I~ftfow AUi atomij · QUANT1. q 150. UNIT 15E PRICE 1SF. AMOUNT Title: Neutral Services Supporting the Nuclear Regulatory Commission (NRC) Office of Enforcement's (OE) Alternative

A C1. THIS CONTRACT IS RATED ORDER RATING PAGE OF PAGESAWARDICONTRACT UNDER DPAS (15 CFR 700) N/A 1 50

2. CONTRACT NO. cPrm InsL uiea) 3 EFFECTIVE DATE 4. REQUISION/PURCHASE REQUESTIPROJECT NO

IIRC-BQ-12-C-37-0039 03/27/2012 RFPA No. OE-11-018FAIMIS: 121356

S. SSUEDBY CODE 3100 16. ADMINISTERED BY of ew '. oIwn 5) CODE 3100: U.S. Nuclear Regulatory Commission

U.S. Nuclear Regulatory Commission I Div. of ContractsDiv. of Contracts Mail Stop: TWB-01-B1IMAttn: Jennifer A. DeFino, 301-492-3637Mail Stop: TWB-01-BlOMWashington, DC 20555 Washington, DC 20555

7. NAME AND ADDRESS OF CONTRACTOR mo . e.. cit =uimy SIw m• a ZIP Code) 0. DELIVERY

CORNELL UNIVERSITY, INCOFFICE OF SPONSORED PROGRAMS U FOB ORIGIN OTHER IS.b7

9. DISCOUNT FOR PROMPT PAYMENT

373 PINE TREE RD N/A

ITHACA NY 14850282010. sUBMIT INVOICES ITEM

11 4pes Cp= s e.i . idse_pedled) TOTHE

CODE 872612445 FACILITY CODE ADDRESS SHOWN IN

11. SHP TOIMARK FOR CODE _ 12. PAYMENT WILL BE MADE BY CODE 13100Department of Interior / NBC

U.S. Nuclear Regulatory Commission [email protected] of Enforcement Attn: Fiscal Services Branch - D2770Attn: Shahram Ghasemian, 301-415-3591 7301 W. Mansfield AvenueMail Stop: O-4AISA Denver CO 80235-2230Washington DC 20555 PHONE- FAX:

13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETiTION: 14. ACCOUNTING AND APPROPRIATION DATA O.,IEW.E: V10,000.0014BR: 2012-7B-11-5-124 JCN: D6051 BOC: 252A APPR NO: 31X0200

SIOU.S.C 2304(c)L ) [] 41U.SC.253cK.. ) IDUNS: 872612445 NAICS: 541990 PSC: R408 FAIMIS: 121356

I5A. rrEuM O ia SUPPLIEsISERVIcEs 15C. QUANT1. q 150. UNIT 15E UNIT PRICE 1SF. AMOUNT

Title: Neutral Services Supporting the Nuclear RegulatoryCommission (NRC) Office of Enforcement's (OE) AlternativeDispute Resolution Program

Period of Performanee: March 21, 2012 - March 26, 2013(plus four -- year option periods)

Contract Type: Hybrid- Firm Fixed Price & Indefinite-Delivery-Requirements.**9 Section 8.2 for Price Scbedule**

1IG. TOTAL AMOUNT OF CONTRACT ,0

16. TABLE OF CONTENTS See Attached Table of Contents

P SEC. oESCRPTIOw PAGE(S (x)o SEC DeSCRmPTION PAGE(S)

PART I- THE SCHEDUIE PART If- CONTRACT CLAUSES

x ;A; SOLICITATIXONICONTRACT FORM1 x I X CjONTRACT CIAUBES1-

x B SUPPLIES OR SERVICES AND PRICESCOSTS B- PART I01 - LIST OF ,OCUMENS. GEXIIBITS AND OTHER ATrACH.

X C OEScMPn AR ATEMENT C-1 X J ILIST OFATTACHMENTS J-1

x D PACKAGING AND MARKING D-1 PART IV REPRESENTATIONS AND INSTRUCTIONSx E INSPECTION AND ACEPTANC;5 E-l1

Ki REPRESENTATIONS, CER11F1CATIONS ANDDELVERIES OR PERFORMANCE F-1KOTHER STATEMENTS OF OFFERORS

x G CONTRACT ADMINISTRATION DATA G-1 I INRS., CORES.. AND NOTICES TO OFFER

X H SPECAL CONTRACT REQURAEMENTS M-1 M W ION FACTOR FOR AWARD

CONTRACTING OFFICER WILL COMPLETE ITEM 17 (SEALED-BID OR NEGOTIATED PROCUREMENT) OR 18 (SEALED-BID PROCUREMENT) AS APPLICABLE

17 Q CONTRACTOR'S NEGOTIATED AGREEMENT (Conbactrs requird to 18.] SEALED-BIDAWARD tcanw s not m.p*w ' b aft asom:mneit)sign doouent aid return I copies to 1asung 811010.) COntraCtora ,'eealo ffin't And deliver allmRom orpmfor. al1Uthe sYenr bid an Soliiadtions o brndotiiein Idemifled abowe and on any continuation sheets fone In full the Is hr es aeade by you which alddon or dandm o m snsaed herein. The drgh1 tsd obligabm of the partes t thi contract dog be foth In t abowe, is teby accepted as to the to.a. listedoaboveiandtononcasubject to and governed by the faoloeng docrnena-. (a) this uwaldlcontract. (b) continuatin sheets, This aI•ard corsunuates the contract which conssts of thethe soclltation. If any. ard (c) such provIslons. representations, ce"tnicaltons, ari d follow documenis: (a) •he Govermnea soiitatio and yoaw bid, and (b) thisspeoflcations, a• are attached or Incorporated by reference hereIn (Attachlnet awaullcontacL No uather conitacluni document is necesay. (Block 18 should be dheckedwre seed haearm) Columbia Warren only 5A e. wdln a asaledIld Contrat.)

1SA. NAME AND TITLE OF SIGNER (Type or pnrt) Grant & Contract Officer 20k NAME OF CONTRACTING OFFICEROffice of Jennifer A. DeFino

Spangored Prngrame Contracting Officer198- NAME OF 1 ATE.SA.N-R 20B UN•ITE 1,CA, 20C. DATE SIGNED

By AUT ___ _ _ _R O _TN//S DA By F A-T // ' F

AUTHORIZED FOR LOCAL. REPRODUICTION ( 7STANDARD FORM 26 IRnV SM~I'l

I~ftfow AUi SNS VI w atomij

Table of Contents

PA RT I - THE SCHEDULE ............................................................................................................. A-1

SECTION A - SOLICITATION/CONTRACT FORM ................................................................... A-1

SF 26 AW ARD/CO NTRA CT ........................................................................................... A-1

PA RT I - THE SCHEDULE ............................................................................................................. B-1

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS .................................................. B-1

B.1 BRIEF PROJECT TITLE AND WORK DESCRIPTION (AUG 2011) ............................. B-1B .2 PR IC E/C O ST SC H ED U LE ........................................................................................... B-1B.3 CONSIDERATION AND OBLIGATION-REQUIREMENTS CONTRACT ......................... B-7

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK .............................. C-1

SECTION D - PACKAGING AND MARKING .............................................................................. D-1

D.1 PACKAGING AND MARKING (AUG 2011) ................................................................. D-1D .2 B R A N D IN G (A U G 20 11) ................................................................................................. D -1

SECTION E - INSPECTION AND ACCEPTANCE ..................................................................... E-1

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE ...... E-1E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) .......................................... E-1

SECTION F - DELIVERIES OR PERFORMANCE ..................................................................... F-1

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE ...... *F-1F.2 PERIOD OF PERFORMANCE (AUG 2011) ALTERNATE IV (AUG 2011) ................... F-1F.3 PLACE OF DELIVERY--REPORTS (JUN 1988) .......................................................... F-1

SECTION G - CONTRACT ADMINISTRATION DATA .............................................................. G-1

G.1 PROJECT OFFICER AUTHORITY ALTERNATE 2 (FEBRUARY 2004) ......................... G-1G.2 2052.215-77 TRAVEL APPROVALS AND REIMBURSEMENT (OCT 1999) .................. G-1G .3 O RDERING PROCEDURES (AUG 2011) ....................................................................... G-2G .4 ELECTRO NIC PAYM ENT (AUG 2011) ........................................................................... G-2

SECTION H - SPECIAL CONTRACT REQUIREMENTS ............................................................ H-1

H.1 2052.209-72 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)H-1H.2 2052.215-70 KEY PERSONNEL (JAN 1993) ................................................................. H-3H.3 GOVERNMENT FURNISHED EQUIPMENT/PROPERTY/MATERIALS (JUN 1988) ....... H-3H.4 ANNUAL AND FINAL CONTRACTOR PERFORMANCE EVALUATIONS (AUG 2011).. H-4H.5 COMPLIANCE WITH U.S. IMMIGRATION LAWS AND REGULATIONS (AUG 2011) .... H-4H.6 NRC INFORMATION TECHNOLOGY SECURITY TRAINING (AUG 2011) ................... H-4H.7 WHISTLEBLOWER PROTECTION FOR NRC CONTRACTOR AND SUBCONTRACTOR

E M PLO Y E E S (A U G 2011) ............................................................................................. H -5H.8 G REEN PURCHASING (JUN 2011) ............................................................................ H-5H.9 USE OF AUTOMATED CLEARING HOUSE (ACH) ELECTRONIC

PAYMENT/REMITTANCE ADDRESS (AUG 2011) .................................................... H-5

PART II - CONTRACT CLAUSES ............................................................................................... I-1

SECTION I - CONTRACT CLAUSES ......................................................................................... I-1

1.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE ........... I-1

1.2 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDINGRESPO NSIBILITY M ATTERS (JAN 2011) ....................................................................... 1-2

1.3 52.216-18 O R D E R IN G (O C T 1995) .................................................................................. 1-31.4 52.216-19 O RDER LIM ITATIONS (OCT 1995) ................................................................. 1-31.5 52.216-21 REQ U IREM ENTS (O CT 1995) ........................................................................ 1-31.6 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999) ................................................. 1-41.7 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR-2000) ............... 1-41.8 52.219-28 POST-AWARD SMALL BUSINESS PROGRAM RE-REPRESENTATION (APR

2 0 0 9 ) ............................................................................................................................... 1-41.9 52.222-40 NOTIFICATION OF EMPLOYEE RIGHTS UNDER THE NATIONAL LABOR

R ELA T IO N S A C T (D EC 2010) ....................................................................................... 1-61.10 52.232-18 AVAILABILITY OF FUNDS (APR 1984) ........................................................ 1-71.11 52.232-19 AVAILABILITY OF FUNDS FOR THE NEXT FISCAL YEAR (APR 1984) ...... 1-71.12 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) ........................... 1-7

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS .............................. J-1

SECTION J - LIST OF ATTACHMENTS ......................................................................................... J-1

NRC-HQ-12-C-37-0039 Section B

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 BRIEF PROJECT T7TLE AND WORK DESCRIPTION (AUG 201ti)

(a) The title of this project is: Neutral Services Supporting the Nuclear Regulatory CommissionOffice of Enforcement's Alternative Dispute Resolution Program

(b) Summary work description:To continue the successful implementation of the NRC Office of Enforcement's Alternative Dispute Resolutionprogram, and to maintain the credibility that is essential to its effectiveness, the NRC requires the services of anorganization to provide comprehensive case management services from initial contact by a potential party throughcompletion of a potential settlement agreement. These services shall include:

i. Services of an intake neutral to process each case in a timely and efficient manner; andii. Maintenance of a.nationwide roster of highly qualified individuals available to perform session neutral

services, on short notice, and aid the parties in resolving disputes related to the NRC enforcementprogram.

B.2 PRICE/COST SCHEDULE

. -. .BASE.YEAR:IA-RBHS27, 2012. MARCH 26, 2013

Y..u ..T'"AE :M .2,.:.U I -2 ." :S .

'FIXED PRICE .CONTRACT1JINE ;.ITEMSý (CI~s........................ (Basic Leve ofervice~ ___

GUIN DESCRIPTION . Ul AE- UNIT TOTA0001 Fixed Price Ongoing Daily Services Month

...:DELIVERY O.RDE!R CLINs - AS'N.EE.DED ..BASIS

0002 Early ADR Mediation Services

(*All fees to be paid by the NRC)

0002a Task B(i): Selection of Session Neutral EA

0002b Task B(ii): Mediation Session Scheduling EA0002c Task B(iii)(b): Mediation Process & EA

Documentation0002d Task B(iii)(a): Mediation Session DAY U

*When the NRC Project Officer (PO) issues the initialdelivery order for this task; they will authorized up totwo (2) days for the actual mediation. If additionaldays are required for the actual mediation, thecontractor shall obtain authorization from the NRC COor PO.

0003 Post-investigation ADR Mediation Services(*The NRC and the party requesting mediation [e.g. NRC regulated entity] will share the cost of the mediation session and

mediator travel expenses. Prior to the NRC PO issuing an order for these services, the contractor shall obtain signature

B-1


from both parties aqreeii

0003a Task B(i): Selection of Session Neutral(*All fees to be paid by the NRC)

0003b Task B(ii): Mediation Session Scheduling(*All fees to be paid by the NRC)

0003c Task B(iii)(b): Mediation Process &Documentation (*All fees to be paid by theNRC)

0003d Task B(iii)(a): Mediation Session*When the NRC P0 issues the initial delivery order for

this task; they will authorized up to two (2) days for theactual mediation. If additional days are required forthe actual mediation, the contractor shall obtainauthorization from the NRC CO or P0.

**The total cost of this task will be split between the

NRC and the party requesting mediation [e.g. NRCregulated entity].

%SUBTOTAL FOR DELIVERY.ORDER LINE.ITEMS .. $,157;080;00.

BASE YEAR:1TRAVEL IESTIMATE

CLND.ES'CRIPTION: TOTAL.:o.. .ESTIMATED:J.:.

0004 Travel(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal TravelRegulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUPDOCUMENTATION/RECEIPTS.*All travel must be approved in advance by the NRC Project Officer.*(Note: In cases of Post-investigation ADR Mediation Services, the NRC and the party requestingmediation [e.g. NRC regulated entity] will share the cost of the mediator's travel expenses)

- - ~~BASIEYEAR-'NOTTO. EXCE:ED) CELNG $8708.0

.-P -NYEAR ONE::.MARCH -27,201-.3MARCH .26, 2014 T.

:FIXED' PRICE ýCONTRACT;LINE.ITEMSý (q:LIN 7(Basiic: Level of Service__________

:,LIN.. JDESCRIPTION.W .A ' QT OAL_ 3UNITpRATEfUNIT; ~

1001 Fixed Price Ongoing Daily Services Month

D ELIVERY ORDERCLIfs -ASINE-EDED BASIS:-..(Reg uirements that '.Exceed ,the Basic Levell of Service;! N.RC Co4r.P0will DissueDlive Orders)

_.CLIN ýDESCRIPTION; j NTRTE. UNIT.jES TOTAL

1002 Early ADR Mediation Services

1002a Task B(i): Selection of Session Neutral- EA E/


Documentation1002d Task B(iii)(a): Mediation Session DAY

I

B-2

NRC-HQ-1 2-C-37-0039 Section B

*When the NRC Project Officer (P0) issues the initialdelivery order for this task; they will authorized up totwo (2) days for the actual mediation. If additionaldays are required for the actual mediation, thecontractor shall obtain authorization from the NRC COor PO.

1003 Post-investigation ADR Mediation Services(*The NRC and the party requesting mediation [e.g. NRC regulated entityl will share the cost of the mediation session and

mediator travel ex.enses. Prior to the NRC P0 issuing an order for these services, the contractor shall obtain signaturefrom both parties agreeing to pay for their specified mo etas

1003a Task B(i): Selection of Session Neutral EA*AIl fees to be paid by the NRC)

1003b Task B(ii): Mediation Session Scheduling EA(*All fees to be paid by the NRC)

1003c Task B(iii)(b): Mediation Process & EADocumentation (*All fees to be paid by theNRC)

1003d Task B(iii)(a): Mediation Session DAY*When the NRC P0 issues the initial delivery order for (NRC Price) WRC Price)this task; they will authorized up to two (2) days for theactual mediation. If additional days are required forthe actual mediation, the contractor shall obtain (Partyauthorization from the NRC CO or P0. Requesting

-The total cost of this task will be split between the Mediation Price)


SUBTOTAL FOR DELIVERY ORDER.-LINE-ITEMS $13,34.100:

;OPTION'YEAR ,ONE TRA-V.EL .'ESTIMA.TE:CLIN :DESC'RIPTION ,., - .. .TOTAL

'ESTIMATED1004 Travel

(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal TravelRegulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUPDOCUMENTATION/RECEIPTS.*All travel must be approved in advance by the NRC Project Officer.*(Note: In cases of Post-investigation ADR Mediation Services, the NRC and the party requesting

I mediation [e.g. NRC regulated entity] will share the cost of the mediator's travel expenses)

OPTION. YEAR 0NE-RNOT TO EXCEED CEILING:.;. $13,734:. .0

OPTIO YEARTWO MARCH27, '20,14- MARCH 26, 2015

FIXED :PRICE"C.ONTRACT.LINE :ITEMS.,(CLINs):_ _,_ .- (Baisic Levelof Service)CLIN :DESORIPTIO :.N "UNIT RATE -:UNIT; QY TOTAL

2001 Fixed Price Ongoing Daily Services Month

;D ELIVE RY ;ORDER? CLI Ns - AS 'NEEDED BASIS(Requirements that Exceed the Basic Level of Service;'NRC.Co o rPoWiil issue-Deiivery-Orders)

CLN ESRITIN :-]UNIT RATE.],:: 'UNIT ES TOTAL.:,CII .. !D S RI.I .N,. .•:. :• ,::;;i.•.•.:wi"": .i:"';•" : •::U I.'R •E,.:s .UN.,TEST. OT.: !ES . : :TO A. . , .. .• i . ' . :. .. : b, -.. :" :; :,.: ;.:::.,.,i.'" - !•. '• !: ".' ,•'. '. " , ,.. .. ", : :::; i '' . . . •: . . .. Q. . W .•

B-3


2002 Early ADR Mediation Services(*All fees to be paid by the NRC)



Documentation2002d Task B(iii)(a): Mediation Session DAY

*When the NRC Project Officer (PO) issues the initialdelivery order for this task; they will authorized up totwo (2) days for the actual mediation. If additionaldays are required for the actual mediation, thecontractor shall obtain authorization from the NRC COor PO.

2003 Post-investigation ADR Mediation Services(*The NRC and the party requesting mediation [e.g. NRC regulated entity] will share the cost of the mediation session andmediator travel expenses. Prior to the NRC PO issuing an order for these services, the contractor shall obtain signaturefrom both parties agreeing to pav for their specified moner_ hre**

2003a Task B(i): Selection of Session Neutral EA(*All fees to be paid by the NRC) _

2003b Task B(ii): Mediation Session Scheduling EA( *AII fees to be paid by the NRC)


2003d Task B(iii)(a): Mediation Session 3 DAY*When the NRC PO issues the initial delivery order forI Pice) (NRC Price)this task; they will authorized up to two (2) days for theactual mediation. If additional days are required forthe actual mediation, the contractor shall obtainauthorization from the NRC CO or PO. Requesting

-The total cost of this task will be split between the Mediation Price)


SUBTOTAL ýFO.R DELI VERY !ORDER LINýE .ITEMSI-: 4 170,'31'0.;00.:

.'.. OPTION YEAR.TWO TRAVEL"ESTIMATE.•,.CLIN DESCRIPTION."' . . ., .,,.. .' ... ,..... JTOTAL


(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal TravelRegulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUPDOCUMENTATION/RECEIPTS.*All travel must be approved in advance by the NRC Project Officer.*(Note: In cases of Post-investigation ADR Mediation Services, the NRC and the party requestingmediation [e.g. NRC regulated entity] will share the cost of the mediator's travel expenses)

:'!..:;OPTION YEAR TWO - ,.NOT'TO'EXCEED CEILING $200,3106.00

OPTION YEAR THREE: MARCH 27, 2015- .MARCH 26, 2016FIXED.PRICE.CONTRACT' LINE E!ITEMS (CLINs)

!..Basic .Level ,of.Service).

B-4

NRC-HQ-1 2-C-37-0039 Section B

CLIN DESCRIPTION UN UNIT QTY TOTAL3001 Fixed Price Ongoing Daily Services Month

DELIVERY ORDER CLINs -:AS -NEEDED BASISi(Requirements that Exceed :the Basic 'Level -of Service; NRC CO or PO will issue Delivery Orde;-:-

CLIN .'DESCRIPTION TUNI RATE UNT




Documentation3002d Task B(iii)(a): Mediation Session - DAY

*\When the NRC Project Officer (PO) issues the initialdelivery order for this task; they will authorized up totwo (2) days for the actual mediation. If additionaldays are required for the actual mediation, thecontractor shall obtain authorization from the NRC COor PO.

3003 Post-investigation ADR Mediation Services(*The NRC and the party requesting mediation [e.g. NRC regulated entity] will share the cost of the mediation session and

mediator travel expenses. Prior to the NRC PO issuing an order for these services, the contractor shall obtain signaturefrom both parties agreeing to pay for their specified moneshe**

3003a Task B(i): Selection of Session Neutral EA(*All fees to be paid by the NRC)


3003c Task B(iii)(b): Mediation Process & W EADocumentation (*All fees to be paid by theNRC)

3003d Task B(iii)(a): Mediation Session • DAY*When the NRC PO issues the initial delivery order for (NRC Price) (NRC Price)this task; they will authorized up to two (2) days for theactual mediation. If additional days are required forthe actual mediation, the contractor shall obtain (Partyauthorization from the NRC CO or PO. rtiRequesting

Mediation Price)**The total cost of this task will be split between the


ýSUBTOTAL .FOR 'DELIVERY ORDER ýLINE I1TEMS J: :$176,382.00

OPTION YEAR.THREE TRAVEL ESTIMATE, ... """."•CLIN: ~DESCIRIPTION [7 -TOTAL

3004 Travel(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal TravelRegulations (FTR) for travel destination. NO PAYMENT WILL BE MAIDE WITHOUT BACKUPDOCUMENTATION/RECEIPTS.*All travel must be approved in advance by the NRC Project Officer.*(Note: In cases of Post-investigation ADR Mediation Services, the NRC and the party requesting

_ mediation [e.g. NRC regulated entity] will share the cost of the mediator's travel expenses)

B-5


OPTPON •YEAR THREE - NOT TO EXCEED -EIr " . 'Z.--

•OPTION YEAR FOUR: MARCH •27, 201.6- -MARCH 26, 2017FIXED PRICE CONTRACT LINE.ITEMS (CLINs)

___( Basic Level of Service)ýCLIN DESCRIPTION mUNITRATE UNIT QTY J TOTAL4001 Fixed Price Ongoing Daily Services Month

.DELI.VERYORDER.CLINs - AS.-NEEDED BASIS.(Re uirements.that!Exceed th Basic"Leveli.of Serv.ice; _ý,NRC -CO or. PO will .:issue Delivery Orders)

:CLIN:. ýDESCRIPTION UNI RAE UIS. TTLQTY



4002b Task B(ii): Mediation Session Schedulingq EA4002c Task B(iii)(b): Mediation Process & EA

Documentation ___=___1_

4002d Task B(iii)(a): Mediation Session DAY*When the NRC Project Officer (PO) issues the initialdelivery order for this task; they will authorized up totwo (2) days for the actual mediation. If additionaldays are required for the actual mediation, thecontractor shall obtain authorization from the NRC COor PO.

4003 Post-investigation ADR Mediation Services(*The NRC and the party requesting mediation [e.g. NRC regulated entity] will share the cost of the mediation session andmediator travel expenses. Prior to the NRC PO issuing an order for these services, the contractor shall obtain signaturefrom both parties agreeing to pay for their specified monetar e*

4003a Task B(i): Selection of Session Neutral EA(*All fees to be paid by the NRC)



4003d Task B(iii)(a): Mediation Session DAY*When the NRC PO issues the initial delivery order for (NRC Price) (NRC Price)this task; they will authorized up to two (2) days for theactual mediation. if additional days are required forthe actual mediation, the contractor shall obtainauthorization from the NRC CO or PO. Requesting

Mediation Price)**The total cost of this task will be split between theNRC and the party requesting mediation [e.g. NRCregulated entity].

SiUBTOTALIFOR, DELIVERY OQRDER LINE ]TEMVS. -$180$831.OO0

OPTION"YEAR ;FOUR TRAVEL 'ESTIMATE.'CLIN ]DESCRIPTION TOTAL

B-6



(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal TravelRegulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUPDOCUMENTATION/RECEIPTS.*All travel must be approved in advance by the NRC Project Officer.*(Note: In cases of Post-investigation ADR Mediation Services, the NRC and the party requestingmediation [e.a. NRC reaulated entityl will share the cost of the mediator's travel exoenses)

.:,;OPTION YEAR FOUR. -NOTTO EXCEE:D CEILNG $210;831.00

!

GRAND TOTAL (NOT TO EXCEED) -- $998,337.00

B.3 CONSIDERATION AND OBLIGATION-REQUIREMENTS CONTRACT

(a) The total current estimated amount of this contract (ceiling) for the services ordered, delivered, andaccepted under this contract is $187,080.00. This ceiling includes the firm fixed line items portion of thecontract with a ceiling amount of $8,460.00 and the delivery order line items with a ceiling amount of$178,620.00.

(b) The amount presently obligated with respect to this contract is $10,000.00. The obligated amount includesthe firm fixed line items portion of the contract in the amount of $8,460.00 and the delivery order line itemswith an obligated amount of $1,540.00. For the delivery order line items, the Contracting Officer (CO) orNRC Project Officer (PO) may issue orders for work up to the amount presently obligated. This obligatedamount may be unilaterally increased from time to time by the Contracting Officer by written modification tothis contract. The obligated amount shall, at no time, exceed the contract ceiling as specified in paragraph(a) above. When and if the amount(s) paid and payable to the Contractor hereunder shall equal theobligated amount, the Contractor shall not be obligated to continue performance of the work unless anduntil the Contracting Officer shall increase the amount obligated with respect to this contract. Any workundertaken by the Contractor in excess of the obligated amount specified above is done so at theContractor's sole risk.

(c) The estimated total quantity for the services under this contract is 20-30 "Early ADR" cases and 10-15"Post-investigation ADR" cases per year.

B-7

NRC-HQ-1 2-C-37-0039 Section C

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

Neutral Services Supporting the Nuclear Regulatory CommissionOffice of Enforcement's Alternative Dispute Resolution Program

Statement of Work

I. BackgroundThe Administrative Dispute Resolution Act (ADRA) encourages the use of Alternative Dispute Resolution (ADR)techniques by Federal agencies to resolve disputes arising under programs they administer [5 USC 571 et seq., Pub.Law 104-320]. In 1992, the U.S. Nuclear Regulatory Commission (NRC) issued a policy statement expressing itssupport for the use of ADR in its programs where appropriate [NRC Policy Statement, Alternative Means of DisputeResolution, 57 Fed. Reg. 36.678, Aug. 14, 1992]. In 2004, the Commission incorporated the use of ADR in itsEnforcement Program in order to achieve more timely and economical resolution of issues, more effective outcomes,and improved relationships. The NRC Office of Enforcement (OE) oversees, manages, participants in, and developsguidance for the ADR program. OE has chosen mediation as its ADR method.

OE's ADR program is structured into two parts:

i.The first part takes place prior to the initiation of an NRC investigation to resolve allegations of retaliation ("EarlyADR").

Early ADR is available only prior to the initiation of an NRC investigation. It involves mediation between anemployer (or former/prospective employer) and an employee (or former/prospective employee) who has filed anallegation of retaliation and alleged the prima facie elements of a violation of the NRC's employee protection rules(e.g. 10 CFR 50.7). After receiving an allegation of retaliation from an alleger, an NRC Allegation Review Board(ARB) determines whether the prima facie elements of a violation are alleged. If the prima facie elements arealleged, the alleger will be offered the opportunity to use Early ADR instead of having the NRC initiating aninvestigation to determine the merits of the allegation.

The allegation and the option to engage in ADR is typically documented in an acknowledgment letter to thealleger. The acknowledgment letter informs the alleger of his or her options for addressing the allegation ofretaliation including engaging in mediation with his or her employer as part of the Early ADR program. If thealleger elects to engage in mediation, he or she is directed to contact the contractor. No information is provided tothe contractor about the prima facie determination until after the alleger has contacted the contractor. After thealleger contacts the contractor, the contractor contacts the NRC Project Officer (PO) to confirm the allegation,assigns an ADR case number to the allegation and gets the details of the case in order to start processing thecase.

ii.The second part occurs after the completion of a NRC investigation relating to discrimination and otherwrongdoing cases ("Post-investigation ADR").

Once an NRC investigation has been initiated, Early ADR is no longer available to the alleger or the employer.Post-Investigation ADR refers to the use of mediation anytime after an investigation by the NRC's Office ofInvestigations is complete and an enforcement panel concludes that pursuit of an enforcement action appearswarranted. Unlike Early ADR, the parties to a mediation (in Post-investigation ADR) are the NRC and the entity(i.e. a Commission licensee, and applicant for a Commission license, a contractor or subcontractor of aCommission licensee or applicant or in some cases individuals) against whom the NRC is considering taking, orhas already taken, enforcement action. Mediation with the NRC (Post-Investigation ADR) is available at threestages of the enforcement process:

1. Prior to a pre-decisional enforcement conference;

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NRC-HQ-12-C-37-0039 Section C

2. After the initial enforcement action (e.g. issuance of a Notice of Violation); and

3. After imposition of a civil penalty and prior to a hearing request.

Discrimination and other wrongdoing cases are both eligible for mediation after an investigation is complete.

The NRC letter to the entity informs the entity of its option to engage in mediation with the NRC, provides it withthe details of the post-investigation program and directs the entity to contact the contractor if the entity elects toengage in mediation with the NRC to resolve the proposed or imposed enforcement action. If the entity elects theADR option, it contacts the contractor. After the entity contacts the contractor, the contractor contacts the NRCPO to confirm the case, assigns an ADR case number to the case and starts to the mediation process.

I1. Contract ObjectiveTo continue the successful implementation of OE's ADR program, and to maintain the credibility that is essential to itseffectiveness, the NRC requires the services of an organization to provide comprehensive case management servicesfrom initial contact by a potential party through completion of a potential settlement agreement. These services shallinclude:

i.Services of an intake neutral to process each case in a timely and efficient manner; andii.Maintenance of a nationwide roster of highly qualified individuals available to perform session neutral services, on

short notice, and aid the parties in resolving disputes related to the NRC enforcement program.

Ill. Personnel RequirementsEach mediation requires the services of an "intake" neutral (who shall be on the contractor's staff) and a "session"neutral (which will be selected by the mediating parties from the contractor's roster of mediators). The contractor shallensure that an intake neutral and appropriate session neutral(s) are available to fulfill the requirements of this contract.

i.Intake Neutral/Program ManagerThe intake neutral/program manager provides a variety of services, which include contacting parties to confirminterest in or explore the potential use of ADR; advising and assisting mediating parties in determining whetherADR is appropriate for their case; advising and aiding the mediating parties to select an appropriate sessionneutral; and generally providing logistical services to facilitate the ADR process and answering any questions thatmay arise from time to time. The NRC expects that the contract will need the equivalent of one full-time intakeneutral/program manager. The intake neutral/program manager's primary responsibilities shall include frequentcontact with the NRC Contracting Officer (CO) and Project Officer (PO), selection and oversight of disputeresolution service providers for individual delivery orders, oversight of tracking, invoicing and quality controlevaluative aspects of this contract. The intake neutral/program manager shall have sufficient knowledge of ADRso as to be able to identify, select, manage and evaluate session neutral credentials and experience and shouldhave sufficient knowledge of Federal contracting regulations and practices to manage the contractual relationshipefficiently.

ii.Session NeutralThe session neutral conducts the mediation itself in an effort to facilitate the parties' resolution of the dispute.Consequently, the same individual cannot serve as an intake neutral and a session neutral. Session neutrals shallbe experienced and trained neutrals with extensive experience and training in ADR techniques, in good standingat national ADR professional associations and familiar with NRC employee protection rules, employment laws andenvironmental whistleblower protection statutes (such as those enforced by DOL). A national roster of sessionneutrals shall be maintained such that extensive travel is minimized to the extent possible.

IV. Task RequirementsThe contractor shall be required to provide a basic level of daily/ongoing services and also provide neutral services ona delivery order basis when an order is issued by the NRC CO or PO.

A) Requirements for the Basic Level of Service (Firm Fixed Price)

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i.Program Procedure Compliance and Updatesa. The contractor shall maintain in-house procedures to ensure continuous program compliance with the

ADRA and the NRC program.b. At the direction of the NRC PO, the contractor shall implement process improvements that the NRC PO

has determined are necessary to increase the timeliness and effectiveness of the ADR program.c. As needed (anticipated to be once per year), the contractor shall meet with NRC representatives to provide

overall programmatic assessment and discuss emerging issues and suggest potential improvements forNRC PO consideration and approval.

ii.Session Neutral Resource Materials and Orientationa. On an annual basis, the contractor shall coordinate, sponsor, and organize an orientation

presentation/training for session neutrals new to the NRC ADR program.b. On an as needed basis, the contractor shall provide "Mediator Resource Handbook" and other NRC

background material (as provided to the contractor by the NRC PO) to session neutrals to ensure neutral'sfamiliarity with the NRC's mission and goals of the enforcement ADR program.

iii.Toll Free Phone Number and Electronic MailThe contractor shall provide a dedicated toll free phone number and electronic mail capability for the partiesuse in contacting the contractor. The contractor shall continually monitor the toll free phone number andelectronic mail during regular working hours (Monday through Friday from 9:00 A.M. to 5:00 P.M. EST). Thecontractor shall check the toll free phone number voicemail at least twice a day (Monday through Friday; atleast once in the A.M. and once in the P.M.). If during the holiday season, the contractor's main contact is notavailable, the toll free number greeting message shall be updated with the forwarding contact information orany other pertinent information to ensure that a response to the caller may be provided in a timely manner.

iv.Intake Neutral Basic/Ongoing Servicesa. In Early ADR and Post-investigation ADR, the NRC provides the alleger (in Early ADR) or the entity (in

Post-investigation ADR) a letter detailing the options for further action. One of the options stated in thisletter is for the party to contact the contractor through the toll free number or email address (as required tobe maintained in item iii above) to explore ADR services. Upon receiving a phone call or email, thecontractor shall confirm the party's interest in pursuing ADR or otherwise respond to a alleger's or theentity's initial contact within one (1) business day of the initial contact to do the same.

b. The intake neutral shall initiate contact of the second party (i.e. the employer in Early ADR or the NRC inPost-investigation ADR) within one (1) business day of party identification. In certain cases, the contractorwill have to conduct internet research to obtain the contact information of the employer in Early ADR. If thesecond party does not respond to the contractor's initial contact within two (2) business days, thecontractor shall initiate additional attempts to contact such party. In Early ADR cases, if the employerrequires more than five (5) business days to determine whether to engage in mediation, the intake neutralshall provide a status update to the alleger.

c. Upon request to enter into ADR by a party, the contractor shall contact the NRC PO to confirm that theNRC's ADR program is available to such party. The contractor shall confirm the parties' interest inresolving the allegation of discrimination (for Early ADR) or potential wrongdoing or discrimination cases(for Post-investigation ADR) through mediation.i. Early ADR

In cases of Early ADR, the NRC will pay for the mediation services. The contractor shall send theAgreement to Mediate forms to the parties for execution within one (1) business day of confirmation ofthe parties' interest in resolving the allegation through mediation. The contractor shall send a copy ofeach executed Agreement to Mediate to the NRC PO within one (1) business day of receipt and shallobtain a delivery order from the NRC PO for services (above basic service level) to be performed (referto Section B of this SOW for services to be performed by issuance of delivery orders). The contractorshall not perform any services above the basic service level until receipt of a signed delivery order fromthe NRC PO.

ii. Post-investigation ADR

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In cases of Post-Investigation ADR, the NRC and the party requesting mediation (i.e. NRC reguiatedentity) will share the cost of the mediation session and mediator travel expenses. Therefore, the Post-Investigation Agreement to Mediate shall specifically state that each party is agreeing to pay fo:- half ofthe mediation session and mediator travel expenses (as specified in Section B.3 Price/Cost Schedule)and the contractor shall obtain signature from both parties agreeing to pay for their specified monetaryshare. The contractor shall send the Agreement to Mediate forms to the parties for execution withinone (1) business day of the confirmation of the parties' interest in resolving the allegation of potentialwrongdoing or discrimination through mediation. The contractor shall send a copy of each executedAgreement to Mediate to the NRC PO within one (1) business day of receipt and shall obtain a deliveryorder from the NRC PO for services (above basic service level) to be performed (refer to Section B ofthis SOW for services to be performed by issuance of delivery orders). The contractor shall not performany services above the basic service level until receipt of a signed delivery order from the NRC PO.

d. The contractor shall respond to, or resolve, telephone calls and other inquiries, including complaints fromparties or their representatives (which are to be forwarded to the NRC PO within one (1) business day).

e. The contractor shall solicit support and/or guidance from the NRC PO to resolve or respond to complexinquiries.

f. To ensure a timely overall mediation process, the contractor shall follow up with the parties, after theexpiration of any period for an expected action or decision to inquire about the status of any pendingdecision or action.

g. The contractor shall maintain a process for expeditiously identifying, matching, selecting and managingmediators for cases. The system shall be responsive to the needs of the program in identifying arecommended individual or a slate of potential individuals and assisting the parties in selecting a mediatorwith adequate skills, knowledge and experience in the process and substantive issues covered for EarlyADR and Post-investigation ADR.

h. The contractor shall support the NRC in providing NRC mediator orientation and training to mediators orNRC staff. Such support may be in the form of:

i.Designing or assisting in designing a orientation or training course for mediators or NRC staff lasting 1to 5 days, producing training material for use in such orientation or course;

ii.Providing subject matter experts in technical, scientific, economic or other fields related to thesubstance of the dispute to research, review, analyze or to make presentations to the parties;

iii.Preparing and presenting, at the request of the NRC PO, research, analyses, explanations, summaries,fact sheets, brochures and other similar collections of data or information needed to educate as to thesubstance of an issue, problem or dispute and options for resolving it;

iv.Establishing and/or maintaining communication and information links such as web pages, list serves,and other methods of communication between the parties and the public;

v.Performing logistical tasks involved in conducting the seminars such as registration and notification ofparticipants, arranging meeting facilities and support, providing required supplies and equipment forpresenting the course;

vi.Teaching of all or portions of the training course or orientation as designed and accepted by the NRC;vii.Designing, conducting evaluations and providing results and recommendations regarding the

effectiveness of the training course;viii.Preparing a final report summarizing the training, the evaluations of the participants and

recommendations for changes, additions or deletions in the training agenda or materials or procedures.This report would be submitted first in draft, and when comments have been received and incorporated,in final.

i. The contractor shall support the NRC in evaluating the effectiveness, efficiency and transparency of theprogram. Such support may be in the form of:

i.Drafting criteria for NRC PO consideration or providing suggestions for NRC PO consideration indeveloping the criteria by which each topic will be evaluated;

ii.Drafting for NRC PO consideration a survey or providing suggestions for NRC PO consideration indeveloping a survey of the program participants including the gathering and compilation of the data;

iii.Compiling, analyzing and assessing information gathered from mediator outcome forms for NRC POconsideration.

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v.PO Inquiries and Weekly Updatesa. The contractor shall respond to the NRC PO within one (1) business day of any inquiry.b. The contractor shall provide a written update of the status of open/pending cases to the NRC PO on a

weekly basis.c. The contractor shall provide regular oral and email reports to the NRC PO on the general status of cases.

vi.InvoicingThe contractor shall issue an invoice every two months in accordance with the billing instructions in thecontract. If there are no costs/prices incurred in any particular 2-month period, the contractor shall notify theNRC PO in writing that no voucher or invoice is required. Each invoice shall include a breakdown of mediatorcharges and expenses. (NOTE: Per Diem expenses will only be reimbursed for travel in excess of 35 milesfrom the mediator's home location or when the travel period is twelve (12) hours or more.) The contractor shallhandle all logistical matters relating to the payment of mediator fees and expenses to the mediators arising outof each mediated case.

B) Requirements that Exceed the Basic Level of Service (Indefinite Delivery- Requirements)The following requirements shall be performed when a delivery order is issued by the NRC PO for the specific task.

i.Selection of Session NeutralsAfter obtaining an executed Agreement to Mediate from both parties, the contractor shall assist the parties inthe selection of a session neutral. Assistance to the parties shall include:a. Within two (2) business days of the parties' agreement to mediate, the contractor shall prepare and

transmit to the parties a list of at least three (3) potential session neutrals. In compiling a list of sessionneutrals, it may be necessary to clear in advance the location and period during which the parties desire toconduct the mediation session and accordingly offer session neutrals whose schedules will support theparties' schedules.

b. The contractor shall support the parties in mutually selecting a session neutral within five (5) business daysafter transmitting the list of potential session neutrals;

c. The contractor shall repeat the process of proposing three (3) session neutrals if the parties cannot agreeon one of the original proposals;

d. The contractor shall contact the selected session neutral and if necessary support the parties in conductingan initial conflict of interest check. If conflict or other issues arise in connection with the selected sessionneutral, the contractor shall support the parties in resolving the conflict or otherwise assist the parties toselect an alternate session neutral;

e. To ensure a timely overall mediation process, the contractor shall follow up with the parties, after theexpiration of the period for each expected action or decision to inquire about the status of any pendingdecision or action.

ii.Mediation Session SchedulingAfter the parties have mutually selected a session neutral, the contractor shall assist the parties to schedulethe mediation session. To the extent. possible, the expectation should be that the mediation session is held nolater than thirty (30) calendar days after both parties have agreed upon a session neutral. Assistance to theparties shall include:a. Supporting the parties and session neutral to schedule mediation date, time and location. The mediation

session location will typically be geographically close to either the licensee's facility (in Early ADR cases) oran NRC office (in post-investigation ADR cases). A national roster of neutrals shall be maintained suchthat extensive travel is minimized to the extent possible.

b. Transmitting the administrative process forms and related documents to the mediation neutral and theparties prior to the mediation.

c. Assisting the session neutral and the parties to coordinate logistics for the mediation session.d. To ensure a timely overall mediation process, following up with the parties, as necessary, in a timely

manner to inquire about the status of any pending decision or action.e. After selection of the session neutral and the mediation location and before the mediation session,

obtaining approval from the NRC PO of any fees and travel expenses for the ADR mediation session.

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iii.Mediation Process, Documentation, & Sessiona. Mediation Process & Documentation

During the mediation process, the contractor shall document and keep records related to the mediationprocess, including the following:1. The contractor shall monitor and record all case outcomes, including milestone and contact dates.2. The contractor shall verify that Early ADR settlement agreements are processed in a timely manner

with the NRC PO.3. The contractor shall coordinate all case related matters including fees and travel expenses for session

neutrals assigned to cases.4. The contractor shall distribute, collect, and maintain confidential evaluation forms from parties,

representatives, and session neutrals for each case administered under the ADR program. Thecontractor shall submit a copy of each evaluation form completed by each party and by the neutral afterthe completion of each case to the NRC program administrator within one (1) week of receipt.

5. The contractor shall provide the NRC PO a copy of each completed case evaluation received within two(2) business days of receipt.

6. The contractor shall maintain case files and documentation throughout the contract period.7. The contractor shall submit a copy of each proposed settlement agreement to the NRC Program

Manager within one (1) business day of receipt if the ADR session is pursuant to the Early ADR portionof the program.

b. Mediation SessionThe session neutral shall conduct the mediation. When the NRC PO issues the initial delivery order for thistask; they will authorized up to two (2) days for the actual mediation. If additional days are required for theactual mediation, the contractor shall obtain authorization from the NRC CO or PO. (Note: In cases ofpost-investigation ADR, the NRC and the party requesting mediation [i.e. NRC regulated entity] will sharethe cost of the mediation session and mediator travel expenses.)

V. DeliverablesThe contractor shall provide all deliverables in electronic format within the time periods stated in the aboverequirements section and in hard (paper) copy no later than two (2) business days thereafter.

VI. Meetings and TravelDomestic travel for the session neutral may be required on a case-by-case basis. The session neutral's travelexpenses will be reimbursed in accordance with government travel policies (found on www.,sa..qov) and at rates nohigher than the Government travel rates. Travel will be dependent on the location of the mediation site selected bythe parties. The contractor will compile a list of three (3) neutrals provided by the selected contractor from which theparties are to choose a session neutral. In order to minimize travel expenses, the contractor should attempt to selectsession neutrals who reside within the general geographic region where the mediation session is to be held.However, this should not be deemed a contract requirement because a session neutral from another region may benecessary for a particular case for a myriad of reasons. In rare circumstances with prior approval of the NRC PO, amediation session may be held via teleconference based on the preference of the mediating parties. In such cases,the contractor will earn its fees in the same manner as if the neutral held a mediation session in person. The NRC willreimburse the mediator for invoiced phone charges, if any.

The mediator shall obtain lodging at rates no higher than Government per diem rates (such rates may be found onhttp://www.qsa.gov/portal/cateqory/l00120). If the mediator is unable to obtain lodging at a rate equal to or less thanthe Government per diem, the mediator shall provide the NRC PO, in advance, with adequate documentation thatsupports the "reasonableness" of the actual incurred lodging rate (supporting documentation may include lodgingquotes, listed prices, other documented prevailing lodging rates in the immediate geographical area of the location atwhich the mediation session will be held).

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ATTACHMENT I TO THE _TAT.,EME -T D VOR

Sample Delivery Order Form

US Nuclear Regulatory CommissionDELIVERY ORDER FORM

Contract No. TBD

1. Date 2. Delivery Order Number 3. Delivery Order Title

4. NRC Project Officer 5. E-mail Address 6. Phone Number

7. NRC Technical Monitor 8. E-mail Address 9. Phone Number

NRC Provided Materials

10. Documents/Materials Provided

Electronic

Paper

Date Provided

Delivery Order Schedule

11. Required 12. 13. CLIN 14. Quantity 15. PriceTask DeliverableCompletion Due Dates (per contract scheduleDate of supplies/services)

Task: Start:Complete:

Task: Start:

Complete:

Task: Start:

Complete:

Task: Start:

Complete: I16. Total Cost

Acknowledgment and Acceptance of Delivery Order

Signature and Title - Contractor Date

Signature - NRC Project Officer Date

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NRC-HQ-12-C-37-0039 Section D

SECTION D - PACKAGIN&AND MARKING

D.1 PACKAGING AND MARKING (AUG 2011)(a) The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by

common carrier and safe delivery at destination. Containers and closures shall comply with the SurfaceTransportation Board, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the modeof transportation.

(b) On the front of the package, the Contractor shall clearly identify the contract number under which the product isbeing provided.

(c) Additional packaging and/or marking requirements are as follows: N/A

D.2 BRANDING (AUG 2011)The Contractor is required to use the official NRC branding logo or seal on any publications, presentations, products,or materials funded under this contract, to the extent practical, in order to provide NRC recognition for its involvementin and contribution to the project. If the work performed is funded entirely with NRC funds, then the contractor mustacknowledge that information in its documentation/presentation.

Access the following websites for branding information and specifications:http://www.internal. nrc.qov/ADM/brandinq/ and

Management Directive and Handbook 3.13 -

(internal NRC website): http://www.internal.nrc.Qov/policy/directives/toc/md3.13.htm

(external public website): http://pbadupws.nrc.gov/docs/ML1 122/ML1 12280190.pdf

D-1

NRC-HQ-12-C-37-0039 Section E

SECTION E - INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCEThe following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number,Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" inSection I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full textof a clause.

NUMBER TITLE DATEFEDERAL ACQUISITION REGULATION (48 CFR Chapter 1)

52.246-4 INSPECTION OF SERVICES--FIXED-PRICE AUG 1996

E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer atthe destination.

E-1

NRC-HQ-12-C-37-0039 Section F

SECTION F - DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCEThe following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number,Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" inSection I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full textof a clause.


52.242-15 STOP-WORK ORDER AUG 198952.247-34 F.O.B. DESTINATION NOV 1991

F.2 PERIOD OF PERFORMANCE (AUG 2011) ALTERNATE IV (AUG 2011)The ordering period for this contract shall commence on March 27, 2012 and will expire on March 26, 2013. Anyorders issued during this period shall be completed within the time specified in the order, unless otherwise specifiedherein. (See 52.216-18 - Ordering.) The term of this contract may be extended at the option of the Government for anadditional four 1-year option periods.

Base Period: March 27, 2012 - March 26, 2013Option Period(s): 4 1-year options

F.3 PLACE OF DELIVERY--REPORTS (JUN 1988)

The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:

(a) NRC Project Officer (1 copy)

(b) NRC Contracting Officer (1 copy)

F-1

NRC-HQ-12-C-37-0039 Section G

SECTION G - CONTRACT ADMINISTRATION DATA

GA PROJECT OFFICER AUTHORITY ALTERNATE 2 (FEBRUARY 2004)(a) The contracting officer's authorized representative hereinafter referred to as the project officer for this contract is:

Primary Project Officer:Name:

Address:

Telephone Number:Email Address:

Backup Project Officer:Name:

Address:

Telephone Number:Email Address:

Shahram Ghasemian

U.S. Nuclear Regulatory Commission11555 Rockville PikeM/S: O-4A15ARockville, MD 20852

(301) 415-3591Shahram.Ghasemianenrc. aov

Russell Arrighi

U.S. Nuclear Regulatory Commission11555 Rockville PikeM/S: O-4A15ARockville, MD 20852

(301) 415-0205Russell.Arriqhi(cnrc.,qov

(b) The project officer shall:

(1) Monitor contractor performance and recommend changes in requirements to the contracting officer.

(2) Inspect and accept products/services provided under the contract.

(3) Review all contractor invoices/vouchers requesting payment for products/services provided under the contractand make recommendations for approval, disapproval, or suspension.

(4) Immediately notify the Security Branch., Division of Facilities and Security (SB/DFS) (via e-mail) when a.contractor employee no longer requires access authorization and return of any NRC issued badge to SB/DFS withinthree days after their termination.

(c) The project officer may not make changes to the express terms and conditions of this contract.

G.2 2052.215-77 TRAVEL APPROVALS AND REIMBURSEMENT (OCT 1999)(a) All foreign travel must be approved in advance by the NRC on NRC Form 445, Request for Approval of Official

Foreign Travel, and must be in compliance with FAR 52.247-63 Preference for U.S. Flag Air Carriers. The contractorshall submit NRC Form 445 to the NRC no later than 30 days before beginning travel.

G-1


(b) The contractor must receive written approval from the NRC Project Officer before taking travel that wasunanticipated in the Schedule (i.e., travel not contemplated in the Statement of Work, or changes to specific travelidentified in the Statement of Work).

(c) The contractor will be reimbursed only for those travel costs incurred that are directly related to this contract andare allowable subject to the limitations prescribed in FAR 31.205-46.

(d) It is the responsibility of the contractor to notify the contracting officer in accordance with the Limitations of Cost.clause of this contract when, at any time, the contractor learns that travel expenses will cause the contractor to exceedthe estimated costs specified in the Schedule.

(e) Reasonable travel costs for research and related activities performed at State and nonprofit institutions, inaccordance with Section 12 of Pub. L. 100-679, shall be charged in accordance with the contractor's institutionalpolicy to the degree that the limitations of Office of Management and Budget (OMB) guidance are not exceeded.Applicable guidance documents include OMB Circular A-87, Cost Principles for State and Local Governments; OMBCircular A-122, Cost Principles for Nonprofit Organizations; and OMB Circular A-21, Cost Principles for EducationalInstitutions.

G.3 ORDERING PROCEDURES (AUG 2011)

(a) The CO is the only individual who can legally obligate funds and commit the NRC.

(b) All task orders and delivery orders shall be prepared in accordance with FAR 16.505.

(c) In accordance with FAR 16.506(b), the following ordering limitations apply:

Minimum order. When the Government requires supplies or services covered by this contract in an amount of lessthan $3,000.00, the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those suppliesor services under the contract.

Maximum order. The Contractor is not obligated to honor-

(1) Any order for a single item in excess of $200,000.00 [insert dollar figure or quantity];

(2) Any order for a combination of items in excess of $200,000.00 [insert dollar figure or quantity]; or

(3) A series of orders from the same ordering office within 5 days that together call for quantities exceeding thelimitation in paragraph (b)(1) or (2) of this section.

The Contractor shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order(or orders) is returned to the ordering office within 5 days after issuance, with written notice stating the Contractor'sintent not to ship the item (or items) called for and the reasons.

G.4 ELECTRONIC PAYMENT (AUG 2011)The Debt Collection Improvement Act of 1996 requires that all payments except IRS tax refunds be made byElectronic Funds Transfer. Payment shall be made in accordance with FAR 52.232-33, entitled "Payment byElectronic Funds- Central Contractor Registration".

To receive payment, the contractor shall prepare invoices in accordance with NRC's Billing Instructions. Claims shallbe submitted on the payee's letterhead, invoice, or on the Government's Standard Form 1034, "Public Voucher forPurchases and Services Other than Personal," and Standard Form 1035, "Public Voucher for Purchases Other thanPersonal - Continuation Sheet." The preferred method of submitting invoices is electronically to the Department of the

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Interior at NRCPayments NBCDenvercnbc.aov. If the contractor submits a hard copy of the invoice, it shal'submitted to the following address:

Department of the InteriorNational Business CenterAttn: Fiscal Services Branch - D27707301 West Mansfield AvenueDenver, CO 80235-2230

G-3

NRC-HQ-12-C-37-0039 Section H

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 2052.209-72 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)(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 CFR2009.570-2 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 toforego entering into consulting or other contractual arrangements with any firm or organization the result of which maygive rise to a conflict of interest with respect to the work being performed under this contract. The contractor shallensure that all employees under this contract abide by the provision of this clause. If the contractor has reason tobelieve, with respect to itself or any employee, that any proposed consultant or other contractual arrangement with anyfirm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of thecontracting officer before the execution of such contractual arrangement.

(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing anNRC audit, inspection, or review where the activities that are the subject of the audit, inspection, or review are thesame as or substantially similar to the services within the scope of this contract (or task order as appropriate) exceptwhere the NRC licensee or applicant requires the contractor's support to explain or defend the contractor's prior workfor 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, thecontractor shall neither solicit nor perform work in the same or similar technical area for that licensee or applicantorganization for a period commencing with the award of the task order or beginning of work on the site (if not a taskorder contract) and ending one year after completion of all work under the associated task order, or last time at thesite (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 performanceof 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 ofperformance of the task order or the contract, as appropriate, and for one year thereafter.

(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or perform thistype of work (except work in the same or similar technical area) if the contracting officer determines that the situationwill not pose a potential for technical bias or unfair competitive advantage.

(d) Disclosure after award.

(1) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in thiscontract, that it does not have any organizational conflicts of interest as defined in 48 CFR 2009.570-2.

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(2) The contractor agrees that if, after award, it discovers organizational conflicts of interest with respect to thiscontract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement mustinclude a description of the action which the contractor has taken or proposes to take to avoid or mitigate suchconflicts. 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 broacdspectrum of activities. Consequently, if this is a task-order-type contract, the contractor agrees that it will disclose allproposed new work involving NRC licensees or applicants which comes within the scope of work of the underlyingcontract. Further, if this contract involves work at a licensee or applicant site, the contractor agrees to exercisediligence to discover and disclose any new work at that licensee or applicant site. This disclosure must be madebefore the submission of a bid or proposal to the utility or other regulated entity and must be received by the NRC atleast 15 days before the proposed award date in any event, unless a written justification demonstrating urgency anddue diligence to discover and disclose is provided by the contractor and approved by the contracting officer. Thedisclosure must include the statement of work, the dollar value of the proposed contract, and any other documentsthat are needed to fully describe the proposed work for the regulated utility or other regulated entity. NRC may denyapproval of the disclosed work only when the NRC has issued a task order which includes the technical area and, ifsite-specific, the site, or has plans to issue a task order which includes the technical area and, if site-specific, the site,or when the work violates paragraphs (c)(2), (c)(3) or (c)(4) of this section.

(e) Access to and use of information.

• (1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies,reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (5 U.S.C. Section 552a (1988)), orthe 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) Compete for work for the Commission based on the information for a period of six months after either thecompletion 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 ofthe information to the public; or

(iv) Release the information without prior written approval by the contracting officer unless the information haspreviously been released to the public by the NRC.

(2) In addition, the contractor agrees that, to the extent it receives or is given access to proprietary data, dataprotected by the Privacy Act of 1974 (5 U.S.C. Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.Section 552 (1986)), or other confidential or privileged technical, business, or financial information under this contract,the contractor shall treat the information in accordance with restrictions placed on use of the information.

(3) Subject to patent and security provisions of this contract, the contractor shall have the right to use technicaldata it produces under this contract for private purposes provided that all requirements of this contract have been met.

(f) Subcontracts. Except as provided in 48 CFR 2009.570-2, the contractor shall include this clause, including thisparagraph, in subcontracts of any tier. The terms contract, contractor, and contracting officer, must be appropriatelymodified to preserve the Government's rights.

(g) Remedies. For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation ofany relevant interest required to be disclosed concerning this contract or for such erroneous representations thatnecessarily imply bad faith, the Government may terminate the contract for default, disqualify the contractor fromsubsequent contractual efforts, and pursue other remedies permitted by law or this contract.

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(h) Waiver. A request for waiver under this clause must be directed in writing to the contracting officer inaccordance with the procedures outlined in 48 CFR 2009.570-9.

(i) Follow-on effort. The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposa!stherefore (solicited or unsolicited), which stem directly from the contractor's performance of work under this contract.Furthermore, unless so directed in writing by the contracting officer, the contractor may not perform any technicalconsulting or management support services work or evaluation activities under this contract on any of its products orservices or the products or services of another firm if the contractor has been substantially involved in thedevelopment or marketing of the products or services.

(1) If the contractor, under this contract, prepares a complete or essentially complete statement of work orspecifications, the contractor is not eligible to perform or participate in the initial contractual effort which is based onthe statement of work or specifications. The contractor may not incorporate its products or services in the statementof work or specifications unless so directed in writing by the contracting officer, in which case the restrictions in thisparagraph do not apply.

(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to theGovernment.

H.2 2052.215-70 KEY PERSONNEL (JAN 1993)

(a) The following individuals are considered to be essential to the successful performance of the work hereunder:

Intake Neutral/Program Manager: Traci Morse

The contractor agrees that personnel may not be removed from the contract work or replaced without compliance withparagraphs (b) and (c) of this section.

(b) If one or more of the key personnel, for whatever reason, becomes, or is expected to become, unavailable forwork under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially lesseffort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify thecontracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel withpersonnel of at least substantially equal ability and qualifications.

(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of thecircumstances necessitating the proposed substitutions. The request must also contain a complete resume for theproposed substitute and other information requested or needed by the contracting officer to evaluate the proposedsubstitution. The contracting officer and the project officer shall evaluate the contractor's request and the contractingofficer shall promptly notify the contractor of his or her decision in writing.

(d) If the contracting officer determines that suitable and timely replacement of key personnel who have beenreassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, orthat the resultant reduction of productive effort would be so substantial as to impair the successful completion of thecontract or the service order, the contract may be terminated by the contracting officer for default or for theconvenience 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 resultantdelay, loss, or damage.

H.3 GOVERNMENT FURNISHED EQUIPMENTIPROPERTY/MATERIALS (JUN 1988)The Government will provide the following materials under this contract:

1) Mediator Resource Handbook2) Early ADR Agreement to Mediate

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NRC-HO-12-C-37-0039 Section H

3) Post-investigation ADR Agreement to Mediate

H.4 ANNUAL AND FINAL CONTRACTOR PERFORMANCE EVALUATIONS (AUG 2011)Annual and final evaluations of contractor performance under this contract will be prepared in accordance with FARSubpart 42.15, "Contractor Performance Information," normally at or near the time the contractor is notified of theNRC's intent to exercise the contract option. If the multi-year contract does not have option years, then an annualevaluation will be prepared by April 30th. Final evaluations of contractor performance will be prepared at theexpiration of the contract during the contract closeout process.

The Contracting Officer will transmit the NRC Contracting Officer's Representative's (COR) annual and finalcontractor performance evaluations to the contractor's Project Manager, unless otherwise instructed by the contractor.The contractor will be permitted thirty days to review the document and submit comments, rebutting statements, oradditional information.

Where a contractor concurs with, or takes no exception to an annual performance evaluation, the Contracting Officerwill consider such evaluation final and releasable for source selection purposes. Disagreements between the partiesregarding a performance evaluation will be referred to an individual one level above the Contracting Officer, whosedecision will be final.

The Contracting Officer will send a copy of the completed evaluation report, marked "Source Selection Information",to the contractor's Project Manager for their records as soon as practicable after it has been finalized. The completedevaluation report also will be used as a tool to improve communications between the NRC and the contractor and toimprove contract performance.

The completed annual performance evaluation will be used to support future award decisions in accordance withFAR 42.1502 and 42.1503. During the period the information is being used to provide source selection information,the completed annual performance evaluation will be released to only two parties - the Federal government personnelperforming the source selection evaluation and the contractor under evaluation if the contractor does not have a copyof the report already.

H.5 COMPLIANCE WITH U.S. IMMIGRATION LAWS AND REGULATIONS (AUG 2011)NRC contractors are responsible to ensure that their alien personnel are not in violation of United States immigrationlaws and regulations, including employment authorization documents and visa requirements. Each alien employee ofthe Contractor must be lawfully admitted for permanent residence as evidenced by Permanent Resident Form 1-551(Green Card), or must present other evidence from the U.S. Department of Homeland Security/U.S. Citizenship andImmigration Services that employment will not affect his/her immigration status. The U.S. Citizenship and ImmigrationServices provides information to contractors to help them understand the employment eligibility verification process fornon-US citizens. This information can be found on their website, http://www.uscis.qov/portal/site/uscis.

The NRC reserves the right to deny or withdraw Contractor use or access to NRC facilities or its equipment/services,and/or take any number of contract administrative actions (e.g., disallow costs, terminate for cause) should theContractor violate the Contractor's responsibility under this clause.

H.6 NRC INFORMATION TECHNOLOGY SECURITY TRAINING (AUG 2011)NRC contractors shall ensure that their employees, consultants, and subcontractors with access to the agency'sinformation technology (IT) equipment and/or IT services complete NRC's online initial and refresher IT securitytraining requirements to ensure that their knowledge of IT threats, vulnerabilities, and associated countermeasuresremains current. Both the initial and refresher IT security training courses generally last an hour or less and can betaken during the employee's regularly scheduled work day.

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Contractor employees, consultants, and subcontractors shal! complete the NRC's online annual, "Computer SecurityAwareness" course on the same day that they receive access to the agency's IT equipment and/or services, as theirfirst action using the equipment/service. For those contractor employees, consultants, and subcontractors who arealready working under this contract, the on-line training must be completed in accordance with agency NetworkAnnouncements issued throughout the year, within three weeks of issuance of this modification.

Contractor employees, consultants, and subcontractors who have been granted access to NRC informationtechnology equipment and/or IT services must continue to take IT security refresher training offered online by the NRCthroughout the term of the contract. Contractor employees will receive notice of NRC's online IT security refreshertraining requirements through agency-wide notices.

The NRC reserves the right to deny or withdraw Contractor use or access to NRC IT equipment and/or services,and/or take other appropriate contract administrative actions (e.g., disallow costs, terminate for cause) should theContractor violate the Contractor's responsibility under this clause.

H.7 WHISTLEBLOWER PROTECTION FOR NRC CONTRACTOR AND SUBCONTRACTOREMPLOYEES (AUG 2011)

(a) The U.S. Nuclear Regulatory Commission (NRC) contractor and its subcontractor are subject to theWhistleblower Employee Protection public law provisions as codified at 42 U.S.C. 5851. NRC contractor(s) andsubcontractor(s) shall comply with the requirements of this Whistleblower Employee Protection law, and theimplementing regulations of the NRC and the Department of Labor (DOL). See, for example, DOL Procedures onHandling Complaints at 29 C.F.R. Part 24 concerning the employer obligations, prohibited acts, DOL procedures andthe requirement for prominent posting of notice of Employee Rights at Appendix A to Part 24 entitled: "Your RightsUnder the Energy Reorganization Act".

(b) Under this Whistleblower Employee Protection law, as implemented by regulations, NRC contractor andsubcontractor employees are protected from discharge, reprisal, threats, intimidation, coercion, blacklisting or otheremployment discrimination practices with respect to compensation, terms, conditions or privileges of their employmentbecause the contractor or subcontractor employee(s) has provided notice to the employer, refused to engage inunlawful practices, assisted in proceedings or testified on activities concerning alleged violations of the Atomic EnergyAct of 1954 (as amended) and the Energy Reorganization Act of 1974 (as amended).

(c) The contractor shall insert this or the substance of this clause in any subcontracts involving work performedunder this contract.

H.8 GREEN PURCHASING (JUN 2011)(a) In furtherance of the sustainable acquisition goals of Executive Order 13514, "Federal Leadership in

Environmental, Energy, and Economic Performance" products and services provided under this contract/order shall beenergy- efficient (Energy Star or Federal Energy Management Program (FEMP) designated), water-efficient,biobased, environmentally preferable (e.g., Electronic Product Environmental Assessment Tool (EPEAT) certified),non-ozone depleting, contain recycled content, or are non-toxic or less toxic alternatives, where such products andservices meet agency performance requirements. http://www.fedcenter._qov/programs/eol3514/

(b) The contractor shall flow down this clause into all subcontracts and other agreements that relate to performanceof this contract/order.

H.9 USE OF AUTOMATED CLEARING HOUSE (ACH) ELECTRONIC PAYMENT/REMITTANCEADDRESS (AUG 2011)

The Debt Collection Improvement Act of 1996 requires that all Federal payments except IRS tax refunds be madeby Electronic Funds Transfer. It is the policy of the Nuclear Regulatory Commission to pay government vendors by

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the Automated Clearing House (ACH) electronic funds transfer payment system. Item 15C of the Standard Form 33may be disregarded.

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NRC-HQ-12-C-37-0039 Section I

PART II - CONTRACT CLAUSES

SECTION I - CONTRACT CLAUSES

1.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCEThe following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number,Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" inSection I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full textof a clause.


52.202-1 DEFINITIONS JAN 201252.203-3 GRATUITIES APR 198452.203-5 COVENANT AGAINST CONTINGENT FEES APR 198452.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO SEP 2006

THE GOVERNMENT52.203-7 ANTI-KICKBACK PROCEDURES OCT 201052.203-8 CANCELLATION, RESCISSION, AND RECOVERY JAN 1997

OF FUNDS FOR ILLEGAL OR IMPROPERACTIVITY

52.203-10 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR JAN 1997IMPROPER ACTIVITY

52.203-12 LIMITATION ON PAYMENTS TO INFLUENCE OCT 2010CERTAIN FEDERAL TRANSACTIONS

52.204-4 PRINTED OR COPIED DOUBLE-SIDED MAY 2011ON RECYCLED PAPER

52.204-7 CENTRAL CONTRACTOR REGISTRATION FEB 201252.204-10 REPORTING EXECUTIVE COMPENSATION AND FEB 2012

FIRST-TIER SUBCONTRACT AWARDS52.209-6 PROTECTING THE GOVERNMENT'S INTEREST DEC 2010

WHEN SUBCONTRACTING WITH CONTRACTORSDEBARRED, SUSPENDED, OR PROPOSED FORDEBARMENT

52.215-2 AUDIT AND RECORDS--NEGOTIATION OCT 2010ALTERNATE II (APR 1998)

52.215-8 ORDER OF PRECEDENCE--UNIFORM CONTRACT OCT 1997FORMAT

52.215-14 INTEGRITY OF UNIT PRICES OCT 201052.219-4 NOTICE OF PRICE EVALUATION PREFERENCE JAN 2011

FOR HUBZONE SMALL BUSINESS CONCERNS52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS JAN 201152.219-9 SMALL BUSINESS SUBCONTRACTING PLAN JAN 2011

ALTERNATE II (OCT 2001)52.219-16 LIQUIDATED DAMAGES--SUBCONTRACTING PLAN JAN 199952.219-25 SMALL DISADVANTAGED BUSINESS DEC 2010

PARTICIPATION PROGRAM--DISADVANTAGEDSTATUS AND REPORTING

52.222-3 CONVICT LABOR JUN 200352.222-21 PROHIBITION OF SEGREGATED FACILITIES FEB 199952.222-26 EQUAL OPPORTUNITY MAR 2007

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52.222-3552.222-36

52.222-3752.222-5052.222-5452.223-652.223-18

52.225-552.225-13

52.227-152.227-2

52.229-352.232-152.232-852.232-1152.232-1752.232-2352.232-2552.232-33

52.233-152.233-352.233-4

52.237-352.242-1352.243-1

52.244-652.246-2352.246-2552.248-152.249-2

52.249-852.253-1

EQUAL OPPORTUNITY FOR VETERANSAFFIRMATIVE ACTION FOR WORKERS WITHDISABILITIESEMPLOYMENT REPORTS ON VETERANSCOMBATING TRAFFICKING IN PERSONSEMPLOYMENT ELIGIBILITY VERIFICATIONDRUG-FREE WORKPLACEENCOURAGING CONTRACTOR POLICIESTO BAN TEXT MESSAGING WHILE DRIVINGTRADE AGREEMENTSRESTRICTIONS ON CERTAIN FOREIGNPURCHASESAUTHORIZATION AND CONSENTNOTICE AND ASSISTANCE REGARDING PATENTAND COPYRIGHT INFRINGEMENTFEDERAL, STATE, AND LOCAL TAXESPAYMENTSDISCOUNTS FOR PROMPT PAYMENTEXTRASINTERESTASSIGNMENT OF CLAIMSPROMPT PAYMENTPAYMENT BY ELECTRONIC FUNDS--CENTRALCONTRACTOR REGISTRATIONDISPUTESPROTEST AFTER AWARDAPPLICABLE LAW FOR BREACH OFCONTRACT CLAIMCONTINUITY OF SERVICESBANKRUPTCYCHANGES--FIXED PRICEALTERNATE I (APR 1984)SUBCONTRACTS FOR COMMERCIAL ITEMSLIMITATION OF LIABILITYLIMITATION OF LIABILITY--SERVICESVALUE ENGINEERINGTERMINATION FOR CONVENIENCE OF THEGOVERNMENT (FIXED-PRICE)DEFAULT (FIXED-PRICE SUPPLY AND SERVICE)COMPUTER GENERATED FORMS

SEP 2010OCT 2010

SEP 2010FEB 2009JAN 2009MAY 2001AUG 2011

NOV 2011JUN 2008

DEC 2007DEC 2007

APR 2003APR 1984FEB 2002APR 1984OCT 2010JAN 1986OCT 2008OCT 2003

JUL 2002AUG 1996OCT 2004

JAN 1991JUL 1995AUG 1987

DEC 2010FEB 1997FEB 1997OCT 2010MAY 2004

APR 1984JAN 1991

1.2 52.209-9 UPDATESMATTERS (JAN

OF PUBLICLY AVAILABLE INFORMATION REGARDING RESPONSIBILITY2011)

(a) The Contractor shall update the information in the Federal Awardee Performance and Integrity InformationSystem (FAPIIS) on a semi-annual basis, throughout the life of the contract, by posting the required information in theCentral Contractor Registration database at http://www.ccr.qov.

(b)(1) The Contractor will receive notification when the Government posts new information to the Contractor'srecord.

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(2) The Contractor will have an opportunity to post comments regarding information that has been posted by theGovernment. The comments will be retained as long as the associated information is retained, i.e., for a total period of6 years. Contractor comments will remain a part of the record unless the Contractor revises them.

(3)(i) Public requests for system information posted prior to April 15, 2011, will be handled under Freedom ofInformation Act procedures, including, where appropriate, procedures promulgated under E.O. 12600.

(ii) As required by section 3010 of Public Law 111-212, all information posted in FAPIIS on or after April 15, 2011,except past performance reviews, will be publicly available.

1.2 52.216-18 ORDERING (OCT 1995)(a) Any supplies and services specified as "Delivery Order CLINs" to be furnished under this contract shall be

ordered by issuance of delivery orders or task orders by the individuals or activities designated in the Schedule. Suchorders may be issued from date of award through date of contract expiration.

(b) All delivery orders or task orders are subject to the terms and conditions of this contract. In the event of conflictbetween a delivery order or task order and this contract, the contract shall control.

(c) If mailed, a delivery order or task order is considered "issued" when the Government deposits the order in themail. Orders may be issued orally, by facsimile, or by electronic commerce methods only if authorized in the Schedule

1.3 52.216-19 ORDER LIMITATIONS (OCT 1995)(a) Minimum order. When the Government requires supplies or services covered by this contract in an amount of

less than $3,000.00, the Government is not obligated to purchase, nor is the Contractor obligated to furnish, thosesupplies or services under the contract.

(b) Maximum order. The Contractor is not obligated to honor--

(1) Any order for a single item in excess of $200,000.00;

(2) Any order for a combination of items in excess of $200,000.00; or

(3) A series of orders from the same ordering office within 5 days that together call for quantities exceeding thelimitation in paragraph (b)(1) or (2) of this section.

(c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the FederalAcquisition Regulation (FAR)), the Government is not required to order a part of any one requirement from theContractor if that requirement exceeds the maximum-order limitations in paragraph (b) of this section.

(d) Notwithstanding paragraphs (b) and (c) of this section, the Contractor shall honor any order exceeding themaximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within 5days after issuance, with written notice stating the Contractor's intent not to ship the item (or items) called for and thereasons. Upon receiving this notice, the Government may acquire the supplies or services from another source.

1.4 52.216-21 REQUIREMENTS (OCT 1995)

(a) This is a requirements contract for the supplies or services specified, and effective for the period stated, in theSchedule. The quantities of supplies or services specified in the Schedule are estimates only and are not purchasedby this contract. Except as this contract may otherwise provide, if the Government's requirements do not result in

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orders in the quantities described as "estimated" or "maximum" in the Schedule, that fact shall not constitute the basisfor an equitable price adjustment.

(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Orderingclause. Subject to any limitations in the Order Limitations clause or elsewhere in this contract, the Contractor shallfurnish to the Government all supplies or services specified in the Schedule and called for by orders issued inaccordance with the Ordering clause. The Government may issue orders requiring delivery to multiple destinations orperformance at multiple locations.

(c) Except as this contract otherwise provides, the Government shall order from the Contractor all the supplies orservices specified in the Schedule that are required to be purchased by the Government activity or activities specifiedin the Schedule.

(d) The Government is not required to purchase from the Contractor requirements in excess of any limit on totalorders under this contract.

(e) If the Government urgently requires delivery of any quantity of an item before the earliest date that delivery maybe specified under this contract, and if the Contractor will not accept an order providing for the accelerated delivery,the Government may acquire the urgently required goods or services from another source.

(f) Any order issued during the effective period of this contract and not completed within that period shall becompleted by the Contractor within the time specified in the order. The contract shall govern the Contractor's andGovernment's rights and obligations with respect to that order to the same extent as if the order were completedduring the contract's effective period; provided, that the Contractor shall not be required to make any deliveries underthis contract after 6 months from contract expiration date.

1.5 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)The Government may require continued performance of any services within the limits and at the rates specified in thecontract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretaryof Labor. The option provision may be exercised more than once, but the total extension of performance hereundershall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within30 days of contract expiration.

1.6 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)(a) The Government may extend the term of this contract by written notice to the Contractor within 30 days;

provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 15 daysbefore the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed five(5) years.

1.7 52.219-28 POST-AWARD SMALL BUSINESS PROGRAM RE-REPRESENTATION (APR 2009)(a) Definitions. As used in this clause-

Long-term contract means a contract of more than five years in duration, including options. However, the term doesnot include contracts that exceed five years in duration because the period of performance has been extended for acumulative period not to exceed six months under the clause at 52.217-8, Option to Extend Services, or otherappropriate authority.

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Small business concern means a concern, including its affiliates, that is independently owned and operated, notdominant in the field of operation in which it is bidding on Government contracts, and qualified as a small businessunder the criteria in 13 CFR part 121 and the size standard in paragraph (c) of this clause. Such a concern is "notdominant in its field of operation" when it does not exercise a controlling or major influence on a national basis in akind of business activity in which a number of business concerns are primarily engaged. In determining whetherdominance exists, consideration shall be given to all appropriate factors, including volume of business, number ofemployees, financial resources, competitive status or position, ownership or control of materials, processes, patents,license agreements" facilities, sales territory, and nature of business activity.

(b) If the Contractor represented that it was a small business concern prior to award of this contract, the Contractorshall re-represent its size status according to paragraph (e) of this clause or, if applicable, paragraph (g) of this clause,upon the occurrence of any of the following:

(1) Within 30 days after execution of a novation agreement or within 30 days after modification of the contract toinclude this clause, if the novation agreement was executed prior to inclusion of this clause in the contract.

(2) Within 30 days after a merger or acquisition that does not require a novation or within 30 days after modificationof the contract to include this clause, if the merger or acquisition occurred prior to inclusion of this clause in thecontract.

(3) For long-term contracts-

(i) Within 60 to 120 days prior to the end of the fifth year of the contract; and

(ii) Within 60 to 120 days prior to the date specified in the contract for exercising any option thereafter.

(c) The Contractor shall re-represent its size status in accordance with the size standard in effect at the time of thisre-representation that corresponds to the North American Industry Classification System (NAICS) code assigned tothis contract. The small business size standard corresponding to this NAICS code can be found athttp:l/www.sba.qov/services/contractingopportunities/sizestandardstopics/.

(d) The small business size standard for a Contractor providing a product which it does not manufacture itself, for acontract other than a construction or service contract, is 500 employees.

(e) Except as provided in paragraph (g) of this clause, the Contractor shall make the re-representation required byparagraph (b) of this clause by validating or updating all its representations in the Online Representations andCertifications Application and its data in the Central Contractor Registration, as necessary, to ensure that they reflectthe Contractor's current status. The Contractor shall notify the contracting office in writing within the timeframesspecified in paragraph (b) of this clause that the data have been validated or updated, and provide the date of thevalidation or update.

(f) If the Contractor represented that it was other than a small business concern prior to award of this contract, theContractor may, but is not required to, take the actions required by paragraphs (e) or (g) of this clause.

(g) If the Contractor does not have representations and certifications in ORCA, or does not have a representation inORCA for the NAICS code applicable to this contract, the Contractor is required to complete the following re-representation and submit it to the contracting office, along with the contract number and the date on which the re-representation was completed:

The Contractor represents that it [ ] is, [ ] is not a small business concern under NAICS Code 541990 assigned tocontract number NRC-HQ-12-C-37-0039.

[Contractor to sign and date and insert authorized signer's name and title].

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1.8 52.222-40 NOTIFICATION OF EMPLOYEE RIGHTS UNDER THE NATIONAL LABOR RELATIONSACT (DEC 2010)

(a) During the term of this contract, the Contractor shall post an employee notice, of such size and in such form, andcontaining such content as prescribed by the Secretary of Labor, in conspicuous places in and about its plants andoffices where employees covered by the National Labor Relations Act engage in activities relating to the performanceof the contract, including all places where notices to employees are customarily posted both physically andelectronically, in the languages employees speak, in accordance with 29 CFR 471.2(d) and (f).

(1) Physical posting of the employee notice shall be in conspicuous places in and about the Contractor's plants andoffices so that the notice is prominent and readily seen by employees who are covered by the National LaborRelations Act and engage in activities related to the performance of the contract.

(2) If the Contractor customarily posts notices to employees electronically, then the Contractor shall also post therequired notice electronically by displaying prominently, on any Web site that is maintained by the Contractor and iscustomarily used for notices to employees about terms and conditions of employment, a link to the Department ofLabor's Web site that contains the full text of the poster. The link to the Department's Web site, as referenced in (b)(3)of this section, must read, "Important Notice about Employee Rights to Organize and Bargain Collectively with TheirEmployers."

(b) This required employee notice, printed by the Department of Labor, may be-

(1) Obtained from the Division of Interpretations and Standards, Office of Labor-Management Standards, U.S.Department of Labor, 200 Constitution Avenue, NW., Room N-5609, Washington, DC 20210, (202) 693-0123, or fromany field office of the Office of Labor-Management Standards or Office of Federal Contract Compliance Programs;

(2) Provided by the Federal contracting agency if requested;

(3) Downloaded from the Office of Labor-Management Standards Web site athttp://www.dol..qov/olms/reqs/compliance/EO13496.htm; or

(4) Reproduced and used as exact duplicate copies of the Department of Labor's official poster.

(c) The required text of the employee notice referred to in this clause is located at Appendix A, Subpart A, 29 CFRPart 471.

(d) The Contractor shall comply with all provisions of the employee notice and related rules, regulations, and ordersof the Secretary of Labor.

(e) In the event that the Contractor does not comply with the requirements set forth in paragraphs (a) through (d) ofthis clause, this contract may be terminated or suspended in whole or in part, and the Contractor may be suspendedor debarred in accordance with 29 CFR 471.14 and subpart 9.4. Such other sanctions or remedies may be imposedas are provided by 29 CFR part 471, which implements Executive Order 13496 or as otherwise provided by law.

(f) Subcontracts.

(1) The Contractor shall include the substance of this clause, including this paragraph (f), in every subcontract thatexceeds $10,000 and will be performed wholly or partially in the United States, unless exempted by the rules,regulations, or orders of the Secretary of Labor issued pursuant to section 3 of Executive Order 13496 of January 30,2009, so that such provisions will be binding upon each subcontractor.

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(2) The Contractor shall not procure supplies or services in a way designed to avoid the applicability of ExecutiveOrder 13496 or this clause.

(3) The Contractor shall take such action with respect to any such subcontract as may be directed by the Secretaryof Labor as a means of enforcing such provisions, including the imposition of sanctions for noncompliance.

(4) However, if the Contractor becomes involved in litigation with a subcontractor, or is threatened with suchinvolvement, as a result of such direction, the Contractor may request the United States, through the Secretary ofLabor, to enter into such litigation to protect the interests of the United States.

1.9 52.232-18 AVAILABILITY OF FUNDS (APR 1984)Funds are not presently available for this contract. The Government's obligation under this contract is contingent uponthe availability of appropriated funds from which payment for contract purposes can be made. No legal liability on thepart of the Government for any payment may arise until funds are made available to the Contracting Officer for thiscontract and until the Contractor receives notice of such availability, to be confirmed in writing by the ContractingOfficer.

1.10 52.232-19 AVAILABILITY OF FUNDS FOR THE NEXT FISCAL YEAR (APR 1984)Funds are not presently available for performance under this contract beyond September 30, 2012. TheGovernment's obligation for performance of this contract beyond that date is contingent upon the availability ofappropriated funds from which payment for contract purposes can be made. No legal liability on the part of theGovernment for any payment may arise for performance under this contract beyond September 30, 2012, until fundsare made available to the Contracting Officer for performance and until the Contractor receives notice of availability, tobe confirmed in writing by the Contracting Officer.

1.11 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)This contract incorporates one or more clauses by reference, with the same force and effect as if they were given infull text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may beaccessed electronically at this/these address(es): http://www.arnet.gov/far

1-7

NRC-HQ-12-C-37-0039 Section J

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

SECTION J - LIST OF ATTACHMENTS

ATTACHMENTNUMBER

NO.PAGESTITLE DATE

1 BILLING INSTRUCTIONS FOR FIXEDPRICE CONTRACTS

NRC-HQ-12-C-37-0039 APPROVEDSUBCONTRACTING PLAN

JULY 2011 4

2FEB 2012 9

J-1

NRC-HQ-12-C-37-0039 ATTACHMENT NO. 1

BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACTS (JULY 2011)

General: During performance and through final payment of this contract, the contractor is responsible for theaccuracy and completeness of data within the Central Contractor Registration (CCR) database and for any liabilityresulting from the Government's reliance on inaccurate or incomplete CCR data.

The contractor shall prepare invoices/vouchers for payment of deliverables identified in the contract, in the mannerdescribed herein. FAILURE TO SUBMIT INVOICESNOUCHERS IN ACCORDANCE WITH THESE INSTRUCTIONSMAY RESULT IN REJECTION OF THE INVOICE/VOUCHER AS IMPROPER.

Standard Forms: Payment requests for completed work, in accordance with the contract, shall be submitted on thepayee's letterhead, invoice/voucher, or on the Government's Standard Form 1034, "Public Voucher for Purchases andServices Other than Personal," and Standard Form 1035, "Public Voucher for Purchases Other than Personal--Continuation Sheet."

Electronic InvoicelVoucher Submissions: The preferred method of submitting invoices/vouchers is electronically tothe U.S. Department of the Interior's National Business Center, via email to: NRCPayments NBCDenveraNBC..ov.

Hard-Copy InvoiceNoucher Submissions: If you submit a hard-copy of the invoice/voucher, a signed original andsupporting documentation shall be submitted to the following address:


Purchase of Capital Property: ($50, 000 or more with life of one year or longer)

Contractors must report to the Contracting Officer, electronically, any capital property acquired with contract fundshaving an initial cost of $50,000 or more, in accordance with procedures set forth in NRC Management Directive (MD)13.1, IV, C - "Reporting Requirements" (revised 2/16/2011).

Agency Payment Office: Payment will continue to be made by the office designated in the contract in Block 12 ofStandard Form 26, Block 25 of Standard Form 33, or Block 18a of Standard Form 1449, whichever is applicable.

Frequency: The contractor shall submit invoices/vouchers for payment once each month, unless otherwiseauthorized by the Contracting Officer.

Format: Invoices/Vouchers shall be submitted in the format depicted on the attached sample form entitled"InvoiceNoucher for Purchases and Services Other Than Personal". Alternate formats are permissible only if theyaddress all requirements of the Billing Instructions. The instructions for preparation and itemization of theinvoice/voucher are included with the sample-form.

Task Order Contracts: The contractor must submit a separate invoice/voucher for each individual task order withpricing information. This includes items discussed in paragraphs (a) through (p) of the attached instructions. Inaddition, the invoice/voucher must specify the contract number, and the NRC-assigned task/delivery order number.

Final vouchers/invoices shall be marked "FINAL INVOICE" or "FINAL VOUCHER".

Currency: Invoices/Vouchers must be expressed in U.S. Dollars.

1


Supersession: These instructions supersede previous Billing Instructions for Fixed-Price Type Contracts (June2008).

2

NRC-HQ-12-C-37-0039 ATTACHMENT NO. I

INVOICEIVOUCHER FOR PURCHASES AND SERVICES OTHER THAN PERSONAL(SAMPLE FORMAT - COVER SHEET)

1. Official Agency Billing Office


2. InvoiceNoucher Information

a. Payee's DUNS Number or DUNS+4. The Payee shall include the Payee's Data Universal Number (DUNS) orDUNS+4 number that identifies the Payee's name and address. The DUNS+4 number is the DUNS number plus a 4-character suffix that may be assigned at the discretion of the Payee to identify alternative Electronic Funds Transfer(EFT) accounts for the same parent concern.

b. Payee's Name and Address. Show the name.of the Payee as it appears in the contract and its correct address.Where the Payee is authorized to assign the proceeds of this contract in accordance with the clause at FAR 52.232-23, the Payee shall require as a condition of any such assignment, that the assignee shall register separately in theCentral Contractor Registration (CCR) database at http://www.ccr.gov and shall be paid by EFT in accordance withthe terms of this contract. See Federal Acquisition Regulation 52.232-33(g) Payment by Electronic Funds Transfer -Central Contractor Registration (October 2003).

c. Contract Number. Insert the NRC contract number (including Enterprise-wide Contract (EWC)), GSA FederalSupply Schedule (FSS), Governmentwide Agency Contract (GWAC) number, or Multiple Agency Contract (MAC)number, as applicable.

d. Task Order Number. Insert the task/delivery order number (If Applicable). Do not include more than one taskorder per invoice or the invoice may be rejected as improper.

e. InvoiceNoucher. The appropriate sequential number of the invoice/voucher, beginning with 001 should bedesignated. Contractors may also include an individual internal accounting number, if desired, in addition to the 3-digitsequential number.

f. Date of InvoiceNoucher. Insert the date the invoice/voucher is prepared.

g. Billing Period. Insert the beginning and ending dates (day, month, year) of the period during which deliverableswere completed and for which payment is requested.

h. Description of Deliverables. Provide a brief description of supplies or services, quantity, unit price, and total price.

i. Work Completed. Provide a general summary description of the services performed or products submitted for theinvoice period and specify the section or Contract Line Item Number (CLIN) or SubCLIN in the contract pertaining tothe specified contract deliverable(s).

j. Shipping. Insert weight and zone of shipment, if shipped by parcel post.

k. Charges for freight or express shipments. Attach prepaid bill if shipped by freight or express.

I. Instructions. Include instructions to consignee to notify the Contracting Officer of receipt of shipment.

3


m. For Indefinite Delivery contracts, the final invoice/voucher shall be marked FINAL INVOICE" or "FINALVOUCHER".

n. Total Amount Billed. Insert columns for total amounts for the current and cumulative periods.

o. Adiustments. Insert columns for any adjustments, including outstanding suspensions for deficient or defectiveproducts or nonconforming services, for the current and cumulative periods.

p. Grand Totals.

4

NRC-HQ-12-C-37-0039 ATTACHMENT NO. _--

NRC FORM 829: NRC SMALL BUSINESS SUBCONTRACTING PLAN

NRC FORM 829 U.S. NUCLEAR REGULATORY COMMISSION(2-2010)

NRC SMALL BUSINESS SUBCONTRACTING PLAN

PARTe'AI.GENERALINFORMATION . 'AX ._ _ __'.,-_,_.

NRC DIVISION OF CONTRACTS BRANCH NRC PROGRAM OFFICE DATE OF PLAN

i 1/19/12

CONTRACTOR NAME DUN & BRADSTREET NUMBER SOLICITATION/CONTRACT NUMBERCornell University _ 002254837 NRC-HQ-lI-R-37-0107

CONTRACTOR ADDRESS 395 Pine Tree Rd IPRODUCTISERVICE (Description)

Ithaca, NY 14850ý Provide case management services for theNRC's alternative resolution program

PARTVA22;•NEWIINITIAL :CONTRACT" ,&ý.'". ,,-' ,-, -" , ".PERIOD OF CONTRACT PERFORMANCE (mm/dd/yyyy) ..

3/27/12-3/26/17 I COST PERFORMANCE PERIOD/QUANTITY

BASE is 187, 080 2012-2013h . . . . . . . . . ... . ... . • . . . . . . . . . . ... . . .. . ... .. . ... .... ... . .... ... . .. ... ... .. . . . .

OPTION 1 s 193,734 2013-2014

OPTION 2 $ 200,310 [ 2014-2015

OPTION3 $ 206,382 2015-2016

OPTION4 $ 210,831 2016-2017

TOTAL CONTRACT COST 1s 998,337

PA'RT,.A3;CONTRACT.MODIFICATION ihclddith``'ask/d6livejy orders .agai'hst*existlirg:€ontracts.(if applicable)... -

PERIOD OF CONTRACT PERFORMANCE (mm/dd/yyyy)COST . PERFORMANCE PERIOD/QUANTITY

ORIGINAL BASE $ .

MODIFICATION $

MODIFIED TOTALCONTRACT COST F$

The following outline meets the minimum requirements of section 8(d) of the Small Business Act, as amended, and implementedby Federal Acquisition Regulations (FAR) Subpart 19.7. While this outline has been designed to be consistent with statutory andregulatory requirements, other formats of a subcontracting plan may be acceptable. It is not intended to replace any existingcorporate/commercial plan that is more extensive or has been approved by another Federal Agency.

Failure to include the essential information of FAR Subpart 19.7 may be cause for either a delay in acceptance or the rejection ofa bid or offer when a subcontracting plan is required. "SUBCONTRACT," as used in this clause, means any agreement (otherthan one involving an employer employee relationship) entered into by a Federal Government prime contractor or subcontractorrequesting supplies or services required for performance of the contract or subcontract.

If assistance is needed to locate small business sources, sources may be obtained through the Central ContractorRegistration (htto://www.ccr.gov/) website.

PAR 13'B>.-LANREQUIREMENTS.. '..

1. Type of Plan (check one)

LX Individual plan (all elements developed specifically for this contract and applicable for the full term of this

E] Master plan (goals developed for this contract) all other elements standardized and approved by a lead agencyFederal Official; must be renewed every three years and contractor must provide copy of lead agency approval.

Commercial products/service plan (goals are negotiated with the initial agency on a company-wide basis rather[El than for individual contracts) this plan applies to the entire production of commercial service or items or a portion

thereof. The contractor sells commercial products and services customarily used for non-government purposes.The plan is effective during the offeror's fiscal year.

... FOR ..2....... . ...... ..N..LI~L U P PENR•C FORM 829 (2-2010) PRIN'T ED ON RECYULLD PAPER

1




'PARTýB.:PLiAN REQUIREMENTS:(Gontritued)d<," . : ,:

2. Subcontracting Goal Data

Indicate below the dollar and percentage goals for Small Business (SB), Small Disadvantaged Business (SDB), Woman owned(WOSB), Historically Underutilized Business Zone (HUBZone), Service-Disabled Veteran-owned (SDVOSB) small businessesand "Other than small business" (Other) as subcontractors. Indicate the base year and each option year, as specified in FAR19.704 or project annual subcontracting base and goals under commercial plans.

a.Total estimated dollar value of ALL planned subcontracting, i.e., with ALL types of concerns under this contract is

$ [ 75, 000 0(Base Year).

FY 1 st Option FY 2ndOption-- FY r 3rd Option _FY 4th Option

$ 78,750 $ 82, 500 1$ 86,262 Is 88,154

b.Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB,

HUBzone and SDVOSB: (% of "a") L .17,250 and 23 (B... ase Year).

FY 1stOption 2nd Option FY 3rd Option-1' FY 4th- Option.

$ 18, 113 [$ 18, 975 $ 19,8B40 ls 20,275

c.Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED

BUSINESSES: (% of"a") n 3,750 land i 5 (Base Year).

FY 1 st Option FFY 2nd Option iFY 3rd Option FY 4th Option

3,938 $ 4, 125 s 4,313 s 4,408

d.Total estimated dollar value and percent of planned subcontracting with WOMAN-OWNED SMALLBUSINESSES: (% of"a") F$ 3,750 and 5 . (Base Year).

FY I 1stOption Fy 2nd Op FY 3rd Option 'F"yY 4th Option

3,938 s4,125 4,313 1$ 4,408

e.Total estimated dollar value and percent of planned subcontracting with HUBZone SMALLBUSINESSES: (% of "a") 72 5and % I(Base Year)..Z . ... . . . ....... ...... .... ... . . . . . . . .. . . . . ... .. . . .. . . . . . . . . ..... .. .. ....-..... ..o-n.

1st O FY ..... -I_-- 2nd Option FY.. I 3rd Option FY i 4th Option

IS 233s 2,475 $ 2, 588 1s 2,645

f.Total estimated dollar value and percent of planned subcontracting with SERVICES-DISABLED VETERAN-OWNEDSMALL BUSINESSES: (% of "a") $ 2,250 and r 3 % - (Base Year).

FY I st Option FY2nFY3d Option FY I3rd0FY 4th Option

$ 2,363 Is 2,475 s .$ 2,S88 ... 2,64S

q.Total estimated dollar value and percent of planned subcontracting with "OTHER THAN

SMALL BUSINESSES: (% of "a") F$ 57,750 .and 77 %] (Base Year).

_I:FY04T h O pti oýFY 1st Option FY 2nd Option FY 3ird Option' t. Option_ __

s 60,387 $ 63,525 $ 66,422 $ 7879

NRC FORM 829 (2-ý010) PRINTED ON RECYCLED PAPER

2


NRC PORM 829 U.S. NUCLEAR REGULATORY COMMISSION(2-2010)


PARTRB.' PLAN REQUIREMENTS, (continued)Notes:

1. Federal prime contract goals are:

SB equals -- 23 %--SDBequals 5 ....... ; ' S als %-;5--i-mHUBZone equals 3 %;

and SDVOSB equals 3 %; !may serve as objectives for subcontracting goal development.

2. SDB, WOSB, HUBZone, and SDVOSB goals are subsets of SB and should be counted and reported in

multiple categories, as appropriate.

3. If any contract has more than four options, please attach additional sheets showng dollar amounts and

percentages.

Provide a description of ALL the products and/or services to be subcontracted under this contract, and indicate the size

and type of business supplying them (check all that apply):

3. SUBCONTRACT OPPORTUNITIES

1: Mediation Services

2,

31

5,

6.

7.

9.

10.

4. METHODOLOGY

i. Provide a description of the method used to develop the subcontracting goals for SB, SDB, WOSB,HUBZone and SDVOSB concerns. Address efforts made to ensure that maximum practicablesubcontracting opportunities have been made available for those concerns and explain the method usedto identify potential sources for solicitation purposes. Explain the method and state the quantitativebasis (in dollars) used to establish the percentage goals. Also, explain how the areas to besubcontracted to SB, WOSB, HUBZone and SDVOSB concerns were determined, how the capabilitiesof these concerns were considered contract opportunities and how such data comports with the costproposal. Identify any source lists or other resources used in the determination process. (Attachadditional sheets, if necessary.)

Cornell adopts the goals of NY State or the funding agency, whichever islarger. Mediators are available from a roster of potential sources atILR and small businesses will be given priority.

NRC FORM 829 (2-2010) PRINTED ON RECYCLED PAPER

3




.ART.B.,BIRLA'N.REQUIREMENTS .(cintinued).. ....... -,,

5. Indirect Cos

a.

Sts

Indirect costs have [] have not ýXd been included in the dollar and percentage subcontractinggoals above (check one).

b. If indirect costs have been included, explain the method used to determine the proportionate share ofsuch costs to be allocated as subcontracts to SB, SDB, WOSB, HUBZone, and SDVOSB concerns:

6. Program Administrator:

NAME/TITLE:

ADDRESS (Line 1):

ADDRESS (Line 2):

CITY/STATE/ZIPCODE:

TELEPHONE:

E-MAIL:

Mike Winters

395 Pine Tree RdSuite 330Ithaca, NY

[email protected]

Duties: Does the individual named above have general overall responsibility for the company's subcontracting program, i.e.,developing, preparing, and executing subcontracting plans and monitoring performance relative to the requirements of thosesubcontracting plans and perform the following duties? (If.NO is checked, please who in the company performs those duties, orindicate why the duties are not performed in your company on a separate sheet of paper and submit with the proposedsubcontracting plan.)

a. Developing and promoting company wide policy initiatives that demonstrate the company's support forawarding contracts and subcontracts to SB, SDB, WOSB, HUBZone and SDVOSB concerns; and forassuring that these concerns are included on the source lists for solicitations for products and servicesthey are capable of providing.

b. Developing and maintaining bidder source lists of SB, SDB, WOSB, HUBZone and SDVOSBconcerns from all possible sources;

c. Ensuring periodic rotation of potential subcontractors on bidder's lists;

Yes No

Yes No

'Yes N --___ F1__

d. Assuring that SB, SDB, WOSB, HUBZONE and SDVOSB businesses are included on the bidders' list I Yes ! Nofor every subcontract solicitation for products and services that they are capable of providing. {....[ L.

e. Ensuring that requests for proposals (RFPs) are designed to permit the maximum practicableparticipation of SB, SDB, WOSB, HUBZone and SDVOSB concerns. Ye N

f. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or Yes : Noprohibit small, 8(a), SDB, WOSB, HUBZone and SDVOSB small business participation. i_ L7:


4

NRC-HQ-12-C-37-0039 ATTACHMEKT NC. 2



PART.B.&PLANREQUIREMENTS.(continued) " -

g. Accessing various sources for the identification of SB, SDB, WOSB, HUBZone and SDVOSBconcerns to include the Central Contractor Registration (http://www.ccr.gov/), local small business andminority associations, local chambers of commerce and Federal agencies' Small Business Offices;

No

h. Establishing and maintaining contract and subcontract award records; Yes No

Yes ý

i. Participating in Business Opportunity Workshops, Minority Business Enterprise Seminars, TradeFairs, Procurement Conferences, etc;

Ensuring that SB, SDB, WOSB, HUBZone and SDVOSB concerns are made aware of subcontractingopportunities and assisting concerns in preparing responsive bids to the company;

-i

Yes

No

N•o

k. Conducting or arranging for the conduct of training for purchasing personnel regarding the intent and Yes Noimpact of Section 8(d) of the Small Business Act, as amended; F-

1. Monitoring the company's subcontracting program performance and making any adjustmentsnecessary to achieve the subcontract plan goals;

m Preparing and submitting timely, required subcontract reports;

Yes I-No

Yes No

X-- iYes. .. E.

n. Conducting or arranging training for purchasing personnel regarding the intent and impact of 8(d) ofthe Small Business Act on purchasing procedures;

o. Coordinating the company's activities during the conduct of compliance reviews by Federal agencies; Yes Noand - .[!I

p. Other duties:

All items checkedSponsored Programs

7. Equitable Opportunity

no are the responsibility of Cornell's Office of

Describe efforts the offeror will undertake to ensure that SB, SDB, WOSB, HUBZone and SDVOSB concerns will have anequitable opportunity to compete for subcontracts. These efforts include, but are not limited to, the following activities:

a. Outreach efforts to obtain sources:

1. Contact minority and small business trade associations; 2) contact business development organizations andlocal chambers of commerce; 3) attend SB, SDB, WOSB, HUBZone and SDVOSB procurement conferencesand trade fairs; 4) review sources from the Central Contractor Registration (http://www.ccr.gov/); 5) reviewsources from the Small Business Administration (SBA), Central Contractor Registration (CCR); 6) Considerusing other market sources; and 7) Utilize newspape.r and magazine ads to encourage new sources.

b. Internal efforts to guide and encourage purchasing personnel:

1. Conduct workshops, seminars and training programs;


5




IPART B. ;PLAN REQUlREMEN•TS '(Cntinued).:1 F..

7. Equitable Opportunity (continued)

b. Internal efforts to guide and encourage purchasing personnel (continued):

2. Establish, maintain, and utilize SB, SDB, WOSB, HUBZone and SDVOSB source lists, guides, and other datafor soliciting subcontractors; and

3. Monitor activities to evaluate compliance with the subcontracting plan.

Additional Efforts:

Cornell has an e-procurement tool which it uses to identify smallbusiness concerns and highlighting the type of business through the useof icons. This helps to raise the visibility and awareness of thesebusinesses in the marketplace.

8. Flow Down Clause

The contractor agrees to include the provisions under FAR 52.219 8, "Utilization of Small Business Concerns," in allacquisitions exceeding the simplified acquisition threshold that offers further subcontracting opportunities. All subcontractors,except small business concerns, that receive subcontracts in excess of $550,000 ($1,000,000 for construction) must adopt andcomply with a plan similar to the plan required by FAR 52.219 9, "Small Business Subcontracting Plan." Note: In accordancewith FAR 52.212-5(e) and 52.244-6(c) the contractor is not required to include flow-down clause FAR 52.219.-9 if it issubcontracting commercial items.

9. a. Reporting and Cooperation

The contractor gives assurance of (1) cooperation in any studies or surveys that may be required; (2) submission of periodicreports which show compliance with the subcontracting plan; (3) submission of its Individual Subcontracting Report (ISR) andSummary Subcontract Report (SSR); and (4) ensuring that subcontractors agree to submit ISRs and SSRs. The ISR andSSR shall be submitted via the Electronic Subcontracting Reporting System (eSRS) Web site: http:/Iwww.esrs.aov

Reporting Period j Report Due Due Date

Oct I - Mar 31 ISR 4/30

Apr 1 - Sept 30 ISR 10/30

Oct 1 - Sept 30 SSR 10/30

30 days afterContract Completion OF 312 completion


6




PART..C.:CONrRACT*MODIFICATION.IcontitinU6d).',.:,ý .

9. a. Reporting and Cooperation (continued)

See FAR 19.7 for instruction concerning the submission of a Commercial Plan: SSR is due on 10/30 each year for theprevious fiscal year ending 9/30.

1. Submit ISR (bi-annually) for the cognizant awarding Contracting Officer's review and acceptance via the eSRS websitehttp://esrs.qov.

2. Currently, SSR (annually) must be submitted for the NRC eSRS Agency Coordinator review and acceptance via theeSRS website http://esrs.qov.

3. Contractors that do not use the eSRS to submit its reports must also submit a paper copy of the SSR to theappropriate Commercial Market Representative (contact the contracting official (CO).

9. b. Record keeping

FAR 19.704(a) (11) requires a list of the types of records your company will maintain to demonstrate the procedures adoptedto comply with the requirements and goals in the subcontracting plan. The folbwing is a recitation of the types of records thecontractor will maintain to demonstrate the procedures adopted to comply with the requirements and goals in thesubcontracting plan. These records will include, but not be limited to, the following:

a. SB, SDB, WOSB, HUBZone and SDVOSB source lists, guides and other data identifying such vendors;

b. Organizations contacted in an attempt to locate SB, SDB, WOSB, HUBZone and SDVOSB sources;

c. On a contract by contract basis, records on all subcontract solicitations over $100,000, which indicate foreach solicitation (1) whether SB, SDB, WOSB, HUBZone and/or SDVOSB concerns were solicited, if not,why not and the reasons solicited concerns did not receive subcontract awards;

d. Records to support other outreach efforts, e.g., contacts with minority and small business tradeassociations, attendance at small and minority business procurement conferences and trade fairs;

e. e.Records to support internal guidance and encouragement provided to buyers through (1) workshops,seminars, training programs, incentive awards; and (2) monitoring performance t[ evaluate compliancewith the program and requirements; and

f. On a contract by contract basis, records to support subcontract award data including the name, address,and business type and size of each subcontractor. (This item is not required on a contract - by - contractbasis for company or division wide commercial plans.)

g. Other records to support your compliance with the subcontracting plan: (Please describe)

NI<Q UNM U2Y (2.ZU1V)NRC FORM 629 (2-20iIU) PRINTED ON RECYCLED PAPER

7




PART-B. CONTRACTMODIFICATION (continued)ý,,,. ;. .

10. Timely Payments to Subcontractors

FAR 19.702 requires your company to establish and use procedures to ensure the timely payment of amounts due pursuant tothe terms of your subcontracts with small business concerns, 8(a), SDB, women-owned small business, HUBZone and servicedisabled veteran-owned small business concerns.

Your company has established and used such procedures: Yes No

11. Description of Good Faith Effort

Maximum practicable utilization of small, 8(a), small disadvantaged, woman-owned, HUBZone small and service disabledveteran owned concerns as subcontractors in Government contracts is a matter of national interest with both social andeconomic benefits. When a contractor fails to make a good faith effort to comply with a subcontracting plan, theseobjectives are not achieved, and 15 U.S.C. 637(d) (4) (F) directs that liquidated damages shall be paid by the contractor.In order to demonstrate your compliance with a good faith effort to achieve the small, SDB, WOSB, HUBZone and SDVOSBsmall business subcontracting goals, outline the steps your company plans to take. These steps will be negotiated with thecontracting official prior to approval of the plan.

A roster of potential mediators is reviewed by the staff at ILR and areassigned as business needs arise. ILR will give preference to thosewhich are certified as Small Business.


8




PART-C., SIGNATURE PAGE

Signatures Required:

This subcontracting plan was submitted by:

Signature:

Typed Name: Mike Winte:

Title: Director o:

rs

f e-Business

Date:

This plan was submittec

Signature:

Typed Name:

Title:

Date:

This plan was reviewed

Signature:

Typed Name:

Title:

Date:

01.19.12

I y! . ... -- . .-- -- -... ............... .... .... ........-- -.- . -.. ...-. . -..-....-..--.....__

by:

Oeflnifer A/ DeFino

Contracting Officer

01/24/2012

by:

Small Bus'ess Program (SBP)


9