ML20126J357
| ML20126J357 | |
| Person / Time | |
|---|---|
| Issue date: | 12/09/1992 |
| From: | Chilk S NRC OFFICE OF THE SECRETARY (SECY) |
| To: | |
| References | |
| FRN-20FR40420, FRN-54FR40420, FRN-57FR61152, RULE-PR-48C AC01-2-074, AC1-2-74, NUDOCS 9301060127 | |
| Download: ML20126J357 (161) | |
Text
p. - -
- .l . , s 'I O Y drto #
it - DOCKET WMPROPOSED RULE _% @ ~
(S4 FR @%$ =4 % D 692 t ke y.
CH g 1
[7590-01)
NUCLEAR REGULATORY COMMISSION 48 CFR Chtpter 20 l
RIN 3150-AC01 Acquisition Regulation (NRCAR)
AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule.
SUMMARY
- The Nuclear Regulatory Commission (NRC) is- revising its Nuclear Regulatory Commission Acquisition Regulatioh (NRCAR) to establish ~ requirements for the procurement of goods and services within-the NRC to satisfy the particular needs of the agency. This rule expands the existing NRCAR to
-implement and supplement the government-wide Federal Acquisition Regulation (FAR). This rule applies to. all contracts, including small purchases, where specified, awarded u or after the effective date, and to modifications awarded on or afts ne effective date which require a justification for other
~than_ full and'open competition.
EFFECTIVE DATE: The final rule will become effective 30 days after the date of' publication.
L FOR FURTHER INFORMATION CONTACT: Edward L. Halman, Director, Division of Contracts:and Property Management, Nuclear Regulatory Commission, Washington, DC 20555. Telephone: (301) 492-4347, p 9301060127 9?1209 M!
[)hlQ / g1h c 1
v ,
SUPPLEMENTARY INFORMATION:
Background
The policies and procedures of the Federal Government regarding the procurement of supplies and services have been developed in a largely independent fashion. Many statutes bearing on Federal contracting have been directed toward specific agencies. Federal agencies traditionally have developed their own contracting procedures with limited attention to uniformity among agencies. The result was a system of procurement policies that varied from agency to agency, causing confusion within the contracting community. As long ago as 1972, the Commission on Government Procurement recommended that there be a standard Government-wide procurement regulatory system. The Office of Federal Procurement Policy, created in 1974, has worked with the agencies and the public to create a uniform procurement regulation known as the Federal Acquisition Regulation (FAR).
The FAR has been promulgated as the uniform, simplified acquisition regulation called for by Executive Order 12352, Federal Procurement Reforms.
The FAR, which was issued by the General Services Administration, Department of Defense, and National Aeronautics and Space Administration, superseded the i Defense Acquisition Regulation (DAR), the Federal Procurement Regulation (FPR), and the National Aeronautics and Space Administration Procurement Regulation (NASAPR) on-April 1,_1984. The FAR was published in the Federal Register on September 19, 1983 (48 FR 42102) with an effective date of April 1 1984. The FAR is codified as Chapter 1 of Title 48 of the Code of Federal Regulations.
2
Because of differing statutory authorities among Federal agencies, the FAR authorizes agencies to issue regulations to implement FAR policies and procedures internally and to include additional policies and procedures, solicitation provisions or contract clauses to satisfy the specific needs of the agency. The regulations being published today represent the NRC's necessary implementation and supplementation of the FAR.
Debarment, Suspension and Ineligibility -
A single provision of the NRCAR was published as a final rule July 1, 1992 (57 FR 29220). That provision only contained agency debarment, suspension and ineligibility procedures. This rule publishes the NRCAR in its entirety, including the debarment procedures.
Organizational Conflicts of Interest The proposed rule, which was published for public comments on October 2, _
1989 (54 FR 40420), contained organizational conflicts of interest (COI) provisions which prohibited contractors from doing work for others that fell within the broad-scope of the underlying contract.
On August 15, 1991, the Commission approved a revision to its proposed NRCAR modifying the Agency's COI policy. The thrust of this revision limited COI restrictions to the relatively narrow scope and shorter duration of individual task orders rather than to the entire scope and term of the basic contract. While the NRC believed that the revised policy would increase competition for NRC technical assistance and research work, additional I
1 3
- . . - - . . . . - . - . - _ . .- _ - . ~ . . -.-
restrictions were added to (a) avoid the potential for unfair competitive advantage that could result if NRC contractors were- permitted to market their services while working for NRC at a licensee site, and (b) ensure that NRC contractors do not have divided financial interests while working at a licensee site.
Two of NRC's major technical assistance and research contractors commented that the COI provision, approved on August 15, 1991, was overly restrictive and would impede rather than enhance NRC's ability to increase competition in the technical assistance marketplace. Therefore, the NRC held a public meeting on March 26, 1992, in order that all interested parties could provide further comments on the proposed revision of the Commission's COI policy or provide alternatives that would achieve an equivalent level of COI protection (57 FR 4652; February 6, 1992).
T The nature of the comments received in connection with the March 26, 1992, meeting varied with respect to how the commenters viewed the restrictiveness reflected in the proposed revision to the COI policy. While a number of commenters found the existing-COI language adequate, others stated the policy was overly restrictive and lacking in ' flexibility.
The Commission has considered the comments concerning the substantial restrictions against performing any work at an NRC licensee site where the contractor performs on-site work for NRC. <.oupled with the lack _ of flexibility
- in applying this_ restriction, and agrees tnat cxceptions to the blanket restriction-may be permitted in appropriate. cases. Thus, the Commission.has modified the restriction to authorize the NRC contractor to perform work-for NRC licensees at the site of work periormed for NRC if:
4 e V v -ya w -> - e- +e-r aw%#,ra yp-- y weiey -+'g-"
(a) The work is not-in the same technical area as the work performed e
for NRC; and (b) The contracting officer determines that the specific situation'will not pose a potential for technical bias or unfair competitive advantage.
In making the determination, the contracting officer will consider factors such as: the relative value of the work for NRC; whether there has-been an on-going contractual or financial relationship between the NRC contractor and the NRC licensee that predates the NRC contract; whether the NRC contractor gained information about the availability of work for the NRC licensee as e result of contractor access to the site under the NRC contract; thn relative amount of time spent at the site by the NRC contractor's personnel; whether the work for NRC at the site is specific or is a part of a generic task or contract; and any other factors that may indicate financial-ties or competitive advantage.
Another section of the proposed COI policy on which the Commission 2
received objections related to the requirement to disclose all other work proposed to be done by the contractor for others that may give rise to a COI situation. The specific objection related to the requirement that the NRC be informed of the work at least 15 days in advance of undertaking the work.
Some companies complained that it is difficult for diversified firms to ensure that the division performing the work for NRC would be aware of the work by:
other divisions 15 days in advance in all cases. Giving due consideration to these comments, the Commission has modified the provision to require.that the contractor use due diligence to identify and obtain information about work for others that would fall within tho' scope of the NRC contract, and report the information to NRC 15 days in advance of undertaking the work. The Commission has also added a corresponding provision which indicates that the contracting officer may approve reporting not in accordance with this 5
1
, . - , - -,,s --,--,,- .---,,,---y ,- ,
provision in cases _where the contractor justifies the deviation on the_ grounds of urgency or by showing that despite the exercise of due diligence, the contractor's officials responsible for the NRC contract were not aware of the work for others falling within this provision.
The above revision to the Commission's COI policy was published as a proposed rule August 18, 1992 (57 FR 37140). The final draft rule which was not changed from the proposed rule was approved by the commission November 2, 1992. This final rule incorporates the November 2,1992, COI language.
Administrative Procedure Act Section 553 of the Administrative Procedure Act (5 U.S.C. 551 et seq) exempts rules relating to public contracts from the prior notice and comment procedure normally required for informal rulemaking. However, the Office of Federal Procurement Policy (0FPP), Office of Management and Budget, has established procedures to be used by all Federal agencies _ in the promulgation of procurement regulations. OFPP Policy Letter 83-2 states that an agenc'y must provide an opportunity for public comment before adopting procurement regulation if the regulation.is "significant."
This regulation is issued principally to create one_ body of guidance incorporating previously cleared procedures, to exercise delegations established by the FAR and to adopt other procedures that will not have a cost or administrative impact on contractors. The NRC issued its acquisition regulation proposed rule for public comment on October 2, 1989 (54 FR 40420).
The section un organizational conflicts of interest was issued for public_
comment _on August 18,-1992 (57 FR 37140).
6 4
,- e e- - ,
. - . . - , . _ _ _ = - -- - .-
i i . Public Comments l A proposed rule was published in the Federal Register on October 2,1989 l (54 FR 40420). Three organizations commented and all comments were considered in the development of this final rule. The comments and responses are ;
sumarized below, in the-order of the NRCAR text with the exce" ton of organizational conflicts of interest which is contained in a separate subsection.
One commenter suggested that NRCAR 2001.402, concerning policies for deviations from the FAR and the Np. CAR, is instructional language that should be excluded from the NRCAR and issued through an NRC internal issuance. -This policy, as much as any other internal concurrence or approval, affects the flow of the procurement process. Just as the FAR has a parallel Subpart 1.4, and numerous other specified internal concurrences and approvals, this section is an important part of the NRCAR. In addition, the place to specify the policies for deviating from any requirement is in the policy itself. This section remains in the NRCAR.
One commenter suggested that NRCAR 2001.602-3, Ratification of Unauthorized Commitments, is unnecessary. However, this provision specifies which officials within NRC may approve ratifications. It also specifies the information which must be provided to seek approval of a ratification. The contracting community can be profoundly affected by these policies.
Therefore, this section remains in the NRCAR.
One commenter asked if NRCAR 2009.1, Responsible Prospective Contractors, provides special treatment to a firm predominantly staffed by-former NRC employees, none of whom were employed by the NRC within the last 7
two years. It does not. NRCAR 2009.1 is designed te prevent preferential treatment under the " revolving door" concept. To extend this restriction beyond two years is not practical in terms of recordkeeping and would be unduly restrictive for individuals whose firms have either survived or formed after a reasonable hiatus from government empicyment.
nne commenter suggested that the NRCAR vsquirement found at 62009.405-2(a) for a certification of debarment status is it. consistent with FAR clause 52.209.5. FAR clause 52.209-5 was added to the FAR in 1989. Therefore, the NRCAR clau;e is no longe. necessary and has been removed from the fii.al rule.
One commenter suggested that NRCAR 2009.570-3(c) contains instructional language that should be excluded from the NRCAR and promulgated through one of the NRC internal issuances. This section contains examples of conflicts for
/
the information of notential contractors, as well as NRC staff and therefore, holongs in the survey. These examples are formatted to be similar to those in FAR 9.508, Examples, but the examples are specific to the NRC. The guidance provided after each excmple is used to illustrate, for potential contractors, 1
as well as NRC staff, the possible resolution of each situation. Therefore, this section remains in the NRCAR.
One commenter questioned why 62014.201-670(b)(1) requires that past experience be described in all bids. This requirement has been edited to make it optional to fit circumstances. In some instances there is little or no procurement history available, the information requested concerning bidder qualifications and past experience enables the contacting officer to query the contacts identified and ascertain the offeror's performance record, integrity and business ethics.
l
E One commenter suggested moving paragraphs (d) and (e) of NRCAR 2052.214-72,. Bid Evaluations, to a new section NRCAR 2014.404-2. -This information on materially unbalanced bids and separate charges remains in the provision because knowledge of this information can affect acceptance of the bid. .These situations have occurred enough to merit including this information in the provision.
One commenter expressed concern that the requirement for all proposed work to be considered as stated in NRCAR 2019.705-2, Determining the Need for a Subcontracting Plan, is inconsistent with FAR 19.705-2. Both texts state that all proposed contract actions must be considered when determining whether a subcontracting plan will be required. NRCAR 2019.705-2 is therefore an-unnecessary duplication and has been removed from the final rule.
One commenter suggested that NRCAR 2019.705-4, Reviewing the Subcontracting Plan, duplicates the FAR (19.7). However, the NRCAR text provides additionally that subcontracting plans may be requested from all concerns in the competitive range, and clarifies conditions for acceptance of master subcontracting plans. Because these provisions are not-in the FAR, the NRCAR text is necessary to provide consistent treatment of proposers.
One comenter suggested that NRCAR 2020.102 dupilcates-the FAR (20.3).
However, the NRCAR text identifies the office that needs to be contacted for labor surplus area set-asides.
A commenter stated that the additional patent reporting requirements stated in NRCAR 2027.305-3 go beyond those required by the FAR. FAR 27.305-3(a) states that Agencies shall maintain appropriate procedures to protect'the l
l Government's interest and to check that subject inventories are identified and l
- 9 L
' disclosed. ~ The repsrting described in the NRCAR simply requires the
. contractor to certify-that no patent or similar activities took place under the contract. This response is necessary to document that the contractor has not generated work to which the Federal government might have technical _or economic rights. This requirement remains in the NRCAR.
One commenter suggested that NRCAR 2035.71, Broad Agency Announcements, duplicates FAR 35.016, Broad Agency Announcement. The duplicative text has been removed from the final rule.
One commenter suggested that NRCAR 2042.803(b) be revised to state that audit cost issues will be resolved within 30 days when payment has not already been made to the contractor. The period in other situations wou'd remain at six months. Contractors who have a need to receive payment due to a hardship currently can offer to help expedite the decision making process. Otherwise, siv months is a reasonable period of time for receiving and reviewing audit reports, preparing positions and correspondence, and conducting negotiations.
Because the process is dependent on a number of inputs, including the contractor's, the language has been clarified to indicate that "within six months" is a goal, not a deadline.
One commenter suggested that a standard for technical performance reports, OMB Circular A-110, Attachment H, Monitoring and Reporting Program Performance, be used, and took exception _to monthly reporting requirements in NRCAR clause 2052.212-71, Technical Progress Report. The requirements of OMB.
Circular _ A-110 are applicable only-to certain financial assistance awards; and
. are not appropriate for NRC contracts. However, the prescription for the NRCAR clause 2052.212-71 states that the contracting officer may alter the cl ause.- This prescription has been strengthened to clarify that the frequency 10
of reporting is set at whatever frequency is meaningful and productive jur:
each contract, considering the size and complexity of the particular project or program.
One commenter suggested that a standard for financial assistance, OMB Circular A-110, Attachment G.3.a. Financial Status Report, should be used to -
set the frequency of submission for Financial Status Reports under NRC contracts. The prescription for NRCAR 2052.212-72, Financial Status Report, states that the contracting officer may alter the clause. This prescription has been strengthened to clarify that the frequency of reporting is set at whatever frequency is meaningful and productive for each contract.
Paragraph (a) of NRCAR provision 2052.214-72 is duplicative of FAR clause 52.214-4, False Statements, and has been removed from the final rule.
It was suggested by one commenter that NRCAR clause 2052.215-76 be modified to require that cost related information on proposed subcontracts be 3 included in the cost proposal, rather than the technical and management proposal. This change has been made to the final rule.
The same commenter recommended that paragraph (e)(4) of NRCAR clause 2052.215-76 permit offerors to address the criteria enumerated under paragraphs (e)(4)(i) through (e)(4)(xix) in other than the manner and sequence outlined. This would lead to inconsistences and difficulties in evaluating proposals. The commenter suggests that the proposed change would provide
- offerors with flexibility to develop and structure their respective technical l
l and management proposals in a format consistent with the stated evaluation criteria contained in an NRC solicitation. However, NRCAR 2015.407-70-(b)(2) already states that the provision must be tailored to assure that all sections 11 L
l
? - - - .
reflect _ the evaluation criteria. - Therefore, no change has been made to the final rule.
Jne commenter suggested that the NRCAR clause 2052.215-76 should be expanded to' include guidance for completion of the referenced Contractor Spending Plan. NRC's internal instructions provide only a suggested format-which must, as the internal guidance states,-be modified to meet each situation. The plan format develaped for each specific proposed contract will appear in the Request for Proposal. While a Contractor Spending Plan is required for each applicable contract, the degree of flexibility permitted to the contracting officer is such that guidance for completion of each plan is not appropriate in this regulation. No change is made to the provision for this purpose.
Subpart 4.603, Solicitation Provision, which requires in provision 552.204-4 that contractors provide Data Universal Numbering System (DUNS) information, was added to the FAR by Federal Acquisition Circular 84-50.
Therefore, NRCAR clause s2052.215-73, Data Universal Numbering System -(DUNS),
is no longer required and has been removed from the final rule'.
A comment was made that Section 24, Pub. L. 100-679, exempts universities from having to comply with the Federal Travel Regulations if they follow their own travel policies in accordance with OMB Circular A-21, Cost Principles for Educational Institutions. Therefore, the commenter stated, NRCAR clause 2052.215-79,(formerly 62052.215-75) Travel Reimbursement,-
1 should be modified in accordance with Part 31 of the FAR, and several- OMB Circulars, including A-21 (cost principles applicable to universities). A second commenter suggested that the clause be amended to be consistent with 12
FAR Part 31.205-46. NRCAR clause 2052.215-79 has been foodified to make these clarifications. With these changes and the deletion of the word " domestic" from the first sentence of paragraph (c), paragraph (d) is no longer necessary and has been removed from the' final rule.
One conrnenter states that NRCAR clause 2052.215-80, Travel Approvals, is inconsistent with OMB Circular A-21, when it says that "all domestic travel requires the prior approval of the project officer." OMB Circular A-21, Paragraph J.43.f of A-21, which is applicable to both direct and indirect costs, states that " domestic travel costs are allowable when permitted by the sponsoring agreement." Paragraph C.2 of A-21, factors Affecting Allowability of Costs, states that in order for costs to be allowable, "they must conform to any limitations or exclusions set forth in these principles or in the sponsored agreement as to types or amounts of cost items." The NRC has reserved to project officers, whose role includes monitoring work and-associated costs, the ability to determine that domestic travel costs are necessary and prudent expenditures under the contract. No. change to this provision has been made in the final rule.
One commenter suggested that provision s2052.216-74,LTask Order Procedures, should specify the task order proposal due date which has been set by mutual agreement. Task ordering contracts are negotiated for needs that are not clearly defined and which will need to be provided for quickly. The NRC contract administrator is responsible for setting a due-date which reflects the agency's needs. If circumstances arise which prevent it from-meeting the due date, the contractor should alert the contract administrator at the earliest opportenity. Therefore, no change is made to the provision of tha final rule.
13
. NRCAR clause 2002.235-70, Publication of Research Results, has be:n revised to clarify the requirements for the use of HRC Management Directives.
NRCAR clause 2052.245-71, Private Use of Contract Ir. formation and Data is deleted, since NRCAR clauses 2052.235-70 and 2052.2?'d-71 provide adequate coverage.
Organizational Conflicts of Interest Comments on the COI language contained in the proposed rule published on October 2. 1989 (54 FR 404201:
One commenter suggested that NRCAR 2009.570-5 and the additions to the general organizational conflicts of interest clause set forth under contract clauses 552052.209-76 and 2052.209-77 conflicts restrictions should only be applied to work which is the same or similar to NRC work. The commenter stated that this would protect the NRC against situations which may (a) result in providing an offeror or contractor with an unfair competitive advantage, or (b) impair the offeror's or contractor's objectivity in performing work for the NRC. Paragraph (2) of 52052.209-76, which would have required prior approval of the contracting officer to perform same or similar services; has been deleted and a new paragraph (52052.209.73(c)(3)) has been added to the final rule. The paragraph prohibits the contractor from performing any of the following activities for a period of one year upon completion of work at a licensee or applicant site: 1) soliciting work at that site; 2) performing work at that site; and 3) performing work in the same technical area for the licensee or applicant organization regardless of location. While the deletion may lead to some situations whereby NRC will not be able to issue some task -
orders to a contractor because of the contractor's other work for licensees 14 I
started after the beginning of the NRC contract, the NRC believes that other alternatives exist to get the work accomplished. The new paragraph will- +
minimize situations of unfair competitive advantage.7 Language has been added to NRCAR 2052.209-73(d)(3) to limit denial of approval under task order contracts to situations where NRC has issued or plans to issue a task order in the same technical area or at the site.
A commenter suggested that paragraph (d), Disclosure After Award, be deleted in its entirety from NRCAR clause 2052.209-74 (currently s2052.209-73(d)(3)). The commenter states that NRCAR 2052.209-74(c) already requires contractors to make immediate and full disclosure. However, paragraph (d)(1) also requires the contractor to provide a negative response. Paragraph (d)(3) additionally requires that any disclosure must include a description of action taken to avoid or mitigate such conflicts. NRCAR 2052.209-77 (currently 52052.209.73(d)) requires that additional t nt be added to paragraph (d)(3),
to clarify the applicability to task orders. Therefore, paragraph (d) is not deleted.
One commenter proposed that NRCAR clause 2052.209-77 (currently
$2052.209.73(d)(3)), Contractor Organizational Conflicts of Interest-Language for Task Order Contracts, imposes a burdensome information reporting requirement. Paragraph (d)(3) provides that the contractor will disclose all-proposed new work of any type involving NRC licensees or applicants. The commenter suggested a change in the wording to "the same as, or substantially similar to." The commenter states correctly that this disclosure is necessary regardless of whether the proposed activitics represent a potential or actual j conflict of interest with work being performed for the NRC. Additionally,
. circumstances other than the nature of a contractor's work, such as its l
15
i financial ties to a liceneseo could constitute a conflict ofLinterest.
Consequently, the disclosure requirements in paragraph (d)(3) remain unchanged s
in order that the contracting Officer be provided with all requisite information in-reaching a determination on organizational conflicts of interest. Therefore, no change is made to paragraph (d)(3) of.this clause.
One commenter suggested that the contracting officer should be permitted to alter any conflict of interest clause. The clauses currently provido for basic policies to be applied in all or designated cases. Waivers or contracting officer decisions would provide flexibility in policy application.
Open-ended altering of the basic policies would cause inequities and unnecessary delays to the procurement process. Therefore, the language is not changed for this purpose.
Comments on the COI lanauace on the_A.uqust 18. 1992 proposed rule (57 FR 371401:
Only one comment was received. It endorsed-the proposed rule changes.
The commenter also provided certain comments on implementation of the rule change. The commenter-indicated that implementation of the rule should permit l
an NRC contractor to discuss and reach agreement with the NRC contracting l officer concerning the application of the proposed restrictions to certain t
L- . types of work for others which the contractor may wish to. solicit in advance of such solicitation. The rule proposed would permit such discussion provided that the contractor can provide the contracting officer with the information, outlined above, to enable th, contracting officer to determine that the h situation will not-pose a potential for technical bias or unfair competitive t
advantage. The'commenter also indicated that it expected that, in' instances in which the contractor expresses s" interest in pursuing totally unrelated I
L 16 i
activities, a determination permitting an exception to the work:for others
_ restrictions'would be a timely and routine matter. Under the proposed rule, exceptions from the work for others restrictions is a matter-of discretion of the contracting officer, provided that contracting officer is able to reach a determination, on the basis of the factors discussed above, that the proposed work for others will not pose a potential for technical bias or unfair competitive advantage. The fact that the proposed work is totally unrelated to work being done for NRC would be an important factor in such a determination, but the other factors outlined above would also need to be considered.
Other Revisions Since the proposed rule was published (October 2, 1989; 54 FR 40420) other amendments to proposed NRCAR text have been made as a result of internal review, changes in the Federal Acquisition Regulation, and coordination with other agencies. The amended sections are:
Section 2015.604 which incorporates the Procurement Integrity Act.
Section 2015.610 which provides more specific guidance on the conduct of written and oral discussions.
Section 2015.611 which clarffies the Source Evaluation Panel's basic role as one of fact-finding and scoring.
Section 2009.405-2, in which paragraph (a) has been' deleted to be consistent with FAR 9.404.
Section 2009.570-8 which exempts supply subcontractors and includes the
$10,000 threshold requiring offerors and contractors to have-subcontractor and consultants submit a COI representation.
Section 2012.104-70 which gives the Centracting Officer more discretion in determining the reporting schedule.
17
Section 2014.201-670(b)(1) which makes the inclusion of this section optional to fit the circumstances.
Section 2052.214-72, in which paragraph (a) has been removed because it duplicated FAR 14.201-6(b)(4) and the clause cito has been changed to "FAR Subpart 1".
Section 2019.705-2 which has been removed because it duplicated FAR.
Section 2035.7) in which paragraphs (a) and (b)(4) and (2) have been removed because they duplicated FAR.
Section 2052.215-73, which has been removed because it duplicated FAR ,
4.603.
Section 2052.216-70, which segregates professional and cleric ataff years.
Section 2052.235-71 which has been removed because it was inconsistent with Executive Order No. 12591.
Environmental Impact: Categorical Exclusion The NRC has determined that this regulation is the type of action
~
described in the categorical exclusion set forth in 10 CFR 51.22(c)(5) and (6). Therefore, neither un environmental impact statement nor an environmental assessment is required fcr this rule.
Paperwork Reduction Act Statement This final rule amends information collection requirements that are subject to the paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq), These requirements were approved by the Office of Management and Budget approval number 3150-0169, 18 l l
_I 1
' ' The information collection requirements were submitted to OMB at the proposed rule stage. At that time, OMB denied approval. OMB believed that rather than promulgating an NRC regulation, NRC should forward those provisions appropriate for inclusion-in the FAR to the FAR Councils for consideration in accordance with FAR 1.304(c). OMB further requested that publication of provisions relating to Conflict of Interest Policies Applicable
]
to Consultants await implementation in the FAR. It is the NRC's position that '
because we are required by law to have separate procurement regulations implementing the FAR 7.ad these provisions only apply to the special circumstances of the NRC, the provisions of the NRCAR are not appropris for inclusion in the FAR for government wide usage. In addition, in accordance with Sec. 8, Pub. L.95-601, adding Sec. 170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. 2210a), NRC's organizational conflicts of interest provision takes precedence over the FAR 9.5, Organizational and Consultant Conflicts of Interest. However, where non-conflicting guidance appears in FAR 9.5, the NRC shall follow that guidance. With these consid n tions, NRC-therefore requested OMB approval of the information collec ion rg*;irements at the final rule stage and OMB subsequently approved these requirements.
The public reportirg burden for this collection of_ information is estimated to average 10.7 hours8.101852e-5 days <br />0.00194 hours <br />1.157407e-5 weeks <br />2.6635e-6 months <br /> per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the-data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Information and Records Management Branch (MNBB-7714), U.S. Nuclear _ Regulatory Commission, Washington, DC 20555, and to the Desk Officer, Office of Information and Regulatory Affairs, NE08-3019, (3150-0169), Office of Management and Budget, Washington, DC 20503.
19
Regulatory Analysis lhis final rule establishes the procedures and requirements necessary to implement and supplement the FAR, The final rule presents the regulations necessary to ensure that the regulations governing the procurement of goods and services within the NRC satisfy the particular needs and requirements of the NRC. This final rule constitutes an administrative action governing the procurement activities of the NRC. These provisions would not have an adverse economic impact on any contractor or potential contractor because they merely supplement the requirements applicable to the acquisition of goods and services by the agency. By clearly and explicitly implementing the FAR and presenting those additional provisions necessary to reflect the needs of the NRC, the final rule would allov a contractor or potential contractor to understand more easily the regulations to be used in soliciting, evaluating ano awarding contracts for the provision of goods and services. This ,
constitutes the regulatory analysis for this final rule.
Regulatory Flexibility Certification As reg ared by the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b),
the Commission certifies that this rule does not have a significant economic impact on a substantial number of small entities. The final rule establishes the procedures and requirements necessary to implement and supplement the FAR A
which will govern the acquisition of goods and services by the NRC. To the
. extent that the final rule effects a small entity, it sets out provisions applicable to small business and to small, d sadvantaged business concerns.
20
4 Backfit Analysis The NRC has determined that a backfit analysis is not required for.this final rule because it does not involve any provision which would impose backfits as defined in 10 CFR Part 50,109(a)(1).
List of Subjects in 48 CFR Chapter 20 Government procurement, Nuclear Regulatory Commission Acquisition Regulations, Reporting and recordkeeping requirements.
For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, 5 U.S.C. 552 and 553, and FAR Subpart 1.3, the _ NRC is- adding-Chapter 20 to Title 48 of the Code of Federal Regulations.
?
- 1. Chapter 2-0 to Title 48 is revised to read as follows:
CHAPTER 20 - NUCLEAR REGULATORY COMMISSION SUBCHAPTER A - GENERAL
- Part 2001 - NUCLEAR REGULATORY COMMISSION ACQUISITION REGULATION SYSTEM Subpart 2001,1 - Purpose, Authority, Issuance. -
21 m
i
, c -4.-- 1,- , -w - - -- -- - , . , .-+- --
E ,
4 -
, -: , - g
-2001.101 Purpose.
2001.102 Authority.-
2001.103- Applicability. -
2001.104 Issuance. .
2001.104-1 Publication and code arrangement.
2001.104-2 Arrangement of the regulations, 2001.104-3 Copies. .
2001.105 Information collection requirements: 0MB approval.
Subpart 2001.3 - Agency Acquisition Regulations
.+
Sec. 2001.301 Policy.
2001.303 Public participation.
Subpart 2001,4 - Deviations from the FAR and the NRCAR~
Sec. 2001.402 Policy.
2001.403 Individual deviations.
2001.404- Class deviations.
Subpart 2001.6 --Contracting Authority-and Responsibilities Sec '. 2001.600-70 Scope of subpart.
2001.601 - General.
-2001.602-3 Ratification of unauthorized commitments'.
2001 603 Selection,-appointment, and termination of-appointment.
22
g e AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201);.
---Sec.~201, 88LStat. 1242, as amenced (42 U.S.C.- 5841;'_41 U.S.C.
418(b).
Subpart 2001'.l'- Purpose, Authority, Issuance-42001.101 Purpose.
This subpart establishes Chapter 20, the Nuclear Regulatory Commission Acquisition Regulation (NRCAR), and provides for the codification and
~
publication of uniform policies and procedures for acquisitions by the NRC.
The NRCAR is not, by itself, a complete document. It must be used in conjunction with the- Federal Acquisition Regulation (FAR). (48 CFR Chapter 1).
52001.102- Authority, -
TheNRCARandtheamendmentstoitare_.issuedbytheD'irector,_0fficeofT Administration, under a delegation from th'e Executive Director'.for 0perations; in accordance with the authority of the Atomic Energy:Act'of 1954, as amended-(42. U.S.C. 161), the Energy-Reorganization Act of 1974-(42 U.S.C. 5841, 5872), the Federal Property and Administrative-Services Act of 1949--(40 U.S.C.
486(c)), as amended, FAR Subpart l.3, and other applicable ' law.
42001.103 Applicability.
I;
- The FAR and NRCAR apply to all NRC acquisitions' of: supplies and services:
which obligate appropriated funds, except as exempted by-Sections 31 'and 161 of the Atomic Energy Act of-1954-as amended, and Section 205 of_the Energy 23
LReorganizationJAct of 1974 as amended. For,procurements made-from-inonappropriated_ funds,Jthe Director, Division of Contracts and Property?
Management, shall determine the rules and procedures-that apply, 12001.104 issuance, 52001.104-1 Publication and code arrangement.
(a) The NRCAR and its subsequent changes are:
(1) Published in the daily issue of the Federal Register; and (2) Codified in the Code of-Federal Regulations (CFR),
(b) The NRCAR is issued as 48 CFR Chapter 20.
62001.104-2 Arrangement of the regulations.
~
(a) General, Chapter 20 is divided into parts, subparts,- sections-
-subsections, paragraphs, and further-subdivisions as necessary. -
(b). Numberina. The numbering system and.part, subpart and section- -
O titles used in this . Chapter 20 conform with those used Lin the FAR as follows:
(1) Where Chapter 20 implements the FAR or supplements a parallel part, subpart, section, subsection, or paragraph of the'FAR,- that implementation or supplementation is numbered and captioned to the FAR part,-
subpart, section, or subsection being implemented or' supplemented, except-that
'24
'1 l
_.- _.. _. _ . _._ ._. _.._ . _ ._ _ m ,...
the i_mplementation or. supplementation is preceded-with a 20 or100 so that
- -there wil.1 always be four numbers to the left of the decimal- . For example, NRC's implementation of FAR 1.104-1 is shown as l'2001.104-1 and the NRC's 7j
. implementation of FAR 24,1 is shown as_ 92024,1.
_(2) When NRC supplements material contained in the FAR, it is-given a unique number containing the numerals "70" or higher.: The rest of the number parallels the FAR part, subpart, section, subsection or paragraph it is supplementing. For example, Section 170A of the Atomic Energy Act of 1954, as amended, requires a more comprehensive organizational conflict of interest-review for NRC than is contemplated by FAR 9.5. This supplementary material is identified as 52009.570.
(3) Where material in the FAR requires no implementation or supplementation, there is no corresponding numbering in the NRCAR.-- Therefore,.
there may be gaps in the NRCAR sequence of numbers where the FAR requires no-further implementation.
(c) Rt' tion. The NRCAR will be cited in accordance with-Federal Register Standards _ approved for the FAR. Thus, this-section when referred to--
t in the NRCAR is cited as- 92001.104-2(c). When this section is referred to
- formally in official documents, such as legal- briefs, it should be cited as =
"48 CFR_2001.104-2(c)."- Any section of the NRCAR may be formally identified - >
by the section number, e.g. , "NRCAR 2001.104-2." . In the NRCAR, any reference.
to the FAR will be indicated by "FAR" followed by the- section number, for example FAR l-104.
-12001.104-3 Copies.
25
e Copies of the NRCAR in-Federal Register and CFR form may be purchased-from.the Superintendent of Documents, Government Printing Office,-Washington,
-DC 20402.
12001.105 Information collection requirements: 0MB approval.
(a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (0MB) for approval as required by the Paperwork Reduction Act of-1980 (44 U.S.C. 3501 et seq.).
(b) The information collection requirements contained in this'part -
appear in ll2009.570-3(b)(1)&(2), 2009.570-3(c), 2009.570-3(c)(4)(ii),-
2009.570-5(b),2009.570-8,2014.201-670,2015.607,2019.705-4(a),2027.305-3(a), 2042.803(a)(b), 2052.204-70(b)(j)&(k) , 2052.204-71, 2052.204-72, 2052.209-71, 2052.209-72, 2052.209-73(d)(2)&(3)&(f) 2052.210-74(b), 2052.210-71, 2052.212-70, 2052.212-71, 2052.212-72, 2052.213-73, 2052.214-_71, 2052.214-'
72(e),2052;214-74,2052.214-75,2052.215-70,~2052.215-71(f),2052.215-76,
~
2052.215-77, 2052.216-74, 2052.235-70, 2052.235-71,-and 2052.235-72.
Subpart 2001.3 Agency Acquisition Regulations
.-62001.301 Policy.-
Policy, procedures, and guidance of an internal- nature will be promulgated through internal NRC issuances such as Management Directives, or-
<1 Division of Coatracts and Property Management Instructions.
52001.303- Public participation.
. 26
FAR 1.301 and Section 22 of the Office of Federal Procurement Policy Act, as amended (41 U.S.C. 418b) require rulemaking for substantive acquisition rules, but allow discretion in the matter for other than significant issues meeting the stated criteria. Accordingly, the NRCAR has been promulgated and may be revised from time to time in accordance with FAR 1.301. This procedure for significant subject matter generally involves issuing a notice of proposed rulemaking, inviting public comment, review and analysis of comments received, and publication of a final rule. The final rule includes a discussion of the public comments received and describes any changes made as a result of the comments.
Subpart 2001.4 - Deviations from the FAR and the NRCAR 1
92001.402 Policy.
(a) Requests for authority to deviate from the provisions of the FAR or the NRCAR must be signed by the requesting office and submitted to the Director, Division of Contracts and Property Management, in writing as far in advance as possible. Each request for deviation must contain the following: _
(1) A statement of the deviation desired, including identification of the specific paragraph number (s) of the FAR or NRCAR fram which a deviation is requested; '
(2) The reason why the deviation is considered necessary or would be in the best interest of the Government; (3) If applicable, the name of the contractor and identification of the contract affected; 27
s,
.. (4) A-statement as:to whether-the deviation has been requested-previously_ and, if- so, circumstances 1 of the previous- request- (including the result of that request);
i (5) A description of the intended effect of:the deviation; (6) A statement of the period of time for which the deviation is needed; and (7) Any pertinent background information which will contribute to a full understanding of the desired deviation.
92001.403 Individual deviations.
In individual cases, deviations from either the FAR or the NRCAR wil~. be authorized only when essential to effect a necessary acquisition or where-special circumstances make the deviations clearly in the best interest of the -
Government. Individual deviations must be authorized in advance by.the Director, Division of Contracts and Property Management.
92001.404 Class deviations.
Where deviations from the FAR or NRCAR are~ considered necessary for classes of contracts, requests for authority oto deviate.must be submitted in writing.to the, Director, Division of Contracts-and. Property Management, who .
will consider the submission-jointly with the Chairperson of the Civilian Agenc'y Acquisition Council, as appropriate.
l L
r 28
Subpart 2001.6 - Contracting Authority and Responsibilities 6200' 300-70 Scope of subpart.
This subpart deals with the placement of contracting authority and responsibility within the agency, the selection and designation of contracting officers, and the authority of contracting officers.
62001,601 General.
(a) Contracting authority vests in the Chairman. The Chairman has delegated this authority to the Executive Director for Operations (EDO). The EDO has delegated this authority to the Director, Office of Administration (ADM). The Director, ADM, has delegated the authority to the Director, Division of Contracts and Property Management, who, in turn, makes contracting officer appointments within the Headquarters and the Regional Offices. All of the above delegations are formal written delegations containing dollar r limitations and conditions.
(b) The Director, Division or Contracts and Property lianagement, establishes contracting policy throughout the agency; monitors the overall effectiveness and efficiency of the agency's contracting office; establishes controls to assure compliance with laws, regulations, and procedures; and delegates contracting officer authority.
62001.602-3 Ratification of unauthorized commitments.
(a) The Government is not bound by agreements or contractual commitments made to prospective contractors by persons to whom contracting 29
l authority has not been' delegated. Any unauthorized commitment may be in i
+
violation of the federal Property and Administrative Services Act, other ;
l Federal laws, the FAR, the NRCAR, and good acquisition practice. Certain :
requirements of law and regulation necessary for the proper establishment of a contractual obligation may not be met under an unauthorized commitment; for example, the certification of the availability of funds, justification-for other than full and open competition, competition of sources, determination of contractor responsibility, certification of current pricing data, price / cost '
- analysis, administrative approvals, and negotiation of appropriate contract clauses.
(b) The execution of otherwise proper contracts made by individuals without contracting authority, or by contracting officers in excess of the-limits of their delegated authority, may later be- ratified. To be effective, the ratification must be in the form of a written procurement document clearly stating that ratification of a previously unauthorized commitment is intended. All ratifications must be approved by the Competition Advocate ;
except that ratifications of procurement actions valued at $2,500 or less may be approved by the appropriate Regional Administrator or~at a level above the appropriate lieadquarters Contracting Officer. For any such action approved by the Regional Administrator, all other terms of Subpart 2001.6 are applicable, and a copy of all documentation must be submitted within two working days-to-the. Competition Advocate. ,
(c) Requests received by contracting officers for ratificatibn of commitments made by personnel lacking contracting authority must be processed as follows:
30
....:-. -.. - .-.: . _ .. :.. -.:2:-- - _ .- ~ -.-.. _ -. .-.:. -.-,.-,
- . .a...-,.
-(l) The Designating Official, responsible for the office request, shall furnish the contracting officer all records and documents concerning the commitment and a complete written statement of facts, including, but not limited to:
1 1
(i) A statement as to why the contracting office was not used including the name of the employee who made the commitment; .
(ii) A statement as to why the proposed contractor was selected; !
(iii) A list of other sources considered; (iv) A description of work to be performed or products to be furnished; (v) The estimated or agreed upon contract prico; (vi) A certification of the appropriated funds available; r
(vii) A statement of whether the contractor has commenced performance; and-(viii) A description of how unauthorized commitments in i similar circumstances will be avoided in the future.
(2) The contracting officer shall review and- forward the written j statement of facts for. a determination of approval- to the' Competition Advocate DCPM, with any comments or information which should be considered in-
~ evaluating the_ request for ratification.
31 Le
,,.--,+--.,,..,..-n,. --,--,-~.,-,--..-,_-,:;-,,::-,,.,,,,.-..;a..,,,...,.. '
-. ., a - . . - .;; ;, , ,.,,.,,.;,,.i...
(3)_ The NRC legal advisor may be asked for an opinion, cdvice, or concurrence if there is concern regarding the propriety of the funding source, l appropriateness of the expense, or when some other legal issue is-involved.
[
12001.603 Selection, appointment, and termination of appointment.
The Director, Division of Contracts and Property Management, is authorized by the Director, Office of Administration, to select and appoint contracting officers and to terminate their appointment as prescribed in FAR 1.603. Delegations of contracting officer authority are issued by memorandum which includes a clear statement of the delegated authority, including responsibilities and limitations in addition to the " Certificate of Appointment"; SF 1402. t PART 2002 - DEFINITIONS Subpart 2002.1 - Definitions ,
Em 2002.100 Definitions AUTl10RITY: 42 U.S.C. 2201; 42 U.S.C. 5841, and 41 U.S.C. 418(b).
Subpart 2002.1 - Definitions
$2002.100 Definitions.
Aaency means the Nuclear Regulatory Co:nmission (NRC). .
32.
.-_ _ . _ _ _ _ u. . .. _. - _ . . .w.---_ . -._[_ :
p.ei.i.
bgcan,}kad or Head of the Aaency means the NRC Executive Director for Operations, for the purposes specified in this regulation and the FAR. This delegation does not extend to internal NRC requirements such as clearance levels and Commission papers which specify higher levels of authority.
G mmii31gn means the NRC Commission of five members, or a quorum thereof, sitting as a body, as provided by Section 201 of the Energy Reorganization Act of 1974 (42 U.S.C. 5841).
Ornetti. ion Ady_gnig means the individual appointed as such by the Agency Head as required by Pub. L.98-369. The Director, Division of Contracts and Property Management, has been appointed the Competition Advocate for the NRC.
En means calendar uay unless otherwise specified. If the last day of the designated period of time is a Saturday, Sunday, or legal holiday under federal law, the period includes the next business day.
} lead of the Contractina Activity (HCA1 means the Director, Division of Contracts ar.d Property Management. .
ligurgment _ Exenttive means the individual appointed as such by the Agency Head pursuant to Executive Order 12352. The Director, Office of Administration, has been appointed the NRC Procurement Executive.
PART 2003 - IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF INTEREST Subpart 2003.1 - Safeguards 1
33
t i
> r- !
P3
- c: .!
tc .i Enti ,
2003.101 Standards of conduct. ;
2003.101-3 Agency regulations.
Subpart 2003.2 - Contractor Gratuities to Government Personnel 2003.203 Reporting of suspected violation of the gratuities ,
clause.
i AUTHORITY: 42 U.S.C. 2201; Sec. 201, 88 Stat. 1242, as amended; 42
]
U,S.C. 5841; and 41 U.S.C. 418(b). !
Subpart 2003.1 - Safeguards ,
62003.101 Standards of conduct.
12003.101-3 Agency regulations. :
NRC standards of conduct for its employees:are published in 10-CFR Part O. The standards of conduct . include requirements-for' financial' .
- disclosure (60,735-28).
Subpart 2003.2 - Contractor Gratuities to Government Personnel. ,
52003'.203L Reporting suspected violations of the gratuities clause.
~
l 9
34-
~
e r ,o -- .-w. -
m ..,a, n . m- e-.-.- , e.-, .
--- ,. - , , , , + , ,NN ,w P
4 (a) Suspected violations of the " Gratuities" clause, FAR 52.203.3, must be reported orally or in writing directly to the NRC Office of the inspector General. A report must include all-facts and circumstances related to the case. Refer to 10 CFR 0.735-42, Gifts, Entertainment and favors, for i
an explanation regarding what is prohibited and what is p'ermitted.
l t
(b) When appropriate, discussions with the contracting officer or a higher procurement official, procurement policy staff, and the procurement legal advisor prior to filing a report are encouraged.
PART 2004 - ADMINISTRATIVE IIATTERS 11.
Subpart_2004.4 - Safeguarding Classified Information Within industry A
12004.404' ' Contract clauses.
a
-r AUTHORITY: 42 U.S.C. 2201;-42 U.S.C. 5841; and 41 U.S.C. 4Bl(b).
Subpart 2004.4 - Safeguarding Classified Information Within Industry ;
62004.404 Contract clauses.
The security clauses used in NRC contracts are found at:12052.'204.
They are:-
- 35
- .L. -. ..........-......-.-,:-..~ . - . , . . - - .-, : :;;.. . ,. , , , . . . . . . . . .
(a) Security, 12052.204-70. This clause will be used in all contracts during the performance of which the contractor may have access.to, or contact with classified information, including National Security information, restricted data, formerly restricted' data, and other classified data.
(b) Site Access Badge Requirements, 62052.204-71. This clause will be used in all contracts under which the contractor will require access to Government facilities. The clause may be altered to reflect any special conditions to be applied to foreign nationals. l SUB(llAPTER B - COMPETITION AND ACQUISITION PLANNikG [
Part 2005 - PUBLIClZING CONTRACT ACTIONS ,
7 Subpart 2005.5 Paid Advertisements SL +
2005.502 Authority.
I AUTil0RITY: Sec. 161,-68 Stat.-948, as amended ('42 U.S.C. 2201); Sec. 201, 88' Stat, 1242, as amended (42 U.S.C. 5841); Pub. L.:93-400,:88 Stat. 796,
~
as-amended byLPub. L. 96-83, 93 Stat. 648, Pub. L.98-577, 98 Stat. 3074 (41 U.S.C. 401 et seq.).
Subpart 2005.5 Paid Advertisements-62005.502- Authority..
36-
. . - . . .=,a._-.=--.-..:... - .. . - . _ . . . . . - . .--,-.a....-- . . - , - , , . . . , .
.t
't Before placing paid advertisements in newspapers and trade journals to l publicize contract actions, written authority rnust be obtained from the l i
Director, Olvision of Contracts and Property Management, for Headquarters 1 i
activities, or the Director, Division of Resource Management and l Administration, within each regional office for a regional procurement. f part 2009 - CONTRACTOR QUALIFICATIONS Subpart 2009.1 - Responsible _ Prospective Contractors 1
SW 2009.100 NRC policy. '
2009.105-70 Contract provisions.
V Subpart 2009.4 - Debarment, Suspension, and ineligibility a 2009.403 Definitions.
2009.404 - Consolidated lists of parties excluded from federal -
procurement or non-procurement programs. .
2009.405 Effect of listing. ,
2009.405-1 Continuation of current contracts.
2009.405 Restrictions on subcontracting.-
2009.406 -Debarment, 2009.406-3. Procedures, '
2009.407. Suspension.
2009.407 Procedures.
2009-470- = Appeals. !
Subpart 2009.5_ Organizational Conflicts _of-Interest 37:
~ -- . ..
2009.500 Scope of subpart.
2009.570 NRC organizational conflicts of interest.
2009.570-1 Scope of policy.
2009.570-2 Definitions.
2009.570-3 Criteria for recognizing contractor organizational conflicts of interest.
2009.570-4 Representation.
2009.570-5 Contract clauses.
2009.570-6 Evaluation, findings, and contract award.
2009.570-7 Ccaflicts identified after award.
2009.570-8 Subcontracts.
2009.570-9 Waiver.
2009.570-10 Remedies.
AUTHORITY: 42 U.S.C. 2201; Sec 201, 88 Stat. 1242; as amended; 42 U.S.C. 5841; and 41 U.S.C 418(b).
Subpart 2009.1 - Responsible prospective contractors.
42009.101- NRC policy.
(a) It is NRC policy that contracts will not normally be placed on a noncompetitive basis with an individual who was employed by the NRC within two years of the date of the request for procurement action. This policy also pertains to any firm in which a former NRC emplayee is a partner, principal officer, majority stockholder, or which is otherwise controlled or predominantly staffed by former NRC employees and for granting consent of subcontracts. An exception to this policy will be made if it is determined by the agency Procurement Executive to be in the best interest of the Government to do so. This restriction also applies to former NRC employees acting as a principal under a task order type contract or as a principal under a contract-38
awa'rded non-competitively under the Small Business Administration's 8(a)
Program. This policy is also applied when reviewing subcontracts for the purpose of granting consent under NRC prime contracts.
(b) The term NRC emploYef includes special Government employees performing services for NRC as experts, advisors, consultants, or members of advisory committees, if --
(1) The contract arises directly out of the individual's activity as a special employee; (2) The individual is in a position to influence the award of the contract; or (3) The Contracting Officer determines that another conflict of interest exists.
(c) A justification explaining why it is in the best interest of the Government to contract with an individual or firm described in paragraph (a) _
of this section on a noncompetitive basis may be approved by the Procurement Executive after consulting with the Executive Director for Operations or his designee. This is in addition to any justification and approvals which may be required by the FAR for use of other than full and open competition.
(d) Nothing in this policy statement shall be construed as relieving former employees from obligations prescribed by law, such as 18 U.S.C. 207, Disqualification of Former Officers and Employees.
62009.105-70 Contract provisions 39
The contracting officer shall insert the following provisions in all !
solicitations:
(a) 2052.209-70, Qualifications of Contract Employees.
(b) 2052.209-71, Current /former Agency Employee involvement.
Subpart 2009.4 - Debarment, Suspension, and ineligibility 62009.403 Definitions.
As used in 12009.4:
9 Debarrina official means the Procurement Executive, Initiatina official means the contracting officer, the Head of the Contracting-Activity (HCA),- the Procurement Executive, or the-Inspector-General.
Suspendina official means the-Procurement Executive. '
92009.404 Consolidated ' list of parties excluded -from Federal procurement or non-procurement programs. .
The contracting officer' responsible for the contract affected by'the.
Edebarment or suspension shall perform the actions required by: FAR9,404(c)(1)-
(3).
40 o*- . . . . . . ~ . .
__,w -... . , ..w . ,,:.. . , , , , , . , , , , . , , ms, ,,e...--y,
62009.405 Effect of listing.
Compelling reasons are considered to be present where failure to contract with the debarred or suspended contractor would seriously harm the agency's programs and prevent accomplishment of mission requirements. The Procurement Executive is authorized to make the determinations under FAR 9.405. Requests for these determinations must be submitted through the HCA to the Procurement Executive.
62009.405-1 Continuation of current contracts.
The HCA is authorized to make the determinations undar FAR 9.405-1.
%2009.405-2 Restrictions on subcontracting.
The HCA is authorized to approve subcontracts with debarred or suspended subcontractors under FAR 9.405-2,
~
62009.406 Debarment.
62009.406-3 Procedures.
(a) Investigation and referral. When a contracting officer becomes aware of possible irregularities or any information which may be sufficient cause for debarment, the case must be referred through the HCA to the Procurement Executive immediately. The case must be accompanied by a complete statement of the facts (including a copy of any criminal indictments, if applicable) along with a recommendation for action. Wnere the statement of facts indicates the irregularities to be possible criminal offenses, or for 41
t anf other reason further investigation is considered necessary, the matter l must first be referred to the llCA who will consult with the Office of the ;
inspector General to determine if further investigation is required prior te referring to the debarring official.
(b) Decision-making process. If, after reviewing the recommendations and consulting with the Office of the General Counsel-and, if appropriate, the j Of fice of the Inspector General, the debarring official determines debarment -
is justified, the debarring official shall initiate the proposed debarment M :
accordance with FAR 9.406-3(c) and notify the llCA of the action taken. if the contractor falls to submit a timely written response within 30 days after receipt of the notice, the debarring official may notify the contractor in -
accordance with FAR 9.406-3(d) that the contractor is debarred.
(c) fact-finding proceedings, for actions listed under FAR 9.406-3(b)(2), the contractor shall be given the opportunity to appear at an informal hearing. The hearing should be held at a location and time that is ;
convenient to the parties concerned, and no later than 30 days after the contractor received the notice, if at all possible. The contractor and any specifically-named affiliates may be represented by counsel on any. duly authnrized representative. Witnesses may be called by either party. The proceedings must'bo conducted expeditiously and in such a manner that each
-party will have an opportunity.to present all-information considered portinent to the' proposed debarment._ __
i 62009.407 Suspension. ;
t 62009.407-3 Procedures, i 42
(a) Investigation and referral. tohen a contracting officer becomes ,
aware of possible irregularities or any information which may be sufficient ,
cause for susp:nsion, the case must be referred through the llCA to the Procurement Executive immediately. The case must be accompanied by a complete statement of the facts along with a recommendation for action. Where the statement of facts indicates the irregularities to be possible criminal 1
offenses, or for any other reason further investigation is considered necessary, the matter must first be referred to the liCA who will consult with the Office of *e Inspector General to determine if further investigation is l required prior to referring the matter to the suspending official.
(b) Decision-making process. If, after reviewing the recommendations and consulting with the Office of the General Counsel, and if appropriate, the Office of the Inspector General, the suspending official determines suspension is justified, the suspending official shall initiate the proposed suspension - t in accordance with FAR 9.407-3(b)(2). The contractor shall be given the opportunity to appear at an informal hearing, similar in nature to the hearing 1 for debarments as discussed in FAR 9.406-3(b)(2). lIf the contractor fails to submit a timely written response within 30 days after receipt of the notice,-
the suspending official may notify the contractor in accordance with 9.407-3(d) that the contractor is suspended.
$2009.470 Appeals.
A debarred or suspended contractor may appeal'the' debarring / suspending official _'s decision by mailing or otherwise furnishing a written notice within-90 days from the date of the decision:to the Executive Director for
~
43
, _ m-. . . -,, ,~ ,.._ J 2 _ ;_ _ .u._ --__m__.-,_..._._.._.__ -.-_.m . _ . . ~ . -
Operations. A copy of the notice of appeal must be furnished to the
' debarring / suspending official from whose decision the appeal is taken.
Subpart 2009.5 Organizational Conflicts of Interest
$2009.500 Scope of subpart.
In accordance with 42 U.S.C. 2210a., NRC acquisitions _are processed in accordance with 62009.570, which takes precedence over FAR 9.5 with respect to organizational conflicts of interest. Where non-conflicting guidance 1 appears in FAR 9.5, that guidance must be followed. [
t 92009.570 NRC organizational conflicts of interest.
-i 52009.570-1 Scope of policy. ,
(a) It is the-policy of NRC to avoid, eliminate, or neutralize l 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 persons (including those regulated by the 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 au.anatically or routinely _ The application of sound. Judgment on virtually 'a case-by-case-. basis is necessary if the policy.is to be applied to satisfy the overall public interett. It is not possible to prescribe-in advance a specific method or set of criteria which would serve.to identify and resolve; 44-
e all of tbc contractor conflict of-interest situations which might trise.
Ilowever, examples are provided in these regulations to guide application of
- this policy guidance. The ultimate test is as follows: Hight the contractor, i
if awarded the contract, be placed in a position where its judgment may be biased, or where it may hr.ve an unfair competitive advantage 7 I (c) The conflict of interest rule contained'in this subpart applies to l
contractors and offerors only. Individuals or firms who have other !
relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of
?
consulting services through the personnel appointment process, NRC agreements with other government agencies, international organizations, or state, local, or foreign governments. Separate procedures for avoiding conflicts of interest will be employed in these agreements, as appropriate. <
r
$2009.570-2 Definitions.
1 As used in 12009.570:
Affilialei means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both.
Contract means any contractual agreement or other arrangement with'the NRC except as provided in 62009.570-1(c).
45
..._m ._ ,_. -, . _ _ _ . _ _ .. . . _ . _ _ _ . _ _ . _ _ . . .
i
- i Contractor means any person, firm, unincorporated association, joint- l venture, co-sponsor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or l tubcontractors, which are a party to a contract with the NRC.
Evaluation activities means any effort involving the appraisal _ of a technology, process, product, or policy.
[digrar or plospective contractor means any person, firm, unincorporated:
association, joint venture, co-sponsor, partnership, corporation, or their affiliates or successors in interest, including their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, !,olicited or unsolicited, to the NRC to obtain a. contract.
Oroanizational conflicts of interest means that a relationship exists- j whereby a contractor or prospective contractor has present or planned !
interests related to-.the work to be performed under an NRC contract which:
(1) May diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwiso result in a biased work-product;.or P
(2)l May resul_t_in_its being given an unfair competitive t uantage..- I potential conflict of interettJmeans that a factual situation exists,
.l that. suggests " at an actual conflict of interest may arise from award of a proposed contract. The term notential conflict of interest is used to signify ,
those: situations that--
-46. l
_ _ . . . . _. _ c u._ _ _ _ .:1_ n_ _ _-,
(1) Merit investigation before contract award to ascertain whether award would give rise to an actual conflict; or (2) Must be reported to the contracting officer for investigation if they arise during contract performance.
Ennnh means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
Subcontractor means any subcontractor of any tier who performs work ,
under a contract with the NRC except subcontracts for supplies and .
subcontracts in amounts not exceeding the small purchase threshold.
Technical consultina and manaaement sunnort services means internal .
assistance to a component of the NRC in the formulatioa or administration of ;
its programs, projects, or policies which normally require that the contractor be given access to proprietary information or to information that has not been made available to the public. These services typically include assistanco in
- the preparation of program plans, . preliminary designs, specifications, or .
i statements of work. ,
- (
62009.570-3 Criteria for recognizing contractor organizational conflicts of interest.
(3)- - General
.(1) Two-questions will be asked in-determining whether actual or potential organizational conflicts of interest'oxist:
47 i f
- 4r - w -
v*---, 4.-w 4+y -,-.,ie +- e -w -e , - wr ww a -w i -, m - e r ---r s- - * -W----*--+-ne-*-rwe---re--eT---'+-- c + -v--r y- - w
l 4
-N}. Are there conflicting roles which might bias an offeror's or l contractvr's judgment in relation to its work for the NRC7 (11) May the offeror or contractor be given an unfair competitive advantage i,.ased on the performance of tne contract?
s (2) HRC's dtimate 6tertaination that organizational conflicts of l interest exist will b6 mad ia light of common sensti and good business 1
judgment based upon the relevant factt. While it is difficult to identify and to prescribe in advance a specific method _ for avoiding all of the various ,
situations or relationships that might involve potential organizational-conflicts of interest, NRC personnel will pay particular attention to proposed l contractual requirements that call for the rendering.of advice, consultation or evalus. tion activities, or similar activities that directly lay the f
groundwork for the NRC's decisions on regulatory activities, future
- procurements, and research programs, Any work performed at an applicant or ;
licensee site will also be closely scrutinized by the NRC staff.
(b) Situations or relationships. The following situations-or ;
relationships may give rise to organizational conflicts of interest: .;
'(1) The offeror or contractor shall disclose information,-that may give rise to organizational conflicts of interest under the following f circumstances. The information may include the scope of. work or specification ,
for the requirement, being _ perform . the' period of performance, and the name and. telephone number for a point of-contact at the organization knowledgeable about the commercial contract, 1
48 ,1
(1) Where the offeror or contractor provides advice and recommendation to the NRC in the same technical area where it is also providing consulting assistance to any organization regulated by tha NRC.
(ii) Where the offeror or contractor provides advice to the NRC on the same o similar matter on which it is also providing assistance to any organizati:,a regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity.
(iv) Where the award of a contract would 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 would result in an unfair competitive advantage for the offeror or contractor.
(v) Where the offeror or contractor solicits or performs work at an-applicant or licensee site while performing work in the same- technical- area for the NRC at the same site.
(2) The contracting officer may request spccific information4from an-offeror or contractor or may require special contract clauses such as provided in 62009.570-5(b) in the following circumstance's:-
(1) Where the offeror.or contractor prepares specifications.that are-to--be used in competitive procurements of products-or-services covered by the specifications.
49
i (ii) there -the offeror or contractor prepares plans for specific i approaches or methodologies that are to be incorporated into competitive -
procurements using the approaches or methodologies. l (iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs that ,
could form the basis for a later procurement action. -;
i (iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
(v) Where the award of a contract might result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in I relation to its work for the NRC or might result in an unfair competitive advantage for the offeror or contractor.
(c) Policy application nuidance. The following examples are i llustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1)(i)- fJULmph. The ABC Corp., in response to a Request'for .
Proposal (RfP), proposes to' undertake certain analyses of a ~ reactor component -
- considered to be technically well qualified. in response to the inquiry in the'RFP,:the ABC Corp. advises that it is currently performing similar analyses for the reactor manufacturer.- .
i-(ii) l Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp becauss the company would be placed in a-50 1
Y j ' - '- - .
e- gr- e n e g
, 9 r4- - , y=
-*W-- - -
' position in which its judgment could be biased in relationship to its work for .;
. i the NRC. Because there are other well-qualified companies available, there I would be no reason for considering a waiver of the policy.
e i (2)(i) fJLample. The ABC Corp., in response to an RFP, proposes to perform certain analyses of a reactor component that is unique to one type of advanced reactor. As is the case with other technically qualified companies
-responding to the RFP, the ABC Corp. is performing various pr_ojects 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.
(11) Guidance. An NRC contract normally could be awarded to the [
ABC Corp. because no conflict of interest exists which could motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work with the private sector that could create a conflict during the performance of the NRC contract. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in j
the example.
(3)(1) Example. The ABC Corp., in response to a competitive RFP, submits a proposal to assist the NRC in revising NRC's guidance documents _on q the respiratory protection' requirements of 10 CFR Part_-20. ABC Corp. is the only firm determined to be technically acceptable. ABC Corp, has performed substantial. work for regulated utilities in the past and is expected to continue similar efforts in the future, The work has and will cover the writing,-implementation, and-administration of compliance respiratory protection programs for nuclear power plants.
51
- . - . . . . ~ . - - - , . . - , . - . - .. . - , . - .= . _ .. - - - -~- .-
(ii) Guidaneg. This situation would place the firm in a role where its judgment could be biased in relationship to its work for the NRC. Because the nature of the required work is vitally important-in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in accordance with 92009.570-9 may be warranted. Any waiver must be fully documented in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4)(1) E x amo_1_e . The ABC Corp. submits a proposal for a new system to evaluate a specific reactor component's performance for the purpose of '
developing standards that are important to the NRC program. The ABC Corp. has advised the NRC that it intends to sell the now system to industry once its practicability has been demonstrated. Other companies in this business are us ng older systems for evaluation of the specific reactor component.
(ii) Guidance. A contract could be awarded to the ABC Corp..if the contract stipulates that no information produced under-the contract will be used in the contractor's private activities unless this information has been reported to the NRC. Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC;to others to preclude an unfair competitive advantage, When the NRC furnishes information about the reactor. component to the contractor for the performance of contracted work, the-information may not be used.in the contractor's private-activities unless the information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information, 52
._ . _ = -. __.
,r .- , .-,--y y , c. ,we ,,--%,.,,,-v--, y ,
w- =w ie - wr- . c c c - w ,- - - rar- -w - - -as - - w- - - - -r
developed-about the performance of the reactor component under the contract, is proposed to be used.
(5)(1) Example. The ABC Corp., in response to a RFP, proposes to assemble a map chowing certain seismological features of the Appalachian fold belt, in accordance with the representation in the RFP and 62009.570-3(b)(1)(i), ABC Corp. informs the f4RC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC study.
l 1
(11) Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where:
its judgment might be biased. Section 2052.209-73(c) Work for Others, would preclude ABC Corp. from accepting work which could create a conflict of interest during the term of the HRC contract.
(6)(i) Example. AD Division of ABC Corp., in response to a RFP,.
submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for the construction, operation, and decommissioning of fuel cycle facilities, ABC Corp. is divided into two separate and distinct divisions. AD and BC. The BC Division performs the same or similar services
-for industry. The BC Division is currently providing the same or similar-services required under the NRC's contract for an applicant or licensee.
(ii) Guidance.-An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be placed in a position to pass judgment on work performed by the BC Division, which could bias its work f o r ' NRC ,= Further, the Conflict of Interest provisions apply to ABC. Corp. and not to separate or distinct divisions within the' company, if no reasonable 53
' alt 6rnative exists, a waiver of the policy could be sought in accordance with 12009.570-9.
7(1) [Xatilig The ABC Corp. completes an analysis for NRC of steam ,
generator tube leaks at one of a utility's six sites. ;
Three months later, ABC Corp is asked by this utility to i perform the sarne analysis at another of its sites.
(11) GUIDA!!G.E 2052.290-73(c)(3) would prohibit the contractor from beginning this work for the utility until one year after completion of the NRC work at the first site.
8(1) EXAMPLE ABC Corp. is assisting NRC in a major on-site analysis of a ;
utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated value of $5 million. Near the completion of.the NRC work, ABC Corp. requests authority-to solicit for a $100K contract with the same utility to transport spent fuel to a disposal site. ABC Corp. is performing no other work'for the utility.
The Contracting Officer, would. allow the contractor to (ii) Gl!JpMCI proceed with the solicitation because 1) it is not in the same technical: area as the NRC work and 2) the votential. for ,
technical-bias by the-contractor because of financial ties to the utility is slight due to the relative' value of the two contracts.
54
=
I 9(i) EME The ABC Corp. is constructing a turbine building and installing new turbines at a reactor site. The contract with the utility is for five years and has a total value of
$100 million. ABC Corp. has responded to an NRC Request for proposal requiring the contractor to participate in a major team inspection unrelated to the turbine work at the same site. The estimated value of the contract is $75K.
(ii) GUIDANCE An NRC contract would not normally be awarded to ABC Corp.
since these factors create the potential for financial loyalty to the utility that may bias the technical judgement of the contractor.
(d) Other considerations.
(1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a determination of the existence of conflicts
- prior to the award of a contract.
(2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
62009.570-4 Representatio7.
(a) The following procedures are designed to assist the NRC contracting officer in determining whether situations'or relationships exist 55
-r--- - -*y v g. -,-- p , y p- i+-
i which may cons (itute organizational conflicts of interest with respect to a l particular offeror or contractor. The procedures apply to small purchases meeting the criteria stated in the following paragraph (b) of this section, i (b) The organizational conflict of interest representation provision !
l at 62052.209-72 must be included in solicitations and unsolicited proposals, (including those for task orders and modifications for new work) for:
t (1) Evaluation services or activities; (2) Technical consulting and management support services; 5
(3) Research; and 1 (4) Other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in the resulting contract. This representation requirement also '
applies to all modifications for additional effort under the. contract except those issued under the " Changes" clause. Where, however, a statement of the type required by the organizational conflicts of' interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.
(c) - The' offeror may, because of actual or potential organizationali conflicts of interest, propose to exclude- specific kinds of work contained in a RFP unless the Rfp specifically prohibits the exclusion. Any such proposed exclusion by.an offeror will be considered by the NRC in the. evaluation of proposals, if the NRC considers the proposed excluded work to be an essential 56-
-*grmvweg- c -ge-W-
- 8+t-
or* integral part of the required work and_its exclusion would be to the detriment of the competitive posture of the other offerors, the NRC shall reject the proposal as unacceptable.
(d) The offeror's failure to execute the representation required by paragraph (b) of this section with respect to an invitation for bids is considered to be a minor informality. The offeror will be permitted to correct the omission.
12009.570-5 Contract clauses.
(a) General contract clause. All contracts and small purchases of the types set forth in 12009.570-4(b) must include the clause entitled,
" Contractor Organizational Conflicts of Interest," set forth in 12052.209-73.
(b) Other special cnntract clauses. If it is determined from the nature of the proposed contract that an organizational conflict of interest exists, the contracting officer may determine that the conflict can be _
avoided, or, after obtaining a waiver in accordance with 62009.570-9, neutralized through the use of an appropriate special contract clause. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any restriction. These clauses include but are not limited to:
(1) Hardware exclusion clauses which prohibit the acceptance of production contracts following a related non-production contract previously performed by the contractor; (2) Software exclusion clauses; 57
~ .. . -. - .
[
(3): Clauses which require the contractor (and certain of its key.
personnel) 'to avoid certain organizational' conflicts of interest; and (4) Clauses-which provide for protection'of confidential data and guard against its unauthorized use.
52009.570-6 Evaluation, findings, and contract award.
The contracting officer shall evaluate all relevant facts submitted by an offeror and other relevant information. After evaluating this information P
against the criteria of 92009.570-3, the contracting officer shall; make a-finding of whether organizational conflicts of interest exist with respect to a particular offeror. If it has been determined that real or potential conflicts of interest exist, the contracting officer shall:
(a) Disqualify the offeror from award; (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of_ 92009.570-9.
52009.570-7 . Conflicts -identified af ter award.
.If potential organizational conflicts of interest are identified after-award with respect to a.particular contractor, and the contracting . officer determines that conflicts do exist and that it would not be in the best-
. interest of the government to terminate the contract, as-provided in;the
~
clauses required-by- 62009.570-5,' the contracting officer shall take every reasonable action to avoid, eliminate, or, after obtaining a waiver in 58
accordance with 62009.570-9, neutralize the effec'ts of _ the identified 4
conflict.
92009.570-8 Subcontracts.
The contracting officer shall require offerors and contractors to submit.
i representation _ statement from all subcontractors (other than a supply-subcontractor) and consultants performing services in excess'of $10,000 in accordance with s2009.570-4(b). The contracting officer shall require the contractor to include contract clauses in accordance with 62009,570-5 in consultant agreements or subcontracts involving performance of work under a prime contract.
52009.570-9 Waiver.
(a) The contracting officer determines the need to seek a waiver for specific contract awards, with_ the advice and concurrence of;the -program office director and legal counsel. Upon the recommendation of the Procurement Executive, and after consultation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he' determines that=it-is in the best interest of the United States to do so.
(b) Waiver actionLis strictly limited t'o 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 whose interests give rise to a question of conflict of interest.
59
(3)_ Contractual and/or technical review and' surveillance methods can l
be employed by the NRC to neutralize the conflict.
(c) For any waivers, the justification and approval documents must be placed in the NRC Public Document Room, 2120 L Street, NW. (Lower Level),
Washington, DC.
12009.570-10 Remedies.
In addition to other remedies permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided-for this section, the NRC may debar the contractor from subsequent NRC-contracts.
PART 2010 - SPECIFICATIONS, STANDARDS, AND OTHER PURCHASE DESCRIPTIONS F
e S.e.L 2010.004 - Brand name products or equal. ,
2010.011 - Solicitation provisions and contract clauses.
AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); -a Sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841; 41 U.S.C._418(b).
12010.004 - Brand name products or equal.
(a) - Acquisitions will generally not be based on a specifically-identified product or -feature (s) thereof. However, under unusual-circumstances this type of approach may be used as described below.
l 60-l l<
o Brand name or equal purchase descriptions must cite all . brand. name
_(b) products known to be acceptable and of current manufacture. If!the use of a-brand name or: equal purchase description results in the purchase of en acceptable brand name product which was _ not listed- as an'" equal" product, a reference to that brand name product should be included in the purchase description for later acquisitions. If a brand name product is no longer applicable, the reference to that brand name must be deleted from any_
subsequent purchase description.
(1) It is imperative that brand name or equal purchase descriptions specify each physical or functional characteristic of the product that is essential to the intended use. Failure to do so may result in-a defective solicitation and the necessity to resolicit the requirement. Care must be taken to avoid specifying characteristics that cannot~be shown to materially.
affect the intended end use and which unnecessarily restrict competition.
(2) When describing essantial characteristics, permissible tolerances-should be indicated. A characteristic (e.g., a specific dimension) of a brand
~
name product may not be specified unless it is essential to the Government's need. The contracting officer shall be able to justify .the requirement.
(c) The clause found at 62052.210-70 must be' inserted in all solicitations citing a brand name or equal, ex. cept when samples are requested.
(d) An offer may not be rejected for failure of the offered product'to equal a characteristic of a brand name product- if it was not specified in;the brand name or equal description. However, if it'is clearly established that-the unspecified characteristic is essential to the intended end use, the-61
n t-solicitation is defective and no award-may-be made, in these cases,-the contracting officer should"resolicit the requirements, using a purchase description that sets forth the essential characteristics. ,
(e) In small purchases within the open market limitations, brand name policies and procedures-are applicable to the extent' practicable.
52010.011 - Solicitation provisions and contract-clauses.
The contracting officer shall insert the clause at1920S2.210-71, Drawings, Designs, Specifications, and Data, in all contracts in which drawings, designs, specifications, or other data will be developed and the NRC must retain full rights to them-(except for the contractor's right to retain--a -
copy-for its own use). When any of the clauses prescribed at FAR~27.409, Solicitation Provisions and Contract Clauses, are included in the solicitation / contract, this clause will not be used.
PART 2012 - CONTRACT DELIVERY OR PERFORMANCE AUTHORITY: 42 U.S.C. 2201; 42'U.S.C. 5841; and 41_U.S.C. 418(b).
Subpart 2012.104 -- Contract clauses ,
52012.104-70 NRC clauses.
(a) The contracting officer shall insert the clause at 52052.212-70, Preparation of Technical _ Reports, when deliverables include a technical report.
62
-(b)- The contracting officer 'shall insert-the clause Lat 12052.212-71',_
Te$hnical Progress Report, in all solicitations and contracts except--
(1)_ Firm fixed price;_and (2) Indefinite-delivery contracts to be awarded on a time and materials or labor-hour basis, or which provide for issuance _ of-delivery orders for specific products / services (line items).
(c) The contracting officer shall insert the clause at 62052.212-72,.
Financial Status Report, in all solicitations and contracts (except fixed Price) when detailed assessment of costs is warranted and a Contractor Spending Plan is required; use the clause at 62052.212-73 Financial Status Report - Alternate I when no Contractor Spending _ Plan-is required.
(d) The contracting officer may alter these clauses prior to issuance of the solicitation or during _ competition by solicitation amendment.
Reporting requirements should be set at a meaningful and productive frequency.
Insignificant changes may also be made by the contracting officer on _a case-by-case basis during negotiations, without solicitation ~ amendment.
SUBCHAPTER C - CONTRACTING METHODS AND CONTRACT TYPES PART 2013:- SMALL PURCHASE AND OTHER SIMPLIFIED PURCHASE PROCEDURES ~
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Subpart-2013.5 - Purchase Orders 63
-62013,505-2 Agent / order forms in' lieu of _0ptional Forms 347 and' 348..
- ^
NRC Form-103, Purchase Order, is prescribed for use by the _NRC_ in: lieu of Optional Forms 347 and 348.
PART 2014 - SEALED BIDDING Subpart 2014.2 Solicitation of Bids Sec. 2014.201 Preparation of invitation for. bids.
2014.201-670 Sclicitation provisions.
Subpart 2014.4 Opening of Bids and Award of Contract 2014.406 Mistakes in bids. '
2014.406-3 Other mistakes disclosed before award.
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Subpart 2014.2 Solicitation of Bids 62014.201 Preparation of_ invitation for bids.
52014.201-670' Solicitation provisions.
(a) _Tne contracting officer shall insert the provision at 52052.214-70, Prebid Conference,Lin Invitations for Bids (IFB) where there will be a 64
4
. prebid conference This provision may be altered by the contracting officer to fit circumstances.
(b) The cognizant contracting-officer shall insert in all invitations-for bids, except as noted, the provisions at:
(1) Section 2052.214-71, Bidder Qualifications and Past Experiences.
(optional, to fit circumstances)
(2) Section 2052.214-72, Bid Evaluation (paragraph f. is optional).
(3) Section 2052.214-73, Timely Receipt of Bids.
(4) Section 2052.214-74, Disposition of Bids.
Subpart 2014.4 Opening of Bids and Award of Contract
$2014.406 Mistakes in bids.
12014.406-3 Other mistakes disclosed before award.
(a). The Director, Division of Contracts and. Property Management, is delegated-the authority to make the-determinations concerning mistakes in
~
bids, including those with obvious clerical errors, discovered prior to award.
These determinations will bs concurred in by legal counsel prior to notification of the bidder.
65
(b) The cognizant contracting officer-is delegated the authority to make determinations concerning mistakes disclosed after award in accordance with FAR 14.406-4.
Part 2015 - CONTRACTING BY NEGOTIATION Subpart 2015.4 - Solicitation and Receipt of Proposals and Quotations Sec. 2015.407-70 Solicitation provisions and contract clauses.
2015.413 Disclosure and use of information before award.
2015.413-2 Alternate II.
Subpart 2015.5 - Unsolicited Proposals 2015.506 Agency procedures.
2015.506-1 Receipt and initial review.
2015.506-2 Evaluation. _
2015.507 Contracting methods.
Subpart 2015.6 - Source Selection 2015.602 Applicability.
2015.604 Responsibilities.
2015.605 Evaluation factors.
2015.607 Disclosure of mistakes before award.
2015.608 Proposal evaluation.
2015.610 Written or oral discussions.
2015.611 Best and final offers.
2015,612 Source Evaluation Panel structure.
66
+ -
2015.670 Contract provisions.
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Subpart 2015.4 - Solicitation and Receipt of Proposals and Quotations s2015.407-70 Solicitation provisions and contract clauses.
(a) The contracting officer shall insert in Requests for Proposals (RFPs) the provisions at:
(1) Section 2052.215-70, Key Personnel; -
(2)(i) Section 2052.215-71, Project Officer Authority (for solicitations for cost reimbursement, cost plus fixed fee, cost plus award fee, cost sharing labor hour or time and materials, including task order contracts);
(ii) Section 2052.215-72, Project Officer Authority - Alternate 1 (for solicitations for issuance of delivery orders for specific products / services).
(iii) Section 2052.215-72, Project Officer Authority - Alternate 2 with paragraph '(b)(1) deleted and the remainde of the clause renumbered (for solicitations for firm fixed price contracts);
(iv) This provision s2052.215-70 and Alternate 1 are intended for experienced, trained project officers, and may be altered to delete duties where appropriate.
t 67
(3 ) -- ~ Section: 2052.215-73, Timely Receipt of Proposals;
]
-= . -
(4)- Section 2052.215-74, Award Notification and Commitment of Public- =j Funds; and l l
l (5) Section 2052.215-75, Disposition of Proposals.
(b) The contracting officer shall' insert in all' solicitations for -
negotiated procurements for cost type contracts that do not provide for task- ;
orders or delivery orders, the provision at 12052.215-76, Proposal Presentation and Format except that:
(1) For all solicitations for _ negotiated task ordar. contracts, paragraphs (e)(4)(xi) and (xii) must be deleted (and the remainder renumbered), and the paragraph found et $2052.215-77 must be substituted for 1 paragraph (d)(2).
^
(2) For all negotiated procurements for a fixed price, labor hour, or.
time and materials contract, paragraph (d)(2) shall be deleted from the provision 62052.215-76.
The provision must be tailored to assure that all sections, but in particular paragraph (e), Technical and _ Management Proposal, reflect a one-to-one -
relationship to the~ evaluation-criteria.
(c) The contracting officer shall insert the provision at' 52052.215--
78, Preproposal Conference, in RFPs where there will be a preproposal-68 I
conference. -This provision may be ~ altered to fit the circumstances of the'-
" requirement.- - l
-(d) :The contracting officer shall insert the clauses at- $2052.215-79,
' Travel Reimbursement, 62052-215-79, Travel Reimbursement - Alternate I with.
paragraph (a) deleted and the remainder of the clause renumbered (for--
contracts when there is no ceiling amount on domestic travel), and 2052-215-y 80, Travel Approvals, in RFPs where there will be travel.
62015.413 - Disclosure and use of information before award.
52015.413-2 Alternate II.
The procedures discussed at FAR 15.413-2 may be used if approved at a
_ j level above the contracting _ officer.
Subpart 2015.5 - Unsolicited Proposals 92015.506 Agency procedures.
(a) The Division-of Contracts.and Property Management, folicy Branch (PB), is the point of contact for the receipt, acknowl'edgement, and handling-of unsolicited proposals.
(b) Unsolicited proposals in original and two_ copies, and requests Lfor.
additional information regarding their preparation.must be submitted to:
Chief, Policy Branch 69-
Dittision of. Contracts'and Property Management Mail- Stop P-lll8 U.S. Nuclear Regulatory Commission.-
Washington, DC 20555 This will ensure that the proposal is logged into-the unsolicited proposal tracking system.
62015.506-1 Receipt and initial review.
(a) PB shall acknowledge receipt of an unsolicited proposal, complete a preliminary review, assign a docket number, and send copies of the unsolicited proposal to the appropriate program office Director (s) or designee for evaluation.
(b) PB shall be responsible for controlling reproduction and distribution of proposal material by notifying evaluators of their responsibilitics and tracking the number ~of proposals received and forwarded to evaluators.
(c)' An acknowledgment. letter will be sent to the proposer by the PB, providing an estimated date-for a-funding decision or identifying the reasons for non-acceptance off the proposal for review iir accordance with FAR 15.503.
and 15.505.
52015.506-2 Evaluation.
70
~
-Directors of NRC offices shall conduct comprehensive technical evaluations of proposals submitted to thEm' by the PB, in accordance with the criteria' discussed in FAR 15.506-2(a),
h2015.507 Contracting methods.
If a noncompetitive contract is recommended,_ the Director of the recommending NRC office shall submit to the Division of Contracts and Property Management a written evaluation, Request for Procurement Action (RFPA) and Justification for Other Than Full and Open Competition in accordance with FAR 15.507(b)(5).
Subpart 2015.6 - Source Selection 62015.602 Applicability.
This subpart does not apply to contracts awarded to the' Small' Business-Administration under Section 8(a) of the Small Business Act.
12015.604 Responsibilities.
(a) All persons participating in the evaluation process may not discuss or reveal information concerning the evaluations except to- an individual participating in the same evaluation proceeding,-and then only to the extent that-the information is required in connection.with the proceeding.
Divulging information during evaluation, selection, and negotiation phases.of.
the acquisition to offerors or to other persons not having a need to know could , jeopardize the resultant award and' violates the information-disclosure-71
[
~
provisions of FAR 3.104, Procurement Integrity.-These_ provisions carry criminal as well as civil and . administrative penalties, Only the contracting.
officer (or authorized representative within the Division of Contracts and Property Management) may release source selection information to others during-the selection process. The contracting officer (or authorized representative) shall instruct all participants in the evaluations to observe the prohibitions-of the Procurement Integrity Act. A procurement official certification must ,
be signed for each agency employee personally and substantially involved-in preparing or approving the advance procurement plans, statement of work and participating in the source evaluation. process (i.e. serving as a member of-the Source Evaluation Panel (SEP)).
(b) All persons participating in the evaluation process shall~ declare any financial or other relationships which may create conflict.of interest problems with their evaluation dut;es. A form for this purpose must be signed prior to receipt of any proposals or participation in discussion of proposals.
(c) Only the contracting officer (or authorized repre'sentative within the Division of Contracts and Property Management) may conduct discussions with offerors relative to any aspect of the acquisition. The contracting officer may include other personnel in discussions, as-necessary.
52015.605 Evaluation factors.
The evaluation criteria included in the solicitation serve as the
- standard against which all proposals are evaluated, and are the basis.for the'-
development of proposal preparation instructions, 'in accordance with s2015.407-70(b). Indication in the solicitation of the relative-importance ofc 72
' evaluation factors and subfactors-is accomplished by the assignmentLof a numerical weight to each.
For those factors that will not be numerically weighted, only their' relative importance will be stated in the' solicitation.
Examples of factors which may not be numerically weighted are conflict of interest, estimated cost, and business evaluations, and "go/no go" evaluation factors.
62015.607 Disclosure of mistakes before award.
(a) The contracting of ficer shall require that the offeror's clarification (s) provided in accordance with FAR 15.607 be in writing.
(b) A correction of a mistake in a proposal may be made only-after_a written determination to permit it has been made by the contracting officer.
52015.608 Proposal evaluation.
(a) A Source Evaluation Panel (SEP) shall evaluate technical proposals in accordance with the solicitation technical evaluation criteria. The SEP' prepares and signs the Competitive Range Report wi_th_the SEP's-findings and scoring' for each technical proposal- together with -its analysis of cost and other factors and forwards the report for the review and approval of the Designating Official. The contracting officer uses this technical evaluation.
and analysis of costs and other factors in determining the competitive range.
(b) The Designating Official (Office Director or designee) is responsible for appointing the SEP and is-responsible for conducting an'
-independent review and evaluation of the SEP's two primary products after 73
' proposal evaluation: the Competitive Range Report and the final Evaluation-Any_ cancellation'of solicitations-and subsequent rejection of all Report, proposals must be approved- by the Head of the Contracting Activity.
62015.610 Written or oral discussions.
The contracting officer shall point out to each offeror within the competitive range any deficiencies including ambiguities or uncertainties in its proposal. The discussions are intended to assist the SEP in ,
understanding the proposals and their strengths 'and weaknesses based upon the individual efforts of each offeror to ensure that the meaning and emphasis of solicitation provisions have been adequately conveyed to the offerors so that all offerors are competing equally on the basis intended by the Government.
62015.611 Best and final offers.
The SEP evaluates the technical proposal portion of the best 'and: final offers. Technical proposals will be recorded and rescored by the SEP,- as appropriate, and a Final Evalurtion Report of the SEP's findings and scoring:
for_each technical proposal will_be prepared and forwarded to the Designating Official for review and approval prior to submission to the contracting _
officer for final approval. The report will include a summary _-of the technical analysis ~of- costs as a part of the analysis of the technical proposal s . The SEP's individual evaluation worksheets and summary score sheet
~
must accompany the Final Evaluation Report and will' become part of the official file.
52015.612 Source Evaluation Panel structure.
74
-4 (a) For all proposed contracts with total. estimated values:in excess
' of $25,000 and expected to result from competitive technical and price / cost-negotiations,_ the cooperative review efforts of technical, contracting, and
-t
-other administrative personnel are formalized through the establishment of a SEP, (b)(1) The SEP includes:
(i) At least three technical members (one of whom serves as the chairperson) who participate in the scoring of proposals using weighted evaluation criteria and evaluating proposals us' ; other unweighted factors; and (ii) A contract negotiator who ensures that procurement' rules anC regulations are followed, ensures that the integrity of the process is maintained, and negotiates the contract on behalf of the NRC.
(2) Except in unusual cases, the SEP should not exceed five members including the Chairperson, The technical members are usually employees of the NRC program office initiating the request or other NRC employees with expertise in areas related to the solicitation Statement of Work, Appointment of a technical member from other than the office initiating the. request.is encouraged. Employees of other agencies with expertise in a specific area may also serve as SEP technical members not withstanding the fact that they are not employees of: the NRC. Evaluators need not be Federal employees, but the potential for conflict of interest must be carefully considered in.these cases and the solicitation should notify offerors'of the NRC's intent to use non-Federal evaluators. The CO will make a determination whether or not a non-federal evaluator will be.a voting SEP member. For proposed procurements with.
75
1 a total estimated cost of-less than $500,000 over a performance period of three years or less, a-single technical member may be appointed to evaluate proposals with' the contracting officer's approval. Designat M of SEP members is accomplished by memorandum initiated by the director of the program office or the director's designee. This of ficial is referred to as the Designating Official (00).
(c) 1ho SEP chairperson may obtain the services of advisors (e.g.,
legal, financial, etc.) to assist the SEP. Advisors who serve on technical evaluation committees are appointed in writing by the 00. Advisors are not SEP members, and therefore do not score proposals. Advisors need not be Federal employees, but the potential for conflict of interest must be carefully considered in these cases, and the solicitation should notify offerors of the NRC's intent to use non-Federal advisors.
(d) The contracting officer shall establish the competitive range on all acquisitions. This is accomplished by approval of the SEP's written -
recommendation transmi_tted by the D0.
(e) The source selection official is the contracting officer.
Selection is made based on review of the SEP's recommendations as endorsed by the 00, .ogether with all supporting data to ensure that award is in accordance with sound procuremen+ principles and directly related to' the-evaluation criteria as set forth in the solicitation. Any proposed selection not endorsed by the 00 will be concurred in by the Head of the contracting Activity.
52015.670 Contract provisions.
76
(a); The contracting officer shall include' the provision found at s$052.215-81, Contract _ Award and Evaluation of Proposals, in all solicitations, where technical is more important than cost:
(1) The contracting officer shall substitute the paragraph found at 12052.215-82 'for paragraph (b) in all solicitations for negotiated campetitive procurements where cost is more important.than technical merit.
(2) The contracting officer shall substitute the paragraph found at
?
92052.215-83 for paragraph (b) in all solicitations for negotiated competitive procurements where cost and technical merit are of equal
, significance.
(b) The contracting officer may make appropriate changes to the provision to accurately reflect other evaluation procedures, such as evaluation of proposals against mandatory criteria and benchmarking criteria-for ADP procurements.
Part 2016 - TYPES OF CONTRACTS _
Subpart 2016.3 - Cost Reimbursement Contracts Sec. 2016.307-70 Contract provisions -and clauses.
Subpart 2016.5 - Indefinite-Delivery Contracts Sec.
'2016.506-70 Contract provisions and clauses.
77 4
- AUTHORITY: 142 U.S.C. 2201;-42 U.S.C. 5841; and 41 UiS.C. 418(b)'.
p Subpart 2016.3 - Cost Reimbursement Contracts 62016.307-70 Contract provisions and clauses.
(a) The contracting-officer shall insert the clause at 12052.216-70, Level of Effort, in solicitations for negotiated procurements containing labor costs other than maintenance services, to be awarded.on a cost reimbursement, cost sharing, cost-plus-award fee, cost-plus-fixed fee, time and materials, or labor hour basis.
(b) The contrac' ting officer shall insert'the following provisions and clauses in all cost reimbursement contracts:
(1) Section 2052.216-71, Indirect Cost Rates (where provisional rates without ceilings apply).
(2)- Section 2052.216-72, Indirect Cost Rates - Alternate 1- (where predetermined rates apply).
(3). Section12052.216-73, Indirect Cost Rates - Alternate-2 (where-provisional rates with . ceilings' apply).
(c) The contracting officer may make appropriate changes to these '
clauses to reflect different arrangements .
Subpart 2016.5 - Indefinite-Delivery Contracts.
78.
~
^
SILL i .-
2016.506-70 Contract-provisions and c1auses.
The contracting officer shall insert the following provisions in all-solicitations and contracts that contain task ~ order procedures:
(a) Section 2052.216-74, Task Order Procedures; (b) Section 2052.216-75, Accelerated Task Order-Procedures ~.
SUBCHAPTER D - SOCI0 ECONOMIC PRJGRAMS ,
Part 2107 - SPECIAL CONTRACTING METHODS AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 481(b).
Subpart 2017.2 - Options 52017.204 - Coatracts (a) The contracting officer may approve extensions to five year contracts for up to_ a total of an additional six months,_ for_ the purpose of completing the competitive process for a-follow on contract,-provided that;the?
competitive requirement was received in- DCPM not less than six months before the end of the fifth year.
(b) The Head of the Contracting Activity- may approve extensions for up .
to a total of one year.
79 4
m ,
c - . -
Part 2019 - SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS CONCERNS Subpart 2019.7 - Subcontracting with small business and small disadvantaged business concerns.
lE 2019.705 Responsibilities of the contracting officer under the subcontracting assistance program.
2019,705-4 Reviewing the subcontracting plan.
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Subpart 2019.7 Subcontracting with Small Business and Small Disadvantaged Business Concerns 92019-705 Responsibilities of the contracting officer under'the subcontracting assistance program.
52019.705-4 Reviewing the subcontracting plan.
(a) During the source selection process, subcontracting plans may-be requested from all concerns _ required'to submit them and determined to be in the competitive range, for negotiation with the apparent successful offeror.
(b) The contracting officer may accept the terms of an overall or
" master" company subcontracting plan-incorporated by reference into a specific-subcontracting plan submitted by the apparent successful offeror /bi_d for.a specific contract, if:
80
'(1); 1The. master plan contains all of the elements required.by FAR_
' ' '- '19.704;
~
(2) Subcontracting goals for-small and 'small disadvantaged business concerns.are specifically set forth in each contract or modification ove'r the statutory threshold;
.(3) Any changes to the plan deemed necessary~and~ required by-the contracting officer in areas other than goals are specifically set forth in the contract or modification; and '
(4) The contracting officer has copies of-the entire plan.
Part 2020. LABOR SURPLUS AREA-CONCERNS Subpart 2020.1 General.
Sec. 12020.102 - General policy.
- AUTliORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and-41 U.S.C. 418(b).
Subpart-2020.1 - General.
Sub'part:2020.102 General Policy Acquisitions that are in excess of $25,000 must be' reviewed for potential labor surplus. area. set-aside consideration in accordance with FAR_
81
20.104 using publications and other information identifying labor surplus areas obtained from:
U.S. Department of Labor Employment and Training Administration U.S. Empioyment-Service Office of Labor Market Information '
200 Coastitution Ave., NW., Room-N4456 Washington, DC 20510 :
Telephone Number: (202) 535-0157 Part 2022 - APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS Subpart 2022.1 Basic Labor Policies.
11 2022.101-1 General 2022.103-4 Approvals.-
Subpart 2022.9 Nondiscrimination because of Age
-2022.901-70 Contract provisions.
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C, 4186- (b)
Subpart 2022.1 Basic Labor Policies.
62022.101-1 General.
The Head-.of _ Contracting Activity shall designate programs or requirements for which -it is necessary that contractors be required to notify.
the: Government of. actual or potential labor disputes.that are-delaying -or
-threaten to delay the timely contract performance.
-82
Y t
. 52022.103-4: Approvals .
- The agency approving official for contractor overtime shall be the contracting officer.
Subpart 2022.9 - Nondiscrimination Because of Age.
52022.901-70 Contract provisions. ,
The contracting officer shall insert the provision found-at 12052.222-70, Nondiscrimination Because of Age, in all solicitations.
Part 2024 - PROTECTION OF PRIVACY AND FREEDOM 0F INFORMATION Subpart 2024.1 Protection of Individual Privacy i Sec. 2024.103 Procedures.
- Subpart 2024.2 - Freedom of Information Act 2024.202 Policy.
AUTHORITY: 42 U.S.C. 2201; 42 U.S'C. 5841; and 41 U.S.C. 418(b).
- Subpart 2024.l'- Protection of Individual Privacy:
l 62024.103 Procedures. :
83
c~ _
-The provisions at 10 CFR Part 9, Subpart B, Privacy Act Regulations, are-applicable to the maintenance or disclosure of information for-a system of records on individuals.
Subpart 2024.2 - Freedom of Information Act
$2024.202 Policy.
The provisions at 10 CFR Part 9, Subpart A, Freedom of Information Act_
Regulations, are applicable to the availability of NRC records to the public.-
Part 2025 - FOREIGN ACQUISITION
-Subpart-2025.1 - Buy American Act - Supplies Sec. 2025.102 Policy.
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41'U.S.C. 418(b).
Subpart 2025.1 - Buy American Act - Supplies-12025.102 Policy.
Contracting. officers may make the determination required by FAR 25.102(a)(4),: provided the determination is factually supported in writing.
- 84
for contracts exceeding $1 million, the llead of the Contracting Activity shall approve the determination.
SUBCilAPTER E - GENERAL CONTRAtllNG REQUIREMEllIS Part 2027 - PAifNTS, DATA, AflD COPYRIGilTS Subpart 2027.3 - Patent Rights Under Gnvernment Contracts.
Em 2027.305 Administration of patent rights clauses.
2027.305-3 follow-up by Government.
2 AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.:' C. 418(b).
Subpart 2027.3 - Patent Rights Under Government Contracts.
Administration of patent rights clauses.
~
62027.305 The contracting officer shall ensure that each contractor report is in writing on whether any patent rights are being claimed, before final payment and closcout of the contract.
12027.305-3 Follow-up by Government.
(a) The contracting officer shall, as a part of the closecut of a contract, require each contractor to report on any patents, copyrights, or 85 medM
royalties attained using-any portion of the-contract' funds. The contractor l shall, if no activity is to be reported, certify that in connection with the performance of the contract:
(1) No inventions or discoveries were made, P
(2) No copyrigh" were secured, produced, or composed, (3) No notices or claims of patent or copyright infringement havo been received by the contractor or its subcontractors, and
{
(4) No royalty payments were directly involved in the contract or -
reflected in the contract price to the Government, nor were any royalties or other payments paid or owed directly to others.
(b) The contracting officer may waive any of the requirements paragraphs (a) (1)-(4) of this section, after documenting the file to indicato the -
(1) Impracticality of obtaining the document (s); and. ,
(2) Steps taken to attempt to obtain them, j (c) The contracting officer shall notify agency legal counsel responsible for patents whenever a contractor reports any patent, copyright, or royalty activity, and shall document 'the official file with the resolution to protect the Government's rights prior to making any final payment 1and
- closing out the contract.
86
~ _
4 - 4 - . - , .,,r ,.,c -- . . - ,w4,,rwm+ < ,+- - - + ,- +v...-~-+ ..+w., ., -w+ ----.r- - ~ ~ - - , - -,- -w, ~ r m-
Part 2030 - COST ACCOUf411f4G STANDARDS Subpart 2030.2 CAS Program Requirements EL 2030.201-5 Waiver AUlil0RITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Etti 2030.201-5 Waiver Subpart 2030.2 - CAS Program Requirements in accordance with the FAR 30.201-5(c), the llead of the Contracting Activity may waive CAS requirements.
Part 2031 - CONTRACT COST PRINCIPLES AND PROCEDURES Subpart 2031.1 - Applicability
~
SEC1 2031.109-/0 Contract classes.
AUTil0RITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Subpart 2031.1 - Applicability 62031.109-70 Contract clauses.
The contracting officer shall insert the clause at 62052.231-70, Precontract Costs, in all cost type contracts when costs in connection with work under the contract will be incurred by the contractor before the 87
effective dato Lof the contract. Approval for use of_ this clause must be i obtained at one level above the contracting officer. !
Part 2032 - CONTRACT FINANCING Subpart 2032.4 - Advance Payments . l Ssc.
2032.402 General. q l
1 AUTHORITY: 42 U.S.C. 220); 42 U.S.C. 5841; and 41 U.S.C. 418(b).
i Subpart 2032.4 - Advance Payments
$2032.402 General.
.(a) The contracting officer shall have the responsibil:ty and authority for. making findings and' determinations, and fo'r ~approvalL of contract terms concerning advance payments.
(b) Before authorizing any advance payment agreements except for subscriptions to publications, the approving _ official shall coordinate with the Office of the Controller, Division of Accounting and Finance, to ensure completeness of contractor submitted documentation.._
Part 2033 -. PROTESTS,' DISPUTES ~,.AND APPEALS i Subpart 2033.1 - Protests 88 l:
135 ;
i 2033.103 Protests to the agency, i t
2033.203 Applicability.
I 2033.211 Contracting officer's decision, t
2033.214 Contract clause.
i AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C.- 418(b).- -
t Subpart 2033.1 Protests !
62033.103 Protests to the agency. i i
i The agency may not process, or shall cease processing, agency level' protests that are protested outside the agency unless and until such time that a proper determination is made authorizing the agency to proceed under~ .
th9 applicable protest procedures. 1 i
92033.203 Applicability.
1
- Pursuant to-an interagency agreement-between the NRC'and the Department of Energy Board _ of Contract Appeals (EBCA), the EBCA will hear appeals 1from1 final decisions =of NRC-contracting officers issued pursuant'to_the. Contract ( :
- Disputes Act.- The EBCA rules appear in 10 CFR Part 1023.:
e
,, - 62033.211: Contracting officer's decision.
89- ,
.r-.,-,,-,
,- w w .ve,+.r,-w...--~~-.. --,,,,y.---,w.#,-p .ry,, ,.,--.. v.w.,-,. ,,ww.- - , . , , , . . . .... , _ - - ..w.
Contra: ting officers shall alter the paragraph at FAR 33.211(a)(4)(iv)-
to identify the Energy Board of Contract Appeals and include its address:
Webb Building, Room 1006, 4040 N. Fairfax Drive, Arlington, Virginia 22203,-
when preparing a written decision.
52033.214 Contract clause.
The contracting officer shall use the clause at FAR 52.233-1 Disputes, with its Alternate I where continued performance is vital-to-National _
Security, the public health and safety, critical and major agency programs.;or other essential supplies or services whose timely reprocurement from other sources would be impractical.
SUBCHAPTER F - SPECIAL CATEGORIES OF CONTRACTING Part 2035 - RESEARCH AND DEVELOPMENT CONTRACTING EL 2035.70 Contract clauses.
2035.71 ' Broad agency announcements.
-AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
62035.70 Contract clauses.
90 f - --- - - - - - - - - - - - - - = - " - - - - - - - - -- - - - -
_ _ __ .~. _ _ . _ _ _ _ _ _ _ . . . _ _ _ _ _ _ _ _ _ _ _ _ _ . _. _ _ _ _ _.._ _ _ .. _ _ _ . _
(a) The contracting officer shall insert the follocing clauses in all !
RFPs for Research and-Development or in Requests for Proposals (RFPs) for other technical services'as appropriate:
(b) Section 2052.235-70, Publication of Research Results, except that ;
in the case of universities, the contracting officer shall substitute the -
paragraph found at 52052.235-71 for paragraph c.
i (c) Section 2052.235-72 Safety, Health and Fire Protection. =
$2035.71 Broad agency announcements. ,
(a) Criteria for selecting contractors will include such factors as: ;
(1) Unique and innovative methods, approaches, or concepts demonstrated by the proposal.
(2) Overall scientific, technical, or economic merits of the proposal.
(3) The offeror's capabilities, related experience, facilities, techniques, or unique combinations of these which are integral factors-for achieving the proposal objectives.
(4) - The qualifications, capabilities, and experience of the-proposed
' principal investigator, team leader, or key personnel who-are critical in. -
achieving the proposal objectives.
(5) Potential contribution of the effort to NRC's mission. >
91 ew% $w pe- w.^.-ew -+- +--e-.%m,-y.en.-+,a w -y. -,-,,wi,y,3,.wtwrw --ree---r-e.eeers,s*,-y -a w + g g- ey w ew-se e p w -t- *- ee w -'-wrt-- w. y vr-$Pwaye +- --twwm=--v atC= y7w - 3armey r-- r v -evteg
(6) Overall standing among similar proposals available for evaluation and/or evaluation against the known state-of-the-art technology.
I (b) Once a proposal is received, communication between the agency's scientific or engineering personnel and the principal investigator is permitted for clarification purposes only and must be coordinated through the Division of Contracts and Property Management.
(c) Af ter evaluation of the proposals, the Designating Official shall submit a comprehensive evaluation report to the contracting officer which recommends the source (s) for contract award. The report must reflect the basis for the selection or nonsolection of each proposal received.
Part 2039 - ACQUISITION OF INFORMATION RESOURCES 52%.
2039.001 Policy.
2039.002 Delegations of procurement authority.
AUTHORITY: 42 U.S.C 2201; 42 U.S.C. 5841; AND 41 U.S.C. 418(b).
52039.001 Policy.
In accordance with the Federal Information Resources Management Regulation (41 CFR Ch. 201), and appropriate NRC Management Directives, the Office of Information Resources Management will be responsible for development and/or approval of requirements analysis including information needs, justification for specific make and model, analysis of alternatives, and 92
P Delegations of Procurement Authority for information resources management pr$curements in. excess of $25,000 (atitomated cata processing, telecommunications, and records), when required. These documents must be submitted to the Division of Contracts and Property Management with the Request for Procurement Action (RFPA) for which these documents are required. .
12039.002 Delegations of procurement authority. ,
i The NRC official authorized to sign Agency Procurement ~ Requests and Agency Telecommunications Requests for Delegations of Procurement Authority:is the Deputy Executive Director for Nuclear Materials Safety, Safeguards and Operations Support or designee.
SUBCHAPTER G - CONTRACT MANAGEMENT ,
Part 2042 - CONTRACT ADMINISTRATION <
Subpart 2042.8 - Disallowance of Costs LO.
2042.803 Disallowing costs after incurrence.
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 418(b).
N Subpart 2042.8 - Disallowance of: Costs' s
L62042,803 ' Disallowing' costs after incurrence.
l l
93
. - - a-. - . . . - . . . . . - . - - - - - - . - - . , . - . - , , , . . . . . , - , ,
(a) Vouchers and invoices submitted to NRC must be submitted to the coktractingofficerordesigneeforreviewandapprovalforpayment. If the examination of a voucher or invoice raises a question regarding the allowability of a cost submitted, the contracting officer or designee shall:
(1) Hold informal discussions with the contractor as appropriate.
(2) If the discussions do not resolve the matter, the contracting officer shall issue a notice advising the contractor of costs disallowed.
The notice must advise the contractor that it may:
(i) If in disagreement with the disallowance, submit a written. claim to the contracting officer for payment of the disallowed cost and explain why the cost should be reimbursed; or t
(ii) If the disagreement (s) cannot be settled, file a claim und;.-the -
disputes clause which will be processed in accordance with disputes procedures-found at FAR Subpart 33.2; and' (3) Process the voucher or invoice for payment and advise the(NRC Division of Accounting and Finance to. deduct the-disallowed costs when scheduling the voucher for payment.
(b): When audit reports or other-notifications question costs or-consider them unallowable, the contracting officer: shall resolve all cost issues through discussions with the contractor land/or auditor, whenever possible,'within six months of receipt of the audit report.
r (1)
One of the following courses of action must be pursued: -
94
--M-- a ,, -m+ n- a wy w-- r r- y
1 e
(i) Accept and implement audit recommendations as submitted; i I
(ii) Accept the principle of the audit recommendation but adjust the amount of the questioned costs; [
f (iii) Reject audit findings and recommendations.
- i (2) When implementing the chosen course of action, the contracting f
officer shall:-
(i) Hold discussions with the auditor and contractor,_ as appropriate; (ii) If the. contracting officer agrees with the auditor concerning the
- questioned costs, attempt to negotiate a mutual settlement of questioned-costs; (iii) Issue a final decision, including any disallowance of questioned .
costs; inform the contractor of his/her right to appeal' the decision under the disputes procedures found-at FAR Subpart'33.2; and provide a copy of theLfinal .
decision to the Office of the Inspector General; and (iv) Initiate immediate recoupment-actions for all disallowed costs-owed the government by one or more of the following. methods:
)
(A) Request that the contractor provide a credit adjustment (offset) ,
against amounts billed'the government-on the next or-other future invoice (s) submitted under the contract-for which the. disallowed costs apply;-
95
- ' < - - ,- 4%.,w4,+ y ,- y
-(B) Deduct the disallowed costs from the next invoice submitted under the contract; (C) Deduct the disallowed costs on a schedule determined by the contracting officer after discussion with the contractor (if the contracting officer determines that an immediate and complete deduction is inappropriate);
and (D) Advise the contractor that a refund is immediately payable to the government (in situations where there are insufficient payments owed by the government to effect recovery from the contract).
PART 2045 - GOVERNMElli PROPERTY Subpart 2045.3 - Providing Government Property to contractors i
Sec. 2045.370 Providing government property (in general).
AUTHORITY: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Subpart 2045.3 - Providing Government Property to Contractors
$2045.370- Providing government property (in general).
-(a) Unless'otherwise provided for.in FAR 45.302-1(d), applicable. to -
Government facilitie's with a unit. cost of _less than $10,000, a contractor may.
be provided Government property or allowed to purchase the property at 96-x . _: _ - _ -_ _ _ . _ _ _ _ . - _ _ _ _.
Government expense upon determination made by the contracting officer with the advice of the agency property official that:
(1) No practicable or economical alternative exists; e.g., acquisition j
from other sources, utilization of subcontractors, rental of property, or modification of program project requirements; (2) furnishing Government property is likely to result in substantially lower costs to the Government for the items produced or services rendered when all costs involved (e.g., transportation, installation, lr modification, maintenance, etc.) are compared with the costs to the Government [
of the contractor's use of privately-owned property; and I
(3) The Government receives adequate consideration for pruviding the property. ;
(b) If the program office is aware before the-submission-of.the RFPA that it will-be necessary to provide prospective contractors with Government property, a written justification must accompany the_RFPA to the Division of .
Contracts and Property Management, j
+
SUBCHAPTER 11 - CLAUSES AND FORMS Part 2052 - SOLICITATION PROVISIONS AND CONTRACT CLAUSES Subpart 2052.2 Text of Provisions and Clauses
. 97 L
i ug % ., %
9 es tiq., --..g, ,7-p.p- wg9e f,g- ,wmy, v.pi ,,y,.+- bey ,,- g 9 y a 793sg-c 3-- p7,e--,,7.p oc .y
1&'
2052.200 Authority.
2052.204-70 Security.
2052.204-71 Site access badge requirements.
- 2052.209-70 Qualifications of contract employees.
2052.209-71 Current /former agency employee involvement.
2052.209-72 Contractor organizational conflicts of interest (representation).
2052.209-73 Contractor organizational conflicts of interest. -!
2052.210-70 Brand name products or equal.
i 2052.210-71 Drawings, designs, specifications, and other data. -
2052.212-70 Preparation of technical' reports.
2052.212-71 Technical progress report.
2052.212-72 Financial-status report.. t 2052-212-73 Financial status. report - Alternate 1
.2052.214-70 Prebid conference.
~
. 2052.214-71 Bidder qualifications and past experiences.
2052.214-72 Bid' evaluation.
2052.214-73 Timely receipt of bids.
.2052.214-74 Disposition of. bids - .
2052.215-70 Key personnel.
2052.215-71 Project officer' authority.
2052.215-72_ Project officer authority - Alternate 1.
2052.215-73 Timely receipt of' proposals. ,
p : 2052.215-74 Award notificationLand commitment of public I funds..
98 '-
w .. _.
3.,c , w. ,. , , , . ,, , , , ~_ - ..m . - . . , _ . . . ...,,,..,,,._...,,o, . . . ~,y, . .+....
2052.215-75 Disposition of proposals. ,
2052.215-76 Proposal presentation and format. -!
205N.215-77 Proposal presentation and format - Alternate 1 (language for negotiated task order contracts.)
2052.215.78 Proposal presentation and format - Alternate 2 '
(language for negotiated fixed prices, labor ,
hour, or time and materials. contracts.) :
2052.215-79 Preproposal conference.
2052.215-80 Travel reimbursement.
2052.215-81 Travel approvals.
2052.215-82 Contract award-and evaluation of. proposals -
technical merit more important than cost.
2052.215-83 Contract award and evaluation-of proposals -
cost more important than technical merit.
2052.215-84 Contract award and evaluation of proposals -
cost'and technical merit of equal value, i 2052.216-70 Level of effort.
2052.216-71 Indirect cost rates.
2052.216-72 Indirect cost rates - Alternate'l.
2052.216-73 Indirect cost rates - Alternate 2._ ;
2052.216-74 Task order procedures.
2052.216-75 Accelerated task order procedures.
2052.222-70 Nondiscrimination because of age.-
2052.231-70 Precontract costs. '
2052.235-70 . Publication of research-results.
2052.235.71- Publication.of research results L-universities, t 2052.235-72 . Safety, health, and fire protection.
'99
, - , _ - , _ . . - . _ .__ _.__-_,m-- - . __m_.-_; .
AUTHOR 11Y: 42 U.S.C. 2201; 42 U.S.C. 5B41; and 41 U.S.C. 418(b).
Subpart 2052.2 Text of Provisions and Clauses
$2052.200 Authority.
62052.204-70 Security.
As prescribed at 62004.404(a), insert the following clause in applicable solicitations and contracts:
Security (a) Security / Classification Requirements Form. The attached NRC form lb. (See Section J for List of Attachments) furnishes the basis for providing security and classification requirements to prime contractors, subcontractors, or others (e.g., bidders) who have or may have an NRC contractual relationship that requires access to classified information or matter, access on a continuing basis (in excess of 90 or more days) to NRC Headquarters controlled buildings, or otherwise requires NRC photo identification or card-key badges.
(b) It is the contractor's duty to safeguard National Security information, Restricted Data, and Formerly Restricted Data. The contractor shall, in accordance with the Commission's security regulations and requirements, be responsible for safeguarding National Security Information, Restricted Data, and Formerly Restricted Data, and for protecting against sabotage, espionage, loss, and thef t, the classified documents and material in 100
i the contractor's' possession in connection esith the performance of work under
. I this contract. Except as otherwise expressly provided in this contract, the a contractor shall, upon completion or termination of this cotract, transmit to I
,- the Commission any classified matter in the possession of the contractor or i
. i~
any person under the contractor's control in connection with performance of this contract. If retention by the contractor of any classified matter is i
required after the completion or termination of the contract and the retention is approved by the contracting officer, the contractor shall complete a .
certificate of possession to be furnished to the Commission specifying the ,
classified matter to be retained. The certification must identify the items and types-or categories of matter retained, the conditions-governing the-retention of the matter and their period of retention, if known. If the ,
retention is approved by the contracting officer, the security provisions of i
the contract continue to be applicable to the matter retained. !
(c) In connection with the performance of the work under this r
contract, the contractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or privileged technical,
[
business, or financial information, including Commission plans, policies, .;
reports. -financial plans, internal data protected by the Privacy Act of 1974 (P % L.93-579), or other information which has'not been released to the public or has been determined by the Commission to be otherwise exempt from t disclosure to the public. The contractor agrees to hold the.information in confidence and not to directly_or indirectly duplicate, disseminate, or r
disclose the information in whole or in part to-any other person or organization except as may be necessary.to perform the work under this contract. The contractor agrees to return the information to the Commission I
or otherwise dispose of it at the direction of- the contracting officer.-
101 2.-y.. 3., .,. -.,.,-,,..~,.m.-- ,,,-,,,_i...-.mnw-,_, . , - . - . , . , , - ..,mv,.--c-.
- - . ~ - ~- n mm
I failure to comply eith_ this clause is grounds for termination of this contract.
(d) Regulations. The contractor agrees to conform to all security l regulations and requirements of the Conynission.
1 (e) Definition of National Security Information. The term National Security information, as used in this clause, means information that has been ;
determined pursuant to Executive Order 12356 or any predecessor. order to !
require protection against unauthorized disclosure and t'lat is so designated. i (f) Definition of Restricted Data. The term Restricted Data, as used in this clause, means all data concerning (1) design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but -
does not include data declassified or removed from the Restricted Data category pursuant to Section 142 of the Atomic Energy Act of 1954, as amended.
(g) Definition of Formerly Restricted Data. The term Formerly- k Restricted Data, as used in this clause, means all data removed'from the l
Restricted Data category under Section 142-d of the Atomic Energy Act of 1954, '
I as amended. '
(h) Security clearance personnel. The contractor may not permit any- -
I individual to have access to Restricted Data, Formerly Restricted Data, or other classified information, except in accordance with the Atomic Energy Act-
. of 1954, as amended, and the Commission's regulations or requirements-applicable to the particular. type or category of classified information-.to.
which access-is required. The. contractor shall also execute a Standard Form N 102-
, .~.._.m. - , - _ , - , , _ _ . _ . _ _ , , _ . , . - . , . . ~ _ _ , , . . , . . , _ . . . _ . . _ . ~ . , , _ . - , _ _ , . . _ . . _ _
I 312, Cicssified Information Nondisclosure Agreement, when access to classified l
. t information is required.
f (1) Criminal liabilities, it is understood that disclosure of j National Security Information, Restricted Data, and formerly Restricted Data, ,
relating to the work or services ordered hereunder to any person-not entitled to receive it, or f ailure to safeguard any Restricted Data, formerly l Restricted Data, or any other classified matter that may come to'the [
f contractor or any person under the contractor's control in connection with !
work under this contract, may subject the contractor, its agents, employees, or subcontractors to criminal liability under the -laws of the United States.
(See the Atomic Energy-Act of 1954, as amended, 42 U.S.C. 2011 et seq.; 18 ;
U.S.C. 793 and 794; and Executive Order 12356.) 'I I
(j) Subcontracts and purchase orders. Except as otherwise authorized :
in writing by the contracting officer, the contractor shall insert provisions :
similar to the foregoing in all subcontracts and purchase orders under this contract. -
(k) In performing the contract work, the contractor shall classify all documents, material, and equipment originated or generated by the contractor in accordance with guidance issued by the Commission. Every l
. subcontract and purchase order issued hereunder involving the origination er generation of classified documents, material, and equipment must provide that-
- the subcontractor or: supplier assign classification to all documents, material, and equipment in accordance with guidance furnished by-thet <
contractor.
(End of Clause) _
103 !
,,,r.6,, ..---nn-, . n w ,+ ,,-,n , - - , . ,.e :,. n,n i , , n , w n w .,,~ , ,.A,-,..-,,,--n.~,m .-. ., , - , , . +,-,.-~?--,
J -~,.,w - -
62052.204-71 Site access badge requirements.
As prescribed at 12004.404(b), insert the following clause in !
i applicable solicitations and contracts:
l t
Site Access Badae Reovirement i
During the life of this contract, the rights of ingress and egress for contractor personnel must be made available as required. In this regard, all ;
contractor personnel whose duties under this contract require their. presence on-site shall be clearly identifiable by a distinctive badge furnished by-the Government. The Project Officer shall assist the contractor in obtaining the i badges for the contractor personnel, it is the sole responsibility of the ,
contractor to ensure that each employee has proper identification at all t times. All prescribed identification must be'immediately delivered to the :
Security Office for cancellation or disposition upon the termination of employment of any contractor personnel. Contractor personnel must have this identification in their possession-during on-site performance under this contract, it is the contractor's duty to assure that contractor personnel enter' only- those work areas necessary.for performance- of contract work, and.to assure the safeguarding of_any Government records or data that contractor personnel may_come-into contact with. -
-(EndofClause)
' 92052.209-70 ' Qualifications of contract employees.
104' p y n r- - - - - -
w y .n ..- -~ u a._,,.-vmy ~ . <s,s. -m,. ,.w-.- ...,4.n- n - , - ., , n
As prescribed et 62009.105-70, insert the following provision in .
applicable solicitations: i i
Qu.alificationa_of Contract Empjoyees i
The offeror hereby certifies by submission of this offer that all representations made regarding its employees, proposed subcontractor personnel, and consultants are accurate. I (End of Provision) ,
92052.209-71 Current /former agency emnloyee involvement.
As prescribed at 12009,105-70,-insert the following provision in applicable so'icitations:
I (grrent /former Anency Emolovee involvement ,
a (a) The following representation is required by the NRC Acquisition .
Regulation-2009.105-70(b). It is not NRC policy to encourage offerors and-contractors to propose current /former agency employees to perform work under- ,
NRC contracts,.and as set forth-in the above cited provision, the use of such employees may, under certain conditions, adversely affect NRC's consideration-of non-competitive proposals and task orders. -
(b) The offeror hereby. certifies that there ( ) are ( ) are no current /former NRC employees (including special-Government employees performing services as experts, advisors, consultants, or members of advisory 105-s .--n, .,-,_.+mv.n.-n,n,n,-,,e-v., -m,. ,,,,-,,,-c. , ,,--,mn.-----r-,--, v.w,,,..-w.n-> m-,ee,- -r,.:- -
n r 1m-n
committees) who have been or will be involved, directly or indirectly, in j developing the offer, or in negotiating on behalf of the offeror, or in managing, administering, or performing any contract, consultant agreement, or subcontract resulting from this offer. For each individual so identified, the l Technical and Management proposal must contain, as a separate attachment, the name of the individual, the individual's titic while employed by the NRC, the date individual left NRC, and brief description of the individual's role under- i this proposal.
i (End of Provision) [
62052.209-72 Contractor organizational conflicts of interest .
(representation).
As prescribed in 62009.570-4(b) and 2009.570-8, insert the following provision in applicable solicitations: i Contractor Oroanizational Conflicts of Interest Renresentatj4D i
1 represent to the best of my. knowledge and belief that: ,
The aware " of.a contract or the modificat.1pn of an existing contract does / / does not / / involve: )
situations or relationships of =the- type set forth in 48 CFR 2009.570-3(b).
(a). If the re' presentation, as completed, indicates that situations or relationships of the-type set forth in 48 CFR 2009.570-3(b) are involved, or the' contracting-officer otherwise determines that-potential organizational-106
conflicts of interest exist, the offeror shall provide a statement in t7riting
^
which describes in a concise manner all relevant factors bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the followin; actions may be taken:
(1) Impose appropriate conditions which avoid such conflicts.
(2) Disqualify the offeror, or (3) Octermine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 48 CFR 2009-570-9.
(b) The refusal to provide the representation required by 48 CFR 2009.570-4(b), or upon request of the contracting officer, the facts required by 48 CFR 2009.570-3(b), must result in disqualification of the offeror for award.
(End of Provision) 62052.209-73 Contractor organizational conflicts of interest.
As prescribed at $2009.570-5(a) and 2009-570-8, insert the following clause in all applicable solicitations and contracts:
107
Contractor Ornanizational Conflicts of Interest (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 interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b) Scope. The restrictions described apply to performance or participation by the contractor, as defined in 48 CFR 2009.570-2 in the activities covered by this clause _.
(c) Work for others.
(1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees to forego entering.into consulting-or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The contractor shall: ensure that all employees -
L under this contract abide by the provision of this clause. If the contractor has reason to believe with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the l
108
, . . - - ~ , . - , . . . .
- . - . . , _ _ . , . . _ . - . - - . - , , _ . - , . ~ , - . - - _ _ _ . _ . . ...-_--,,,,,v
written approval of the contracting officer before the execution of such ;
contractual arrangement.
(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC audit, inspection, or review where the activities that are the subject of the audit, inspection or review are the same as or substantially similar to the services within the scope of this i
contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.
(3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither solicit .
nor perform w*rk in the same or similar technical area for that licensee or applicant organization for a period commencing with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task order contract).
(4) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, (i) The_ contractor may not solicit work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate.
(ii) The contractor may not perform work at that site for that licensee or applicant-during the period of performance of the task order or the contract, as appropriato, and for one year thereafter.
(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to _ solicit or. perform this. type of work (except work in the same or similar technical area) if the contracting officer determines 109 q
w.-=, p. ,-,.w---g - , m w - or me - --Wrr- e w e---MMv*,.=T** * -r=p 1-e. t- e--WL*r"y--e - eus
- vue+ -=-mi- *t - pmz
that the situation will not pose a potential for technical bias or unfair
~
competitive advantage.
(d) Disclosuie after award.
(1) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest as defined in 48 CFR 2009.570-2, (2) The contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer.
This statement must include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract if termination is in the best interest of the government.
(3) It is recognized that the scope of work of a task-order-type contract necessarily encompasses a broad spectrum of activities.
Consequently, if this is a task-order-type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants which comes within the scope of work of the underlying contract, further, if this contract involves work at a licensee or applicant site, the contractor agreer, to exercise diligence to discover and disclose any new work at that licensee or applicant site. This disclosure must be made before the submission of a bid or proposal to the utility or other regulated entity and must be received by the NRC at least 15 days before the proposed award date in i
any event, unless a written justification demonstrating urgency and due diligence to discover and disclose is provided by the contractor and approved by the contracting officer. The disclosure must include the statement of work, the dollar value of the proposed contract, and any other documents that are needed to fully describe the proposed work for the regulated utility or 110
other regulated entity. NRC may deny approval-of the disclosed work only when the NRC has issued a task order which includes the techi cal area and, if S site-specific, the site, or has plans to issue a task order which includes the technical area and, if site-specific, the site, or when the work violates paragraphs (c)(2),(c)(3)or(c)(4)ofthissection.
(e) Access to and use of information.
(1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (5 U.S.C.
Section 552a (1988)), or the Freedom of Information Act (5 U.S.C. Section 552 (1986)), the contractor agrees not to:
(i) Use this information for any private purpose until the information.
has been released to the public; (ii) C'ampete for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public; or (iv) Release the_information without prior written approval by the-contracting officer unless the information has previously been released to the:
public by the NRC.
111
-i
(2) In addition, the contractor agrees that, to the extent it receives-
. i or is given access to proprietary data, data protected by the Privacy Act of-t 1974 (5 U.S.C. Section 552a (1988)), or the Freedom of Information Act (5 !
U.S.C. Section 552 (1986)), or other confidential or privileged technical, 1'
business, or financial information under this contract, the contractor shall treat the information in accordance with restrictions placed on use of the information. '
)
(3) Subject to patent and security provisions of this contract, the l contractor shall have the right to use technical data it produces under this -
contract for private purposes provided that all requirements of.this contract l have been met.
(f) Subcontracts. Except as provided in 48 CFR 2009.570-2, the ,
contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms sontract, contractor, and sontractina !
officer, must be appropriately modified to preserve the Government's rights.
(g) Remedies. For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation of_any relevant. interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government-may terminate-the contract-for default, disqualify the contractor from subsequent -)
contractual efforts, and pursue other remedies permitted by law or'this contract.
4
-(h) Waiver. A-request for waiver under this clause must be__ directed
~
in writing to the contracting officer in accordance with the procedures
~ outlined in 48 CFR 2009.570-9. :
112 l
. , _ , . _ _ _ . - _ _ _ _ .. . . . . _._ -_ ._-.,m_
(i) Follow-on effort. The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited), which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by th contracting officer, the contractor may not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of the products or services.
(1) If the contractor, under this contract, preptres a complete or essentially complete statement of work or specifications, the contractor is not eligible to perform or participate in the initial contractual effort which is based on the statement of work or specifications. The contractor may not incorporate its products or services in the statement of work or specifications unless so directed in writing by the contracting officer, in which case the restri-tions in this paragraph do not apply.
(2) Nothing in th: p43.aph precludes the contractor from offering or selling its standard commercia) items to the Government.
(End of Clause)
%2052.210-70 Brand name products or equal.
As prescribed at 52010.004, insert the following clause in applicable solicitations and coritracts:
113
Brand Name Products or Eoual Offerors (proposers) offering other than brand name items identified herein should furnish with their offers adequate information to ensure that a determination can be made as to quality of the product (s) offered.
62052.210-71 Drawings, designs, specifications, and other data.
As prescribed at 52010.011, the following clause shall be submitted in applicable solicitations and contracts:
Drawings 1 0esians. Specifications, and Other Data All drawings, sketches, designs, design data, epecifications, notebooks, techn' ' " scientific data, and all photographs, negatives, reports, finding: e emmeri t t cions, other data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, are subject to inspection by the Commission at all Inspection of the proper facilities must be afforded the
~
reasonable times.
Commission by the contractor and its subcontractors. These data are the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the contractor and its subcontractors and vendors for additional compensation and must, subject to the right of the contractor to retain a copy of the material for its own use, be delivered to the Government, or otherwise disposed of by the contractor as the contracting officer may direct during the progress of the work or upon completion or termination of this contract. The contractor's right of 114
retention and use is subject to the security, patent, and use of information provisions, if any, of this contract.
(End of Clause) 12052.212-70 Preparation of technical reports.
As prescribed at 12012.104-70(a), insert the clause in applicable solicitations and contracts:
Prenaration of Technical Reports All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached Management Directive 3.8, " Unclassified Contractor and Grantee Publications in the NUREG Series." Management Directive 3.8 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract. (See Section J for List of Attachments).
(End of Clause) 12052.212-71 Technical progress report.
As prescribed at 12012.104-70(b), insert the following clause in applicable solicitations and contracts:
Technical Proaress Report 115
The contractor shall provide a monthly-Technical _ Progress Report'to the y-project officer and tho' contracting officer. The report is-due within 15 calendar days after the end of the report period and must -identify the title-of the project, the contract number, Financial Identification Number (FIN),
project manager and/or principal. investigator,'the contract period of performance, and the period covered by the report. Each report must include :
the following for each discrete task / task order:
(a) A listing of the efforts completed during the period, and.
milestones reached or, if missed, an explanation provi6ed; (b) Any problems or delays encountered or anticipated and recommendations for resolution. If the recommended resolution involves a contract modification, e.g., change in work requirements, level of' effort (cost) or schedule delay, the contractor shall submit a separate letter to the. _;
contracting officer identifying the required change and estimated _ cost impact.
(c) A summary of progress to date; and (d) Plans for the next reporting peri.od.
(End-ofClause)
, =
~
'92052.212 Financial status report. _
i.
As prescribed at s2012.104-70(c), insert.the following clause in applicable solicitations and contracts.
-116 L
L l
-. ., - . . , . . - - ., . . - , ~ , , . . .
Financial-Status Report i
The contractor shall provide a monthly Financial Status Report to' the '
)
project officer and the contracting officer. The report is due within 15 l 1
calendar days after the end of- the report period and must identify-the title _ l a
of the project, the contract number, Financial Identification. Number (FIN),
project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report must include the following for each discrete task:
(a) Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
(1) Total estimated contract amount.
(2) Total funds obligated-to date.
(3) Total costs incurred this reporting period.
(4) Total costs incurred to date.
(5) Provide a detail of ~all direct and, indirect costs _ incurred during the reporting period for the entire contract or each task, if-it'is a task ordering contract.
(6) Balance of obligations remaining.
. (7) Balance of funds required to complete contract / task order.
117
(8) Contractor Spending Plan (CSP) status:
(i) Projected percentage of completion cumulative through the report period for the project / task order as reflected in the current CSP.
(ii) Indicate if there has been a significant change in the original CSP projection in either dollars or percentage of completion. Identify the change, the reasons for the change, whether there is any projected overrun, and when additional funds would be required. If there have been no changes to the original NRC-approved CSP projections, a written statement to that effect is sufficient in lieu of submitting a detailed response to item 8.
(9) A revised CSP is required with the Financial Status Report whenever the contractor or the contracting officer has reason to believe that the total cost for performance of this contract will be either greater or substantially less than what had been previously estimated.
(b) If the data in this report indicates a need for additional funding
~
beyond that already obligated, this information may only be used as support to the official request for funding required in accordance with the Limitation of Cost (LOC) Clause (FAR 52.232-20) or the Limitation of Funds (LOF) Clause FAR 52.232-22.
(End of Clause) 2052.212.73 Financial Status Report - Alternate 1 Financial Status Report - Alternate 1 118
As prescribed _in 62012.104-70(c), insert the-following provision'in applicable solicitations: '
The Contractor shall provide a monthly Financial Status Report.to the Project Officer a'nd the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall_ identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:
(a) Provide total estimated cost (value) 'of the project as reflected in the contract, the amount of funds available in the contract- to date, and the balance of funds required to' complete the work as follows:
(1) Total Estimated Contract Amount.
(2) Total Funds .0bligated To Date.
(3) Total Costs Incurred This Reporting Period.
(4) Total Costs Incurred to Date.
(5) Balance of Obligations Remaining.
(6) Balance of Funds Required To Complete Contract.
(b)- Detail of all direct and indirect costs incurred during the reporting period for each-task.
119
[End of Clause) 52052.214-70 Prebid conference.
As prescribed at 52014.201-670(a), insert the following provision in applicable solicitations:
Prebid Conference (a) A prebid conference is scheduled for:
Date:
Location:
Time:
(b) This conference is to afford interested parties an opportunity to-present questions and clarify uncertainties regarding this solicitation. You are requested to mail written questions concerning those areas of uncertainty _
which, in your opinion, require clarification or correction. You are encouraged to submit your questions in writing not later than
- working day (s) prior to the conference date. Receipt of late questions may result in the questions not being answered at the conference although they will be considered in preparing any necessary amendment to the solicitation. If you plan to attend the conference, notify
- by letter or telephone * , no later than close of business * . Notification of your intention to attend is essential in the event the conference is rescheduled or canceled. (Optional statement: Due to space limitations, each potential bidder is limited to
- representatives at the conference.)
i 120
. - - - - -. - - - = - - - -
(c) Written _ questions must be submitted to:
U.S. Nuclear Regulatory Commission Division of-Contracts and Property Management ATIN:
Mail Stop
- Washington, DC 20555 (d) The envelope must be marked " Solicitation No. * /Prebid Conference."
(e) A transcript of the conference will be furnished to all prospective offerors through the issuance of an amendment to the solicitation.
- To be incorporated into the solicitation.
(End of Provision) 92052.214-71 Bidder-qualifications and past experiences.
As prescribed in 52014.201-670(b),insertthefollowingprovisionjin applicable solicitations:
Bidder Qualifications' and Past Experiences (a) The bidder shall list
- previous / current! contracts-for the same or similar products / services. This information will assist.the contracting _
officer in his/her Determination-of Responsibility. Lack of previous / current.
121
contracts for same or.similar products / services or failure to submit-this
- information will' not- necessarily result in an unfavorable Determination of ,
Reiponsibility.
(1) Contract No.:
Name and address of Government agency or commercial entity:
Point of Contact and Telephone Number:
(2) Contract No.:
Name and address of Government-agency or-
' commercial entity:
Point of Contact and
-Telephone Number:
(3) Contract No.:
l . .
- -Name and address.of Government agency or commercial entity
122 L--
T
\
Point of Contact and Telephone Number:
(b) The bidder shall also provide the name, title and full telephone number for its technical representative and contracts / business representative:
(1) Technical Representative Name Title Telephone No.( )
(2) Contracts / Business Representative Name Title Telephone No. ( )
- To be incorporated into the solicitation (End of Provision) 12052.214-72 Bid evaluation.
As prescribed at 52014.201-670(b), insert the following provision in applicable solicitations:
Bid Evaluation 123
(a) Award will be made to that responsive, responsible bidder within the meaning of FAR Subpart 9.1 whose total bid amount, as set forth by the hidder in Section B of this invitation for Bid, constitutes the lowest overall evaluated final contract price to the Government based upon the requirements as set forth in the schedule. Bids will be evaluated for purposes of award by first ascertaining the sum of the total amount for each of the items specified in Section B of this solicitation. This will constitute the bidder's " Total Bid Amount."
(b) Bidders shall insert a definite price or indicate "no charge" in the blank space provided for each item and/or sub-item listed in Section B.
Unless expressly provided for herein, no additional charge will be allowed for work performed under the contract other than the unit prices stipulated for eacn such item and/or sub-item.
(c) Any bid which is materially unbalanced as to price for the -
separate items specified in Section B of this IFB may be rejected as nonresponsive. An unbalanced bid is defined as one which is based on prices which, in the opinion of the NRC, are significantly less than cost for some work and/or prices that may be significantly overstated for other work.
(d) Separation charges, in any form, are not solicited. Bids containing charges for discontinuance, termination, failure to exercise an option, or for any other purpose will cause the bid to be rejected as norresponsive.
(e) A preaward on-site survey of the bidder's facilities, equipment, etc., in accordance with FAR 9.105 and 9.106 may be made by representatives of the Commission for the purpose of determining whether the bidder is 124
responsible within the meaning of FAR 9.1, and whether the-bidder possesses:
qualifications that are conducive. to the production of work that will meet the requirements; specifications, and provisions of this contract. Also, if requested by the Commission, the prospective contractor may be required to
. submit statements within
- hours after receiving the request:-
(1) Concerning their ability to meet any of the minimum standards set' forth in FAR 9.104, (2) Samples of work, and (3) Names and addresses of additional clients, Government agencies and/or commercial firms which the bidder is now doing or had done b'usiness with.
(f) Notwithstanding paragraph (b). of this section, the award of any contract resulting from this solicitation will be made on an "all-or none" basis. Thus, bids submitted on fewer-than the items listed in Section~B-of this IFB, or on fewer than the estimated quantity, will cause the-bid to-be.
rejected as nonresponsive.
l l
- To be inserted into solicitation.
L (End of Provision) l^
62052.214-73 Timely receipt of bids.
L l
1=25
__ __ . .~. . _ . . . . . . _ - _ - . ._ _ . . . _ - .
. _ _. _ . _ _ _ .~. _ _ ._ . _ _ _ _
As prescribed at Ll2014.670(b), insert the following provision in app icable; solicitations:
Timely Receiot-of Bids Because the NRC is a secure facility with perimeter access control,_
bidders shall allow additional time for hand delivery-(including express mail-and delivery services) of bids to ensure that they are timely received in the depository at the address shown in item 9 on the Standard Form 33.
(End of-Provision) 62052.214-74 Disposition of bids.
As prescribed at-s2014.670(b), insert the following provision'in-applicable solicitations: .,
Disposition of Bids After award of t he contract, one copy of- each unsuccessful- bid will . be
~
retainedbyNRC'sDivisionofContractsandPropertyManagementinaccohdance with the General Records Schedule 3(5)(b). -Unless_ return of the a'd ditional-copies of the. bid is requested by the bidder upon submissionlof the bid, all ;
other copies will be_ destroyed. This request should appear in a cover _ letter-accompanying the-bid.
(End of Provision) 126
-i 52052d215-70 ' Key personnel.
As prescribed at s2015,407-70(a), insert the following clause in applicable solicitations and contracts:
Kry Personnel (a) The following individuals are considered to be essential to the-successful performance of the work hereunder:
The contractor agrees that personnel may not be removed from the contract work-or replaced without compliance with paragraphs (b) and (c).of this section.
(b)- -If one or more of the key personnel, for-whateverrreason, becomes, or is. expected to become, unavailable for work-under this contract for-a
-continuous period exceeding 30 work days, or is expected:to devote substantially less effort to the work than indicated in the: proposal or -
initially anticipated, the contractor shall immediately notify the contracting officer and 'shall, subject to-the concurrence of:the contracting officer, promptly replace the personnel with personnel of at least -substantially equal- 4 ability and qualifications.
(c) Each request for approval of substitutions must be in writing and contain a -detailed explanation of the circumstances necessitating the proposed-substitutions. The request must also contain a complete resume for the 127
proposed substitute and other information requested or needed by the contracting officer to evaluate the proposed substitution. The contracting officer or his/her authorized representative shall- evaluate the request and promptly notify the contractor of his or her approval or disapproval in writing.
(d) If the contracting officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the contracting officer for default or for the convenience of the Government, as appropriate. If the contracting officer finds the contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss, or damage.
(End of Clause)
- To be incorporated into any resultant contract s2052.215-71 Project officer authority.
As prescribed in s2015.407-70(a)(2)(i), insert the following clause in applicable solicitations and contracts:
Pro.iect Officer Authority 128
(a)' The contracting officer's authorized representative hereinafter referred to as the project officer for-this contract is:
Name:
Address:
Telephone Number:
(b) Performance of the work under this contract'is subject to'the technical direction of the NRC project officer. The term technical direction is defined to include the following: ,
(1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks, fills in details, or otherwise serves to accomplish the contractual statement of work.
(2). Provide advice and guidance to the contractor in the preparation of drawings, specifications, or technical portions of the work description.
(3)- Review and, where required by the contract, approval of technical reports, drawings, specifications, and technical information to be delivered by the contractor to the Government under the contract. -
(c) Technical direction must be within-the general statement of work stated in the-contract. The project officer does not have the authority to and may not issue any technical direction which:
1 (1)- Constitutes an assignment of work outside the general scope of'the-contract.
129
(2) Constitutes a change as defined in the " Changes" clause of this contract.
(3) In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.
(4) Changes any of the expressed terms, conditions, or specifications of the contract.
(5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.
(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in writing within ten (10) working days after verbal issuance. A copy of the written direction must be furnished to the contracting officer.
~
(e) The contractor shall proceed promptly with the performance of technical directions duly issued by the project officer in the manner prescribed by this clause and within the project officer's authority under the provisions of this clause.
(f) If, in the opinion of the contractor, any instruction or direction issued by the project officer is within one of the categories as defined in paragraph (c) of this section, the contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly. Upon receiving the notification 130 l
from the contractor --the contracting officer shall issue an appropriate
' contract modification or advise the contractor in writing that, in the contracting officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the "Changec" clause.
(g) Any unauthorized commitment or direction issued by the project officer may result in an unnecessary delay in the contractor's performance and' may even result in the contractor expending funds for unallowable costs under the contract.
(h) A failure of the parties to agre2e upon the nature of the instruction or direction or upon the contract action to be taken with respect-there to is subject to 552.233 Disputes.
(i) In addition to pr_oviding technical direction as defined in paragraph (b) of the section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.
(2)' Assist the contractor in the resolution of technical problems encountered during performance.
(3) Review-all costs requested for reimbursement by the contractor and submit to the contracting officer recommendations for approval, disapproval,_
131 e y .-- ----
-or suspension of payment for supplies and services-required under this Lcontract.
(End of Clause) 12052.215-72 Project officer authority - Alternate 1.
As prescribed at 12015.407-70(2)(11), insert the'following clause in applicable solicitations and contracts:
4 i
Pro.iect Officer Authority - Alternate 1 i (a) The contracting officer's authorized representative, hereinafter referred to as the project officer for this contract is:
l Name:
l Address:
- Telephone Number: *
(b) -The project officer shall:
(1) Place delivery orders for items required under this contract.
(2) Monitor contractor performance and recommend to the centracting officer changes in requirements.
(3) Inspect and accept products / services provided under.-the contract.
132 l
(4). Reviet all contractor invoices / vouchers requesting payment for products / services provided under the contract and make recommendations for
- approval, disapproval, or suspension.
(c)- The project officer may not make changes to the express terms and conditions of this contract.-
- To be incorporated into any resultant contract-(End of Clause) 52052.215-73 Timely receipt of proposals.
As prescribed in= 62015.407-70(a), insert the following provision in applicable solicitations:
Timely Recoint of Proposals Because NRC is a secure facility with perimeter access- control, offerors shall allow additional time for hand delivery (including express mail and:
- delivery services) of proposals to ensure that they are _ timely received in the depository at the address shown in Item 9 on the Standard Form 33.
(End of Provision)
I' 52052.215-74 Award notification and commitment of public funds 133
. l I
LAs prescribed at $2015,407-70(a), insert the following clause in:
.. t __ t applicable- solicitations-and contracts:
Award- Notification and Commitment of Pcblic Funds. ,
(a) All offerors will be notified of their selection or nonselection as soon as possible. Formal notification of nonselection for _ unrestricted awards may not be made until a contract has been awarded. Pursuant to-requirements of FAR 15.1001(b)(2), preliminary notification will be-provided ,
before the award for small business set-aside procurements on negotiated j procurements.
1 (b) It is also_ brought to your attention that the contracting officer' is the only individual who can-legally commit the NRC to the expenditure of-4 public funds in connection with this procurement. This means.that unless provided in a contract document or specifically authorized by the' contracting ,
officer, NRC technical personnel may not issue contract modifications,-give informal contractual commitments, or otherwise bind, commit, or obligate-the NRC contractually. Informal contractual commitments include:
(1) Encouraging a potential contractor to incur costs prior to receiving'a contract;
- e (2) Requesting or requiring a contractor to make changes under a contract without formal contract modifications-(3) Encouraging a contractor to incur costs under a cost-reimbursable-
! contract in excess of those costs contractually allowable; and
, 1 -
(4) Committing the Government to a course of action with regarel to a potential contract, contract change, claim, or dispute.
(End of Clause) 62052.215-75 Disposition of proposals.
As prescribed in $2015.407-70(a)(5), insert the following provision in applicable solicitations:
Disposition of Proposals After award of the contract, one copy of each unsuccessful proposal is retained by the NRC's Division of Contracts and Property Management in accordance with the General Records Schedule 3(5)(b). Unless return of the additional copies of the proposals is requested by the offeror upon submission.
of proposal, all other copies will be destroyed. This request should appear in a cover letter accompanying the proposal.
(End of Provision) 92052.215-76 Proposal presentation and format.
As prescribed at 12015.407-70(b), insert the following provision in applicable solicitations:
Proposal Presentation and Format 135
(a)_ Proposals must be_ typed, printed, or reproduced.on letter-size paper and each copy must be legible.
I (b) Proposals in response to this Request for Proposal must be submitted in the following three (3) separate _and distinct parts:
(1) Two (2) original signed copies of this solicitation package. All applicable sections must be completed by the offeror.
(2) One (1) original and
- copies of the " Cost Proposal."
(3) One (1) original and
- copies of the " Technical and Management.
Proposal "
(c) Correctness of the proposal. Caution--offerors are hereby notified that all information provided in its proposals, including ~ all-resumes, must be accurate, truthful, and complete to the best of the offeror's knowledge and belief. The Commission will rely upon all representations made -
by the offeror both in the evaluation process and for the performance-of the work by the offeror selected for award. The Commission may require the offeror to substantiate the credentials, education, and employment. history of its employees, subcontractor personnel, and consultants, through' submission of-copies of. transcripts, diplomas, licenses, etc.
1 (d) Cost proposal.
(1) The offeror shall use Standard Form 1411, Contracting Pricing Proposal Cover Sheet, in submitting the Cost Proposal. A copy of the ' form and :
, instructions are attached to this solicitation. The information must include 136
pertinent details sufficient to show the elements of cost upon which the total cost is predicted. The Cost Proposal must be submitted separately from the Technical and Management Proposal.
l (2) When the offeror's estimated cost for the proposed work exceeds
$100,000 and the duration of the contract period exceeds six months, the. I 1
offeror shsll submit a Contractor Spending Pl'an (CSP) as part of its cost l l
proposal. Guidance for completing the CSP is attached. :
4 (3) For any subcontract discussed under the Technical and Management Proposal, provide supporting documentation on the selection process, i.e.
competitive vs. noncompetitive, and the cost evaluation.
, (e) Technical and management proposal.
(1) The Technical and Management Proposal may not contain any reference to cost. Resource information, such as data concerning labor hours and categories, materials, subcontracts, travel, computer time, etc., must be included in the Technical and Management Proposal so that the offeror's understanding of the scope of work may be evaluated.
(2) The offeror shall submit with the Technical and Management Proposal full and complete information as set forth below to permit the Government to make a thorough evaluation' and a sound determination that 'the.
-' proposed approach will have a reasonable likelihood of meeting the requirements and objectives of this procurement..
(3)- Statements which paraphrase the statement of work without communicating the specific approach proposed by the offeror or statements to 137
., -.7% , e-- .-.
.p y
the effect that the offeror's understanding can or will comply with the statement of work may be construed as an indication of the offeror's lack of understanding of the statement of work and objectives.
(4) The Technical and Management Proposal must be tailored to assure that all sections reflect a one-to-one relationship to the evaluation criteria. The following are examples of the type of information that should be included in a technical and management proposal, (i) Discussion of the statement of work to substantiate the offeror's understanding of the requirement.
(ii) Discussion of the proposed method of approach to meet the contract objectives.
(iii) Discussion of potential problem areas and the approach to be taken to resolve these areas.
(iv) Statements of any interpretations, requirements, or assumptions made by the offeror.
(v) Discussion of support personnel and facilities available to assist the professional personnel.
(vi) Identify " Key Personnel," and for the person (s) so identified, specify the percentage of time that will be committed to other projects over the course of the proposed contract period of performance.
138
-(vii)' Resumes for all-professional personnel, including. subcontractors and consultants, to be utilized in the performance of'any resulting contract, include educational background, specific pertinent work experience, and a list of any pertinent publications authored by the individual.
(viii) Description of the source of personnel required for performance of each task, including those not presently' employed by the offeror. If any of the personnel are under commitment, describe the terms of the commitment (s). Note specifically the personnel that will be employed at time of contract award.
(ix) If the offeror plans to obtain- consultant services, -explain the-need for the services. List the proposed consultants by name, describe the ,
work they will perform under this contract, and include related past =
experience. Individuals who are employees of the contractor or of the U.S.
Government are prohibited from being paid as a consultant under this contract.
(x) If the offeror plans to subcontract any of the work to be performed, list proposed subcontractors, if known, by name. Provide a detailed description of the work to be performed by the subcontractor, and supporting documentation of technical evaluation leading to the selection.
(xi) Provide a detailed schedule-for work to be performed and identification of significant milestones and completion dates for each subpart
-or task.
(xii) Project scheduling and contingency planning demonstrating a logical progression and integration of the tasks to ensure completion within the performance period and without program slippage.
139
- (xiii) Describe of the-management organiactional structure
-_ delineating areas o_f responsibility and authority under the proposed _ effort, Describe the_ relationship of the_ project organization to corporate management-
=and to-subcontractors, if any. Discuss--the functions and authorities of the project manager.
(xiv) Procedures to periodically review in-house organizational .
functions, program reviews and controls, and subsequent coordination with the NRC.
(xv) Management controls expected to be utilized to preclude a contract cost growth.
_(xvi) The-offeror shall list of any commitments with other organizations, Government and/or commercial, for the same or similar effort.
(xvii) List of
- previous contracts for the same or similar services, with the name, title, and full-telephone number of a contact for each.
(xviii) List of the name, title, and full telephone number for the proposer's technical repres'entative and contracts / business representative.
(xix) *
- To be_ incorporated _into the solicitation (End of Provision) 140
l 62052.215-77 Proposal presentation and format - Alternate 1_(language for !
negotiated task order contracts.) l As prescribed at 12015.407-70(b)(1), insert the following language in i provision 12052.215-76.
i (d) Cost proposal. -
(1) The offeror shall provide a cost proposal based onLthe Estimated Level of Effort. The tetal estimated cost proposed by the offeror is used for -
evaluation purposes only. Any resultant contract, except a requirements- j contract, contain, .n overall cost ceiling whereby individual task orders may be issued. The cost and fee, if any, for each task order is individually ;
negotiated and also contains a cost ceiling.
- 62052.215-78 Proposal presentation and format - Alternate 2 (language.for l negotiated fixed prices, labor hour, or time and materials contracts.) ,
As prescribed at $2015.407-70(b)(2), paragraph (d)(2) shall be deleted from the provision 12052.215-76.
(End of Provision) t 12052.215-79 Preproposal conference
- As prescribed at 12015.407-70(c), insert.the following. provision in applicable solicitations:
141 .
~ c -
- -.+-.ce--c-w...wg -,--m
. yw.v.- ~.e y s.*vc w r..,e+ - p--p- re , & c< ,e--~ y w,. r
(c) A preproposal conference is scheduled for: !
Date: l 1.ocation:
Time: * !
(b) This conference is to afford interested parties an opportunity to present questions and clarify uncertainties regarding this solicitation. You are requested to mail written questions concerning those areas of uncertainty which, in your opinion, require clarification or correction. You are encouraged to submit your questions in writing not later than
- working day (s) prior to the conference date. Receipt of late questions may result in the e questions not being answered at the conference although they will be considered in preparing any necessary amendment to the solicitation. If you :
plan to attend the conference, notify
- by letter or telephone * , no later than close of business * . Notification of your intention to attend is.
essential in the event the conference is rescheduled or canceled. -(0ptional statement Due to space limitations, each potential proposer'is.~1imited to
- representatives at the conference.)
(c) Written questions must be submitted to:
U.S. Nuclear Regulatory Commission Division of Contracts and Property Management ,
o ATTN:
l .
Mail Stop
- a L Washington, DC 20555 v
l- 142 r---.-- =-. - -
(d) The envelope must be marked " Solicitation No. * /Preproposal Conference."
(e) A transcript of the conference will be furnished to all prospective offerors through the issuance of an amendment to the solicitation.
- To be incorporated into the solicitation.
(End of Provision) 52032.215-80 Travel reimbursement.
As prescribed at $2015.407-70(d), insert the clauses or alternate in applicable solicitations and contracts:
Itavel Reimbursement (a) Total expenditure for domestic travel may not exceed
- without the prior approval of the contracting officer.
(b) The contractor is encouraged to use Government contract airlines.
AMTRAK rail services, and discount hotel / motel properties in order to reduce the cost of travel under this contract. The contracting officer shall, upon request, provide each traveler with a letter of identification which is required in order to participate in this program. The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor personnel traveling on official business under this 143
contract. The FTD, which is issued monthly, may be purchased from the U.S.
' Government Printing Office, Washington, DC 20402.
(c) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip. Travel costs for research and related activities performed ;
at State and nonprofit institutions, in accordance with Section 12 of Pub. L. :
100-679, shall be charged in accordance with the contractor's institutional policy to the degree that the limitations of Office of Management'and Budget -
(OMB) guidance are not exceeded. Applicable guidance documents include OMB Circular A-87, Cost Principles for Stato and local Governments; OMB Circular- ,
A-122, Cost Principles for Nonprofit Organizations; and OMB Circular A-21, :
Cost Principles for Educational Institutions.
s
?
(d) When the Government changes the federal Travel Regulations, or 4 other applicable regulations, it is the responsibility of the contractor to notify the contracting officer in accordance with the Limitations of Cost clause of this contract if the contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract i due to the changes. a
- To be incorporated into any resultant contract P
(End of Clause) ;
62052.215-81 Travel approvals.
144
- - ,.E. - - . . _ . - . --.aw.---.-_.-.. _-. . - :-
As prescribed in 62015.407-70(d), insert the following cleuse in applicable solicitations and contracts:
Travel Approvals (a) All domestic travel requires the prior approval of the project officer.
(b) All foreign travel must be approved in advanc.e by the NRC on NRC form 445 and must be in compliance with FAR 52.247-63 Preference for U.S. Flag Air Carriers. Foreign travel approval must be communicated in writing through the contracting officer.
(End of Clause) y
- io be incorporated into any resultant contract (End of Clause) 62052.215.82 Contract award and evaluation of proposals.
As prescribed in 12015.670(a), insert the following provision in applicable solicitations:
Contract award and Evaluation of Proposals (a) By use of numerical and narrative scoring techniques, proposals are evaluated against the evaluation factors specified in paragraph
- below.
145
i These factors are listed in their relative order of importance. Aeard is made !
. i
-to the offeror: ;
i (1) Whose proposal is technically acceptable; l (2) Whose _ technical / cost relationship is most advantageous to the :
i Government; and ;
t (3) Who is considered to be m u e ' wiu N the meaning of Federal l Acquisition Regulation Part 9.1. >
(b) Although cost is a factor in the ev;.luation of proposals, technical merit in the evaluation criteria set forth below is a more significant factor in the selection of a contractor. _Further, to be selected for an award, the proposed cost must be realistic and reasonable, (c) The Government may:-
(1) Reject any or all offers if the action-is 'in the publ.ic interest; (2)- Accept other than the lowest offer; and l,
- (3) Waive. informalities and minor irregularities in offers-receivedt ,
(d) The Government may award a contract on the basis of initial offers _
received, without discussions. Therefore, each initial offer should-contain l the offeror's best terms from a costLor price and technical standpoints.
l 146
(e) A separate cost analysis is performed on each cost proposal. To i provide a-common base for evaluation of cost proposals, the level of effort l data must be expressed in staff hours. Where a Contractor Spending Plan (CSP) is required by other provisions of this solicitation, consideration is given to the Plan for completeness, reasonableness, and as a measure of effective :
management of the effort. !
(f) In making the above determination, an analysis is performed by the Government that takes into consideration the results of the technical evaluation and cost analysis. ,
t
- To be incorporated into the solicitation.
(End of Provision)
$2052.215-83 Contract award and evaluation of pre,posals - cost more- .
important than technical merit, &
As prescribed at 620lS.670(a). . substitute the following paragraph for paragraph (b) in the clause at 12052.215.82: ,
(b) Although technical merit in the evaluation criteria set forth
'below is a factor'in the evaluation of proposals, cost is_more a significant factor in the selection of a-contractor. Further, to be: selected Lfor an' award, the proposed cost must be realistic and reasonable.
62052.215-84~ ' Contract award and evaluation of1 proposals - cost land-technical merit of equal value.
1147-k
-- y -~-, , =e p -e,+,---, -,+e e, , ,w,-* y-&,,w- ,a + e v- ,;,-w--
,--.--,y 6o,--e,:
t
-l As prescribed at 12015,670a(2), subst'itute the following paragraph for -
paragraph (b) in the clause at $2052.215.82:
(b) In the selection of a contractor, technical merit in the evaluation criteria set forth below and cost bear equal significance. To be [
selected for an award, the proposed cost must be realistic and reasonable. _-
62052.216-70 Level of effort.
l As prescribed at 52016.307-70(a), insert the following provision in !
4 applicable solicitations:
Level of Effort t
The NRC's estimate of the total effort for this project is approximately
- professional and
- clerical staff-years for the duration of this contract. This information is advisory and is~not to be considered as the sole basis for the development-of the staffing plan._ For the purposes of the Government estimate, 2000 hours0.0231 days <br />0.556 hours <br />0.00331 weeks <br />7.61e-4 months <br /> constitute-a staff year.-
- To be incorporated into any resultant contract (End of Provision) .
b
. 62052.216-71 Indirect cost rates.
l As-prescribed at 12016.307-70(b), insert the following clause in ,
applicable solicitations and contracts:
1 148
_ -_ - =_ . .
, , + w-,- , yw-p==e- e wwy ,,-r.-.-r, y, ,m+-+---m--,--. te,2- t v,- c.m e,-r- w u r -+ w wem----m,--=,, , , . -+ --rr, --
ww.i.r u ,-v,- -e w- n,. ,e,v
i; Indirect Cost Rates !
(a) pending the establishment of final indirect rates which must be !
negotiated based on audit of actual costs, the contractor shall be reimbursed j for allowable indirect costs as follows: f I
t (b) The contracting officer may adjust the above rates as appropriato- l during the term of the contract upon acceptance of any revisions proposed byj j the contractor. It is the contractor's responsibility to notify the !
contracting officer in accordance with FAR 52.232-20, Limitation of Cost, in-FAR 52.232-22, Limitation of Funds, as applicable, if these changes affect.
performance of work within the established cost or funding limitations. f i
- To be incorporated-into any resultant contract, (End of Clause) ;
12052.216-72 Indirect cost . rates - Alternate-1.. j As prescribed at- 62016.307-70(b), insert the following; clause in- ;
applicable solicitations and contracts; f
~
Indirect-Cost Rates - Alternalg_1 9 The contractor is reimbursed for allowable. indirect costs in accordance-with the following predetermined rates: -
149; ,
= + _ _ . _ __ - - . _ _ :.
yEmqy4 yw wg w gar gw---#ywyyg- 9yyy'.9g-.. .
.W,yv-e -P MT-4-*--m-F ryy=-+-w--gy r- p 7a Wwy-y ---
- To be incorporated into any resultant contract.
S 4 (End of Clause) 62052.216-73 Indirect cost rates - Alternate 2.
As prescribed at 12016.307-70(b), insert the following clause in applicable solicitations and contracts:
Indirect Cost Rates - Alternate 2 L
(a) for this contract, the amount reimbursable for indirect costs is as follows:
i (b) In the event that indirect rates developed by the cognizant audit activity on the basis of actual allowable costs are less than the ceiling-rates, the rates established by the cognizant audits must apply. The Government may not be obligated to pay any additional amounts forcindirect costs above the ceiling rates set forth above for the applicable period. -
- To be incorporated into any- resultant contract.
(End of Clause);
1 L
62052.216-74 -Task order procedures. [
- 150
,w- gy y *is at- - + erywTwv wg-- e up dw. 9 -e p yr -y---,y y 9 -9 ymyy gir u- 7 y sy- --4 't- r tre='7wr*'*9w-- g 4't T' WwWW V T
As prescribed at $2016.506-70(a), insert the following clause in applicable solicitations and contracts:
Task Order Procedures (a) Task order request for proposal. When a requirement within the scope of work for this contract is identified, the contracting officer shall transmit to the contractor a Task Order Request for Proposal (TORP) which includes the following, as appropriate:
(1) Scope of work / meetings / travel and deliverables; (2) Reporting requirements; (3) Period of performance - place of performance; i
(4) Applicable special provisions; l l
i (5) Technical skills required; and (6) Estimated level of effort.
(b) Task order proposal.
By the date specified in the TORP, the contractor shall deliver to the contracting officer a written proposal that provides the following technical and cost information, as appropriate:
151
(1) Technical proposal content; (i) A discussion of the scope of work requirements to substantiate the ,
I
-contractor's understanding of the requirements of the task order and the contractor's proposed method of approach to meet the objective of the order.
(ii) Resumes for professional personnel proposed to be utilized in the performance of ary resulting task order. Include educational background, specific pertinent work experience, and a list of any pertinent publications authored by the individual.
(iii) Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.
(iv) Identification of " Key Personnel" and the number of staff hours' that will be committed to completion of work on the task order.
(2) Cost proposal. The contractor's cost proposal for each task order must be prepared using Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the form and instructions are attached to this contract.
Each' task order cost proposal must be fully supported by cost _ and pricing data-adequate to establish the reasonableness of the_ proposed amounts, When the contractor's estimated cost for the proposed task order exceeds $100,000 and' the period of performance exceeds six months, the contractor may be required to submit a Contractor Spending Plan (CSP) as part of its' cost proposal, .The
~
-TORP indicates if a CSP is re' quired.
152'
= _ _ _ _ _ _ _
(c) Task order acard. The contractor shall perform all work described in definitized task orders issued by the contracting officer. Definitized task orders include the following:
(1) Statement of work / meetings / travel and deliverables; 1
(2) Reporting requirements; (3) Period of performance; (4) Key personnel; (5) Applicable special provisions; and (6) Total task order amount including any fixed fee.
(End of Clause) 62052.216-75 Accelerated task order procedures.
As' prescribed at 62016.506-70, insert the'following clause in applicable solicitations and contracts::
Accelerated Task Order Procedures (a)- The NRC may require the contractor to commence work before receipt of a definitized-task order from.the contracting officer. Accordingly, when-the contracting officer verbally authorizes the work, the contractor shall 153 a
,. _ .~. _ __ _ . _ ._ - . __- -.. -- ._.- _ .- - . . _ _ _ _ . . _ . _ . . _ _ .
proceed with performance of the task order subject to the monetary limitation established for the task order by the contracting officer. I (b) - When this accelerated procedure is employed by the NRC, the contractor agrees to begin promptly negotiating with the contracting officer the terms of the definitive task order and agrees to submit a cost proposal ;
with supporting cost or pricing data. If agreement on a definitized task 1 order is not reached by the target date mutually agreed upon by the contractor and contracting officer, the contracting officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part 31 of the_ FAR, subject to contractor appeal as provided-in 52.233-1, Disputes. In-any event, the contractor shall proceed with completion of the task order, subject only to the monetary limitation established by the contracting officer and the-terms and conditions of the basic contract. .
(End cf Clause) 62052.222-70 Nondiscrimination because of age.
t As prescribed at 12022.901-70, insert the following clause'in applicable solicitations and contracts:
Nondiscrimination Because of Aae It is the policy of.the Executive Branch of the Government that:'
_ (a)- ' Contractors and. subcontractors' engaged in the performance:of ,
Federal contracts may not, in connection with the employment,- advancement,.or.
i 154
,*y. . - - - - - - . -n ,.-,,,e.-ym-- , , ~ , . w.- e e- - - -. - ,, . , ..---,w .,y-,,-,-.-m.,,.y--.5,_---, , . . . , , . , . - . , . . . . . , . .- - - - - . ,, ,
discharge of employees or in connection eith the terms, conditions, or
' priv'ileges of their employment, discriminate against persons because of their age except upon the basis of a bona fide occupational qualification, retirement plan, or statutory requirements; and (b) That contractors and subcontractors, or person acting on their behalf, may not specify, in solicitations or advertisements for employees to work on Government contracts, a maximum age limit for employment unless the specified maximum age limit is based upon a bona fide occupational qualification, retirement plan, or statutory requirement.
(End of Provision) 62052.231-70 Precontract costs.
As prescribed in 62031.109-70, insert the following clause in applicable solicitations and contracts:
Precontract Costs j Allowable costs under this contract must include such costs, incurred by the contractor in connection with the work covered by this contract-during the period from
- and including
- to the effective date of this_ contract,_as ,
would have-tieen allowable pursuant to the terms.n" this contractTif this contract had been in effect during that period;'provided, however, that the costs may_not in aggregate exceed
- which is included in the estimated cost of this contract.
155.
- To be incorporated into any resultant contract (End of Clause) l 62052.235-70 Publication of research results.
As prescribed in 62035.70, insert the following clause in applicable solicitations and contracts:
Publication of Research Results (a) The principal investigator (s)/ contractor shall comply with the provisions of NRC Handbook 3.8 (formerly MC 3202) and NRC Manual Chapter 3206 regarding publication in refereed scientific and engineering journals or dis,emination to the public of any information, oral or written, concerning the work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract.
The principal investigator (s)/ contractor may publish the results
~
(b) of this work in refereed scientific and engineering journals or in open literature and present papers at public or association meetings at interim stages of work, in addition to submitting to NRC the final reports and other deliverables required under this contract. However, such publication and papers shall focus on advances in science and technology and minimize conclusions and/or recommendations which may have regulatory implications.
156
(c) Prior to any such publication, the contractor shall submit the proposed publication to the ilRC Contracting Officer and Project Officer for review and approval.
(End of Clause) 62052.235-71 Publication of research results - universities As prescribed at $2035-70, substitute the following paragraph (c) for paragraph (c) in $2052.235-70.
(c) The principal investigator (s) shall coordinate all such publications with, and transmit a copy of the proposed article or paper to, the t1RC Contracting Officer or Project Officer, prior to publication. The IIRC agrees to review and provide comment within thirty (30) days af ter receipt of
- . peoposed publication. However, in those cases where the information to be published is (1) subject to Commission approval, (2) has not been ruled upon, or (3) disapproved by the Commission, the NRC reserves the right to disapprove or delay the publication. Further, if the NRC disagrees with the proposed publication for any reason, it reserves the right to require that any publication not identify the NRC's sponsorship of the work and that any
- associated publication costs shall be borne by the contractor.
(End of Clause) 2052.235-72 Safety, Health, and fire Protection, 157
i
?
As prescribed in 12035.~0, insert the following clause in applicable sol'icitations and contracts: 1 t
1- r Safety. Health. and Fire Protection i
The contractor shall 1:. l reasonable precautions in the performance of the work under this contrac to protect the health and safety of its employees and of members of the public, including NRC employees and contractor personnel, and to minimize danger from all hazards to life and property and !
shall comply with all applicable health, safety, and fire protection i regulations and requirements (including reporting requirements) of the- -;
Commission and the Department of Labor, In the event that the contractor fails to comply with these regulations or requirements, the contracting officer may, without prejudice to any other legal oi contractual rights of the -
Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the contracting officer. The contractor shall make no claim for an extension of ,
time or for compensation or damages by reason of, or in connection with, this type of work stoppage, nd of Clau) ) ,
Dated at Rockville, Maryland this i day of / h a. W , 1992.
For the Nuclear Regulatory Commission, A I i l i 0
d; Samuel J. .htllih d Secretary f the Commission N
158
,,,n-e e' ee-,,,-,,<, -l--- ,, ww -c -- y~n.,w-.s ,, , N -,-r--.e- -g-n-,- - - > , w -mas,r-v-- -
a-ow o*w .t,g* ---me,+r ---
INDEX Advance Payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 Advertisements . . . . . . . . . . . .............. 36, 37, 155-Affiliates ...........................42,45,46 Agency Head . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Appeals . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37, 43, 88-90 Award Notification . . . . . . . . . . . . . . . . . . . . 68, 98, 133, 134 Bid Evaluation . . . . . . . . . . . .............. 65, 98, 123 Brand Name or Equal . . . . . . . . . . . . . . . . . . . . . . .-. . . . .
61 Broad Agency Announcements . . . . . . . . . . . . . . . . . . . 10, 90, 91 Buy American Act . . . . . . . . . . ..........,........-84 9 Claim . . . . . . . . . . . . . . . . . . . . . . . . 94, 114, 130,~135, 158-Classified Information . . . . . . . ......... 35, 36, 100, 102, 103 Commission 1-6, 19-21, 23, 26, 32, 33, 70, 100-103, 111, 114, 121, 124, 125, 136, 142, 157, 158 .
Competition Advocate . . . . . . . . . . . . . . . . . . . . . . . 30, 31, 33 ;
Competitive Range . . . . . . . . . . . . . . . . . . . . .. 9, 73, 74, 76, 80
-Contract Financing . . . . . . . . . ............-.......88 Contracting Officer Authority . . . . . . . . . . . . . . . . . . . . 29;-32 Contractor Spending Plan . . . . . . .... 12, 63, 115, 118, 137, 147,-152- ;
Cost Accounting Standards . . . . . . . . . . . . . . . . . . . . . . . . . 87 .
Cost Principles and Procedures . . . . . . . . . ... . . . . . . . . . .
87 ;
Cost Reimbursement Contracts . . . . . . . . . . . . . . . . . . . . 77, 78
' Debarment . . . . . . . . . . . . . . . . , . . . . . , . . . -3, 8,'37,'40-42 Debarring Official . . . . . . . . . ................40,42 :
Definitions . . . . . . . . . . . .-. . . . . . . . . . . . 32, 37, 38, 40, 45 Affiliates . . . . . . . . - . . . . . . ... . ... .- . . . . . . . . 45 Definitions. -
Contract -
. . . . . . . . . . . . .......-......,.....-45 .
159
_ = .
-- -,e , - ,,,r. . .,ic , - - - , u.,-aw.- , , , . e a.i.,. , , , , , , ..+.; , , , - ,
Designating Official . . . . . . . . . . . . . . . . . , . 31, 73, 74, 76, 92 Des'igns . . . . . . . . . . . . . . . . . . . . . . . . . . . 47, 62, 98,-114 Deviations .......................... 7, 22, 27, 28 Disallowance of Costs . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Disputes .................... 82, 88-90, 94, 95, 131, 154 Drawings . . . . . . . . . . . . . . . . . . . . . . . . . 62, 98, 114, 129 Effect of Listing . . . . . . . . . . . . . . . . . . . . . . . . . . 37, 41 financial Status Reports . . . . . . . . . . . . . . . . . . . . . . . .-. 11 Government Property . . . . . . . . . . . . . . . . . . . . . . . . . 96, 97 Head of Contracting Activity . . . . . . . . . . . . . . . . . . . . . . 82-Indirect Cost Rates . . . . . . . . . . . . . . . . . . . . . 78, 99, 148-150 !
Ineligibility . . . . . . . . . . . . . . . . . . . . . . . . . . ._ 3, 37, 40 i Ini ti ating Of fici al . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Invitations for Bids . . . . . . . . . . . . . . . .-. . . . . . . . 64,_65 Key Personnel . . . . . . . . . . 46, 58, 67, 91, 98, 127, 128, 138, 152 --153 l Labor Policies . . . . . . . . . . . . . . . , , . . . . . . . . . . . . 82 Labor Surplus Area Concerns . . . . . . . . . . . . . . . . . . . . . . . 81 Negotiation . . . . . . . . . . . . . , . . . . . . . . . . . 30, 66, 71, 80 Options ... . . . . . . . . . . . . . . .-, . , . . . . . . . . ... . . 79 Organizational Conflicts of Interest . 3, 6,~ 7, 14-16, 19, 37, 38, 44, 46-48, i
.55-58, 106-100, 110 Patent Rights . . . . . . . . . . . . . . .-. . . . . . . . , . . . . . . . 85 Potential Conflict of Interest . . . . . . . . . . . . . . . . . .., L46, 108 Prebid Conference . . . . . . . . . ... . . . . . . . . .- 64,-65, 98,1120,~121 Preproposal Conference . . . . . . . . . . . . . . . . . . . 68, 99,/141-143
' Privacy . . , . . . . . . . . . . . . . . . . , . . 83, 84, 101, Ill, 112 Procurement Executive . . . . 1 . ..... ..-.... 33', 38-41, 43,;59:
Prospective Contractor . . . , . . - . . . . . . . . . .,. . .:. . . . L46, 125 Protests . . . . ... . . . . . . . . . . . . .. . . . . . . . . . . . 88, 89 160--
, , , ,- . , . ,y - -
, , ems - - ,+n - r +,- v " *~
Publication of Research Results . . . . . . . . . . . . . 14, 91, 99, 156, 157 3 .
Qualifications of Contract Emplo, as .. . . . . . . . . 40, 98, 104, 105 Research .......... 3, ,, 14, 47, 48, 56, 90, 91, 99, 144, 156, 157 Security ................. 35, 36, 90, 98, 100-104, 112, 115 Site Access . . . . . . . . . . . . . . . . . . . . . . . . . . . 36, 98, 104 Small Business ..................... 20, 39, 71, 80, 134 Small Di s advantaged . . . . . . . . . . . . . . . . . . . . . . . . . 80, 81 Solicitation of Bids . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Source Selection . . . . . . . . . . . . . . . . . . . . 66, 71, 72, 76, 80 Standards of Conduct ..........................34 System of Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 lask Order Procedures . . . . . . . . . . . . . . 13, 79, 99, 150, 151, 153 Technical Consulting and Management Support . . . . . . . . . . . . . 47, 56 Technical Progress Report . . . . . . . . . . . . . . . . 10, 63, 98, 115, 116 Technical Reports . . . . . . . . . . . . . . . . . . . . . . 62, 98, 115, 129 Travel Reimbursement .................... 12, 69, 99, 143 Unauthorized Commitments ........,,......... 7, 22, 29, 31 Unsol ici t ed Propos al s . . . . . . . . . . . . . . . . . . . . . . . 56, 66, 69 161
..