DOE-BATTELLE PRIME CONTRACT FOR THE MANAGEMENT & OPERATIONS OF PACIFIC NORTHWEST NATIONAL LABORATORY DE-AC05-76RL01830 TABLE OF CONTENTS

Transcription

1 DOE-BATTELLE PRIME CONTRACT FOR THE MANAGEMENT & OPERATIONS OF PACIFIC NORTHWEST NATIONAL LABORATORY DE-AC05-76RL01830 TABLE OF CONTENTS Section Clause Title A B C B 1 B 2 B 3 C 1 C 2 C 3 C 3.1 C C C C C C 3.2 C 3.3 Amendment of Solicitation/Modification of Contract, Standard Form 30 Part I The Schedule, Section B, Supplies or Services and Prices/Costs Designation of Work and Facilities Obligated Funds Estimated Fee Base and Total Available Performance Fees Part I The Schedule, Section C, Description/Specifications/Work Statement Introduction Performance Expectations, Objectives, and Measures Core Expectations General Program Development and Mission Accomplishment Laboratory Stewardship Operational and Financial Management Excellence Program and Project Management for the Acquisition of Capital Assets Performance Evaluation Expectations Performance Objectives and Measures 1

2 C 4 C 4.1 C 4.2 C C C C C C C C C 4.3 C C C C Statement of Work General Mission Science Mission Role National Security Mission Role Energy Resources Mission Role Environmental Quality Mission Role Technology Transfer Programs Science and Mathematics Education Programs and Cooperation with Universities and Other Research Institutions International Research Collaboration Other Related Work and Operation of the Laboratory Operating Envelope Operating Principles Facilities Hazards/Risks Security D E F Part I The Schedule, Section D, Packaging and Marking (Reserved) Part I The Schedule, Section E, Inspection and Acceptance E Inspection of Research and Development (Short Form) (Apr 1984) E 2 F 1 Certification Related to Recovery Act Project Work (Applicable only to Recovery Act Work) Part I The Schedule, Section F, Deliveries or Performance Period of Performance 2

3 F Stop-Work Order (Aug. 1989) Alternate I (Apr 1984) F 3 Deliverables G G 1 Part I The Schedule, Section G, Contract Administration Data Head of Contracting Activity (HCA), Contracting Officer (CO), and Contracting Officer s Representative (COR) G Technical Direction (DEC 2000) H G 3 G 4 G 5 G 6 H 1 H 2 H 3 H 4 H 5 H 6 H 7 H 8 H 9 H 10 H 11 H 12 Correspondence Procedure Modification Authority Cost Reporting Requirements Involving Recovery Act Project Work (Applicable only to Recovery Act Work) Indirect Charges Involving Recovery Act Project Work (Applicable only to Recovery Act Work) Part I The Schedule, Section H, Special Contract Requirements Pacific Northwest National Laboratory Land/Facilities Implementation Procedures for Public Affairs Transportation Source and Special Nuclear Materials Workers Compensation Unemployment Compensation Contractor Acceptance of Notices of Violation or Alleged Violations, Fines, and Penalties Allocation of Responsibilities for Contractor Environmental Compliance Activities Other Intellectual Property Related Matters Continued Improvement Initiative Standards of Contractor Performance Evaluation Notice Regarding the Purchase of American Made Equipment and Products Sense of Congress (AL ) 3

4 H 13 H 14 H 15 H 16 H 17 H 18 H 19 H 20 H 21 H 22 H 23 H 24 H 25 H 26 H 27 H 28 H 29 H 30 H 31 H 32 H 33 Care of Laboratory Animals Privacy Act Records Administration of Subcontracts Cap on Liability Performance Based Management and Oversight Shared Services Lobbying Restriction (Energy and Water Act 2005) (AL ) Lobbying Restriction (Interior Act 2005) (AL ) Determining Total Available Performance Fee and Fee Earned Advance Understandings on Allowable Costs Employee Concerns Program Greening the Government Through Federal Fleet and Transportation Efficiency Other Advance Understandings H 34 Electronic Subcontracting Reporting System (AL ) 4

5 H 35 H 36 H 37 H 38 H 39 H 40 H 41 H 42 H 43 H 44 H 45 H 46 H 47 H 48 H 49 H 50 H 51 Joint Global Climate Change Research Institute Energy Efficiency in Energy Consuming Products Information Technology Acquisitions Special Provisions Relating to Work Funded Under American Recovery and Reinvestment Act of 2009 (Apr 2009) (Applicable only to Recovery Act Work) Definition of Unusually Hazardous or Nuclear Risk for FAR Clause Indemnification Under Public Law Contractor Assurance System Work Authorization Implementation of Section I Clauses Sustainability Program Non-Federal Agreements for Commercializing Technology (Pilot) Battelle Memorial Institute Legacy Work No Third Party Beneficiaries Employee Compensation: Pay and Benefits Group Pension Plans Group Savings Plans Post Contract Responsibilities for Pension and Other Benefit Plans Labor Relations I Part II Contract Clauses, Section I, Contract Clauses I 1 FAR Definitions (July 2004) I 2 FAR Gratuities (Apr 1984) I 3 FAR Covenant Against Contingent Fees (Apr 1984) 5

6 I 4 FAR Restrictions on Subcontractor Sales to the Government (Sept 2006) I 5 FAR Anti Kickback Procedures (Oct 2010) I 6 I 7 I 8 I - 8A FAR Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Jan 1997) FAR Price or Fee Adjustment for Illegal or Improper Activity (Jan 1997) FAR Limitation on Payments to Influence Certain Federal Transactions (Oct 2010) FAR Contractor Employee Whistleblower Rights and Requirement to Inform Employees of Whistleblower Rights (Apr 2014) I 9 FAR Printed or Copied Double Sided on Recycled Paper (Aug 2000) I 9A FAR System for Award Management (Jul 2013) I 9B I 9C I 10 I 11 FAR Personal Identity Verification of Contractor Personnel (Jan 2011) FAR Reporting Executive Compensation and First-Tier Subcontract Awards (Jul 2013) FAR Required Sources for Helium and Helium Usage Data (Apr 2002) FAR Protecting the Government s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (Sept 2006) I 12 FAR Material Requirements (Aug 2000) I 13 FAR Order of Precedence Uniform Contract Format (Oct 1997) I 14 FAR Subcontractor Certified Cost or Pricing Data (Oct 2010) I 15 FAR Subcontractor Certified Cost or Pricing Data Modifications (Oct 2010) I 16 FAR Utilization of Small Business Concerns (May 2014) I 17 FAR Small Business Subcontracting Plan (Jul 2013) I 18 FAR Liquidated Damages Subcontracting Plan (Jan 1999) I 19 FAR Notice to the Government of Labor Disputes (Feb 1997) I 20 FAR Convict Labor (June 2003) 6

7 I 21 FAR Contract Work Hours and Safety Standards Overtime Compensation (May 2014) I 22 FAR Subcontracts (Labor Standards) (May 2014) I 23 FAR Prohibition of Segregated Facilities (Feb 1999) I 24 FAR Equal Opportunity (March 2007) I 25 FAR Notification of Visa Denial (June 2003) I 26 FAR Equal Opportunity for Veterans (July 2014) I 27 FAR Equal Opportunity for Workers with Disabilities (July 2014) I 28 FAR Employment Reports on Veterans (Sep 2010) I - 28A FAR Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) I 28B FAR Combating Trafficking in Persons (Mar 2015) I 28C FAR Employment Eligible Verification (Aug 2013) I 29 FAR Pollution Prevention and Right to Know Information (May 2011) Alternate I (May 2011) I 30 FAR Waste Reduction Program (May 2011) I 31 FAR Refrigeration Equipment and Air Conditioners (May 1995) I 32 FAR Privacy Act Notification (Apr 1984) I 33 FAR Privacy Act (Apr 1984) I 34 FAR Buy American Supplies (May 2014) I 35 FAR Buy American Construction Materials (May 2014) I 36 FAR Restriction on Certain Foreign Purchases (Jun 2008) I 37 FAR Taxes Foreign Cost Reimbursement Contracts (Mar 1990) I 38 FAR Cost Accounting Standards (May 2014) I 39 FAR Administration of Cost Accounting Standards (Jun 2010) 7

8 I 40 FAR Interest (May 2014) I 41 FAR Prohibition of Assignment of Claims (May 2014) I 42 FAR Disputes (Jul 2002) Alternate I (Dec 1991) I 43 FAR Protest After Award (Aug 1996) Alternate I (Jun 1985) I 44 FAR Other Contracts (Apr 1984) I 45 FAR Continuity of Services (Jan 1991) I 45A FAR Waiver of Limitation on Severance Payments to Foreign Nationals (May 2014) I 46 FAR Notice of Intent to Disallow Costs (Apr 1984) I 47 FAR Bankruptcy (Jul 1995) I 48 FAR Competition in Subcontracting (Dec 1996) I 49 FAR Subcontracts for Commercial Items (Apr 2015) I 50 FAR Commercial Bill of Lading Notations (Feb 2006) I 51 FAR Preference for U.S. Flag Air Carriers (Jun 2003) I 52 I 53 I 54 FAR Preference for Privately Owned U.S. Flag Commercial Vessels (Feb 2006) FAR Submission of Transportation Documents for Audit (Feb 2006) FAR Termination (Cost Reimbursement) (May 2004) (Modified by DEAR (Dec 2000)) I 55 FAR Excusable Delays (Apr 1984) I 55A FAR Indemnification Under Public Law Alternate I (Apr 1984) I 56 FAR Government Supply Sources (Apr 2012) I 57 FAR Interagency Fleet Management System Vehicles and Related Services (Jan 1991) I 58 FAR Authorized Deviations in Clauses (Apr 1984) I 59 FAR Computer Generated Forms (Jan 1991) 8

9 I 60 DEAR Whistleblower Protection for Contractor Employees (Dec 2000) I 61 DEAR Security (Mar 2011) I 62 DEAR Classification/Declassification (Sep 1997) I 63 DEAR Public Affairs (Dec 2000) I 64 DEAR Tagging of Leased Vehicles (Apr 1984) I 65 DEAR Organizational Conflicts of Interest (Aug 2009) Alternate I (Aug 2009) I 66 DEAR Priorities and Allocations (Atomic Energy) (Apr 2008) I 67 I 68 DEAR Key Personnel (Dec 2000) I 69 DEAR Acquisition of Real Property (Mar 2011) I 70 DEAR Preservation of Individual Occupational Radiation Exposure Records (Apr 1984) I 71 DEAR Utilization of Energy Policy Act Target Entities (Jun 1996) I 72 DEAR Displaced Employee Hiring Preference (Jun 1997) I 72A DEAR Research Misconduct (Jul 2005) I 73 DEAR Foreign Travel (Jun 2010) I 74 DEAR Nuclear Hazards Indemnity Agreement (Jun 1996) I 74A DEAR Nuclear Hazards Indemnity Agreement (Oct 2005) (AL ) I 75 DEAR Contractor Employee Travel Discounts (Aug 2009) I 76 DEAR Management Controls (Jun 2007) I 77 DEAR Performance Improvement and Collaboration (May 2006) I 78 DEAR Contractor s Organization (Dec 2000) I 79 DEAR Counterintelligence (Dec 2010) 9

10 I 80 DEAR Laws, Regulations, and DOE Directives (Dec 2000) I 81 DEAR Access to and Ownership of Records (July 2005) I 82 DEAR Printing (Dec 2000) I 82A DEAR Work Authorization (May 2007) I 83 I 84 I 84A I 85 DEAR Total Available Fee: Base Fee Amount and Performance Fee Amount (Dec 2000) Alternate II (Dec 2000) Alternate IV (DEC 2000) DEAR Conditional Payment of Fee, Profit, and Other Incentives Facility Management Contracts (Aug 2009) Alt II (Aug 2009) DEAR Work for Others Program (Non DOE Funded Work) (Jan 2005) DEAR Collective Bargaining Agreements Management and Operating Contracts (Dec 2000) I 86 DEAR Overtime Management (Dec 2000) I 87 I 88 I 89 DEAR Integration of Environment, Safety, and Health into Work Planning and Execution (Dec 2000) DEAR Workplace Substance Abuse Programs at DOE Sites (Dec 2010) I 90 DEAR Diversity Plan (Dec 2000) I 91 DEAR Workforce Restructuring Under Section 3161 of the National Defense Authorization Act for Fiscal Year 1993 (Dec 2000) I 92 DEAR Community Commitment (Dec 2000) I 93 I 94 DEAR Rights in Data Technology Transfer (Dec 2000) (Class Deviation Jul 2006) Acquisition Letter DEAR Technology Transfer Mission (Aug 2002) (Class Deviation Jul 2006) Acquisition Letter , Alternate I (Aug 2002) I 95 DEAR Authorization and Consent (Aug 2002) I 96 DEAR Notice and Assistance Regarding Patent and Copyright Infringement (Aug 2002) I 97 DEAR Patent Indemnity Subcontracts (Dec 2000) 10

11 I 98 DEAR Refund of Royalties (Aug 2002) I 99 DEAR Patent Rights Management and Operating Contracts, Nonprofit Organization or Small Business Firm Contractor (Aug 2002) I 100 DEAR Insurance Litigation and Claims (July 2013) I 101 DEAR State and Local Taxes (Dec 2000) I 102 DEAR Preexisting Conditions (Dec 2000) Alternate I (Dec 2000) I 103 I 104 DEAR Reduction or Suspension of Advance, Partial, or Progress Payments (Dec 2000) DEAR Payments and Advances (Dec 2000) Alternate II (Dec 2000) Alternate III (Dec 2000) I 105 DEAR Accounts, Records, and Inspection (Dec 2010) I 106 DEAR Obligation of Funds (Dec 2000) I 107 DEAR Liability with Respect to Cost Accounting Standards (Dec 2000) I 108 DEAR Work for Others Funding Authorization (Dec 2000) I 109 DEAR Financial Management System (Dec 2000) I 110 DEAR Integrated Accounting (Dec 2000) I 111 DEAR Federally Funded Research and Development Center Sponsoring Agreement (Dec 2010) I 112 DEAR Government Facility Subcontract Approval (Dec 2000) I 113 DEAR Penalties for Unallowable Costs (Aug 2009) I 114 DEAR Changes (Dec 2000) I 115 DEAR Contractor s Purchasing System (Policy Flash )(Jan 2013) I 116 DEAR Property (Jan 2013) Alternate I (Dec 2000) I 200 I 202 FAR Whistleblower Protections Under the American Recovery and Reinvestment Act of 2009 (Mar 2009) FAR Required Use of American Iron, Steel, and Other Manufactured Goods Buy American Act Construction Materials (Mar 2009) 11

12 J J Appendix A Section J, List of Attachments Table of Contents Section J, Appendix A, Advance Understandings on Human Resources Cost I. Introduction II. Human Resources Strategy, Business Planning and Performance Management III. Compensation IV. Ancillary Pay Components V. Reductions in Contractor Employment VI. VII. Payments on Separation Labor Relations VIII. Programs Involving Employee Absence from the Workplace IX. Employee Training, Education and Development X. Employee Programs J Appendix B XI. Recruiting Personnel Section J, Appendix B, Special Financial Institution Account(s) Agreement for Use with the Payments Cleared Financing Arrangement I. Recitals II. III. IV. Covenants U.S. Bank Treasury Management Terms and Conditions Supplement Electronic Deposit Services Signatures Attachment 1 Financial Institution s Information on Payments Cleared Financing Arrangement 12

13 J Appendix C U.S. Bank Treasury Management Terms and Conditions Supplement Electronic Deposit Services Section J, Appendix C, Subcontracting Plan for Socioeconomic Programs I. Goals II. III. IV. Battelle Subcontracting Plan Administrator Administration of Battelle s Subcontracting Plan Flow Down Requirements to Battelle s Subcontractors V. Periodic Reporting and Cooperating with DOE and SBA J Appendix D J Appendix E VI. Maintaining Records Section J, Appendix D, List of Applicable DOE Directives and External Requirements Section J, Appendix E, Standards of Performance Based Fee, FY 2014 Battelle Performance Evaluation and Measurement Plan for Management and Operations of the Pacific Northwest National Laboratory Introduction I. Determining the Contractor s Performance Rating, Performance Based Fee and Award Term Eligibility II. Performance Goals, Objectives & Notable Outcomes 1.0 Provide for Efficient and Effective Mission Accomplishment 1.1 Provide Science and Technology Results with Meaningful Impact on the Field 1.2 Provide Quality Leadership in Science and Technology that Advances Community Goals and DOE Mission Goals 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., activities leading up to CD-2) 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of Components (execution phase, post CD-2 to CD-4) 13

14 2.3 Provide Efficient and Effective Operation of Facilities 2.4 Utilization of Facility(ies) to Provide Impactful S&T Results and Benefits to External User Communities 3.0 Provide Effective and Efficient Science and Technology Program Management 3.1 Provide Effective and Efficient Strategic Planning and Stewardship of Scientific Capabilities and Program Vision 3.2 Provide Effective and Efficient Science and Technology Project/Program/Facilities Management 3.3 Provide Efficient and Effective Communications and Responsiveness to Headquarters Needs Attachment 1 Program Office Goal & Objective Weightings Office of Science 4.0 Provide Sound and Competent Leadership and Stewardship of the Laboratory 4.1 Leadership and Stewardship of the Laboratory 4.2 Management and Operation of the Laboratory 4.3 Contractor Value-Added 5.0 Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection 5.1 Provide an Efficient and Effective Worker Health and Safety Program 5.2 Provide Efficient and Effective Environmental Management System 6.0 Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s) 6.1 Provide an Efficient, Effective, and Responsive Financial Management System 6.2 Provide an Efficient, Effective, and Responsive Acquisition Management System and Property Management System 6.3 Provide an Efficient, Effective, and Responsive Human Resources Management System and Diversity Program 6.4 Provide Efficient, Effective, and Responsive Contractor Assurance Systems, including Internal Audit and Quality 6.5 Demonstrate Effective Transfer of Technology and Commercialization of Intellectual Assets 7.0 Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs 14

15 J Appendix F J Appendix G J Appendix H J Appendix I J Appendix J J Appendix K 7.1 Manage Facilities and Infrastructure in an Efficient and Effective Manner that Optimizes Usage, Minimizes Life Cycle Costs, and Ensures Site Capability to Meet Mission Needs 7.2 Provide Planning for and Acquire the Facilities and Infrastructure Required to Support the Continuation and Growth of Laboratory Missions and Programs 8.0 Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems 8.1 Provide an Efficient and Effective Emergency Management System 8.2 Provide an Efficient and Effective Cyber Security System for the Protection of Classified and Unclassified Information 8.3 Provide an Efficient and Effective Physical Security Program for the Protection of Special Nuclear Materials, Classified Matter, Classified Information, Sensitive Information, and Property Section J, Appendix F, Operational Agreement Between the Office of Science, Pacific Northwest Site Office and the Office of Environmental Management, Richland Operations Office, Revision 1 Section J, Appendix G, DOE Research and Development Bilateral and Multilateral Agreements Section J, Appendix H, List of Approved Laboratory Facilities (Owned and Leased) Section J, Appendix I, List of Battelle Memorial Institute Legacy Work Part III List of Documents, Exhibits, and other Attachments, Section J, Appendix J, Advance Agreement on Costs and Associated Use of Battelle-Owned Facilities and Real Property Section J, Appendix K, Advance Agreement on Costs and Disposition of Battelle Owned Personal Property/Nuclear Materials for the Pacific Northwest National Laboratory 15