NRC-HQ-11-R-37-0107_FBO_10-31-11.pdf

1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGES

UNDER DPAS (15 CFR 700)

2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION 5. DATE ISSUED 6. REQUISITION/PURCHASE NUMBER

SEALED BID (IFB)

NEGOTIATED (RFP)

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

9. Sealed offers in original and _____________________________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in until local time _______________________ (Hour) (Date)

CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All Offers are subject to all terms and conditions contained in this solicitation.

A. NAME B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS

AREA CODE NUMBER EXT.

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

A SOLICITATION/CONTRACT FORM I CONTRACT CLAUSES

B SUPPLIES OR SERVICES AND PRICES/COSTS PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

C DESCRIPTION/SPECS./WORK STATEMENT J LIST OF ATTACHMENTS

D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS

E INSPECTION AND ACCEPTANCE

F DELIVERIES OR PERFORMANCE

G CONTRACT ADMINISTRATION DATA L INSTR., CONDS., AND NOTICES TO OFFERORS

H SPECIAL CONTRACT REQUIREMENTS M EVALUATION FACTORS FOR AWARD

K

REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ________ calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%)

(See Section I, Clause No. 52-232-8)

14. ACKNOWLEDGEMENT OF AMENDMENTS AMENDMENT NO. DATE AMENDMENT NO. DATE

(The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated:

CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER 15A. NAME AND

ADDRESS

OF OFFEROR

(Type or print)

15B. TELEPHONE NUMBER 17. SIGNATURE 18. OFFER DATE

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM

ABOVE - ENTER SUCH ADDRESS IN SCHEDULE

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM (4 copies unless otherwise specified)

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

24. ADMINISTERED BY (If other than Item 7) 25. PAYMENT WILL BE MADE BY CODE CODE

26. NAME OF CONTRACTING OFFICER (Type or print) 27. UNITED STATES OF AMERICA 28. AWARD DATE

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

(Signature of Contracting Officer)

(REV. 9-97)

10. FOR INFORMATION CALL:

11. TABLE OF CONTENTS

AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 33

Previous edition is unusable Prescribed by GSA-FAR (48 CFR) 53.214(c)

SOLICITATION, OFFER AND AWARD

SOLICITATION

OFFER (Must be fully completed by offeror)

AWARD (To be completed by Government)

1 77 N/A

NRC-HQ-11-R-37-0107

X

10-31-2011 OE-11-018

U.S. Nuclear Regulatory Commission Div. of Contracts Attn: Jennifer A. DeFino, 301-492-3637 Mail Stop: TWB-01-B10M Washington, DC 20555

U.S. Nuclear Regulatory Commission Attn: Jennifer A. DeFino; Email: Jennifer.DeFino@nrc.gov 11555 Rockville Pike Mail Stop: TWB-01-B10M Rockville MD 20852

Block 8 2:00 P.M. EST 12-05-2011

JENNIFER DEFINO 301-492-3637 Jennifer.DeFino@nrc.gov

See Attached Table of Contents

X 1

X B-1

X C-1

X D-1

X E-1

X F-1

X G-1

X H-1

X I-1

X J-1

X K-1

X L-1

X M-1

TBD

U.S. Nuclear Regulatory Commission Div. of Contracts Mail Stop: TWB-01-B10M

Washington, DC 20555

Department of Interior / NBC NRCPayments@nbc.gov Attn: Fiscal Services Branch - D2770 7301 W. Mansfield Avenue Denver CO 80235-2230

Jennifer A. DeFino

Contracting Officer

Table of Contents

PART I - THE SCHEDULE ............................................................................................................... A-1

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

SF 33 SOLICITATION, OFFER AND AWARD .......................................................................A-1

PART I - THE SCHEDULE ............................................................................................................... B-1

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

B.1 PROJECT TITLE ................................................................................................................B-1 B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) ALTERNATE 1 (JUN 1988) ....................B-1 B.3 PRICE/COST SCHEDULE .................................................................................................B-1 B.4 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 (MAR 1987) ...................................................................... D-1

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

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE .............E-1

E.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-1

F.2 DURATION OF CONTRACT PERIOD (MAR 1987) ALTERNATE 4 (JUN 1988) .............. F-1 F.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-1 G.2 2052.215-77 TRAVEL APPROVALS AND REIMBURSEMENT (OCT 1999) .................. G-1 G.3 ORDERING PROCEDURES (MAY 1991) ........................................................................ G-2

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

H.1 2052.209-72 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)H-1

H.2 2052.215-70 KEY PERSONNEL (JAN 1993) ................................................................... H-3

H.3 GOVERNMENT FURNISHED EQUIPMENT/PROPERTY/MATERIALS (JUN 1988) ....... H-3

H.4 SEAT BELTS .................................................................................................................... H-4 H.5 Annual and Final Contractor Performance Evaluations .................................................... H-4

H.6 COMPLIANCE WITH U.S. IMMIGRATION LAWS AND REGULATIONS (MAY 2002) .... H-4

H.7 NRC INFORMATION TECHNOLOGY SECURITY TRAINING (AUG 2003) .................... H-4

H.8 WHISTLEBLOWER PROTECTION FOR NRC CONTRACTOR AND SUBCONTRACTOR

EMPLOYEES (JULY 2006) .............................................................................................. H-5

H.9 AUTHORITY TO USE GOVERNMENT PROVIDED SPACE AT NRC HEADQUARTERS

(JUL 2007) ....................................................................................................................... H-5 H.10 PROHIBITION OF FUNDING TO ACORN (NOV 2009) .................................................. H-6 H.11 REDUCING TEXT MESSAGING WHILE DRIVING (OCT 2009) ..................................... H-6 H.12 GREEN PURCHASING (JUN 2011) ............................................................................... H-6

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

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

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

I.2 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING

RESPONSIBILITY MATTERS (JAN 2011) ........................................................................ I-2 I.3 52.216-18 ORDERING (OCT 1995) ................................................................................... I-3 I.4 52.216-19 ORDER LIMITATIONS (OCT 1995) .................................................................. I-3 I.5 52.216-21 REQUIREMENTS (OCT 1995) .......................................................................... I-3 I.6 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999) .................................................. I-4 I.7 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000) ............... I-4

I.8 52.219-28 POST- AWARD SMALL BUSINESS PROGRAM RE-REPRESENTATION (APR

2009) .................................................................................................................................. I-4

I.9 52.222-40 NOTIFICATION OF EMPLOYEE RIGHTS UNDER THE NATIONAL LABOR

RELATIONS ACT (DEC 2010) .......................................................................................... I-6 I.10 52.232-18 AVAILABILITY OF FUNDS (APR 1984) .......................................................... I-7 I.11 52.232-19 AVAILABILITY OF FUNDS FOR THE NEXT FISCAL YEAR (APR 1984) ...... I-7 I.12 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) ............................ I-7

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

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

PART IV - REPRESENTATIONS AND INSTRUCTIONS .............................................................. K-1

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF

OFFERORS ............................................................................................................................. K-1

K.1 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (MAY 2011) .............K-1

K.2 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (JAN 2011) ........K-4

K.3 2052.209-70 CURRENT/FORMER AGENCY EMPLOYEE INVOLVEMENT (OCT 1999) K-5

K.4 2052.209-71 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST

(REPRESENTATION) (OCT 1999) ...................................................................................K-5

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS ........................... L-1

L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE ... L-1

L.2 52.215-1 INSTRUCTIONS TO OFFERORS--COMPETITIVE ACQUISITION (JAN 2004) L-1

L.3 52.216-1 TYPE OF CONTRACT (APR 1984) ................................................................... L-4 L.4 52.233-2 SERVICE OF PROTEST (SEP 2006) ............................................................... L-4

L.5 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)L-5

L.6 2052.215-72 TIMELY RECEIPT OF PROPOSALS (OCT 1999) ...................................... L-5

L.7 2052.215-73 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (OCT

1999) ................................................................................................................................. L-5 L.8 2052.215-74 DISPOSITION OF PROPOSALS (JAN 1993) ............................................. L-6

L.9 2052.215-75 PROPOSAL PRESENTATION AND FORMAT-ALTERNATE 2 (OCT 1999)L-6

L.10 2052.222-70 NONDISCRIMINATION BECAUSE OF AGE (JAN 1993) ........................ L-10 L.11 ESTIMATED DURATION (JUN 1988) ............................................................................ L-10

L.12 USE OF AUTOMATED CLEARING HOUSE (ACH) ELECTRONIC

PAYMENT/REMITTANCE ADDRESS ............................................................................ L-10 L.13 RECORDS MANAGEMENT (JUN 2010) ........................................................................ L-10 L.14 GREEN PURCHASING -- COST PROPOSAL COVER PAGE (JUN 2011) ................... L-11

SECTION M - EVALUATION FACTORS FOR AWARD .................................................................. M-1

M.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE . M-1

M.2 2052.215-79 CONTRACT AWARD AND EVALUATION OF PROPOSALS (OCT 1999) M-1

NRC-HQ-11-R-37-0107 Section B

B-1

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PROJECT TITLE

The title of this project is as follows: Neutral Services Supporting the Nuclear Regulatory Commission

Office of Enforcement’s Alternative Dispute Resolution Program

B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) ALTERNATE 1 (JUN 1988)

(a) Brief description of work:

To continue the successful implementation of the NRC Office of Enforcement’s Alternative Dispute Resolution program, and to maintain the credibility that is essential to its effectiveness, the NRC requires the services of an organization to provide comprehensive case management services from initial contact by a potential party through completion 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; and

ii. 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.

(b) Orders will be issued for work required by the NRC in accordance with 52.216-18 - Ordering. Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract. The provisions of this contract shall govern all orders issued hereunder.

B.3 PRICE/COST SCHEDULE

BASE YEAR

FIXED PRICE CONTRACT LINE ITEMS (CLINs)

(Basic Level of Service)

CLIN DESCRIPTION UNIT RATE

UNIT QTY TOTAL

0001 Fixed Price Ongoing Daily Services

$________ Month 12 $________

DELIVERY ORDER CLINs - AS NEEDED BASIS

(Requirements that Exceed the Basic Level of Service)

UNIT EST.

QTY

TOTAL

0002 Early ADR Mediation Services (*All fees to be paid by the NRC)

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

EA 30 $________

0002b Task B(ii): Mediation Session Scheduling $________

0002c Task B(iii)(b): Mediation Process & Documentation

0002d Task B(iii)(a): Mediation Session *When the NRC Project Officer (PO) issues the initial delivery order for this task; they will authorized up to

DAY 60 $________

B-2 two (2) days for the actual mediation. If additional days are required for the actual mediation, the contractor shall obtain authorization from the NRC CO or 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 from both parties agreeing to pay for their specified monetary share**)

0003a Task B(i): Selection of Session Neutral

EA 15 $________

0003b Task B(ii): Mediation Session Scheduling

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

NRC)

0003d Task B(iii)(a): Mediation Session *When the NRC PO issues the initial delivery order for this task; they will authorized up to two (2) days for the actual mediation. If additional days are required for the actual mediation, the contractor shall obtain authorization from the NRC CO or PO.

**The total cost of this task will be split between the NRC and the party requesting mediation [e.g. NRC regulated entity].

(NRC Price)

(Party Requesting

Mediation Price)

DAY 30 $________

SUBTOTAL FOR DELIVERY ORDER LINE ITEMS $________

BASE YEAR TRAVEL ESTIMATE

CLIN DESCRIPTION TOTAL

ESTIMATED

0004 Travel

(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal Travel Regulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUP

DOCUMENTATION/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)

$40,000.00

BASE YEAR TOTAL CEILING

OPTION YEAR ONE

1001 Fixed Price Ongoing Daily Services

TOTAL

B-3

1002 Early ADR Mediation Services

1002a Task B(i): Selection of Session Neutral

1002b Task B(ii): Mediation Session Scheduling $________

1002c Task B(iii)(b): Mediation Process &

1002d Task B(iii)(a): Mediation Session *When the NRC Project Officer (PO) issues the initial delivery order for this task; they will authorized up to two (2) days for the actual mediation. If additional days are required for the actual mediation, the contractor shall obtain authorization from the NRC CO

1003 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 from both parties agreeing to pay for their specified monetary share**)

1003a Task B(i): Selection of Session Neutral

1003b Task B(ii): Mediation Session Scheduling

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

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

**The total cost of this task will be split between the NRC and the party requesting mediation [e.g. NRC regulated entity].

OPTION YEAR ONE TRAVEL ESTIMATE

ESTIMATED

1004 Travel

(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal Travel Regulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUP

DOCUMENTATION/RECEIPTS.

*All travel must be approved in advance by the NRC Project Officer.*

OPTION YEAR ONE TOTAL CEILING

OPTION YEAR TWO

B-4

2001 Fixed Price Ongoing Daily Services

TOTAL

2002 Early ADR Mediation Services

2002a Task B(i): Selection of Session Neutral

2002b Task B(ii): Mediation Session Scheduling $________

2002c Task B(iii)(b): Mediation Process &

2002d Task B(iii)(a): Mediation Session *When the NRC Project Officer (PO) issues the initial delivery order for this task; they will authorized up to two (2) days for the actual mediation. If additional days are required for the actual mediation, the contractor shall obtain authorization from the NRC CO

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 and mediator travel expenses. Prior to the NRC PO issuing an order for these services, the contractor shall obtain signature from both parties agreeing to pay for their specified monetary share**)

2003a Task B(i): Selection of Session Neutral

2003b Task B(ii): Mediation Session Scheduling

2003c Task B(iii)(b): Mediation Process & Documentation (*All fees to be paid by the

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

**The total cost of this task will be split between the NRC and the party requesting mediation [e.g. NRC regulated entity].

OPTION YEAR TWO TRAVEL ESTIMATE

ESTIMATED

2004 Travel

(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal Travel Regulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUP

DOCUMENTATION/RECEIPTS.

B-5

*All travel must be approved in advance by the NRC Project Officer.*

OPTION YEAR TWO TOTAL CEILING

OPTION YEAR THREE

3001 Fixed Price Ongoing Daily Services

TOTAL

3002 Early ADR Mediation Services

3002a Task B(i): Selection of Session Neutral

3002b Task B(ii): Mediation Session Scheduling $________

3002c Task B(iii)(b): Mediation Process &

3002d Task B(iii)(a): Mediation Session *When the NRC Project Officer (PO) issues the initial delivery order for this task; they will authorized up to two (2) days for the actual mediation. If additional days are required for the actual mediation, the contractor shall obtain authorization from the NRC CO

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 signature from both parties agreeing to pay for their specified monetary share**)

3003a Task B(i): Selection of Session Neutral

3003b Task B(ii): Mediation Session Scheduling

3003c Task B(iii)(b): Mediation Process & Documentation (*All fees to be paid by the

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

**The total cost of this task will be split between the NRC and the party requesting mediation [e.g. NRC

B-6 regulated entity].

OPTION YEAR THREE TRAVEL ESTIMATE

ESTIMATED

3004 Travel

(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal Travel Regulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUP

DOCUMENTATION/RECEIPTS.

*All travel must be approved in advance by the NRC Project Officer.*

OPTION YEAR THREE TOTAL CEILING

OPTION YEAR FOUR

4001 Fixed Price Ongoing Daily Services

TOTAL

4002 Early ADR Mediation Services

4002a Task B(i): Selection of Session Neutral

4002b Task B(ii): Mediation Session Scheduling $________

4002c Task B(iii)(b): Mediation Process &

4002d Task B(iii)(a): Mediation Session *When the NRC Project Officer (PO) issues the initial delivery order for this task; they will authorized up to two (2) days for the actual mediation. If additional days are required for the actual mediation, the contractor shall obtain authorization from the NRC CO

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 and mediator travel expenses. Prior to the NRC PO issuing an order for these services, the contractor shall obtain signature from both parties agreeing to pay for their specified monetary share**)

4003a Task B(i): Selection of Session Neutral

4003b Task B(ii): Mediation Session Scheduling

B-7

4003c Task B(iii)(b): Mediation Process & Documentation (*All fees to be paid by the

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

**The total cost of this task will be split between the NRC and the party requesting mediation [e.g. NRC regulated entity].

OPTION YEAR FOUR TRAVEL ESTIMATE

ESTIMATED

4004 Travel

(Cost Reimbursable)- The government will pay up to the rates specified in the Government Federal Travel Regulations (FTR) for travel destination. NO PAYMENT WILL BE MADE WITHOUT BACKUP

DOCUMENTATION/RECEIPTS.

*All travel must be approved in advance by the NRC Project Officer.*

OPTION YEAR FOURTOTAL CEILING

GRAND TOTAL --- $

B.4 CONSIDERATION AND OBLIGATION—REQUIREMENTS CONTRACT

(a) The total current estimated amount of this contract (ceiling) for the services ordered, delivered, and accepted under this contract is TBD. This ceiling includes the firm fixed line items portion of the contract with a ceiling amount of TBD and the delivery order line items with a ceiling amount of TDB.

(b) The amount presently obligated with respect to this contract is TBD. The obligated amount includes the firm fixed line items portion of the contract in the amount of TBD and the delivery order line items with a obligated amount of TDB. For the delivery order line items, the Contracting Officer or NRC Project Officer may issue orders for work up to the amount presently obligated. This obligated amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligated amount shall, at no time, exceed the contract ceiling as specified in paragraph (a) above. When and if the amount(s) paid and payable to the Contractor hereunder shall equal the obligated amount, the Contractor shall not be obligated to continue performance of the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken by the Contractor in excess of the obligated amount specified above is done so at the Contractor'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.

NRC-HQ-11-R-37-0107 Section C

C-1

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

Neutral Services Supporting the Nuclear Regulatory Commission Office of Enforcement’s Alternative Dispute Resolution Program

Statement of Work

I. Background The 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 its support for the use of ADR in its programs where appropriate [NRC Policy Statement, Alternative Means of Dispute Resolution, 57 Fed. Reg. 36.678, Aug. 14, 1992]. In 2004, the Commission incorporated the use of ADR in its Enforcement 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 develops guidance 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 (“Early

ADR”).

Early ADR is available only prior to the initiation of an NRC investigation. It involves mediation between an employer (or former/prospective employer) and an employee (or former/prospective employee) who has filed an allegation 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 are alleged, the alleger will be offered the opportunity to use Early ADR instead of having the NRC initiating an investigation to determine the merits of the allegation.

The allegation and the option to engage in ADR is typically documented in an acknowledgment letter to the alleger. The acknowledgment letter informs the alleger of his or her options for addressing the allegation of retaliation including engaging in mediation with his or her employer as part of the Early ADR program. If the alleger elects to engage in mediation, he or she is directed to contact the contractor. No information is provided to the contractor about the prima facie determination until after the alleger has contacted the contractor. After the alleger 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 the case.

ii.The second part occurs after the completion of a NRC investigation relating to discrimination and other wrongdoing 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 of Investigations is complete and an enforcement panel concludes that pursuit of an enforcement action appears warranted. 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 a Commission licensee or applicant or in some cases individuals) against whom the NRC is considering taking, or has already taken, enforcement action. Mediation with the NRC (Post-Investigation ADR) is available at three stages of the enforcement process:

1. Prior to a pre-decisional enforcement conference;

C-2

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

II. Contract Objective To continue the successful implementation of OE’s ADR program, and to maintain the credibility that is essential to its effectiveness, the NRC requires the services of an organization to provide comprehensive case management services from initial contact by a potential party through completion 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; and ii.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.

III. Personnel Requirements Each 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 shall ensure that an intake neutral and appropriate session neutral(s) are available to fulfill the requirements of this contract.

i.Intake Neutral/Program Manager The intake neutral/program manager provides a variety of services, which include contacting parties to confirm interest in or explore the potential use of ADR; advising and assisting mediating parties in determining whether ADR is appropriate for their case; advising and aiding the mediating parties to select an appropriate session neutral; and generally providing logistical services to facilitate the ADR process and answering any questions that may arise from time to time. The NRC expects that the contract will need the equivalent of one full-time intake neutral/program manager. The intake neutral/program manager’s primary responsibilities shall include frequent contact with the NRC Contracting Officer (CO) and Project Officer (PO), selection and oversight of dispute resolution service providers for individual delivery orders, oversight of tracking, invoicing and quality control evaluative aspects of this contract. The intake neutral/program manager shall have sufficient knowledge of ADR so as to be able to identify, select, manage and evaluate session neutral credentials and experience and should have sufficient knowledge of Federal contracting regulations and practices to manage the contractual relationship efficiently.

ii.Session Neutral The 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 shall be experienced and trained neutrals with extensive experience and training in ADR techniques, in good standing at national ADR professional associations and familiar with NRC employee protection rules, employment laws and environmental whistleblower protection statutes (such as those enforced by DOL). A national roster of session neutrals shall be maintained such that extensive travel is minimized to the extent possible.

IV. Task Requirements The contractor shall be required to provide a basic level of daily/ongoing services and also provide neutral services on a 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 Updates

a. 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 for NRC PO consideration and approval.

ii. Session Neutral Resource Materials and Orientation

a. 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’s familiarity with the NRC’s mission and goals of the enforcement ADR program.

iii. Toll Free Phone Number and Electronic Mail The contractor shall provide a dedicated toll free phone number and electronic mail capability for the parties use in contacting the contractor. The contractor shall continually monitor the toll free phone number and electronic mail during regular working hours (Monday through Friday from 9:00 A.M. to 5:00 P.M. EST). The contractor shall check the toll free phone number voicemail at least twice a day (Monday through Friday; at least once in the A.M. and once in the P.M.). If during the holiday season, the contractor’s main contact is not available, the toll free number greeting message shall be updated with the forwarding contact information or any other pertinent information to ensure that a response to the caller may be provided in a timely manner.

iv. Intake Neutral Basic/Ongoing Services

a. 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 this letter is for the party to contact the contractor through the toll free number or email address (as required to be maintained in item iii above) to explore ADR services. Upon receiving a phone call or email, the contractor shall confirm the party’s interest in pursuing ADR or otherwise respond to a alleger’s or the entity’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 in Post-investigation ADR) within one (1) business day of party identification. In certain cases, the contractor will have to conduct internet research to obtain the contact information of the employer in Early ADR. If the second party does not respond to the contractor’s initial contact within two (2) business days, the contractor shall initiate additional attempts to contact such party. In Early ADR cases, if the employer requires more than five (5) business days to determine whether to engage in mediation, the intake neutral shall 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 the NRC’s ADR program is available to such party. The contractor shall confirm the parties’ interest in resolving 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 the Agreement to Mediate forms to the parties for execution within one (1) business day of confirmation of the parties’ interest in resolving the allegation through mediation. The contractor shall send a copy of each executed Agreement to Mediate to the NRC PO within one (1) business day of receipt and shall obtain a delivery order from the NRC PO for services (above basic service level) to be performed (refer to Section B of this SOW for services to be performed by issuance of delivery orders). The contractor shall not perform any services above the basic service level until receipt of a signed delivery order from the 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 regulated entity) 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 for half of the 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 monetary share. The contractor shall send the Agreement to Mediate forms to the parties for execution within one (1) business day of the confirmation of the parties’ interest in resolving the allegation of potential wrongdoing or discrimination through mediation. The contractor shall send a copy of each executed Agreement to Mediate to the NRC PO within one (1) business day of receipt and shall obtain a delivery order from the NRC PO for services (above basic service level) to be performed (refer to Section B of this SOW for services to be performed by issuance of delivery orders). The contractor shall not perform any 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 from parties 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 complex inquiries.

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

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

h. The contractor shall support the NRC in providing NRC mediator orientation and training to mediators or NRC 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 1 to 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 the substance 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 the substance 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 of participants, arranging meeting facilities and support, providing required supplies and equipment for presenting 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 the program. Such support may be in the form of:

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

ii.Drafting for NRC PO consideration a survey or providing suggestions for NRC PO consideration in developing 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 PO consideration .

C-5 v.PO Inquiries and Weekly Updates

a. 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. Invoicing

The contractor shall issue an invoice every two months in accordance with the billing instructions in the contract. If there are no costs/prices incurred in any particular 2-month period, the contractor shall notify the NRC PO in writing that no voucher or invoice is required. Each invoice shall include a breakdown of mediator charges and expenses. (NOTE: Per Diem expenses will only be reimbursed for travel in excess of 35 miles from the mediator’s home location or when the travel period is twelve (12) hours or more.) The contractor shall handle all logistical matters relating to the payment of mediator fees and expenses to the mediators arising out of 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 Neutrals After obtaining an executed Agreement to Mediate from both parties, the contractor shall assist the parties in the 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 session neutrals, it may be necessary to clear in advance the location and period during which the parties desire to conduct the mediation session and accordingly offer session neutrals whose schedules will support the parties’ schedules.

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

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

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

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

ii. Mediation Session Scheduling

After the parties have mutually selected a session neutral, the contractor shall assist the parties to schedule the mediation session. To the extent possible, the expectation should be that the mediation session is held no later than thirty (30) calendar days after both parties have agreed upon a session neutral. Assistance to the parties 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) or an NRC office (in post-investigation ADR cases). A national roster of neutrals shall be maintained such that extensive travel is minimized to the extent possible.

b. Transmitting the administrative process forms and related documents to the mediation neutral and the parties 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, & Session

a. Mediation Process & Documentation During the mediation process, the contractor shall document and keep records related to the mediation process, 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. The contractor shall submit a copy of each evaluation form completed by each party and by the neutral after the 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 portion of the program.

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

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

VI. Meetings and Travel Domestic travel for the session neutral may be required on a case-by-case basis. The session neutral’s travel expenses will be reimbursed in accordance with government travel policies (found on www.gsa.gov) and at rates no higher than the Government travel rates. Travel will be dependent on the location of the mediation site selected by the parties. The contractor will compile a list of three (3) neutrals provided by the selected contractor from which the parties are to choose a session neutral. In order to minimize travel expenses, the contractor should attempt to select session 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 be necessary for a particular case for a myriad of reasons.