Global Supply Chain Supplier Handbook

RTI International 3040 East Cornwallis Road P.O. Box 12194 Park, NC 27709-2194 USA www.rti.org

Disclaimer: This Supplier Handbook is intended for informational purposes only. This is not a contractual document. None of the content of this document is intended to override those of any signed Supplier Agreement.

RTI International is a trade name for Research Triangle Institute. Message from RTI International’s Chief Procurement Officer Welcome to RTI International’s Global Supply Chain Supplier Handbook. RTI is an independent, nonprofit institute that provides research, development, and technical services to government and commercial clients worldwide. RTI recognizes that our success as a company is supported by many strong and diversified suppliers. We value our relationship with our suppliers and have prepared this handbook to familiarize you with our company, culture, and business operations.

As an international research company, RTI procures many different goods and services to support our business. RTI suppliers are expected to deliver high-quality service, demonstrate technical knowledge, and make continuous improvements. The relationship between RTI and our suppliers is built on mutual trust, integrity, and a commitment to providing our customers with outstanding service and performance. Therefore, we actively seek suppliers who are flexible, committed to growing their relationships, and focused on their customers. In return, we provide the support, information, and resources needed to help our suppliers satisfy these expectations and to jointly achieve our goal of mutual customer satisfaction.

We ask our suppliers to review this handbook carefully. It provides the guidelines for a successful partnership aimed at fully meeting the expectations of RTI and its customers. We also welcome and encourage innovative feedback and ideas from our suppliers. Please feel free to contact me or your RTI Supply Chain Specialist to provide suggestions on how to improve the content of this handbook.

With our suppliers’ partnership and commitment to providing superior performance and service to RTI, we will succeed in our mission to deliver outstanding research and technical services to our customers. At the same time, we hope to have a long-term and beneficial relationship with you, our suppliers. Thank you for your interest in doing business with RTI and for taking the time to review this handbook.

Sincerely,

Paul R. Dries II Senior Director Chief Procurement Officer RTI International Contents Acronyms ii Visiting and Contacting RTI 9 Definitions ii Visits to RTI Headquarters, Regional Offices, and International Offices 9 Corporate Principles, Ethics, Confidentiality, Shipping and Delivery 10 and Other Legal Obligations 1 RTI Principles and Key Policies 1 Supplier Invoicing 11

Compliance with Laws 1 Invoice Review 11

Anticorruption 1 Invoice Payment 11

Reporting Violations 2 Closeout and Final Payment 11

Conflict of Interest 2 Non-Conforming Goods and Services 12 Confidentiality and rotectionP of Information 2 Material Disposition Reports (MDRs) 12

Industrial Security 3 Corrective Action Requests (CARs) 12

Intellectual Property 3 Cure Notices 12

Supplier Registration and Onboarding Show Cause Letter 12 Process 4 Supplier Monitoring 13 PLUS Registration 4 Risk Assessments 13 System for Award Management (SAM) Registration 4 Supplier Scorecards 13 Financial Assessments 5 Periodic Business Reviews 13 Restricted Party Screening 5 Supplier Surveys 13 Indirect Cost Reimbursement (NICRA Requirements) 5 Hyperlinks 14

Insurance 6 RTI Resources 14 Other Resources 14 Working with RTI 7 Types of Small Businesses 14 RTI Signatory Authority Policies and Contract Management 7

Working at Risk 7

Small Business Partnering Opportunities 7

Supplier Agreement Types 8

Master Service Agreements (MSAs) 8 Acronyms Definitions ANC: Alaska Native Corporation Federal Acquisition Regulation (FAR): The CAR: Corrective action request FAR is the primary regulation for use by all federal executive agencies in their CCR: Central Contractor Registration acquisition of supplies and services with E&O: Errors and omissions appropriated funds. The FAR applies to all EPLS: Excluded Parties List System acquisitions as defined in Part 2 of the FAR, except where expressly excluded. FCL: Facility clearance FCOI: Financial conflict of interest Negotiated Indirect Cost Rate Agreement (NICRA): An agreement approved by a FAR: Federal Acquisition Regulation federal agency that determines the rate FedReg: Federal Agency Registration and the base of application for which a IP: Intellectual property supplier can recover indirect costs. IT: Indian Tribes Supplier Agreement(s): As used in this MDR: Materials disposition report handbook, includes any contractual document with any dollar value associated MSA: Master service agreement to it. RTI agreements for goods and NDA: Non-disclosure agreement services use various forms of contractual NICRA: Negotiated indirect cost rate agreements and contract types, including, agreement but not limited to, the following: NISPOM: National Industrial Security • Consulting agreements Program Operating Manual • Master service agreements OCI: Organizational conflict of interest • Purchase orders (POs) ORCA: Online representations and • Subcontracts certifications application • Subgrants PLUS: RTI’s Partner Link-Up System • Subagreements. PO: Purchase order Supplier(s): As used in this handbook, SAM: System for Award Management this term encompasses vendors, SDB: Small disadvantaged business consultants, subcontractors, subawardees, SDVOSB: Service-disabled veteran-owned subrecipients, subgrantees, or any other small business third party doing business with RTI. STEP: Smart Traveler Enrollment Program VOSB: Veteran-owned small business WOSB: Woman-owned small business RTI GSC Supplier Handbook 1

Corporate Principles, Ethics, Confidentiality, and Other Legal Obligations

RTI Principles and Key Policies Anyone who does business on behalf of RTI must comply with our Code of values Conduct. This includes our employees, suppliers, and other partners worldwide. Integrity We perform with the highest ethical standards of individual and group honesty. • RTI’s Code of Conduct We communicate openly and realistically with each other and our clients. • RTI’s Ethics Policy • RTI’s Values Excellence We strive to deliver results with exceptional quality and value. • RTI’s Quality Policy vision To be the world’s leading Innovation We encourage multidisciplinary RTI’s Ethics Helpline can be reached toll independent research collaboration, creativity and independent thinking organization, recognized in everything we do. free at 1.877.212.7220 or via email at for solving critical social [email protected]. and scientic problems. Respect for the Individual We treat one another fairly, with dignity and equity. We support

each other to develop our full potential. Compliance with Laws Respect for RTI We recognize that the strength Suppliers must comply fully with all of the Institute lies in our commitment, collectively applicable national and local laws, rules, and individually, to RTI’s vision, mission, values, mission strategies and practices. Our commitment and regulations when working with RTI. To improve the human to the Institute is the foundation for all other

condition by turning organizational commitments. Anticorruption knowledge into practice. Fiscal Responsibility We operate with financial Suppliers must conduct business integrity and transparency. We are accountable ethically and legally and must not engage for cost competitiveness and continuing financial responsibility. in or condone bribery, corruption, kickbacks, or unethical business Objectivity Our work is independent of undue influences by political, economic practices in any manner. or other factors. We maintain the highest level • RTI prohibits its employees, anyone of scientific objectivity in our work. associated with RTI, and members of their immediate families from accepting or soliciting any benefit (i.e., gifts) from a supplier or potential supplier that might compromise, • Specifically, it is unlawful for or even appear to compromise, the suppliers to promise, offer, or pay objective assessment of the supplier’s anything of value to a government product or service. official, political party, or any • Suppliers must never provide business or individual in the private payments or gifts of any kind to RTI sector in order to obtain or retain employees to obtain a new contract (or business or secure an improper PO), modify an existing contract, or advantage on behalf of RTI. obtain favorable treatment. • Additional information on the Suppliers must comply at all times with Foreign Corrupt Practices Act and the Foreign Corrupt Practices Act, the the UK Bribery Act can be found UK Bribery Act, and any other applicable online. local anticorruption laws, rules, and regulations if work will be performed outside of the . 2 RTI GSC Supplier Handbook

Reporting Violations • Organizational conflict of interest Unethical conduct by employees of the (OCI): Such a conflict of interest supplier and its lower-tier suppliers arises when, because of other weakens RTI’s integrity and reputation activities or relationships with other as well as our ability to do important organizations, an organization is work all over the world. When a unable or potentially unable to supplier commits to working with RTI, render impartial assistance or advice, the supplier commits to maintaining or the organization’s objectivity in RTI’s integrity. If a supplier becomes performing the contract work is aware of conduct that might violate or might be otherwise impaired, RTI’s Code of Conduct or that could or an organization has an unfair violate the law—including acts of fraud, competitive advantage. theft, corruption, conflicts of interest, • Financial conflict of interest (FCOI): false claims, other criminal acts, and Such a conflict of interest arises when significant overpayments—suppliers personal financial interests could are obligated to report the situation to potentially affect or be perceived to the RTI Chief Ethics Officer using the affect professional judgment. contact information below. • Failure to comply with these Confidentiality and Protection of reporting obligations could result Information in the cancellation of the business When doing business with RTI, relationship and all future dealings suppliers often have access to data and with RTI. other information that are confidential • Suppliers can report violations or proprietary to RTI and its client. through the RTI Ethics Helpline by All such data and information shall be calling 919.541.7070 or confidentially considered the sole property of RTI and by emailing [email protected]. RTI’s client.

Many RTI contracts contain terms Conflict of Interest restricting publishing rights and the Suppliers must not enter into release of information that may be transactions with RTI or RTI staff that considered confidential or proprietary. create a conflict of interest or could These terms are usually imposed by create the appearance of impropriety RTI’s client and must “flow down” between RTI, RTI staff, and a supplier. into the supplier’s contract. University A conflict of interest is any situation suppliers are most affected by terms that could impair you or your restricting publication rights. organization’s objectivity, impartiality, or ability to make good business Suppliers may be required to sign a decisions. RTI employees are required non-disclosure agreement (NDA) to disclose actual and potential conflicts in addition to a contract or PO of interest, and we expect suppliers to when conducting business with do the same. RTI. Generally, the duration of the obligations of confidentiality and non-disclosure under a non-disclosure agreement remain in effect for 5 years. RTI GSC Supplier Handbook 3

Industrial Security For supplier agreements that carry security requirements, such as those under the National Industrial Security Program, background investigations of supplier personnel or a facility clearance (FCL) may be required. The type of investigation and how closely an individual is screened are determined by the type of information, facilities, or IT systems to be accessed. The federal government conducts investigations to establish that personnel employed by the government, or working for the government under contract, are suitable for the position and are eligible to access certain types of information or facilities. RTI’s Industrial Security Office works to assure that information intellectual property, such as patents, or materials that require protection copyrights, trademarks, and trade are not shared with or made known to secrets. unauthorized persons. • Facility clearance: Based upon Rights and ownership of any IP created security requirements, suppliers may as part of a collaborative project will need an FCL in accordance with the vary based on type of supplier entity, National Industrial Security Program the supplier’s role, and the source of Operating Manual (NISPOM, DOD RTI’s funding for the project. 5220.22-M). In the event a supplier It is the policy of the U.S. government does not have the appropriate FCL to promote the commercialization of or safeguarding capability, RTI’s patentable results of federally funded Industrial Security Manager will research by granting to suppliers, request that the supplier’s cognizant regardless of size, the title to patents security agency take the necessary made in whole or in part with federal action to obtain or upgrade the funds, in exchange for royalty-free use supplier’s FCL. by or on behalf of the government. • For information on the shipping of Under this policy, the supplier may, information to RTI, see the “Shipping after disclosure to the government as and Delivery” section. required by the patent rights clause included in the Supplier Agreement, Intellectual Property elect to retain title to any invention Any terms and conditions related made in the performance of work under to intellectual property (IP) rights such contract. and ownership will be covered in the Suppliers should carefully review all Supplier Agreement, if applicable. Federal Acquisition Regulation (FAR) Some projects conducted by RTI patent rights clauses contained in RTI require collaboration and partnering contractual documents. with other suppliers. In the performance of work done on these projects, the results may produce 4 RTI GSC Supplier Handbook

Supplier Registration and Onboarding Process PLUS Registration System for Award Management Working with RTI can be a beneficial (SAM) Registration and rewarding experience for your Many federal agencies are now business. The quickest and most requiring suppliers working under important way to boost your federal awards to be registered with opportunity to partner with RTI is by SAM—the official, free, online submitting a completed profile through registrant database for the U.S. federal our Partner Link-Up System (PLUS). government.

• Through PLUS, RTI retains your • SAM collects, validates, stores, and company’s information and makes disseminates data in support of it available to our proposal leaders federal agency acquisition and award and project managers, who are the missions. partnering decision makers. All RTI • SAM replaces the following employees have access to PLUS. standalone sites and thus now PLUS is considered a valuable tool provides a central portal for all for many of our staff in finding team information previously housed members and for delivering on what within the Central Contractor we promised our clients. Ultimately, Registration (CCR)/Federal Agency RTI partners with firms based on Registration (FedReg), Online their abilities to match our clients’ Representations and Certifications needs. Application (ORCA), and the • Important: Registration with PLUS Excluded Parties List System (EPLS). does not obligate RTI to award any contracts to any registered suppliers. RTI GSC Supplier Handbook 5

• Although SAM serves as an informa­ • Audited and unaudited financial tion repository and eliminates the statements: RTI may request copies need for many separate information of the supplier’s current and past requests, RTI is required by the U.S. audited or unaudited financial government to collect and maintain statements. a small business self-certification for suppliers claiming their status to be Restricted Party Screening a small business. RTI’s PLUS allows One of the first steps in RTI’s expected suppliers to validate whether they are due diligence when evaluating a small businesses and provides a self- potential supplier is to ensure that the certification during the registration supplier is not debarred currently from process. receiving federal funding and does not appear on any excluded party lists. Financial Assessments • In addition to reviewing the It is RTI’s responsibility as the prime exclusion records provided by SAM, contractor to be a good steward of our RTI uses an online tool to perform clients’ funding. As such, an assessment restricted party screening. This of potential suppliers’ financial stability software service allows RTI to submit and solvency is a component of our names of potential suppliers to be expected due diligence. This obligation screened automatically against more is ongoing, and it will be the supplier’s than 60 mandatory restricted and responsibility to keep RTI apprised of denied parties lists maintained by the changes in financial status. RTI’s review U.S. government, world organizations of the supplier’s financial stability, which (e.g., United Nations and World occurs both at the time of the initial Bank), law enforcement agencies engagement and throughout the period (e.g., Interpol and the Federal Bureau of performance stated in the agreement, of Investigation), and governments is accomplished using the following of international allies (e.g., European tools: Union and Japan). • Dun & Bradstreet Business Credit • These lists prevent business dealings Report: One tool used by RTI to assess with suppliers (individuals and the risk of working with a supplier is organizations) deemed as blocked; a Dun & Bradstreet Business Credit restricted; or denied by governments, Report, which provides a snapshot global organizations, and law of the supplier’s financial health and enforcement bodies. visibility into any pending lawsuits, liens, or judgments. This report is Indirect Cost Reimbursement available to RTI via a subscription (NICRA Requirements) with Dun & Bradstreet and requires Any supplier being awarded cost- no action on the supplier’s part. reimbursable work under a federally • RTI financial questionnaire: Another funded contract or grant needs a tool used by RTI to evaluate the negotiated indirect cost reimbursement financial health of a potential supplier agreement (NICRA). is the RTI financial questionnaire. • Indirect costs are costs an This form is an internal RTI tool. It organization incurs for common may be provided to the supplier for or joint objectives that cannot be completion should the information readily and specifically identified returned in the Dun & Bradstreet with a particular project or other Business Credit Report be insufficient institutional activity. to conduct a proper financial assessment. 6 RTI GSC Supplier Handbook

• Typical indirect costs include the insurance requirements that exceed the costs of operating and maintaining types or amounts set forth as follows. facilities, equipment, and grounds; • Insurance coverage requirements: depreciation or use allowances; and administrative salaries and supplies. • Domestic coverage types and minimums: For any suppliers based • These costs are usually charged to the in or performing work in the United Supplier Agreement as a percentage States, the following minimum types of some or all of the direct cost of insurance are required: items in the supplier’s budget. This percentage is called the indirect cost • Automobile Liability (minimum rate and is used to distribute indirect $1,000,000) costs to all projects benefiting from • General Liability (minimum those costs. $1,000,000) • Workers’ Compensation (minimum Insurance statutory coverage) Suppliers are required to carry • Employers’ Liability (minimum appropriate insurance coverage $1,000,000). whenever work or services are • International coverage types and performed at or for RTI. Insurance minimums: For suppliers based and coverage is included as a requirement working outside the United States, in all supplier agreements and shall be RTI currently requires the same maintained during the entire term of minimum level of coverage required the agreement. Lastly, RTI requires a by the World Bank. certificate of insurance as evidence of coverage prior to the commencement • RTI also requires all suppliers to of work. name RTI as an “additional insured.” RTI is not asking to be a “named” In addition to the coverage set forth insured on the supplier’s policy, below, other coverage may be required but rather just to be designated as based on the work to be performed. For “additionally insured” because it example, errors and omissions (E&O) relates to the specific work being insurance may be required for work performed for RTI. This language involving patient contact, such as blood is included in all RTI supplier draws. Furthermore, certain prime agreements to protect RTI in the contracts or clients may contain specific event a third party files a damage/ injury claim against RTI based on actions of the supplier. In this event, the supplier’s policy must be the first to take a step in defending RTI. The designation comes at no cost to the supplier and prevents unnecessary litigation, expense, and time consumption. RTI GSC Supplier Handbook 7

Working with RTI

RTI Signatory Authority Policies work for RTI without a fully executed and Contract Management Supplier Agreement should understand RTI’s Office of Proposal, Project, and the following: Procurement Services, Chiefs of Party, • RTI agrees to negotiate, in good faith and Deputy Chiefs of Party have been and a timely manner, agreements delegated the authority to sign, commit, containing the necessary flow-down and be responsible for all documents provisions from and subject to leading to, or incident to, the purchase applicable terms and conditions of of materials and services for RTI. the prime contract under which RTI • The designated RTI contractual is performing. representative is the only person with • Prior to the establishment of an the authority to direct changes under executed agreement, both RTI and all contractual agreements. its suppliers are responsible for • Project managers and principal their own costs and actions and investigators cannot authorize neither is relying on, or liable to, the suppliers to make changes in scope, other in any way or has any right to periods of performance, places of claim reimbursement, payment, or performance, cost, or funding. indemnification of the other. • All matters affecting the terms and • In the event that negotiations do not conditions of POs, contracts, and result in an agreement, each party the administration thereof shall remains responsible for its own costs be referred to the RTI contractual and actions without any rights or representative. claims against the other. • When, in the opinion of the supplier, technical direction calls for effort Small Business Partnering outside the scope of the Statement Opportunities of Work, the supplier shall notify At RTI, we understand the importance the RTI contractual representative of small business. Small businesses and the RTI principal investigator play an essential role in many of our or project manager of the technical projects. RTI wants to partner with direction in writing. The supplier energetic and motivated companies that shall not proceed with such bring the greatest value to our clients. direction until authorized by the RTI Hundreds of small businesses partner contractual representative. with RTI in its mission to improve the human condition by turning knowledge Working at Risk into practice. Only a person with specific delegated • Our small business partnering procurement authority can make a strategy is dedicated to finding the commitment on behalf of RTI. Prior best project partners and strategic to having a fully executed agreement suppliers during the beginning in place, the supplier performs any stages of RTI’s business development work at his or her own choice and process. The ideal partner is ready risk. Any verbal or written promise and able to serve as a key collaborator or commitment to the contrary is throughout the capture and proposal nonbinding. Suppliers performing development phase.

RTI International is a trade name for Research Triangle Institute. 8 RTI GSC Supplier Handbook

• Service disabled and veteran-owned • Time and materials: The supplier small businesses must upload to should provide a budget for their their PLUS profile a valid copy of the estimated labor and materials and bill Military Service Record DD Form accordingly. Labor is billed at fully 214 or a card/certificate issued by a loaded hourly rates (includes wages, state or federal agency confirming overhead, G&A, and profit). the validity of the owner’s military • Subcontracts, subagreements, and veteran status subgrants • Alaska Native Corporations and • POs Indian Tribes (ANCs and ITs). Master Service Agreements Note regarding business size (MSAs) assertions: Except for the HUBZone category, which requires a valid RTI also negotiates and awards MSAs certification from the Small Business with suppliers who have a strategic, • As a large federal contractor, RTI Administration, all other prospective frequent, and long-term relationship requires a small business self- small business socioeconomic statuses with RTI. MSAs facilitate and certification. If you are interested in for suppliers are self-certified through reduce the time and burden it takes working with RTI, the submission of PLUS and do not need a third-party to negotiate and award individual a complete PLUS profile can facilitate certification. Supplier Agreements. An MSA allows the team partnering process. PLUS RTI to issue task orders, POs, and offers you the option to provide RTI Supplier Agreement Types even consulting agreements more with the required small business self- quickly than it would be to prepare and RTI considers many factors in selecting certification. negotiate a new individual agreement. • and negotiating a supplier agreement Suggested small business • The terms and conditions of an development process. type. These include the type and complexity of the requirement, period MSA largely mirror those currently RTI welcomes the following types of of performance, the supplier’s technical included in RTI’s standalone potential project partners: capability and financial responsibility, agreements. • Small business concerns and the overall value of the purchase. • Each task order issued under an MSA contains the flow-down clauses from • Small disadvantaged businesses After giving careful consideration RTI’s prime contract under which the (SDBs), including Certified 8(a) SDBs to these factors, RTI would use one or a combination of the following work falls. Because RTI’s standard • Minority-owned Asian American, agreement types: terms and conditions have already Hispanic American, Black American, been negotiated, the process of • Cost reimbursement (includes Native American–owned small awarding a task order is much more cost plus fixed fee, cost sharing, businesses efficient. and cost plus award and incentive • Certified historically underutilized fee): The supplier should provide business zone (HUBZone) small a budget with estimated costs and businesses bill for direct and indirect costs • Woman-owned small businesses incurred. Indirect cost rates should (WOSBs) be approved by the government • Veteran (VOSBs) and service disabled (NICRA) or another RTI-approved veteran-owned small businesses entity. (SDVOSBs) • Fixed price: The supplier gives one set price for the scope of work. Payment is made at the completion of milestones contained in milestone payment schedule of the Supplier Agreement. RTI GSC Supplier Handbook 9

Visiting and Contacting RTI

Visits to RTI Headquarters, Regional Offices, and International Offices RTI’s facilities are secured and are not open to unauthorized visitors. Any onsite visit to an RTI location must be coordinated and confirmed with the RTI employee or group with whom you are meeting. When a visit will include non-U.S. persons, the supplier will inform the RTI contact in advance to allow time for required security screening. When appropriate, RTI employees will notify Security of the date and time of your meeting, making your entry and check-in process easier. RTI headquarters and all regional and international offices are non-smoking, and no weapons of any kind are allowed on RTI property.

Addresses to RTI’s offices are available must be worn and remain visible RTI’s presence in more than on RTI’s website. at all times. Once your RTI contact 75 countries, the advice and • Visiting RTI headquarters meets you at the designated regulations for RTI visitors vary – A campus map of RTI’s check-in location, you will need to greatly. headquarters in Research Triangle remain with him or her throughout • At a minimum, the following Park, , can be your visit. Visitors are not allowed considerations are pertinent for any viewed or downloaded from the to roam unescorted. international travel: RTI website. – Once your visit is complete, you – An appropriate passport with a – RTI headquarters has security gates will need to return your visitor’s minimum of 6 months’ validity at both the East and West campus badge to the same building from remaining, along with any required entrances. Visitors should use the which you checked in. Please visa. Carry a photocopy of the entrance on West Institute Drive ensure that you follow any traffic, passport in case of theft or loss. and access the telephone speaker restriction, and warning signs posted as you exit the campus. – A cellular telephone with at the gate to contact Security international calling capability. and announce their arrival. • Visiting RTI’s international offices – Appropriate vaccinations as Security will ask for the name of – Individuals who are traveling to recommended by the Centers for the person you are meeting with. RTI’s various international offices Disease Control and Prevention. Your RTI contact should give you or project sites should follow the a designated check-in location, appropriate guidance as issued – Information about the currency including the building name and by their parent company. Prior and credit card guidance for the number and parking information. to undertaking such travel, the country of destination. – All buildings are secure and have supplier should liaise with the – Appropriate medical insurance security desks or check-in desks appropriate point of contact for in the event of a serious health where you will need to announce that project or the RTI Chief of issue, preferably one that provides your arrival to your host/security Party to obtain specific advice emergency medical evacuation personnel and sign in. You will regarding any safety or security be assigned a visitor’s badge that concerns in that country. Given 10 RTI GSC Supplier Handbook

– Provision of copies of your • For deliveries to regional and complete travel itinerary, along international offices, packages should with emergency family contact be sent to the address listed on the information, to your employer, website, marked to the attention of if that service is not already the intended recipient. automatic upon making your travel Hazardous materials: Any hazardous reservation materials or chemicals must be • If a U.S. citizen, enrollment in the packaged and prepared in accordance Department of State’s Smart Traveler with all federally mandated packaging Enrollment Program (STEP): and labeling requirements and must – STEP is a free service provided include a packing slip located on the by the U.S. government to U.S. exterior of the package. In addition citizens who are traveling to, or to these requirements, the following living in, a foreign country. Sign up shipping conditions apply: on the STEP website. • Radioactive materials: Packages – STEP allows you to enter containing radioactive materials must information about your upcoming be appropriately marked, shipped trip abroad so that the Department to the standard RTI headquarters of State can better assist you in an address format outlined above, emergency. and sent to the attention of RTI’s – STEP also allows Americans Radiation Safety Officer. This address residing abroad to get routine will be included on the PO. information from the nearest U.S. • Biohazardous materials: Packages embassy or consulate. containing biohazardous materials – Additional travel information, must be appropriately marked, travel warnings, and alerts can be handled, and transported according found on the website. to Department of Transportation and International Air Transport Shipping and Delivery Association regulations and Address requirements vary based on requirements. office location, with shipping addresses • Controlled substances: Any supplier noted on RTI’s public website. that provides RTI with controlled • Shipments to RTI headquarters in substances must have the RTI Drug should follow Enforcement Administration form a specific format to ensure timely on file. Suppliers must follow all arrival: Drug Enforcement Administration guidelines with respect to order RTI International placement, packaging, and delivery of Central Receiving controlled substances. Attention: “Person’s Name”, “Building #, and Location #” Shipments of information in 3040 East Cornwallis Road accordance with the National Industrial Durham, NC 27709-2194 Security Program Operating Manual (NISPOM, DOD 5220.22-M) have specific transmission requirements and require prior coordination through RTI’s Industrial Security Office. RTI GSC Supplier Handbook 11

Supplier Invoicing

Invoice Review Invoice Payment All invoices shall be submitted to Unless stated differently in a Supplier [email protected] for processing. Agreement, the standard RTI payment terms are Net 30. Any deviation from Detailed invoicing instructions can be this standard requires RTI approval. found here. Properly prepared and submitted RTI’s billing address is invoices will be paid within the term RTI International stated in the Supplier Agreement, Attention: Accounts Payable typically 30 calendar days. The “term PO Box 12106 clock” will not begin until after the Durham, NC 27709-2106 invoice has been properly received by RTI’s Accounts Payable Office without For an invoice to be deemed acceptable, any errors or omissions. it must contain at least one of the following identifiers: The preferred method of payment is • RTI assigned PO number ACH/Wire. Please include applicable banking information upon submission • RTI project number. closes the supplier’s subcontract, of invoice. subgrant, or subagreement and also It must also contain all of the following: Any invoice-related inquiries should releases both parties from certain • A sequentially assigned unique be directed to [email protected] or liabilities and responsibilities associated vendor invoice number 919.541.5877. with the agreement. This administrative • Invoice date form is necessary to allow RTI’s corresponding prime contract, grant, • Description of purchase Closeout and Final Payment or cooperative agreements to be closed. Completion, submission, and acceptance • Billing dates of service (for Payment of the supplier’s final invoice by RTI of all work performed under the subcontract, subgrant, subagreement, will be made upon receipt of this Statement of Work is required. consultant, and PO invoices) completed form. • Subcontract number (for subcontract, The final invoice should be sent no later The supplier will be contacted if any subgrant, and subagreement invoices) than 30 days following the completion additional required reports or forms are of the period of performance in the • Invoice line items matching quantity needed prior to the payment of the final agreement and should be clearly marked and unit price as listed on POs (PO invoice. as final. invoices only). For subcontracts, subgrants, and All applicable receipts must be included subagree with the submission of the invoice. ­ments, the Release and Assignment Form should be submitted The supplier should carefully review, with the final invoice. The Release understand, and follow the invoicing and Assignment Form, which will be instructions included in his or her provided to the supplier by RTI, formally respective agreement. Failure to follow these instructions will either delay payment, result in the issuance of a Corrective Action Request (CAR) and recorded in the Supplier Scorecard, or result in RTI rejecting the invoice in its entirety. 12 RTI GSC Supplier Handbook

Non-Conforming Goods and Services RTI has established internal policies and Cure Notices systems to identify, classify, and record RTI uses Cure Notices to address instances when non-conforming goods serious instances where supplier and services are received to ensure that delivery of a good or service does not issues are dealt with efficiently and conform to order requirements for effectively. reasons other than late delivery.

Material Disposition Reports The Cure Notice will specify the order (MDRs) failure, allow a period of time for the supplier to cure or correct the failure Non-conforming goods are identified (usually 10 business days), and notify and documented in an MDR the supplier that unless the situation maintained in an internal RTI database. is rectified, the contract may be If the goods are classified as “supplier terminated. fault,” goods may be returned and replacement or credit requested by the If the supplier is unwilling or unable RTI Buyer. to achieve compliance, RTI will have the option to cancel the agreement If an organization receives an MDR, immediately. they will be contacted by the Buyer via telephone or email. RTI may hold the supplier liable for subsequent damages that directly result Corrective Action Requests from non-performance. (CARs) RTI may issue a CAR for chronic Show Cause Letter nonperformance. CARs describe the If a satisfactory response to a Cure performance deficiencies and require a Notice is not received, RTI may use written response. a Show Cause Letter to warn that termination of the contract is imminent Three categories of CARs (critical, unless the supplier can demonstrate major, and minor), severity, and why the contract should not be impact of issue drive response time terminated. expectation, which ranges from 24 hours to 30 days. The letter will refer to the missed delivery date or the failure to cure the RTI expects suppliers to provide initial defects cited in the Cure Notice. This responses to CARs within the allotted is the last notice RTI provides prior to time that address problem description termination. and containment. Suppliers should also provide additional follow-up to address root causes and corrective and preventative actions. RTI GSC Supplier Handbook 13

Supplier Monitoring RTI uses a quantitative and consistent Periodic Business Reviews process to assess supplier relationships Periodic business reviews may be and measure performance in categories conducted for the following types of RTI has designated as critical to success. suppliers: By following this process, RTI aims to • Those whose goods and or services drive toward continuous improvement impact many groups at RTI in supplier relationships. • Those with high overall spend The level of relationship management • Those designated as high risk. is based on the extent, duration, and level of complexity of the organization’s The purpose of these reviews is to relationship with RTI. increase communication between RTI and the supplier. Items that may be Risk Assessments discussed include long- and short- Risk assessments are completed term goals, performance metrics, internally at time of award to determine new product introductions, ongoing the level and frequency required to technical issues, and the review of any monitor a supplier’s performance and open or unresolved issues. progress. During these reviews, suppliers will be expected to present on the current Supplier Scorecards state of business at their company, Suppliers are monitored in four focus including financials, key initiatives, areas: new capabilities, and expansion plans. • Relationship (e.g., invoice accuracy, Suppliers should also be prepared to responsiveness, and communication) provide feedback on RTI as a customer and suggest ways RTI can improve the • Financial (e.g., price and financial relationship. risk assessments) • Operational (e.g., service or product Supplier Surveys quality; innovation and delivery) RTI believes that suppliers provide • Customer satisfaction (e.g., number valuable insight into the overall of complaints; number of corrective efficiency and effectiveness of RTI action requests). business operations.

RTI compiles performance data for Periodically, RTI may reach out to selected suppliers. This selection is suppliers to solicit feedback on RTI’s typically driven by spend and risk. performance as a customer. This survey will touch on such topics as Supply Chain Specialists administer timely and transparent agreement the supplier monitoring process and negotiations, early engagement or periodically share this information with involvement, communication, level RTI business units and the supplier. of responsiveness, and follow-up to questions received. 14 RTI GSC Supplier Handbook

Hyperlinks Types of Small Businesses Alaska Native Corporations and Indian Tribes: http://www.sba.gov/content/ alaskan-owned-corporations Certified 8(a) Small Disadvantaged Businesses: http://www.sba.gov/ content/8a-business-development Certified Historically Underutilized Business Zone (HUBZone) Small Businesses: http://www.sba.gov/ hubzone/

Small Business Concerns: http://www. sba.gov/content/am-i-small-business- concern

Small Disadvantaged Businesses: RTI Resources Terms and Conditions: http://archive.sba.gov/aboutsba/ Chief Ethics Officer: [email protected] • Subcontracts, subagreements, sbaprograms/sdb/index.html and subgrants: http://rti.org/files/ Code of Conduct: Veteran and Service Disabled Veteran- http://www.rti.org/ subcontracts_terms-conditions.pdf pubs/codeofconduct_english.pdf Owned Small Businesses: http://www. • POs: http://www.rti.org/files/rti_ sba.gov/content/veteran-service- Detailed Invoicing Instructions: www. po-terms_english.pdf disabled-veteran-owned rti.org/files/invoice-payment.pdf Values: http://www.rti.org/page. Woman-Owned Small Businesses: Ethics Policy: http://www.rti.org/page. cfm?objectid=7A1C51C6-646B-4161- 8B47BF0FF0DA838A http://www.sba.gov/content/ cfm?objectid=93E2E456-9BF1-42AB- contracting-opportunities-women- B533E335695C582D owned-small-businesses Other Resources Office Locations and Shipping Federal Acquisition Regulation: http:// Addresses: http://www.rti.org/page. www.acquisition.gov/ cfm/Office_Locations Foreign Corrupt Practices Act: http:// Partner Link Up System/PLUS: https:// www.justice.gov/criminal/fraud/fcpa/ plus.rti.org/ International Insurance Coverage Quality Policy: http://www.rti.org/page. Requirements: http://web.worldbank. cfm?objectid=CBB9B779-AD08-40A1- org/WBSITE/EXTERNAL/OPPORTU BD093C3A41A4D8F7 NITIES/EXTCORPPROCUREMENT RTI International Website: http://www. /0,,contentMDK:20207884~menuPK: rti.org 64147158~theSitePK:438017,00.html

Small Business Development Process: SAM: https://www.sam.gov http://rti.org/page.cfm/How_to_Work_ STEP: http://www.travel.state.gov/ with_Us UK Bribery Act: http://www.legislation. gov.uk/ukpga/2010/23/contents

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