SSTS POLICY SERIES

NUMBER: 3, Rev. 4

DATE OF ISSUE:  September 14, 2007

 

MONITORING CONTRACTOR PERFORMANCE

1.0    Background: 

 

The United States Support Program to IAEA Safeguards (USSP) relies on contractors from the national laboratories and the private sector to supply goods and services requested by the IAEA.  After a private sector task is accepted under the USSP, the IAEA or Brookhaven National Laboratory contracts directly with the company.  For tasks performed in the national laboratories, the tasks are performed under preexisting contractual arrangements between the Department of Energy and the laboratories. 

       

The USSP is administered by the Subgroup on Safeguards Technical Support (SSTS) through the International Safeguards Project Office (ISPO).  The predominant source of funding for the USSP is the Program of Technical Assistance to IAEA Safeguards (POTAS).  Tasks accepted into the USSP can also be funded by the Department of Energy (DOE), U.S. Nuclear Regulatory Commission (NRC), Department of Defense (DOD), or Department of State (DOS).  ISPO is tasked with "cradle to grave" management of those USSP tasks that are formally requested through the IAEA Support Program Administration and supported by POTAS funding.  In addition, ISPO is responsible for collecting information about and monitoring DOE, NRC, DOD, and DOS safeguards technical support to the IAEA performed under individual Agency funding when it results from SP-1s or letter requests generated by the IAEA. 

 

2.0    Purpose: 

       

This policy statement provides guidelines and authority for task management to ensure that tasks under ISPO's supervision are carefully guided from inception to completion. 

 

3.0    Policy: 

 

3.1

 

The SSTS will ensure that all tasks accepted for development under the USSP are consistent with the goals and objectives of the U.S. government. 

 

3.2

 

Only the SSTS has the authority to accept new POTAS tasks. 

 

3.3 

 

ISPO is chartered to provide technical and administrative management of all POTAS tasks. ISPO will ensure that tasks remain on schedule and within budgetary constraints.  ISPO will identify delinquent tasks and bring them to the attention of the SSTS. 

 

3.4 

 

The SSTS has tasked ISPO with coordination and monitoring of all tasks under the umbrella of the USSP, including POTAS, DOE, DOS, DOD, and NRC tasks.  ISPO will periodically report the subject and status of U.S. Agency tasks to the SSTS through the quarterly Capsule Summary and other reports. 

 

3.5

 

ISPO is authorized to approve additional allocations of funding for active POTAS tasks in amounts less than or equal to $25,000 without the concurrence of the SSTS.  ISPO is also authorized to approve funding required for CFE tasks for the SSTS-approved term of the CFE assignment.  In all other cases, SSTS concurrence is required for funding approval. 

 

4.0    Procedure: 

        

The SSTS and ISPO will use the following procedure to implement the policy objectives outlined in Section 3.0: 

 

4.1        Development of IAEA Task Requests 

 

ISPO's Head and Liaison Officer should be available to assist the IAEA Department of Safeguards in initiating and developing requests for technical support through the USSP.  At this time, the ISPO Head or the Liaison Officer may offer their opinion regarding the likelihood that a request would be funded by the USSP.

 

4.2    Task Acceptance 

 

4.2.1    Upon receipt of an SP-1 from the IAEA, ISPO will:

 

  1. Distribute the request to officers of the US Mission Vienna for review.
  2. Provide a copy of the SP-1 to the SSTS Chairman and subgroup members.
  3. Discuss the task request with the IAEA.
  4. On the basis of the guidance in SSTS Policy Statement No. 1, determine whether the task is appropriate for private or public sector support.
  5. Issue a request for proposals to a reasonable number of qualified vendors.
  6. Evaluate the merit of the task request and recommend whether the USSP should accept it
  7. Present the proposals to the SSTS for review and approval.  In certain cases, ISPO will not request proposals, but will recommend that the SSTS express interest in the task and authorize the IAEA Procurement Services Section to solicit proposals.

 

4.2.2    The SSTS will: 

 

  1. Review the SP-1 and/or task statement and determine whether the task is appropriate for the USSP.
  2. Approve ISPO's selection of public or private sector development. 
  3. Ascertain whether the subject area of the task is already under investigation by a U.S. government agency. 
  4. For tasks not accepted by a U.S. government agency, consider ISPO's recommendations and decide whether to accept the task under POTAS. 

 

If a particular U.S. agency is already supporting such work, request that the agency accept the task on behalf of the USSP. 

 

If no U.S. agency is currently performing a task which meets the requirements of the SP-1, the SSTS will ascertain whether any U.S. agency can modify on-going work, or initiate a new project. 

 

4.3    Management of New Tasks 

 

Upon acceptance of a new task into the USSP, ISPO will: 

 

  1. Assign a USSP designation to the task. 
  2. Informally notify the IAEA of task acceptance.  
  3. Identify the contractor principal investigator and the IAEA Task Officer. 
  4. Explain the reporting requirements to the contractor. 
  5. Add the task to the ISPO Information System.
  6. Draft a cable for clearance by the SSTS to formally notify the IAEA of task approval.

Persons authorized to clear on this cable are the SSTS members or their designated representatives, the Head of IO/T or a designated representative from IO/T and the Head of NP/MNA from the Department of State.

  1. For private sector tasks, ISPO will place a contract through the BNL procurement system or authorize the IAEA to issue a contract to the selected company.

 

4.4    Management of Ongoing Tasks 

 

For ongoing tasks, ISPO will: 

 

  1. Maintain contact and interact with the principal investigator and the IAEA Task Officer for each active task. 
  2. Maintain a file of information to document task history and status.
  3. Maintain records of expenses and account charges for each task based on the monthly financial reports submitted by contractors and the IAEA. 
  4. Based on the quarterly progress reports submitted by contractors, summarize the tasks' highlights in the quarterly Capsule Summary of Active Tasks.  The Capsule Summary should include input from contractor reports for both POTAS and U.S. government agency tasks.  Input for POTAS tasks will be provided directly by the contractor.  Input for U.S. government agency tasks will be provided by the contractor via the agency. 
  5. Use information compiled in the Capsule Summary and the ISPO Information System to determine the status of active tasks. 
  6. Report missed milestones, anticipated funding shortfalls or other concerns to the attention of the SSTS. 
  7. Report the financial status and progress of all POTAS tasks to the SSTS via the Capsule Summary. 
  8. Distribute final task reports to SSTS representatives, laboratory coordinators, MSSP coordinators, and the IAEA. 

 

The contractor is required to inform ISPO when each individual task account balance falls below 20% of total funding.  Work shall cease on any task which falls below 10% of total funding, except for final documentation of task activity.  In cases where these procedures have not been followed, or where the SSTS has not authorized additional funding for work on a task, the responsibility for any cost over runs shall rest solely with the developer/contractor.  The SSTS will determine, on a case by case basis, what action will be taken with regard to delinquent or other problem tasks identified by ISPO or the IAEA. 

 

4.5    Task Closeout 

 

For completed tasks, ISPO will: 

 

  1. Confirm that all deliverables, including final reports, have been completed. 
  2. Obtain IAEA concurrence that the task is closed. 
  3. Determine final task expenses. 
  4. Redirect surplus funding to new activities. 
  5. Forward IAEA task evaluation to SSTS.