SSTS POLICY SERIES

NUMBER:  2, Rev. 5

DATE OF ISSUE:   August 25, 2004

 

POTAS REPORTING REQUIREMENTS

1.0    Background:

 

The Subgroup on Safeguards Technical Support (SSTS), operating through the International Safeguards Project Office (ISPO, controls the disbursement of funding provided by the U.S. Program for Technical Assistance to IAEA Safeguards (POTAS).  Once task developers are selected to perform a particular IAEA task, ISPO monitors the task through completion.

 

A management tool is needed to provide monthly financial, performance, and technical information regarding the status of all current POTAS tasks.  ISPO developed the POTAS Database to store data provided by contractors and the IAEA.

 

2.0    Purpose:

 

The purpose of this Policy Statement is to summarize the requirements for reporting the expenses and progress related to active POTAS tasks.  By reading this document, both public and private sector contractors will learn their responsibilities in this regard.  The Policy Statement also addresses the requirements for preparing invoices for reimbursement of expenses to the private sector.

 

3.0    Policy:

 

With the issuance of this Policy Statement, the SSTS requires that all task developers (including national laboratories, private vendors, and consultants) provide detailed progress and budgetary information as discussed below. 

 

4.0    Procedure:

 

Because the funding process for the public and private sector is different, the two sectors are treated in separate sections in this Policy Statement.

 

4.1  Public Sector

4.1.1  Task Proposals

 

At the beginning of each task, the public sector developer is required to supply information regarding the schedule and proposed budget to ISPO.  This "Work Plan" is usually provided in the contractor's proposal and should, if possible, be reviewed and cleared by the IAEA task officer.  The proposed budget should be detailed and include costs for labor, travel, materials, and indirect costs for each activity for the task duration.  The budget should also include all burdens applied by their organization to the activity (including organization overhead and Work for Others fees where applicable.  With regard to performance, the contractor should provide a schedule that indicates progress in terms of activities and time elapsed.  In addition, the developer should indicate the level of effort required to complete each activity.


4.1.2 Task Approval

 

ISPO collects and reviews proposals from potential contractors and makes recommendations to the SSTS, but only the SSTS has the authority to approve funding for U.S. Support Program (USSP) tasks.  The only exception is for a task extension that will cost $25,000 or less.  In that case, ISPO has authority to approve the funding and must report the approval at the next regularly scheduled SSTS meeting.  There may be some occasions when ISPO presents task extensions of $25,000 or less to the SSTS for approval.

 

When funding is approved by the SSTS for work to be carried out by national laboratory contractors, reimbursable work authority is transmitted to the laboratory via an obligation letter.  Each letter contains authorization to conduct work under funding appropriated to the Department of Energy and to obtain reimbursement from a State Department account as the work is completed.  ISPO prepares the obligation letters for signature by the responsible DOE/NA-241 representative.  The signed letters are officially sent from DOE/NA-241 to the DOE Operations Offices with copies to the POTAS laboratory coordinators and ISPO Head.

4.1.3 Reporting Requirements

 

In order to maintain detailed records regarding the status of each task funded under the USSP, it is necessary for ISPO to obtain progress and financial reports from USSP contractors.  Contractors are required to supply this information periodically to ISPO.  At the conclusion of each reporting period, as defined in Section 4.3, the task developer will supply the following information to ISPO for each task:

4.1.3.1 Expenses

  1. Expenses incurred during the reporting period, with a separate total for significant equipment or other, non-personnel expenditures.
  2. Projected costs per month for the remainder of the task.  The contractor should revise the projections if the task is expected to cost other than originally requested.  Such revisions should be separately communicated to the ISPO Head.

          4.1.3.2 Performance

a.       Activities completed to date, including date of completion.

b.      A detailed description of significant accomplishments made during the reporting period.  (This information is required for completion of the Capsule Summary.)  Reference to specific activities defined in the task statement of the original IAEA task request (SP-1 or letter request) should be made whenever possible.

c.       Projected schedule, by quarter, for the remainder of the task.

d.      Revised schedule and performance estimates if the task is expected to change schedule.

A suggested format for reports is provided as Attachment 1.  

4.1.4 Reimbursement for POTAS Work

 

The Department of State reimburses public sector contractors for their efforts related to POTAS tasks from funds set aside for this purpose under the U.S. Voluntary Contribution to the IAEA.  Contractors must prepare invoices, which contain the information necessary to charge the appropriate State Department accounts, and transmit them to their Operations Office.  The invoice should include the same codes as provided in the obligation letter to ensure that invoices are paid from the correct account.  The following codes are provided in the obligation letters:

Appropriation Number:                         89X0224.93

Reimbursable Agreement Number:        S-IAA-XX-NP-MNA-4

Agency Location Code:                        19-00-0001

State Appropriation-Allocation:             1911-X-1075.2

Obligation Number:                              X70003

Allotment Number:                               1054

 

These codes change each year.  The Xs represent the funding year.

 

As of April 2001, funding approved for tasks is provided from a particular POTAS funding year.  The State Department requires that laboratories charge their task-related expenses to that funding year.  Therefore, it is imperative that laboratories track the funding year associated with their tasks and use the correct codes on their invoices.

 

Laboratories must send copies of these invoices to ISPO so that ISPO can confirm agreement between expenses reported to ISPO and invoices submitted to the State Department.  The format of the invoices must be such that there is obvious correlation between the expenses reported to ISPO in financial reports and the expenses invoiced to the State Department.

4.2 Private Sector

4.2.1 Task Proposals

 

Two procurement mechanisms exist for contracts with the private sector.  One is managed by the IAEA and the other is managed by ISPO through BNL.

 

For tasks to be contracted by the IAEA, ISPO reviews the request and discusses it with potential vendors.  ISPO may or may not request formal proposals.  ISPO discusses the request with the SSTS at a regularly scheduled meeting or through a phone poll.  The SSTS decides if it is interested in approving the task.  If there is interest, the SSTS directs ISPO to forward a list of potential contractors to the IAEA along with an expression of interest in supporting the task.  The IAEA will then conduct a competitive procurement, sending a request for proposal to U.S. vendors, including all vendors identified by ISPO.  The RFP will notify the vendors that the contract will be funded by POTAS and indicate that proposals will be shared with ISPO and the SSTS.  Upon receipt of proposals, the IAEA will evaluate them and make a selection.  The IAEA will then notify ISPO of its selection and provide associated documentation.  ISPO will review the documentation and prepare a recommendation for the SSTS.
 

For contracts placed by BNL, the private sector contractor is required to supply information regarding the schedule and proposed budget to ISPO.  This "Work Plan" is provided in the contractor's proposal and is ideally reviewed and cleared by the IAEA task officer.  The proposed budget should be detailed and include costs for labor, travel, materials, and indirect costs for each activity for the task duration.  The budget should also include all overhead burdens applied by their organization to the activity.  With regard to performance, the contractor should provide a schedule that indicates progress in terms of activities and time elapsed.  In addition, the contractor should indicate the time required to complete each activity.  Policy Statement #5 addresses the requirements for proposals.  ISPO will review the proposals received and, taking the IAEA’s feedback into consideration; will make a recommendation to the SSTS.

4.2.2 Task Approval

 

ISPO reviews proposals from potential contractors and/or IAEA selection documents and makes recommendations to the SSTS.  Only the SSTS has the authority to approve funding for USSP tasks.  The only exception is when a task or a task extension will cost $25,000 or less.  In that case, ISPO has authority to approve the funding and must report the approval at the next regularly scheduled SSTS meeting.

 

When funding is approved by the SSTS for work to be carried out by a private sector contractor or consultant, contracted through BNL, reimbursable work authority is transmitted to ISPO via an obligation letter.  ISPO prepares the letters for the signature of the responsible DOE/NA-241 representative.  The signed letters are officially sent from DOE/NA-241 to the DOE Chicago Operations Offices and to the BNL POTAS laboratory coordinator. 

 

For contracts placed by the IAEA, and also for CFE tasks, the State Department transmits funding directly to the IAEA’s account.  ISPO maintains a list of tasks for which funding is provided directly to the IAEA.

4.2.3 Contracting

 

Work performed by the private sector requires a contract.  As noted in Section 4.2.1, the USSP uses two different contracting mechanisms.  For contracts placed by the IAEA, the ISPO Liaison Officer prepares and signs a letter to the IAEA authorizing the IAEA to enter into a contract with the selected contractor.  The task number is identified and the IAEA is directed to charge task expenses to and report task expenses under the specific task.  To cover the expenses associated with private sector tasks, the State Department makes six wire transfers to the IAEA's account per year.  As the IAEA is invoiced by contractors and pays them for their services, it draws on the funding provided in this manner.  The amount of funding transferred can be increased or decreased based on the rate at which the IAEA uses it. 
 

For tasks contracted by BNL, the ISPO Liaison Officer or the UNVIE Ambassador notifies the IAEA of task approval.  ISPO then takes steps to place the contract.
 

4.2.4 Reporting Requirements

 

In order to maintain detailed records regarding the status of each task funded under the USSP, it is necessary for ISPO to obtain progress and financial reports from USSP contractors.  For work performed by the private sector, the contractors and the IAEA share this responsibility.  The requirements for financial and progress reports are addressed below:

4.2.4.1 Expenses

 

The IAEA is responsible for providing financial reports to ISPO on a monthly basis to document the payments made to contracts with U.S. companies and consultants and for cost free expert assignments.  The IAEA reports the total accumulated expenses.  The IAEA provides monthly reports, except at the beginning of the year when there is usually a three-month gap due to the IAEA’s year-end closing efforts.

While the contractor is not responsible to report on the financial status of the task, the contractor is expected to keep records of invoices and payments so that it can help answer questions that may arise over the course of the task.

 

For contracts executed by BNL, BNL is responsible for providing monthly financial reports.

4.2.4.2 Performance

 

Contractors and consultants are responsible for providing progress reports on a quarterly basis.  The progress reports should include the following information:

  1. Activities completed to date, including date of completion.
  2. A detailed description of significant accomplishments made during the reporting period.  (This information is required for completion of the Capsule Summary.)  Reference to specific activities defined in the task statement of the original IAEA task request (SP-1 or letter request) should be made whenever possible.
  3. Projected schedule, by quarter, for the remainder of the task.
  4. Revised schedule and performance estimates if the task schedule is expected to change.

 

Progress reports for cost free experts are compiled by the IAEA.  Either the CFE or the CFE's supervisor will prepare the report.  The reports are transmitted to ISPO on a quarterly basis.

4.2.5 Reimbursement for POTAS Work

 

For tasks contracted through BNL, ISPO reports task expenditures to BNL and BNL prepares invoices for submission to the Chicago Operations Office and the State Department.  The invoices are prepared in accordance with the requirements summarized in Section 4.3.
 

For tasks contracted by the IAEA, the State Department advances funding to an IAEA bank account.  The IAEA draws from this account to pay contractors for their work.

4.3 Reporting Periods

 

Public sector contractors are required to provide monthly financial reports to ISPO.  The financial report for each month is due on the tenth day of the following month.

 

All contractors are required to provide quarterly progress reports to ISPO.  Progress reports are due on January 15, April 15, July 15, and October 15 of each year.  Contractors are encouraged to submit their quarterly progress reports via the web entry system implemented by ISPO in April 2004.

 

Contractors are expected to provide the required information to ISPO on or before the reporting date unless otherwise arranged.

 

4.4 Addresses for Reports


In special circumstances, reports can be sent to ISPO staff by e-mail, fax or airmail.  The appropriate addresses are as follows:

 

E-mail - Send to each of the following:

 

Michele Rabatin:           rabatin@bnl.gov

Susan Pepper:              pepper@bnl.gov

Barbara Hoffheins         hoffheins@bnl.gov

Al Queirolo                  queirolo@bnl.gov

 

Fax - The fax number for ISPO is 631-344-5344.

 

Airmail -           Ms. Michele Rabatin

                        International Safeguards Project Office

                        Brookhaven National Laboratory

                        Building 197C

                        P.O. Box 5000

                        Upton, NY  11973-5000

 

In April 2004, ISPO implemented a web entry system for progress reports.  Contractors receive the username and password for the system from ISPO approximately one month before the deadline for the progress report.  The system is accessible via: HTTP://WWW.BNL.GOV/ISPO/POTAS/INSERT/ISPO.ASP

 

 

 

 

 

 

 

Attachment 1:   Suggested Format for Quarterly Reports

 

 

POTAS TASK NO.

 

U.S. PROGRAM of TECHNICAL ASSISTANCE TO IAEA SAFEGUARDS

 

QUARTERLY REPORTING FORM

Reporting Period:

 

 

 

1.                  Date of Report:

 

2.                  Task Title:

 

3.                  Project Manager:

Organization:

Phone Number:

 

4.                  Activities Completed During Period:

 

5.                  Brief Description of Progress During Reporting Period:

 

6.                  Problems Encountered:

 

7.                  Projected Schedule for Remainder of Task:

 

8.                  Standardized Financial Report should be filled out and submitted monthly to ISPO, along with copies of invoices
            submitted to the Department of State.