(2)

If the contractor under this contract prepares a complete or shall be ineligible to perform or participate in the i effort which is based on such statement of work or specifications . The of work or specifications unless so directed in writi n officer, in which case the restriction in this subparagraph shall not apply. g (3) offering or selling its standard commercial items to the g .

2 20-1.5406 Evaluation, findings, and contract award by an offeror pursuant to the representation requirements and other relevant information. 520 1 5404(b )

against the criteria of I 20-1.5403,After evaluating this information officer whether to a particular organizational conflicts of interest exist with respecta fi offeror.

interest exist, then the contracting officer shall er: eithIf it has been determin (a)

Disqualify the offeror from award,

7590-01 (b)

(c) Avoid or eliminate such conflict Award the contract under the wai s by appropriate m 520-1.5407 ver provision of Conflicts identifie d 520-1.5411 after award.

after award with respect to a particulIf potenti officer determines that c ssuch of interest are identified conflicts d aro,contractor, in fact the contracting would not be in the best interests of contract as provided in the clauses officer will take every reasonable the governmen,t required by a520-1.5405, ti to terminate theex c

obtaining a waiver in accordance on to avoid, with 520 or, afterthe contr eliminate, of the identified conflict. -1.5411, neutralize the effects 520-1.5408 (Reserved) s20-1.5409 (Reserved) 520-1.5410 Subcontracts submit a representation statement inThe contracti subcontractors and consultants . accordance withre offerors and cont D. the contractor in consultant agreements orto include The cont contracting 520-1.5404(b subc officer shallfromrequ)i under a prime re contract covered ractbyclauses in accordance this subsectionontracts

. 5 with perfo involving 5 20 520-1.5411 Waiver j

In the first instance, deteminatio seek a waiver for specific contract officer awa dto the need to n with respect and thewith Office the contracting the of advice Executive officer and concurrence Legal r sDishall be made of by the contracting rector. the program office director General Counsel, the ED0after

, and may wai consultation with the Office of the detemines that it is in so.

the bestini specific cases if he ve the policy nterest of the United States to do (1) The work to be performed e undeSuch action shall b (2) theinterests work cannot toisthose vital situations inprogram;:

which whose give rise be to a satisfact r contract qu to the NRC orily performed except by a contractor contractual and/or employed by NRC to neutralize technical estion the review co fli ofand of conflict supervision interest; and (3) methods can be justification and approval docum Document Room.

n ct.

ents shall be placed in the PublicFor any

-Il-

7590-01 620-1. 5412 Remedies contract for a breach of the restrictions in thi intentional misrepresentation or intentional nondisclosure of r

relevant interest required to be provided for this section any may debar the contractor from subsequent NRC contracts , the NRC Dated at Washinoton. 0.CJhis_ 27th day of March- 1979.

For the Nuclear Regulatory Commission

' [

chdk Cht Samuel J. Chilk Secretary of the Commission

[@.* =M h

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1

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_ BILLING INSTRUCTIONS FOR FIXED PRICE ~

_ CONTRACTS AND PURCHASE ORDERS General.

herefn.' The contractor shall submit vouchers or invoices as prescr Fom.

tIiTEovernment's Standard Fom 1034 ases and "Public Vou Services Other Than Personal " and Standard oucher for Fom 1 Purchases Washington, DC '20801.available from the Government Order Other Than Personal . --

These Continuation foms are.Printin Number of Copies and Mailfeg Addmss.

submitted to NRC offices fdentified below.An original and six copies shall be frequency. l NRC's final acceptance for services rendered vered in or produ Performance of the contract unless otherwise specified in the contr .

Preparation and Itemization of the Voucher.

initialized.in ink or typewriter (without strikeoversj ~and corrected orThe v It must include the following: erasures must be

g. (a) Payor's name and address.

g 4 copies) to:

U.S. Nuclear Regulatory Comission, Division of Acccunting Office of the Controller, ATTN:

Sections, Washington, DC 20555. GOV / CON Accounts

, . Nuclear Regulatory Commission, ATTN:(ii) Address 2 copies U.S. to:

E. L. Halman, Director, l-i Division of Contracts, Washington, DC 20555. (iii) The original

_ copy of the voucher should indicate that (2) copies have been

_ forwarded to the Contracting Officer. _

t Ib) Voucher number.

(c) Date of voucher.

(d) Contract number and date.

(e) Payee's name and address.

(Show the name of the contractor and i

the contractor or a different payee ,has then been des I insert the name and address of the payee.)

j (f) l Description total amount. of articles or services, quantity, unit price, and

(g)

Weight and zone of shipment, if shipped by parcel post .

(h)

Charges for freight or express shipments bill, if shipped by freight or express. , and attached prepaid (i)

Instructions of shipment. to consignee to notify Contacting Officer of rec (j) Final invoice marked: " FINAL INVOICE" Currency.

Billings may be expressed in the currency normally used by the 1'~- contractor in that currency. in maintaining his accounting records and payments wil However, the U.S. dollar equivalent for all invoices paid under the the contract contract. may not exceed the total U.S. dollars authorized 4

e,

_ _ _ _ _ _ _ _ _ _ _ _ _ _ . . _ _ _ _ _ _ _ _