Exhibit 10.11
AWARD/CONTRACT 1.THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGE
UNDER DPAS (15 CFR 350) N/A. 1
2. CONTRACT (Proc. Inst. No.) 3. EFFECTIVE DATE
DE-AC34-00RF01904 1 February 2000
4. REQUISITION/PURCHASE REQUEST/PROJECT
134-00RF01904.000
5. ISSUED BY CODE 6. ADMINISTERED BY (If other CODE
than Item 5)
US Department of Energy
ROCKY FLATS FIELD OFFICE
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
7. NAME AND ADDRESS OF CONTRACTOR 8. DELIVERY
(No. street, city, county, State [ ] FOB ORIGIN [ ] OTHER
and Zip Code) (See below)
▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇ ▇. DISCOUNT FOR PROMPT PAYMENT
Golden, CO 80403-8200 N/A
10. SUBMIT INVOICES ITEM
(4 copies unless
otherwise specified
TO THE ADDRESS SHOWN IN: G.3
CODE FACILITY CODE
11. SHIP TO/MARK FOR CODE 12. PAYMENT WILL BE MADE BY CODE
13. AUTHORITY FOR USING OTHER THAN 14. ACCOUNTING AND
FULL AND OPEN COMPETITION: APPROPRIATION DATA
[ ] 10 USC 2304 (c) 89X0251.91
[X] 41 USC 253 (c) ( 7 )
15A. ITEM NO. 15B. SUPPLIES/SERVICES 15C. QUANTITY 15D. UNIT 15E. UNIT PRICE 15F. AMOUNT
SEE SECTION B
15G. TOTAL AMOUNT OF CONTRACT:
16. TABLE OF CONTENTS
SEC. DESCRIPTION PAGE(S) SEC. I DESCRIPTION PAGE(S)
PART I-THE SCHEDULE PART 11--CONTRACT CLAUSES
X A SOLICITATION/CONTRACT FORM X I CONTRACT CLAUSES
X B SUPPLIES OR SERVICES AND PRICES/COSTS
X C DESCRIPTION/SPECS/WORK STATEMENT PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTCH.
X D PACKAGING AND MARKING
X E INSPECTION AND ACCEPTANCE X J LIST OF ATTACHMENTS
X F DELIVERIES OR PERFORMANCE
X G CONTRACT ADMINISTRATION DATA PART IV - REPRESENTATIONS AND INSTRUCTIONS
X H SPECIAL CONTRACT REQUIREMENTS
X K REPRESENTATIONS, CERTIFICATIONS AND OTHER
STATEMENTS OF OFFERORS
L INSTRS., CONDS., AND NOTICES TO OFFERORS
M EVALUATION FACTORS FOR AWARD
CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
17. [X] CONTRACTOR'S NEGOTIATED AGREEMENT
(Contractor is required to sign and this document and return 3 copies to
issuing office.)
Contractor agrees to furnish and deliver all items or perform all the services
set forth otherwise indentified above and on any continuation sheets for the
consideration stated herein. The rights and obligations of the parties to this
contract shall be subject to and governed by the following documents: (a) this
award/contract, (b) the solicitation, if any and (c) such provisions,
representations, certifications, and specifications, as are attached or
incorporated by reference herein. (Attachments are listed herein.)
18. [ ] AWARD (Contractor is not required to sign this document)
Your offer on Solicitation Number _____________ including the additions or
changes made by you which additions or changes are set forth in full above, is
hereby accepted as to the items listed above and on any continuation sheets.
This award consummates the contract which consists of the following documents:
(a) the Government's solicitation and your offer, and (b) this award/contract.
No further contractual document is necessary.
19A. NAME AND TITLE OF SIGNER (Type or print)
▇▇▇▇▇▇ ▇. ▇▇▇▇
President and CEO
19B. NAME OF CONTRACTOR
By: /s/ 1/24/00
--------------------------------
(Signature of person authorized to sign)
20A. NAME OF CONTRACTING OFFICER
▇▇▇▇ ▇▇▇▇▇
Acting Manager
20B. UNITED STATES OF AMERICA 20C. DATE SIGNED
By: /s/ 1/24/00
--------------------------------
(Signature of Contracting Officer)
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART I - THE SCHEDULE
SECTION B
SUPPLIES OR SERVICES AND PRICES/COST
Table of Contents
Section Number Clause Title
B.1 SERVICES BEING ACQUIRED
B.2 ESTIMATED COST AND FEE
B.3 OBLIGATION OF FUNDS
B.4 RESERVED
B.5 SCHEDULE INCENTIVE
B.6 FEE PAYMENT SCHEDULE AND FEE PAYMENT WITHHOLDINGS
B.7 FINAL FEE DETERMINATION
B.8 ADDITIONAL ITEM(S) EXCLUDED FROM ACTUAL COST
Section B - Page 1
SECTION B
SUPPLIES OR SERVICES AND PRICES/COST
B.1 SERVICES BEING ACQUIRED
(a) The Contractor is responsible for completing the Rocky Flats
Closure Project in accordance with this Contract. Except for
personnel, services, facilities, equipment, materials and
supplies utilized or furnished by the Government, the Contractor
will furnish all personnel, facilities, equipment, material,
supplies, and services needed by Contractor to perform the work
in the manner required by this contract.
(b) (OPTIONAL) 903 Pad Remediation Project Removal. Planning,
executing, and completing the 903 Pad Remediation Project as
identified in Work Breakdown Structure (WBS) #1.1.03.12.06.02 may
be removed from the scope of this contract. Execution of this
option will require negotiation on the exact scope and timing of
the action, and associated reduction in available funds to match
funding required for completion by a third party. This option
would represent a change to the contract and require
consideration as set forth in the Clause of this contract
entitled "Changes."
(c) (OPTIONAL) 903 Pad Remediation Project Extension. Planning,
executing, and completing of the 903 Pad Remediation Project as
identified in Work Breakdown Structure (WBS) #1.1.03.12.06.02 may
be extended beyond a fiscal year 2001 start and 2002 completion.
The extension may be from one year to as much as three years, to
a fiscal year 2004 start and 2005 completion. Execution of this
option will require negotiation on the exact timing of the action
and amount of the delay. This option would represent a change to
the contract and require consideration as set forth in the Clause
of this contract entitled "Changes."
B.2 TARGET COST AND TARGET FEE
The Target Cost and Target Fee are:
Target Cost (excludes fee): $ 3,963,000,000
--------------------------
Target Fee: $ 340,000,000
--------------------------
The actual fee will be determined in accordance with contract clause I.23.
B.3 OBLIGATION OF FUNDS
(a) Subject to the "Limitation of Funds," clause in Section I, the total
funds obligated under this contract is $_________________.
(b) (OPTIONAL) $15,000,000 per year (fiscal years [FY] 01, 02, 03 and 04)
funding increase. The annual funding available to Rocky Flats from the
EW-05 Closure Account described in Section C, Technical Exhibit A,
paragraph VIII "Closure Project Funding" will be increased by
$15,000,000 each year from the basis point of $657,000,000 per year
beginning in fiscal year 2001. Execution of this option will result in
the subject increase in available funding for use by the Contractor, and
the Contractor agrees to a reduction in the Target Fee of $15,000,000
for this funding stream. In consideration of the contract modification
to revise funding upward as stated herein for fiscal years 01, 02, 03
and 04, the Target Fee shall be reduced as stated herein without any
adjustments to the maximum and minimum fee and associated share-line,
providing that this option must be exercised prior to the start of each
affected fiscal year.
Section B - Page 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(c) (OPTIONAL) $30,000,000 per year (FYs 01, 02, 03 and 04) funding
increase. The annual funding available to Rocky Flats from the EW-05
Closure Account described in Section C, Technical Exhibit A, paragraph
VIII "Closure Project Funding" will be increased by $30,000,000 each
year from the basis point of $657,000,000 per year beginning in fiscal
year 2001. Execution of this option will result in the subject increase
in available funding for use by the Contractor, and the Contractor
agrees to a reduction in the Target Fee of $30,000,000 for this funding
stream. In consideration of the contract modification to revise funding
upward as stated herein for fiscal years 01, 02, 03 and 04, the Target
Fee shall be reduced as stated herein without any adjustments to the
maximum and minimum fee and associated share-line, providing that this
option must be exercised prior to the start of each affected fiscal
year.
B.4 RESERVED
B.5 SCHEDULE INCENTIVE
(a) Accelerated physical completion of the Rocky Flats Closure Project is a
strategic objective of the DOE and has significant benefits to the
Government.
(b) The Target Schedule Date for physical completion of this contract is set
forth in subparagraph (c) below. As set forth in subparagraph (c)
below, physical completion on Target Schedule Date will result in $15
million Schedule Incentive Fee. Physical completion earlier than this
date will result in $5 million additional fee payment in a uniform daily
amount, up to a maximum of the Earliest Schedule date dollar value. For
each day that physical completion is later than the Target Schedule
Date, the acceleration payment to Contractor will be reduced a uniform
daily amount up to a maximum of the Latest Schedule date dollar value,
as more fully set forth in the Schedule Incentive graph, Section J,
Attachment H.
(c) Schedule Incentive Fees will be earned in accordance with the following:
Date Incentive Fee
------------------ -------------
Earliest Schedule March 31, 2006 $20,000,000
-----------
Target Schedule December 15, 2006 $15,000,000
-----------
Zero Point March 31, 2007 $ 0
-----------
Latest Schedule March 31, 2008 $20,000,000 Reduction
-----------
This is graphically depicted in Section J, Attachment H.
(d) In no event shall the schedule incentive fee payable under subparagraphs
(b) and (c) plus the incentive fee payable in accordance with Clause
I.23 exceed $450,000,000. Any fee reduction for late schedule set forth
in subparagraphs (b) and (c) shall be deducted from the incentive fee
payable under Clause I.23. Nothing in this subparagraph shall limit the
deduction from fee for Category 1, 2 or 3 events as set forth in Clause
B.6(3).
B.6 FEE PAYMENT SCHEDULE AND FEE PAYMENT WITHHOLDINGS
(a) This provision establishes the method for payments of incentive fee as
set forth in Clause I.23 entitled "Incentive Fee (MAR 1997)" from FAR
52.216-10. The amount of any conditional incentive fee payment shall be
determined and paid by the Contracting Officer as set forth in Clause
I.23 and other applicable clauses of this contract. As used in this
contract, the following definitions shall apply:
(1) "Target Cost"( TC )means the Target Cost specified in Section B.2
of this contract. The Target Cost may be adjusted for equitable
adjustments as set forth in the Clause of this contract entitled,
"Changes," or other clauses of this contract.
Section B - Page 3
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(2) "Target Fee"( TF ) means the Target Fee specified in Section B.2
of this contract. The Target Fee may be adjusted for equitable
adjustments as set forth in the Clause of this contract entitled,
"Changes," or other clauses of this contract.
(3) "Budgeted Cost of Work Scheduled at Target Cost" (BCWSTC) means
that portion of the approved Target Cost planned to be spent on
an activity during a given period, measurable by period and
cumulative to date, that reflects the Target Cost (TC). This will
be established by the submittal of a revised baseline to execute
the closure contract (ref. Paragraph H.1.04 (e)). The BCWSTC will
be changed through equitable adjustments in accordance with the
applicable clauses of the contract.
(4) "Budgeted Cost of Work Performed at Target Cost" (BCWPTC) is the
sum of the approved Target Cost elements for activities completed
during a given period, measurable by period and cumulative to
date, that relates directly to the Budgeted Cost for Work
Scheduled at Target Cost (BCWSTC).
(5) "Actual Cost of Work Performed at Target Cost" (ACWPTC) means the
adjusted (as reflected in Clause B.8) total allowable costs
expended under the contract to achieve the accomplished work,
measurable by period and cumulative to date.
(6) "Cost Variance at Target Cost" (CVTC) means the variance between
budgeted Target Cost of work accomplished and actual cost of work
accomplished, measurable by period and cumulative to date. It is
expressed by the formula: BCWPTC - ACWPTC.
(7) "Schedule Variance at Target Cost" (SVTC) as set forth in Section
B.6(d)(2) means the variance between planned and actual work
accomplishment, measurable by period and cumulative to date. It
is expressed by the formula: BCWPTC - BCWSTC.
(8) "Schedule Incentive Fee" (SF ) means the Schedule Incentive Fee
specified in Section B.5 of this contract. The Schedule Incentive
Fee may be adjusted for equitable adjustments as set forth in the
Clause of this contract entitled, "Changes," or other clauses of
this contract.
(9) "Conditional Incentive Fee" means Target Fee divided by the
number of quarters in the contract using the target physical
completion date of December 15, 2006: (CF = TF / 27.67 quarters).
(10) "Ordinary Fee", means Conditional Incentive Fee less a 50%
withholding.
(11) "Physical completion" as used in this contract and Clause I.23,
Incentive Fee shall be defined as set forth by contract Clause
F.2.
(12) "Maximum Fee" (MaxF ) means the highest fee the Contractor can
earn as set forth in Clause I.23, Incentive Fee.
(13) "Minimum Fee" (MinF ) means the lowest fee the Contractor can
earn as set forth in Clause I.23, Incentive Fee.
(14) "Actual cost of physical completion" means the total allowable
cost to achieve physical completion, as set forth in Clause I.23
and as adjusted by Section B.8, below.
(15) Non-Legacy Onsite Event is an onsite condition or event created
by the Contractor after the effective date of this contract.
(b) The Contractor may submit invoices for ordinary fee payments following
the submittal of the Quarterly Critical Analysis in accordance with
Clause H.1.03(e)(2). The Government will review and disposition
Contractor's Quarterly Critical Analysis, and within forty (40) calendar
days of submittal date, provide
Section B - Page 4
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Contractor written notice of consent to submit its invoice. Upon
receipt of an acceptable invoice for ordinary fee, the Contracting
Officer will assess the need for adjustments based upon the factors
discussed later in this provision. Unless the Contracting Officer
elects to do otherwise as set forth below, ordinary fee payments will be
made quarterly, not more than 3 business days consistent with
subparagraph G.7(a) after the Contractor submits an acceptable invoice.
The process for administration of the incentive fees shall be as
follows:
(1) Calculation of Conditional Incentive Fee
(2) Calculation of Ordinary Fee
(3) Cost, schedule, or other adjustment as set forth in
subparagraphs (d) through (g), below
(4) Based on items 1 through 3 immediately above, remittance of fee
payment as set forth herein.
(c) The Contractor may elect not to submit an invoice for an ordinary fee
payment. In the event the Contractor elects not to submit an invoice for
an ordinary fee payment, the Contractor shall affirm its election in
writing to the Contracting Officer. When the Contractor elects not to
submit an invoice, pursuant to this subparagraph, the fee amount not
invoiced will be due and payable in accordance with Clauses F.3 and B.7.
(d) In determining the appropriate amount of fee to be paid, the Contracting
Officer will take the following factors into consideration:
(1) Cost Variance at Target Cost. The Budgeted Cost of Work
Performed at Target Cost (BCWPTC) minus the Actual Cost of Work
Performed at Target Cost (ACWPTC) will define the cost variance.
When there is no cost variance, the Contracting Officer will make
no adjustment to the ordinary fee payment (unless otherwise
warranted for reasons described elsewhere in this Clause). When
cost variances indicate the Contractor will earn Maximum Fee, the
Contracting Officer will adjust the ordinary fee payment upward
proportionally, up to a maximum of MaxF/27.67; if cost variances
indicate the Contractor will earn Minimum Fee, the Contracting
Officer will adjust the ordinary fee payment downward
proportionally, down to a minimum of MinF/27.67.
(2) Schedule Variance at Target Cost. A calculation of "earned value
variance" based on physical completion of project mission tasks
(level of effort work generally excluded) will be used to define
the schedule variance. The "earned value variance" will be
calculated as the BCWPTC minus the Budgeted Cost of Work
Scheduled at Target Cost (BCWSTC) for predetermined work
activities. Earned value variance will be calculated for the
project from contract effective date to current date. Earned
value for each predetermined work activity will only be included
when work is 100% complete. No intermediate calculations of
earned value will be used for schedule variance. The Contracting
Officer may reduce the conditional fee payment for negative
schedule variances as measured by earned value variances, or
increase conditional fee payment for positive schedule variances
as measured by earned value variances. The range of
increases/decreases for schedule variance will be similar to that
for cost variance described above.
(3) Fee Payments During Transition to the New Baseline. The
Contracting Officer will make no adjustments, except for Category
1, 2 or 3 events, to the ordinary fee payments for Cost or
Schedule Variances during transition. The contractor may invoice
for fee in accordance with the following schedule.
Date Ordinary Fee Payment
---- --------------------
March 31, 2000 $4,116,374
June 30, 2000 $6,143,838
September 30, 2000 $6,143,838
December 31, 2000 $6,143,838
Section B - Page 5
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(e) For reasons and in the manner explained in paragraphs below and to
provide for the remedies and obligations established in Section E or
elsewhere in this contract, the Contracting Officer may decide to reduce
any ordinary fee payment. The Contracting Officer may elect to deduct
fee. This would result both in a reduction of the immediate conditional
incentive fee payment and also in a downward adjustment to the amount of
the total adjusted fee at the contract's physical completion.
Environment, Safety & Health (ES&H) and Safeguards and Security
Compliance
The Rocky Flats Closure Project and this contract have a mission of
accelerated project completion. The nature of the contract, along with
the financial incentives for accelerated completion or for cost
effectiveness should never compromise or impede full and effective
implementation of the Integrated Safety Management System and full ES&H
and Safeguards and Security compliance. Cost and schedule variances due
to work delays resulting from Contractor safety management lapses or
non-compliance will generally not be accepted as a basis for adjustment
to the Target Cost or Target Schedule Date. In addition, the Contractor
will be subject to monetary fee deductions as described below. Such
events or incidents are considered symptomatic of a breakdown in the
safety management system.
(1) Category 1 Events or Incidents:
Category 1 events or incidents are those that would threaten the
success of the Rocky Flats Closure Project. This Category would
include events or incidents that lead to DOE's decision to
disapprove an important system critical to project success, such
as the Safety Management System or the Safeguards and Security
(S&S) System. For Category 1 events or incidents, the Contracting
Officer may deduct up to 6 months worth of ordinary fee payments
in their entirety. Examples include, but are not limited to:
o Nuclear criticality event
o Workplace fatality due to work-related conditions
o Theft, loss or diversion of Special Nuclear Material, as
defined in the 1995 S&S Glossary of terms. Excludes
inventory discrepancies not related to theft or
diversion.
o Fire in a Hazard Category 2 or 3 facility exceeding Max.
Possible Fire Loss as defined in DOE Order 420.1
o Event which results in a consequence greater than 100
mrem to a co-located worker (600 meters from the
facility) due to an accident in a Hazard Category 2 or 3
facility
o Non-legacy onsite event which results in an offsite water
quality exceedence of greater than 15.0 pCi/liter Pu as
measured in accordance with the Integrated Monitoring
Plan.
(2) Category 2 Events or Incidents:
Category 2 events or incidents are those that reflect conditions
significantly adverse to safety or conditions that could result
in significant additional costs to the Government. This Category
would also include events or incidents where an actual injury,
exposure, or exceedence occurred or nearly occurred but has minor
practical long-term health consequence and would also include
potential breakdown or failure of an important system critical to
project success, such as the Safety Management System or the
Safeguards and Security System. For Category 2 incidents, the
Contracting Officer may deduct up to $2 million in ordinary fee
payments. Examples include, but are not limited to:
o Event resulting in individual receiving a calculated
absorbed dose exceeding 25 rem CEDE
o Event which results in loss of all criticality safety
contingencies. Excludes legacy events.
o Facility fire exceeding the Maximum Credible Fire, as
that term is defined in DOE Order 420.1
o Unmitigated acute exposure which exceeds ERPG-2 limits
established for emergency planning purposes
o Total Site level 1 and 2 Technical Safety Requirements
(TSR) violations exceed 30 in a calendar year
Section B - Page 6
Rocky Flats Closure Contract No. DE-AC34-00RF01904
o Non-legacy onsite event which results in an offsite water
quality exceedence of greater than 1.5 pCi/liter Pu as
measured in accordance with the Integrated Monitoring
Plan
o Contractor-caused packaging deficiency that results in a
container breach and material release during offsite
shipment or receiving
o Theft, loss, or diversion of strategically significant
classified materials (i.e., physical equipment, tooling,
etc) or classified documents. Excludes inventory
discrepancies not related to theft or diversion.
o Air release from project or incident causing a measured
10 mrem dose at the site boundary.
(3) Category 3 Events or Incidents:
Category 3 events or incidents are those that may indicate or
reflect a lack of focus on improving environment, safety, health,
safeguards, or security performance. For Category 3 incidents,
the Contracting Officer may deduct up to $250,000 from ordinary
fee payments. Examples include, but are not limited to:
o Accident resulting in 5 or more Lost-Workday cases
o Each month that the 12 month rolling average for Total
Recordable Case Rate exceeds 3.5
o Each month that the 12 month rolling average Lost Workday
Case Rate exceeds 2.0
o Each month that NCRs on waste packages exceed 8% on a 12
month rolling average
o More than 15 level 1 or 2 TSR violations in calendar year
o More than 7 Level A and B fire impairments over 30 days
old in a calendar month
o Number of level 3 and above criticality safety
infractions exceeds 14 in a calendar year
o More than 20 skin contaminations above 1,000 dpm per 100
cm2 in a calendar year
o Less than a 10% reduction in site total person-rem from
previous calendar year (excluding DOE). Once collective
site exposure is below 100 rem this event shall no longer
be applicable.
o More than 20 confirmed internal depositions above 100
mrem in a calendar year
o Unmitigated acute exposure which exceeds ERPG-1 limits
established for emergency planning purposes
o Non-legacy onsite event which results in an offsite water
quality exceedence of greater than the 0.15 pCi/liter Pu
as measured in accordance with the Integrated Monitoring
Plan
o Radiological air release from a project exceeding 10
times the planned maximum defined in project documents.
o One or more regulatory milestones missed as identified
from the Rocky Flats Closure Project Baseline by using
the milestone setting process identified in the RFCA
provided that penalties for missed RFCA milestones have
been assessed against DOE.
(4) Mitigation Factors:
In deciding to adjust ordinary fee payments for a Category 1, 2
or 3 event, the Contracting Officer shall apply only a single
penalty for each separate event even if a single event may
qualify for more than one penalty; however, fines and penalties
imposed under the ▇▇▇▇▇-▇▇▇▇▇▇▇▇ Act are excepted from this
provision. If event or incident results in Price ▇▇▇▇▇▇▇▇ fines
or penalties, or penalties for missed RFCA milestones, along with
Category 1, 2 or 3 consequences, the PAAA fines or penalties, or
penalties for missed RFCA milestones will apply. If the
applicable deduction is greater than the fine or penalty, the
difference between the PAAA fines or penalties or penalty for
missed RFCA milestones and the applicable deduction will be an
adjustment to the ordinary fee payment. The Contracting Officer
shall ensure that Contractor receives impartial fair and
equitable treatment, as set forth in FAR 1.602-2, and will take
into account mitigating factors. These may include factors such
as those set forth below:
o Degree of control that the Contractor had over the event
o Event caused by "Good Samaritan" act by the Contractor
(e.g., offsite emergency response)
Section B - Page 7
Rocky Flats Closure Contract No. DE-AC34-00RF01904
o Efforts that the Contractor had made to anticipate and
mitigate the possibility of the event in advance
o Contractor response to the event to mitigate its impacts
and recurrence
o General status (trend and absolute performance) of safety
and compliance in related areas
The Contracting Officer may apply appropriate fee reductions or
withholdings after the fact to subsequent ordinary fee payments,
provided such fee adjustments are identified in writing to
Contractor within six (6) months of date of the event or incident
occurrence or last event in a trend.
(f) Release of Withheld Fee.
(1) The Contracting Officer may release withheld fees when the
Contractor demonstrates that the condition leading to the
withholding has been corrected. For example, a withheld fee
resulting from one or more cost variance(s) may be paid to the
Contractor when the Contractor recovers from the cost variance,
meaning that there has been acceptable cost variance at the ends
of two consecutive quarters.
(2) Upon physical completion of the contract, fee withholdings will
be released in accordance with Clause F.3.
(g) Bankruptcy or Other Issues with Guarantor Companies. In order to assure
the Contractor's ability to repay any ordinary fees that are determined
to be in excess of the actual fee earned at the physical completion of
the contract, the Contracting Officer reserves the right to discontinue
ordinary fee payments in the event one of the Contractor's Guarantor
companies files bankruptcy or is acquired by other owners, or other
events arise with the Guarantor company that jeopardize the Government's
ability to recover unearned ordinary fee payments.
(h) Repayment of Bankruptcy Reserve. In the event of the bankruptcy,
acquisition by other owner or other event as described in (g) above, the
remaining Guarantor company shall within 120 days after such event,
provide evidence satisfactory to the Contracting Officer that such
bankruptcy, change in ownership or other event does not affect the
ability of the Contractor to continue to perform the obligations under
the contract, or affect a material Governmental or DOE interest. Upon
such showing, the Contracting Officer shall resume making payments of
fee unreduced because of the events in subparagraph (g) and shall
release all fee payments withheld due to events described in (g) during
the preceding 120 days.
Nothing in this ▇▇▇▇▇▇ ▇.6 limits the rights of the Contracting Officer set
forth in the clause "Incentive Fee" of this contract.
B.7 FINAL FEE DETERMINATION
(a) Upon the physical completion of the contract, the Contracting Officer
shall determine and pay the total fee earned by the Contractor
consistent with Clause I.23, "Incentive Fee," Clause B.6, "Fee Payment
Schedule and Fee Payment Withholding," Clause B.5, "Schedule Incentive,"
and Section F of the contract. All payments of ordinary fee made
before physical completion of the contract will be conditional. If the
amount of the total adjusted fee is less than the total amount of
ordinary fee payments previously made to the Contractor, the Contractor
shall reimburse the Government the difference. If the amount of total
adjusted fee is more than the total amount of ordinary payments of fee
previously made to Contractor, the Government shall pay the Contractor
the difference.
(b) Termination. If this contract is terminated in its entirety, fee shall
be payable to the Contractor consistent with Clause I.23 and the
termination provisions of this contract. DOE and the Contractor
recognize that accelerated closure is the mission of the Rocky Flats
Environmental Technology Site. The parties agree that the term
"Default" in Clause I.85, Termination, includes the situation where the
aggregate adjustments for Cost Variance at Target Cost and Schedule
Variance at Target Cost equals or exceeds -56% (negative
Section B - Page 8
Rocky Flats Closure Contract No. DE-AC34-00RF01904
56%) for a period of any 4 consecutive calendar quarters, commencing the
first quarter from July 1, 2001. Nothing in this paragraph shall limit
or restrict the application of Clause I.85, Termination, of this
contract.
B.8 ADDITIONAL ITEM(S) EXCLUDED FROM ACTUAL COST
Subparagraph (e) of ▇▇▇▇▇▇ ▇.23 entitled "Incentive Fee" identifies
certain costs that will not be included in "total allowable cost" for the
purposes of fee adjustment. As set forth in subparagraph (e)(5), all other
allowable costs are included in "total allowable cost" for fee adjustment in
accordance with subparagraph (e), unless otherwise specifically provided in this
contract. The following item(s) of cost are not to be included in "total
allowable cost" for the purposes of fee adjustment under the clause "Incentive
Fee":
o The cost of any lump-sum payment directed by the Contracting
Officer in accordance with ▇▇▇▇▇▇ ▇.9 " Responsibilities for
Operation/Termination of Benefits Systems."
o Increased disposal or transportation costs for waste disposal
sites controlled by DOE (such as NTS and WIPP)
o All administrative and closeout costs incurred by Contractor as
referenced in Clause F.3 of the contract.
Section B - Page 9
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART I - THE SCHEDULE
SECTION C
STATEMENT OF WORK
Table of Contents
Section Number Clause Title
C.1 GENERAL SITE INFORMATION
C.2 DEFINITIONS (GLOSSARY)
C.3 GOVERNMENT FURNISHED SERVICES/ITEMS
C.4 CONTRACTOR FURNISHED ITEMS
C.5 STATEMENTS OF COMMITMENT
TECHNICAL EXHIBITS
A. Detailed Description of Scope and Services
B. Abbreviations, Acronyms, and Definitions
C. List of Rocky Flats Environmental Technology Site Compliance Orders,
Agreements and Permits
D. Rocky Flats Cleanup Agreement
E. Rocky Flats Environmental Technology Site Workforce Restructuring Plan
Section C - Page 1
Rocky Flats Closure Contract No. DE-AC34-00RF01904
C.1 GENERAL SITE INFORMATION
C.1.1 FACILITY DESCRIPTION
The Rocky Flats Environmental Technology Site (RFETS) is located in
northern Jefferson County, approximately 16 miles northwest of downtown
Denver. The main site is a 384-acre complex consisting of
manufacturing, chemical processing, and laboratory and support
facilities. It is situated within a 6,200-acre preserve which functions
as the site's buffer zone.
Approximately 2 million people live within a 50-mile radius of RFETS.
The proximity of the Denver metropolitan area, and its growth, have
caused increased interest in RFETS in recent years. The type and
quantity of materials at RFETS have presented health, safety and
environmental concerns.
C.1.2 MISSION AND PHYSICAL COMPLETION OF THE CONTRACT
The mission is to accelerate closure of the Rocky Flats Environmental
Technology Site. The Rocky Flats Closure Project is intended to close
the former Rocky Flats Plant that was previously part of the U. S.
Department of Energy's (DOE) Nuclear Weapons Complex. The Contractor
shall accomplish site closure in a safe, compliant and efficient
manner. The Contractor shall take all steps and perform all work
activities in this Statement of Work necessary to accomplish physical
completion of the contract.
Since this is a closure project, the Contractor shall adopt a
management approach to site closure consistent with a finite life cycle
scope project. The RFETS closure project must be accomplished so as to
maintain the site in a safe condition for the workers, the public, and
the environment and by complying with all applicable laws, regulations
and agreements.
The Rocky Flats Closure Project Statement of Work is composed of five
major sections that relate to the key work activities associated with
closure, disposal of Special Nuclear Material, demolition of
facilities, environmental remediation, waste disposal, and
infrastructure and general site operations. Other activities such as
disposition of employee health records and termination or transfer of
benefit programs must also be completed. Other support services will be
terminated when they are no longer needed during the closure process.
In addition, the Contractor shall maintain DOE office accommodations
and implementation of the Three Party Transfer Agreements.
Although the sections identified in Technical Exhibit A provide some
detail for the specific scope of work for site closure, there may be
other ancillary activities related to closure specifically identified
in Technical Exhibit A, but which may be identified in other critical
closure documents such as DOE Orders and the latest revision of the
Rocky Flats Closure Baseline. Dates listed in the scope column of the
Technical Exhibit A are set forth for reference. The Contractor's
failure to meet a date specified in the scope column of Technical
Exhibit A shall not be the sole basis for imposition of penalty, fee
deduct or deferral or termination of the contract. All applicable
federal and state laws must also be followed in the execution of this
contract. All required final regulatory documentation will be completed
including the draft interim final Record of Decision Document for site
closure which shall be prepared by the Contractor and submitted by DOE
to regulatory agencies. All administrative matters including, but not
limited to pension plans, labor agreements, subcontracts, and
litigation will be completed, closed, terminated or transferred to the
approved successor organization. DOE will conduct audits and
surveillances of all aspects of the terms of this contract to ensure
compliance with the terms of this SOW. The results of all audits and
surveillances will be resolved with the Contractor. DOE reserves the
right to stop work in accordance with ▇▇▇▇▇▇ ▇.3, Stop Work and
Shutdown Authorization.
The Region VIII Environmental Protection Agency (EPA) Office and the
Colorado Department of Public Health and Environment (CDPHE) are the
regulators for operations at the site. The RFETS is also subject to
oversight by the Defense Nuclear Facilities Safety Board (DNFSB), an
independent agency created to monitor operations and safety-related
activities at the Department of Energy's nuclear facilities.
Section C - Page 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Physical Completion of the Contract
"Physical completion of the contract" as that term is used in Clause
I.23, Incentive Fee, is defined as the point in time in which:
(1) All buildings are demolished, except continuing water
treatment facilities or other structures with a DOE
declared continuing mission;
(2) All IHSSs are remediated or dispositioned per the
Rocky Flats Cleanup Agreement (RFCA) (amended as of
10/01/99);
(3) All wastes are removed except for some materials that
can be left in place, recycled or used as fill
materials in accordance with regulatory requirements;
(4) Closure caps are used for the remediation of two old
landfills, the 700-Area and the solar ponds or these
areas are otherwise remediated in accordance with
RFCA (amended as of 10/01/99);
(5) Building foundations, utilities or other remaining
structures, paved roads and/or parking lots are
covered by a minimum of three feet of fill after
final grade;
(6) Surface water onsite will meet health-based standards
based on open space use calculated using methodology
and toxicity assumptions utilized for the July 19,
1996 surface water action level; and
(7) Water leaving the site in Woman and Walnut Creeks
meets the water quality standards established (as of
10/01/99) by the Colorado Water Quality Control
Commission.
Physical completion of the contract does not include and will be
unaffected by interim storage (and eventual shipment) of waste and
materials awaiting availability of DOE designated receiver site(s) as
described in Section C of the contract, completion work such as
cosmetic grading of the site, removal of uncontaminated buried
underground utilities, removal of railroad tracks, paving of new
surface roads or construction of new structures, and other similar
activities. In the event material and waste receiver sites are
unavailable, the Contractor may construct interim storage facilities,
to include Corrective Action Management Units.
C.2 DEFINITIONS (GLOSSARY)
A listing of abbreviations and technical definitions used in this
contract is provided at Section C, exhibit B.
C.3 GOVERNMENT FURNISHED SERVICES/ITEMS
C.3.1 Within thirty (30) days after the effective date of the contract
and by September 1 prior to each fiscal year end, the Contractor will
provide the Contracting Officer an annual projection which details its
projection of needed Government Furnished Services/Items, identified in
column 3 of Exhibit A, for DOE approval. The Contractor will also
provide quarterly updates to the Contracting Officer. Amendments to the
projection, if any, will be provided to the Contracting Officer 45 days
in advance of the need date. Each Contractor submittal (annual,
quarterly, or individual) shall be reviewed by DOE. Within 15 days
after receipt, DOE shall notify the Contractor whether it will accept
the requested GFS/I. If DOE cannot accept, DOE will identify in writing
no later than 30 calendar days after receipt of Contractor's
notification the requested GFS/I it can accept and provide. If DOE
cannot accept the request for GFS/I that is within the ranges listed in
Technical Exhibit A, then it shall be treated as a change in accordance
with the clause entitled "Changes" in this contract.
C.3.2 Consistent with C.3.1, above, the Government will provide the
Contractor with repository site locations and shipping rates which the
Contractor may use, for storage, treatment or disposal. The
Section C - Page 3
Government Furnished Services/Items are provided in Section C, Exhibit
A. Notwithstanding the specific obligations set forth in GFS/I, the
Government agrees to use its best efforts to accelerate delivery of
GFS/I in support of the Contractor's efforts to successfully close
Rocky Flats. Shipping services provided by DOE will be at a rate in
accordance with the approved shipper/receiver agreements submitted by
the Contractor. DOE will provide certification for containers for all
Special Nuclear Material shipments and a waiver or revision to the DOE
Standard 3013-96 to address Pu oxides between 30 and 50 wt.%, to allow
for potential Pu contamination on the outside of the inner can and to
approve alternative moisture measurement methods.
C.3.3 The Government shall provide all NEPA compliance activities
described in Technical Exhibit A and as detailed in the latest revision
of the Rocky Flats Closure Project Baseline.
C.4 CONTRACTOR FURNISHED ITEMS
Except for Government-Furnished Services/Items, the Contractor shall
furnish all personnel, supervision, management, equipment, materials,
transportation and supplies required to plan, schedule, coordinate and assure
performance of all required services necessary to close the Site.
C.5 STATEMENTS OF COMMITMENT
The Government and Contractor recognize the accelerated closure is a
cooperative undertaking that requires both parties to seek innovative approaches
to achieve the end objective. Streamlining process and eliminating
non-value-added requirements are critical to accomplishing accelerated closure.
Both parties agree through the term of this contract to use their best efforts
and to cooperate in seeking the reduction of non-value-added requirements and
processes that impede progress. Further, both parties agree to use their best
efforts to further accelerate closure activities, including maximizing shipping
and receiving flexibility and capacity.
The Government and Contractor have currently identified a number of key
performance requirements that are particularly amenable to streamlining. The
Statements of Commitment identify the commitments or deliverables necessary to
achieve the stated objective. The parties will work during the term of the
contract to fulfill the objective and meet the commitment and deliverables
identified therein.
During the performance of the contract, the parties agree that
efficiencies and performance improvements will be required to reduce the actual
cost and/or improve the schedule for the work. The benefit to the Government of
any savings resulting from efficiencies and/or performance improvements
occurring during the performance of this contract accrue through the
Government's cost share identified in Clause I.23 of the contract. The parties
further agree that there will be no reduction to the Target Cost, Target
Schedule or Target Fee as a result of any such efficiencies and/or performance
improvements.
The Contractor and the Government will establish a Partnering Agreement
for the work leading to the closure of the site. The agreement will establish a
common vision with supporting goals and missions. It will promote the principles
of teamwork, mutual respect, openness, honesty, trust, professionalism and build
a better understanding of one another's position. The agreement will also
include joint commitments to:
o Maintain high safety performance
o Complete the project on schedule, within cost
o Eliminate barriers to a faster, more cost effective program
o Create an organizational culture able to accommodate change
o Resolve conflicts through a coordinated work effort to avoid
adversarial relations
o Reinforce the partnered relationship with honest feedback and
continual improvement.
Section C - Page 4
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION C
STATEMENT OF WORK
TECHNICAL EXHIBITS
Table of Contents
No. TITLE (Reference Paragraph)
-----------------------------------------------------------------------------
A. Detailed Description of Scope and Services
B. Abbreviations, Acronyms and Definitions
C. List of Rocky Flats Environmental Technology Site Compliance Orders,
Agreements and Permits
D. Rocky Flats Cleanup Agreement
E. Rocky Flats Environmental Technology Site Workforce Restructuring Plan
Section C - Page 5
Rocky Flats Closure Contract No. DE-AC34-00RF01904
TECHNICAL EXHIBIT A
DETAILED DESCRIPTION OF SCOPE AND SERVICES
I. Special Nuclear Material
The Contractor will be required to perform the work listed below for the removal
of all Special Nuclear Material (SNM).
SCOPE
A. Plutonium
------------
1) Ship all non-classified plutonium metals and oxides to the Savannah River
Site or other DOE approved alternative (2) by September 30, 2002 (except
for Pu holdup discovered and/or removed after 9/30/02).
2) Ship all classified, by shape, plutonium metal to the Savannah River Site
or DOE approved alternative by September 30, 2002.
3) Ship all plutonium fluorides to the Savannah River Site or DOE approved
alternative by September 30, 2002.
4) Ship all plutonium metal composites to ▇▇▇▇▇▇▇▇ Livermore National
Laboratory or DOE approved alternative by September 30, 2002.
5) Ship all IAEA material to Savannah River Site or DOE approved alternative
by September 30, 2002.
REQUIREMENT(S)
o Non classified plutonium metal and oxide must be packaged to the
DOE-STD-3013-96 prior to shipment to the DOE approved receiver site.
o All Special Nuclear Material must be shipped in a DOE approved shipping
container (i.e. 9965, 9975, DT22, etc.)
o DOE Orders 5610.12, 5610.14 and 460.1A must be followed.
GOVERNMENT FURNISHED SERVICES & ITEMS (1)
o Safe, Secure Transport services (e.g., escorts, tractor and trailer) at a
rate and number sufficient to support SNM shipments (average number of 5
shipments per month not to exceed 9 shipments per month) started on
10/01/99 and ending as early as 10/1/01 and no later than 9/30/02 for a
total of 175 shipments.
o DOE approved receiver sites that can receive SNM and plutonium fluorides
and IAEA materials at a rate to support shipment completion as early as
10/1/01 and no later than 9/30/02 (average number of 5 shipments per month
not to exceed 9 shipments per month).
o DOE shall certify the following containers for all SNM:
- 9975
- DOT-6M
- DT-22
- 3013
o DOE-provided containers for SNM at a rate and number consistent with the
planning and approval process described in C.3 to support the SNM shipping
schedule. (DOE will certify but not provide 9975 and 3013 containers)
----------
1 As used throughout this Technical Exhibit A, "None" is used solely to indicate
that the Government has not identified a specific service or item to be
provided by the Government in support of the particular scope description.
2 Dependent upon the completion of the NEPA process for the Record of Decision
for Disposal.
Section C - Page 6
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
B. Highly Enriched Uranium
--------------------------
Ship all highly enriched uranium metal that is contaminated with plutonium to
the DOE approved receiver site by September 30, 2002.
C. Other Nuclear Materials
--------------------------
Ship all depleted uranium, 4.5% LEU, radioactive sources, thorium samples, U-233
non-combustibles to designated DOE or other approved receiver sites by September
30, 2002.
REQUIREMENTS
o All Special Nuclear Material must be shipped in a DOE approved shipping
container (i.e. 9965, 9975, DT22, etc.)
o DOE Orders 5610.12, 5610.14 and 460.1A must be followed.
GOVERNMENT FURNISHED SERVICES & ITEMS
o Same items as for Section A. Plutonium.
o In addition for C,
- NEPA as required
- Designated receiver sites
- Certified shipping containers
o DOE shall certify the following containers for all SNM:
- 9975
- DOT-6M
- DT-22
- 3013
o DOE-provided containers for SNM at a rate and number consistent with the
planning and approval process described in C.3 to support the SNM shipping
schedule. (DOE will certify but not provide 9975 and 3013 containers)
Section C - Page 7
Rocky Flats Closure Contract No. DE-AC34-00RF01904
II. Facility Deactivation, Decommissioning and Demolition
The Contractor will be required to deactivate, decommission and demolish the
Rocky Flats facilities in accordance with the Rocky Flats Cleanup Agreement,
except for those facilities specifically defined by DOE to remain as detailed
below:
SCOPE
A. SNM Buildings
----------------
The Contractor shall deactivate, decontaminate and demolish all former Special
Nuclear Material building clusters & supporting facilities to include (See
Project Baseline Descriptions, for cluster descriptions)
o B371/374 cluster by March 1, 2006,
o B771/774 cluster by October 1, 2004,
o B707/750 cluster by February 1, 2005,
o B776/777 cluster by March 1, 2004, and
o B559 cluster by September 1, 2004.
B. Other Facilities
-------------------
The Contractor shall decontaminate and demolish the remaining building clusters
& supporting facilities by September 30, 2006. (See Project Baseline
Descriptions for cluster and supporting facility descriptions.)
REQUIREMENT(S)
Planning, characterization, area preparations, physical decontamination,
dismantlement, demolition and reporting requirements shall be accomplished in
accordance with the Rocky Flats Cleanup Agreement.
Planning, characterization, area preparations, physical decontamination,
dismantlement, and demolition shall be accomplished in accordance with the Rocky
Flats Cleanup Agreement.
GOVERNMENT FURNISHED SERVICES & ITEMS
o CERCLA Administrative Record Repository
o DOE shall provide comments on draft decision documents and regulatory
reports within 20 business days of receipt.
o CERCLA Administrative Record Repository
o DOE shall provide comments on draft decision documents and regulatory
reports within 20 business days of receipt.
Section C - Page 8
Rocky Flats Closure Contract No. DE-AC34-00RF01904
III. Waste Management
The Contractor shall store, process and/or package and ship to DOE approved or
other storage, treatment or disposal sites all wastes. These wastes consist of
transuranic (TRU) and transuranic mixed (TRU mixed), low level radioactive (LLW)
and low level radioactive mixed (LLW mixed), hazardous, and sanitary waste.
These wastes must be processed and/or packaged to meet disposal or receiver site
criteria as stipulated below:
SCOPE
A. Transuranic and Transuranic Mixed Waste
------------------------------------------
Ship to the Waste Isolation Pilot Plant (WIPP) and other DOE designated sites,
all transuranic and transuranic mixed waste by December 15, 2006.
REQUIREMENT(S)
o The Waste Isolation Pilot Plant (WIPP) Waste Acceptance Criteria (WAC)
Rev. 5, dated April 1996, and DOE Order 435.1.
o The TRUPACT-II Authorized Methods for Payload Control TRUPACT IIs were
delivered to Rocky Flats Site (TRAMPAC) procedure and beginning on
10/01/99, and will be delivered at the Site-Specific TRAMPAC for TRU
following rates per month: waste loading requirements.
o The TRUPACT-II SARP (Safety Analysis Report) and TRUCON (TRUPACT-II
Content Code).
o All DOT transportation requirements applicable at the time of shipment
for hazardous and radioactive waste must be met as well.
--10 CFR Parts 70 & 71 (packaging)
--49 CFR Parts 107, 110, 171, 173 (transportation)
--Packaging QA Program Plan
GOVERNMENT FURNISHED SERVICES & ITEMS
TRUPACT II containers and trailers to support transuranic and transuranic mixed
waste (including classified waste) shipments to WIPP and other DOE approved
storage, treatment or disposal sites.
FY00 36/mo
FY01 72/mo
FY02 120/mo
FY03 120/mo
FY04 120/mo
FY05 80/mo
FY06 36/mo
FY07 36/mo
DOE will also provide all transportation services from the loading facilities at
Rocky Flats to all DOE approved sites.
Section C - Page 9
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
B. Low Level Waste
------------------
Ship to approved DOE or commercial disposal sites all low-level waste by
December 15, 2006.
The Contractor shall provide transportation services to the disposal site and
disposal site fees unless otherwise stipulated by DOE.
C. Low Level Mixed Waste (less than 10 nanocuries per gram)
------------------------
Ship to approved DOE or commercial treatment and disposal sites all low level
mixed waste less than 10 nanocuries per gram by December 15, 2006.
The Contractor shall provide transportation services to the disposal site and
treatment and disposal site fees unless otherwise stipulated by DOE.
D. Low Level Mixed Waste (greater than 10 nanocuries per gram and less
------------------------ than 100 nanocuries per gram)
Ship to approved DOE or commercial treatment and disposal sites all low-level
mixed waste greater than 10 nanocuries per gram by December 15, 2006. The
Contractor shall provide transportation services to the disposal site and
treatment and disposal fees (up to the unit price in III.C. above) unless
otherwise stipulated by DOE.
REQUIREMENT(S)
Disposal site waste acceptance criteria and DOE Order 435.1, All applicable DOT
requirements at the time of shipment for radioactive waste must be met.
Currently available disposal site - the DOE Nevada Test Site (NTS) in accordance
with NTS Waste Acceptance Criteria dated August 1997, Rev 1, or Commercial Waste
Acceptance Criteria if that disposal option is chosen.
Disposal site waste acceptance criteria and DOE Orders 5480.3 and 435.1. All
applicable DOT requirements for shipment of radioactive and hazardous waste must
be met.
Disposal site waste acceptance criteria and DOE Orders 5480.3 and 435.1, All
requirements for shipment of radioactive and hazardous waste must be met.
GOVERNMENT FURNISHED SERVICES & ITEMS
DOE receiver sites that can accept waste at a rate and number consistent with
the planning and approval process described in C.3. to support low level waste
shipments.
DOE fulfills its commitment in the Waste Management Programmatic Environmental
Impact Statement to designate DOE or commercial receiver site(s) that can accept
waste at a rate and number consistent with the planning and approval process
described in C.3 to support low level mixed waste shipments.
DOE fulfills its commitment in the Waste Management Programmatic Environmental
Impact Statement to applicable DOT designate DOE or commercial receiver site(s)
that can accept waste at a rate and number consistent with the planning and
approval process described in C.3 to support low level mixed waste shipments.
Section C - Page 10
Rocky Flats Closure Contract No. DE-AC34-00RF01904
E. Sanitary Waste
-----------------
Ship to commercial facilities for disposal, or recycle, all sanitary waste by
December 15, 2006.
F. RCRA Regulated Hazardous Waste
----------------------------------
Ship to commercial facilities, all RCRA Regulated Hazardous Waste by December
15, 2006.
G. Waste Minimization
---------------------
The Contractor shall develop and implement a pollution prevention program
incorporating waste prevention, recycling and an affirmative procurement
program.
The Contractor shall establish waste reduction goals for transuranic, low-level
waste, low level mixed and RCRA regulated hazardous waste.
REQUIREMENT(S)
Local and state regulations regarding waste acceptance at sanitary landfills as
well as any requirements associated with individual disposal sites. Sanitary
waste leaving the Rocky Flats Site must be inspected to assure that no
radioactive materials are present in accordance with Colorado Sanitary Waste
regulations (6 CCR 1007-2) for landfills and individual landfill permits.
Disposal sites waste acceptance criteria, the Resource Conservation Recovery Act
and DOE Order 435.1
o Executive Order 12856
o Executive Order 13101
o DOE Order 5400.1
GOVERNMENT FURNISHED SERVICES & ITEMS
None
None
None
Section C - Page 11
Rocky Flats Closure Contract No. DE-AC34-00RF01904
IV. Environmental Remediation
The Contractor shall prepare a draft interim final record of decision (ROD),
submit to DOE for DOE, EPA, and CDPHE approval, and complete all actions
required by the approved interim final ROD to remediate soil, surface water,
ground water, and other contaminated media. The remediation shall be completed
as stipulated below:
SCOPE
A. Remediation
--------------
The Contractor shall remediate Individual Hazardous Substance Sites (IHSS) (3),
Potential Areas of Concern (PAC), or under building contamination (UBC) by
December 15, 2006.
The total waste volumes for this environmental remediation portion of the
project are assumed not to exceed those quantities as follows:
o Non-Rad Waste: 11,000 cubic yards
o Low Level Waste: 107,000 cubic yards
o Low Level Mixed Waste less than 1 nanocurie: 41,000 cubic yards
o Low Level Mixed Waste greater than 1 nanocurie: 220 cubic yards
B. Post Closure Care under RCRA Permit
--------------------------------------
The Contractor shall perform the closure and post-closure care requirements for
RCRA permitted and interim status units during the performance of this contract.
REQUIREMENT(S)
o Planning, characterization, area preparations, remediation, disposition,
final regulatory approvals and reporting requirements shall be accomplished
in accordance with RFCA
o Remediation shall be specified in the approved interim final Record of
Decision (ROD) and Proposed Plan
o Contractor must transport and maintain CERCLA administrative record IAW 40
CFR 300-311
The Contractor shall comply with closure and post closure care requirements
under the RCRA permit in accordance with RCRA, 40 CFR Parts 264 and 265, the
Colorado Hazardous Waste Act requirements, 6 CCR 1007-3 and RFCA. (4)
GOVERNMENT FURNISHED SERVICES & ITEMS
o CERCLA Administrative Record Repository
o DOE shall provide comments on draft decision documents and regulatory
reports within 20 business days of receipt.
None
----------
3 If the 903 Pad Remediation Project removal option is exercised, then the
project planning, execution and completion as identified in WBS
#1.1.03.12.06.02 shall be removed from the scope of work and this contract.
4 Assumes RCRA Permit is not extinguished and its requirements are not absorbed
into RFCA.
Section C - Page 12
Rocky Flats Closure Contract No. DE-AC34-00RF01904
C. End State
------------
The Contractor shall develop and submit for RFFO and regulatory approval a Draft
Interim Final ROD and Proposed Plan. The end state is defined in Clause C.1.2.
REQUIREMENT(S)
o Draft Interim Final ROD shall be in accordance with RFCA and be of
sufficient quality and completeness to obtain regulatory approval and
issuance of an approved Interim Final ROD and Proposed Plan.
o Draft Interim Final ROD will be prepared and presented in sufficient time to
allow:
o Public and regulatory review as provided in RFCA
o Regulatory approval and publication
o Completion of remediation actions described in the ROD and Proposed Plan
prior to December 15, 2006
o Contractor must transport and maintain CERCLA administrative record in
accordance with 40 CFR 300-311.
GOVERNMENT FURNISHED SERVICES & ITEMS
o CERCLA Administrative Record Repository
o DOE shall provide comments on draft decision documents and regulatory
reports within 20 business days of receipt.
o DOE will use its best efforts to obtain an approved Interim Final ROD.
Section C - Page 13
Rocky Flats Closure Contract No. DE-AC34-00RF01904
V. Infrastructure and General Site Operations
The Contractor shall perform the infrastructure operations and general support
services listed below in support of the site closure mission.
o All items listed below are required until the end of this contract unless
otherwise approved for termination by DOE.
o These items are generally required to support the items listed Sections I
through IV above, or the general operation of the site until closure
o It is recognized that this is a closure site, all facilities have a limited
life span, and the nuclear safety risk and required controls should be
steadily declining throughout the project. The standard requirements
referenced in this contract are generally designed for continuous ongoing
facility operations. this will create the desirability for a number of
interpretations and/or exceptions and deviations from the standard
requirements to ensure that project costs are being deployed for the maximum
net government risk reduction. The Contractor and DOE shall actively engage
in early identification and appropriate requirements reduction activities to
ensure a safe and cost effective closure.
o The Contractor shall provide any other services or operations not listed
below as required by other contract requirements including those DOE Orders
listed in Section J, Attachment B.
o Safety services are subdivided into three sections: 1) Nuclear safety
requirements which apply to handling and processing fissile material and to
the operation of facilities that house fissile material, 2) radiological
safety requirements that apply to handling and processing of radioactive
waste and operations in facilities that are radiologically contaminated or
house radioactive materials, and 3) industrial safety requirements which
apply to all work activities and facilities at the Site.
SCOPE
A. Environmental Monitoring
---------------------------
The Contractor shall conduct required environmental monitoring in compliance
with environmental laws, regulations, permits, agreements, decision documents
and in support of emergency response activities.
The Contractor shall provide annual updates to the Historical Release Report and
CERCLA Administrative Record.
The Contractor shall maintain the current and any new enforceable agreements at
the Site as identified in the technical exhibit D in this section C.
REQUIREMENT(S)
Environmental Monitoring shall be accomplished in accordance with the provisions
of Resource Conservation and Recovery Act (RCRA); the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA); the Clean Air
Act; the Clean Water Act; the Colorado Water Quality Control Commission (CWQCC)
standards; natural resource management regulations, and RFCA. (5)
GOVERNMENT FURNISHED SERVICES & ITEMS
DOE will provide necessary access to accomplish all offsite environmental
monitoring.
----------
5 Requirements will be revised if RFCA is amended to include above stated
requirements as ARARs.
Section C - Page 14
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
B. Facility Operation and Material Storage
------------------------------------------
The Contractor shall operate all facilities until they are demolished in
accordance with applicable safety, security requirements and store all materials
(chemicals, etc.), waste, property, etc., in accordance with applicable
requirements.
C. Safeguards & Security
------------------------
The Contractor shall ensure appropriate levels of protection against
unauthorized access; theft, diversion, loss of custody of Special Nuclear
Material; espionage; loss or theft of classified matter or Government property;
and other hostile acts that may cause unacceptable adverse impacts on national
security or the health and safety of DOE and contractor employees, the public or
the environment.
The Contractor shall promptly prepare and submit applications for security
clearances as required for work under this contract.
The Contractor shall deter, prevent, detect and respond to unauthorized
possession, use, or sabotage of Special Nuclear Materials.
The Contractor shall provide an integrated system of activities, systems,
programs, facilities and policies for the protection of classified information,
nuclear materials, and DOE and certain DOE contractor property and personnel as
required by the Atomic Energy Act of 1954, as amended, other Federal statutes,
Executive orders, and other directives.
REQUIREMENT(S)
Applicable requirements for facility operation or material storage are listed in
Section J, Attachment B..
o Program Management, DOE Order 470 Series
o Personnel Security, DOE Order 472 Series
o Protection Operations, DOE Order 5632 and DOE Order 473 Series
o Materials Control And Accountability, DOE Order 5633 and DOE Order 474
Series
o Information Security, DOE Order 5639 and DOE Order 471 Series
GOVERNMENT FURNISHED SERVICES & ITEMS
None
DOE shall promptly process Contractor security clearances. On average,
processing time will be in accordance with DOE Order 472 guidelines which for
clear cases will be at or below the following:
Q clearance- 75 calendar days
L clearance - 75 calendar days
AAA clearance - 60 calendar days
Processing time begins upon receipt of the case from the Contractor.
Section C - Page 15
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
D. Analytical Services
----------------------
The Contractor shall perform and maintain Analytical Services and/or
Laboratories.
The Contractor shall ensure that any lab samples analyzed by off-site
laboratories will be disposed of from the laboratory and not returned to the
Rocky Flats Site for disposal unless there is prior contractual agreement for
the return of specific samples for which no other disposition is possible.
E. Public Relations & Media Support
-----------------------------------
The Contractor shall provide communication services to include Citizens Advisory
Board representation, tours and visits and other stakeholder support.
F. Litigation Management
------------------------
The Contractor shall maintain a legal function and demonstrate sound litigation
management practices to include litigation, arbitration, legal advice on
environmental matters, procurement, employment, labor, and the ▇▇▇▇▇-▇▇▇▇▇▇▇▇
Act (PAA); review and interpretation of legislation and laws; research and
drafting of memorandum, and the management and oversight of outside legal
counsel; for both the prime and subcontractors.
The Contractor shall provide litigation support to the Government when judged
necessary by the Contracting Officer (or Contracting Officer Representative) in
cases of actual or threatened litigation, regulatory matters, or third-party
claims and subject to applicable rules and regulations. Litigation support
includes, but is not limited to: case preparation assistance; document
retrieval, review and reproduction; witness preparation and testimony; expert
witness testimony; and assisting Government counsel as necessary in response to
discovery or other information related activities responsive to any legal
proceeding.
REQUIREMENT(S)
Analytical Services and laboratories shall be operated in accordance with one or
more of the following references: 10 CFR 830.120, DOE Order 414.1, ASME-NQA-1,
ANSI/ASQC E4, and/or ISO 9000.
o Communication services shall be provided as needed to maintain stakeholder
support for the Rocky Flats Closure Project.
o Contractor must transport and maintain supporting community documents in the
established DOE Reading room(s).
o Litigation management practices shall be provided in accordance with the
RFFO approved Litigation Management Plan.
o Department of Energy, Office of General Counsel, Legal Services and
Litigation Management Policies and Procedures
GOVERNMENT FURNISHED SERVICES & ITEMS
DOE shall maintain a quality National Analytical Management Program or a DOE
alternative program which supports the analytical services necessary to close
the site.
DOE Reading Room(s)
None
Section C - Page 16
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
G. Audit Support Services
-------------------------
The Contractor shall provide audit support services for GAO, IG, DNFSB, EPA,
CDPHE and other external audits that examine and evaluate Site-wide activities.
H. Utilities & Infrastructure
-----------------------------
The Contractor shall provide and maintain the infrastructure, utilities, etc.
necessary to support the closure mission. DOE will provide at a later date a
specific definition of which roads and components of the site utility system
that will remain after closure.
I. Radiological Assistance Program
----------------------------------
The Contractor shall provide a field unit under the Radiological Assistance
Program (RAP) until the RAP program is terminated by DOE.
J. Health Effects
-----------------
The Contractor shall provide support for health programs/ambulatory care,
beryllium and radiation worker health surveillance programs and personnel
monitoring program. These services are required to assess, monitor, record data,
and provide medical support for current site workers who are or may be exposed
to radiological and hazardous materials. This is expected to encompass 6500
(+/-1000) current site workers through the term of this contract. The Contractor
shall maintain medical records of former workers and make them available for
health effects studies as requested by ▇▇▇.
REQUIREMENT(S)
Audit Support Services shall be provided in accordance with DOE Order 2300.1B,
Audit Resolution and Follow-up, DOE Order 2320.1C, Cooperation with the Office
of Inspector General, DOE Order 2321.1B, Auditing of Programs and Operations;
and, Department of Energy, Office of General Counsel, Legal Services and
Litigation Management Policies and Procedures
Utilities and infrastructure shall be maintained in accordance with DOE Order
430.2 and the Site Safety Analysis Report.
DOE Order 5530.3 provides the requirements for the Radiological Assistance
Program.
Health effects shall be maintained in accordance with Public Law 102-484, DOE
Order 440.1, and will last until the program and documents are turned over to
DOE at the end of this contract.
GOVERNMENT FURNISHED SERVICES & ITEMS
DOE /OIG Rocky Flats Audit Plan
DOE shall provide and pay for site utilities to include raw water, electricity,
natural gas and heating oil.
DOE shall provide additional funding for the RAP and one member and may provide
up to three (3) members for the RAP team.
None
Section C - Page 17
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
K. Occupational Health
----------------------
The Contractor shall provide the following classes of examinations for the
purpose of providing initial and continuing assessment of employee health:
pre-placement in accordance with the Americans with Disabilities Act (42 United
States Code 12101), qualification examinations, fitness for duty, medical
surveillance and health monitoring, return to work health evaluations, and
termination examinations. The occupational medical department shall be informed
of all job transfers and shall determine whether a medical evaluation is
necessary. The physician responsible for the delivery of medical services or
his/her designee shall inform contractor management of appropriate employee work
restrictions.
L. Emergency Management
-----------------------
The Contractor shall provide Site Emergency Management Services to include
emergency planning and preparedness as well as response to possible incidents
involving nuclear, radiological and hazardous materials on site.
The Contractor shall provide a fully equipped and adequately staffed Emergency
Operations Center on the site.
REQUIREMENT(S)
DOE Order 440.1A provides the requirements for employee health examinations.
This applies to all contractor and sub-tier contractor personnel as required by
DOE Order 440.1▇.
▇▇▇ Order 151.1 specifies the performance requirements, capabilities and
response times for emergency management services. Emergency management shall be
performed at the levels specified until the major nuclear facilities' hazards
are removed or ameliorated, or the facilities are demolished. A reduced level of
emergency services may be allowed once the major hazards on-site are removed and
as they are approved by DOE. DOE Order 225.1A specifies the requirements for
conducting accident investigations.
GOVERNMENT FURNISHED SERVICES & ITEMS
None
None
Section C - Page 18
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
M. Nuclear Criticality Safety
-----------------------------
The Contractor shall maintain a Nuclear Criticality Safety Program which ensures
that operations with fissionable materials which pose a criticality accident
hazard shall be evaluated and documented to demonstrate that the operation will
be subcritical under both normal and credible abnormal conditions. Fissionable
material operations shall be conducted in such a manner that consequences to
personal and property that result from a criticality accident will be mitigated.
No single credible event or failure shall result in a criticality accident
having unmitigated consequences.
N. Nuclear Safety
------------------
The Contractor shall develop and maintain the safety analysis and controls for
nuclear facilities, operations, and activities. Readiness determinations for
restart of activities and for start-up of new activities will be required to
demonstrate readiness to safely start the activity.
O. Occupational Safety
----------------------
The Contractor shall meet all occupational safety and health requirements
(including but not limited to industrial safety, fire protection, construction
safety, firearms safety, explosive safety, industrial hygiene, pressure safety
and motor vehicle safety) for all site-related operations and conditions.
REQUIREMENT(S)
DOE Order 420.1 provides the requirements and invokes the applicable ANSI/ANS 8
Standards. Sabotage and seismic events that are predicted to result in facility
collapse are exempt from the requirement for double contingency. The Criticality
Safety Program will be required in each facility until fissile materials
inventories are reduced to less than that stipulated in ANSI/ANL8.
DOE Orders 420.1, 425.1, 5480.21, 5480.22, and 5480.23 specify the requirements
for nuclear safety.
Occupational safety requirements are as stipulated in DOE Orders 420.1, DOE
Order 440.1A.
GOVERNMENT FURNISHED SERVICES & ITEMS
None
DOE complies with the following authorization basis review schedule:
A. Justification for Continued Operation - 4 calendar weeks
B. Page Change- 4 calendar weeks
C. New -Authorization Basis- 2 calendar months
D. Authorization Basis revision- 6 calendar weeks
E. Positive unreviewed safety question - 2 calendar weeks
DOE will work cooperatively with the Contractor to improve upon this review
schedule as a part of the best efforts approach of the Nuclear Licensing
Statement of Commitment.
None
Section C - Page 19
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
P. Fire Protection
------------------
The Contractor shall maintain an acceptable fire protection program which
supports a level of fire protection and fire suppression capability sufficient
to minimize losses from fire and related hazards consistent with the best in
class of protected property in private industry.
Q. Quality Assurance Program
----------------------------
The Contractor shall perform all work on site in accordance with applicable
quality assurance requirements.
R. International Agreements
----------------------------
The Contractor shall support 12 inspections per year by the International Atomic
Energy Agency (IAEA) as well as maintain material surveillance equipment.
S. Records Management and Document Control
-------------------------------------------
The Contractor shall provide on an ongoing basis the maintenance, storage,
protection, and disposition of active and inactive classified and unclassified
records, retrieval from on-site and off-site storage facilities and support in
ongoing discovery efforts for litigation. All Government records, regardless of
media, in the Contractor's custody must be properly inventoried, indexed, moved
to DOE approved off-site storage facilities, and possess a disposition schedule
or equivalent thereof pending a schedule being developed, including those
records that are required to document closure activities. Those records that are
radiologically, beryllium or otherwise contaminated shall be handled and
dispositioned in accordance with site procedures including applicable free
release levels. The Contractor will provide a complete records inventory list in
a hardcopy and electronic format to the post closure records custodian
identified by the DOE Contracting Officer.
REQUIREMENT(S)
DOE Order 420.1 provides the requirements and invokes the National Fire
Protection Association Standards.
DOE Order 414.1 and 10 CFR 830.120 specify basic requirements that apply to the
quality assurance program. For site activities where transuranic waste will be
characterized, packaged, or shipped, the DOE Carlsbad Area Office Quality
Assurance Program Document, CAO-94-1012 and DOE Carlsbad Area Office Quality
Assurance Program Plan, CAO-94-1010 shall apply. The Nevada Test Site Waste
Acceptance Criteria shall apply for those activities where Low Level Waste is
characterized, certified, packaged, or shipped.
o IAEA agreement INFCIRC 288 and DOE Order 1270.2B
o This requirement will remain in effect until IAEA materials have been
permanently removed from the Site.
Records management and document control will be conducted in accordance with DOE
Order 200.1, 36 CFR Chapter 12, Subchapter B and the Joint Records Management
Strategy for Site Closure.
GOVERNMENT FURNISHED SERVICES & ITEMS
None
None
None
DOE approved receiver site(s)
Section C - Page 20
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SCOPE
T. Radiation Protection Program
-------------------------------
The Contractor shall ensure that all site activities are conducted in compliance
with a documented Radiation Protection Program to minimize occupational exposure
to internal radiation, direct, external exposure to ionizing radiation as well
as to minimize the spread of contamination. The As Low As Reasonably Achievable
(ALARA) process will be applied to all site activities.
U. Environmental Permits
------------------------------
The Contractor shall obtain, maintain, and comply with environmental permits as
required and allowed by law.
REQUIREMENT(S)
10 CFR 835 and the Departmental Implementing Guides shall apply.
Contractor's compliance with environmental permits shall be in accordance with
the Resource Conservation and Recovery Act (RCRA); the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA); the Clean Air
Act; the Clean Water Act; and the Rocky Flats Cleanup Agreement. (6)
GOVERNMENT FURNISHED SERVICES & ITEMS
None
None
----------
6 Requirements will be revised if RFCA is amended to include above stated
requirements as ARARs.
Section C - Page 21
Rocky Flats Closure Contract No. DE-AC34-00RF01904
VI. DOE Office Accommodations
The Contractor shall provide basic office accommodations for DOE personnel as
specified below. A central DOE office will be needed as well as smaller office
accommodations in a few critical facilities until they are decommissioned.
During the final stages of closure it is expected that DOE will relocate its
office off-site.
SCOPE
DOE Offices
-----------
DOE will continue to occupy Building 460 until the facility is scheduled for
demolition or until the Contractor provides alternate office space, whichever
occurs first. This includes space for up to 250 DOE and support service
personnel. Regardless of location, DOE will require that at least 150 of the
individual offices must be located in one building until the end of FY04. Up to
a maximum total of 10 office spaces (no more than three in each building) must
be maintained in or within 150 feet of Buildings 371, 750, 771, and 707 until
the Contractor closes the facilities. DOE will require additional space for
approximately 10 regulators doing Site inspections. Lunch services must be
provided within 500 feet of the single large DOE office on-site until 2005. The
Contractor shall provide for movement of DOE furniture property and other
materials if offices are moved from the satellite offices, or from B460.
Adequate access for DOE personnel is required through closure.
REQUIREMENT(S)
DOE office accommodations will be provided in Building 460, or an alternative.
Any central office location besides Building 460 requested to house the DOE
offices must be approved by the Manager, RFFO.
GOVERNMENT FURNISHED SERVICES & ITEMS
None
Section C - Page 22
Rocky Flats Closure Contract No. DE-AC34-00RF01904
VII. Tri-Party Agreement
The Contractor shall continue to implement the Three Party Transfer Agreements.
SCOPE
Tri-Party Agreement
-------------------
The Contractor shall ensure the continued support and assistance to Rockwell and
EG&G as prescribed by the RFP Three Party Transfer Agreement dated June 30,
1995.
REQUIREMENT(S)
RFETS Three Party Transfer Agreement with DOE, EG&G Rocky Flats, Inc., and
▇▇▇▇▇▇-▇▇▇▇ Company, L.L.C., June 30, 1995, and as incorporated by reference,
the RFP Three Party Transfer Agreement with DOE, EG&G Rocky Flats, Inc., and
Rockwell International Corporation, October 23, 1989.
GOVERNMENT FURNISHED SERVICES & ITEMS
None
VIII. Closure Project Funding
The Contractor shall plan to execute this Statement of Work assuming a minimum
annual funding of $657 Million from the Closure Account, (EW-05) received no
later than October 1, of each year, for the term of the contract. The receipt of
funding is subject to Congressional and Departmental funding Authorization. The
following table describes the maximum funding RFFO may receive during the
project from the Closure Account. If DOE removes scope, such as the 903 Pad
remediation, adjustment to this funding may be negotiated.
--------------------------------------------------------------------------
FY00 FY01 FY02 FY03 FY04 FY05 FY06 FY07
& Outyears
--------------------------------------------------------------------------
--------------------------------------------------------------------------
$18.8M $18.8M $18.8M $18.2M $17.6M $16.6M $16.3M $3.9M
--------------------------------------------------------------------------
Section C - Page 23
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Exhibit B
Abbreviations, Acronyms, and Definitions
Abbreviations and Acronyms:
ACP Accelerated Cleanup Plan
ADS Activity Data Sheets
ALARA As Low As Reasonably Achievable
APSF Advanced Plutonium Storage Facility
ASAP Accelerated Site Action Project
BCP Baseline Change Proposal
BEST97 Basis of Estimate Software Tool
▇▇▇▇ Basic Operating and Essential Services
CAB Citizens Advisory Board
CAD Corrective Action Decision
CAMU Corrective Active Management Unit
CDPHE Colorado Department of Public Health and Environment
CERCLA Comprehensive Environmental Response, Compensation and
Liability Act of 1980
CFR Code of Federal Regulations
CID Cumulative Impacts Document
D&D Decontamination and Decommissioning
DNFSB Defense Nuclear Facilities Safety Board
DOE Department of Energy
DOR Direct Oxide Reduction
ECA Energy Communities Alliance
EIS Environmental Impact Statement
EM Environmental Management
EPA Environmental Protection Agency
ER Environmental Restoration
FSUWG Future Site Use Working Group
FTIRS Fourier Transform Infrared System
FY Fiscal Year
HQ Headquarters
IAW In Accordance With
ICCB Internal Change Control Board
ID Department of Energy Idaho Operations Office
IDC Item Description Code
IHSS Individual Hazardous Substance Site
IMC Integrating Management Contract
INEEL Idaho National Engineering and Environmental Laboratory
IPL Integrated Priority Listing
ISM Integrated Safety Management
LANL Los Alamos National Laboratory
LCB Life Cycle Baseline
LLMW Low Level Mixed Waste
LLW Low Level Waste
M&O Management & Operating
Mat'l Material
Misc. Miscellaneous
MLLW Mixed Low Level Waste
MOL Minimum Operating Level
MOX Mixed Oxide Fuel
MR Mortgage Reduction Milestones
mrem Millirem
MSE/ER Molten Salt Extraction/Electrorefining
NEPA National Environmental Policy Act
Rocky Flats Closure Contract No. DE-AC34-00RF01904
NTS Nevada Test Site
Ops. Operations
OR Oak Ridge
OU Operable Unit
PA Protected Area
PAC Potential Area of Concern
PBIMC Performance Based Integrating Management Contract
PBD Project Baseline Description
pCi/g Pico Curies per gram
PEIS Programmatic Environmental Impact Statement
PPI Program Planning and Integration
Pu Plutonium
PuF4 Plutonium Fluoride
RESRAD Computer Model Pertaining to Residual Radiation Material
RFCA Rocky Flats Cleanup Agreement
RFETS Rocky Flats Environmental Technology Site
RFFO Rocky Flats Field Office
ROD Record of Decision
▇▇▇ Soil Action Levels
SCCB Site Change Control Board
SISMP Site Integrated Stabilization Management Plan
Site Rocky Flats Environmental Technology Site
SMEs Subject Matter Experts
SNM Special Nuclear Material
SRS Savannah River Site
SS&C Salt Sand & Crucible
SSTs Safe Secure Transport
SSSP Site Safeguard & Security Plan
STCG Site Technology Coordination Group
STLs Safeguards Treatability Limits
STP Site Treatment Plan
TBD To be determined
TRU Transuranic
TRUM Transuranic Mixed
TRUPACT Transuranic Waste Packaging and Transportation
TSCA Toxic Substance Control Act
TYP Ten Year Plan
USTs Underground Storage Tanks
WAD Work Authorization Document
WBS Work Breakdown Structure
WIPP Waste Isolation Pilot Plant
WM Waste Management
Definitions:
Baseline: A work activity based plan that describes the Contractor'
s approach to execute the project Statement of Work,
including the schedule for those work activities and
estimates of the associated costs (plus or minus approved
changes). Defined as the Rocky Flats Closure Project
Baseline.
Statement of Work: Narrative description of products or services to be
supplied/delivered under the contract (see Section C).
Scope: Sum of the products or services to be provided as the
project.
Technical Safety Requirements (TSR) Level 1 Violation: A Level 1 violation is
indicative of a significant breakdown of safety controls in a facility. It
results in an actual release of material to the environment, or allows
conditions to exist where there are no remaining barriers to release to the
environment. DOE discovery of a Level 2 violation also represents a Level 1
violation.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Technical Safety Requirements (TSR) Level 2 Violation: Level 2 violations are
significant violations of the control set, but do not pose an immediate threat
to the co-located worker, the public or to the environment. A violation that can
or does result in adverse consequences to facility workers is a Level 2
violation. Level 2 violations also result from DOE discovery of a failure to
comply with administrative controls or lack of rigor in maintaining the safety
envelope.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Exhibit C
List of Rocky Flats Environmental Technology Site Compliance Orders, Agreements
and Permits
Parties Statute Type Date Executed
----------------------------------------------------------------------------
DOE/Colorado RFCO Site Treatment Plan COOC 10/3/95
▇▇▇-▇▇▇▇▇▇-▇▇▇▇-RMRS RCRA Mixed Residue SA & COOC 4/23/93
-Safe Sites/Colorado
▇▇▇-▇▇▇▇▇▇-▇▇▇▇/ RCRA Waste Chemicals COOC 8/21/97
Colorado
▇▇▇-▇▇▇▇▇▇-▇▇▇▇/ RCRA Idle Equipment and Tanks 8/21/97
Colorado COOC
DOE/Colorado RCRA Mixed Residues COOC 8/14/98
▇▇▇-▇▇▇▇▇▇-▇▇▇▇- RCRA RCRA Permit 6/30/97
Safe Sites-RMRS -
Closure Site Services/
Colorado
DOE/EPA/Colorado RCRA/ RFCA 7/19/96
CERCLA
▇▇▇-▇▇▇▇▇▇-▇▇▇▇/EPA CWA NPDES Permit 6/30/84
DOE/EPA CWA NPDES FFCA 3/91
COOC = Compliance Order on Consent
SA = Settlement agreement
RFCO = RCRA Facility Consent Order
FFCA = Federal Facility Compliance Agreement
RFCA = Rocky Flats Cleanup Agreement
1. Note that RFFO and K-H are parties to the RFETS facility Clean Air Act
Permit Application filed with CDPHE. No facility permit has been issued, but
various sources on site continue to have specific air permits.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Exhibit D
ROCKY FLATS CLEANUP AGREEMENT
Incorporated by reference as of October 1, 1999.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Exhibit E
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE WORKFORCE RESTRUCTURING PLAN
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
WORK FORCE RESTRUCTURING
PLAN THREE
U.S. Department of Energy
Rocky Flats Environmental Technology Site
Golden, Colorado
MAY 5, 1997
▇▇▇▇▇ FLATS WORK FORCE RESTRUCTURING PLAN 3
TABLE OF CONTENTS
INTRODUCTION 1
Work Force Restructuring Programs 1
CORRELATION WITH THE TEN-YEAR PLAN 2
GOALS 2
OUTSOURCING OF CURRENT ACTIVITIES 2
Strategy 2
Decision-Making Process 3
Implementation Process 3
WORK FORCE PLANNING 4
Work Force Analysis 4
Salaried Employee Selection Process 5
Hourly Employee Selection Process 5
Management Rights 5
Eligibility 6
Maximize Use of Existing Staff 7
Employee and Community Notification Requirements 8
RESTRUCTURING ELEMENTS 8
Voluntary Separation Payment Program (VSPP) 8
Involuntary Separation Process 9
Health Insurance Benefits 9
Relocation Assistance 9
Separated Employee Training 9
TRAINING FOR THE RETAINED WORK FORCE 10
REHIRING AT DOE FACILITIES AND THE RESUME NETWORK 10
Resume Network 10
CAREER ASSISTANCE FOR PLACEMENT AT NON-DOE FACILITIES 11
PREFERENTIAL TREATMENT OF DOE COMPLEX EMPLOYEES 11
STAKEHOLDER CONSULTATION 12
Consultation With Outside Sources 12
Employee and Stakeholder Input and Review 12
COMMUNITY IMPACT ASSISTANCE 13
Mitigate Economic Impact on Local Communities 13
Rocky Flats Local Impacts Initiative (RFLII) Activities 13
Community Transition 13
▇▇▇▇▇ FLATS WORK FORCE RESTRUCTURING PLAN 3
TABLE OF CONTENTS (con't)
MEASURING RESULTS ------------------------------------------------- 15
CONCLUSION -------------------------------------------------------- 15
APPENDIX 1 - Standard Area Full-Time Employment Definitions ------- 16
APPENDIX 2 - Voluntary Separation Payment Program Guidelines
and General Release and Waiver ----------------------- 17
APPENDIX 3 - Draft Employee Letters ------------------------------- 18
APPENDIX 4 - Separated Employee Health Insurance Guidelines ------- 19
APPENDIX 5 - Relocation Guidelines -------------------------------- 20
APPENDIX 6 - Separated Employee Training Guidelines --------------- 21
APPENDIX 7 - Stakeholder Comments and Public Meetings ------------- 22
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
WORK FORCE RESTRUCTURING PLAN 3
INTRODUCTION
------------
Since the implementation of Section 3161 of the Fiscal Year (FY) 1993 National
Defense Authorization Act Rocky Flats Environmental Technology Site (Site) has
voluntarily or involuntarily separated approximately 3,400 employees. This
action is a result of the Department of Energy's (DOE) mission change and the
designation of Rocky Flats for accelerated closure.
One of the ▇▇▇ ▇▇▇▇▇ Flats Field Office's (RFFO) basic goals is to maintain a
trained work force to meet the Site's new closure mission. Unfortunately, budget
reductions and adjustments in skills needed to accomplish closure have resulted
in work force restructuring.
Section 3161 gives specific guidance to DOE on work force restructuring and
requires that a plan be prepared when it has been determined that a change in
the work force of a defense nuclear facility is necessary. The Rocky Flats Work
Force Restructuring Plan 3 responds to this requirement. It details the programs
under which future downsizing actions will occur. The actual restructuring
figures will depend on future budgets and required skill mix in order to
accomplish the closure mission. The Plan will be updated, as necessary, in
accordance with Section 3161 provisions.
Savings generated from downsizing actions across the DOE Complex equal
approximately $60,000 annually in pay and benefits for each separated employee.
Projected cost savings for the number of individuals who will be impacted by
this plan will be reported once the final restructuring numbers am identified.
Work Force Restructuring Programs
---------------------------------
Since the implementation of the Voluntary Separation Payment Program (VSPP) at
the Site, approximately 2,732 employees have separated under that program, and
approximately 686 have been involuntarily separated. Then numbers include 596
voluntary separations, and up to 372 involuntary separations in FY96. An
additional 352 employees accepted employment with lower-tier subcontractors in
FY95.
Outplacement assistance and retraining options are available to employees who
voluntarily or involuntarily separate from Rocky Flats and who am eligible for
such benefits wider the terms of this Plan. Counseling services and community
resources for job placement are part of the outplacement assistance for
employees before and after separation. A Career Assistance Center for current
employees and an Outplacement Center for separated employees have been
established and staffed to help employees with a variety of services that
include workshops on job search skills, resume preparation, interview skills,
job identification; financial counseling, and community services. Eligible
separated employees may use the training programs identified in this Plan to
pursue courses in current or new career fields.
-1-
Future job openings at Rocky Flats will require review of involuntarily
separated workers within the DOE complex using the Job Opportunity Bulletin
Board System (JOBBS) database before external hiring is considered. The resumes
of employees involuntarily separated from Rocky Flats will be provided to other
DOE sites for similar consideration. Relocation assistance will be provided for
individuals hired for positions within the DOE Complex.
Additional approvals will not be required for implementation of any work force
restructuring program as long as the threshold of 500 separations in a twelve-
month period is not exceeded and as long as the restructuring can be
accomplished within current funding allocations consistent with the terms of
this Plan. Notification to RFFO, the Office of Worker and Community Transition
and stakeholders is required at least one week prior to any activity and shall
include a complete copy of the documents for employees in conjunction with
implementation of the program. Any deletions or modification in program
documents will be approved by DOE with the concurrence of counsel. There is no
guarantee that any required future restructuring of the work force will have
benefits equal to or greater than those contained within this Plan. Nor is it
the intent of DOE in implementing this Plan to create any private rights of
action or to create any rights in third parties.
CORRELATION WITH THE TEN-YEAR PLAN
----------------------------------
The projectization concept of the Ten-Year Plan and the Rocky Flats Clean-up
Agreement will provide greater certainty about the scope and schedule for clean-
up and closure. Implementation of the Site closure plan will likely require
smaller, selective, and more predictable restructuring activities in both scope
and schedule. As projects are completed, workers will be moved to other tasks or
separated if their skills are no longer required.
GOALS
-----
The basic goals of RFFO and its contractors during the required work force
restructuring are to maintain a trained work force to accomplish the revised
mission of the Rocky Flats Site; to keep involuntary separations to a minimum;
to offer to the extent practicable, the work force retraining opportunities for
positions required to meet the new mission; and to minimize the impact of the
mission change and associated restructuring on the work force and, surrounding
communities. Stakeholder involvement has been, and will continue to be, an
integral part of the restructuring planning process.
OUTSOURCING OF CURRENT ACTIVITIES
-------------------------------
Strategy
--------
The ▇▇▇▇▇▇-▇▇▇▇ Team will retain employees with the skills needed to deliver the
core activities at the Site. Ancillary support activities that require
fluctuating staffing levels may be performed by contractors outside of the
▇▇▇▇▇▇-▇▇▇▇ Team (outsourcing).
-2-
Consistent with DOE policies and procedures and collective bargaining agreement
obligations, "make or buy" cost evaluation tools will be used to determine the
cost/benefit ratio of any proposed outsourcing action.
Examples of ancillary support activities include medical services, training, and
non-routine safety analyses. Examples of activities requiring fluctuating
staffing levels include construction and demolition.
Staffing flexibility, avoidance of capital expenditures, increased efficiency,
or access to expertise not available at the Site will be important
considerations when making the ultimate outsourcing decisions.
Decision-Making Process
-----------------------
Consistent with DOE policies and procedures and collective bargaining agreement
obligations, an analysis will be conducted by the ▇▇▇▇▇▇-▇▇▇▇ Team to determine
whether outsourcing will accomplish measurable cost savings, or meet other
outsourcing objectives or provide staffing flexibility to meet fluctuating
needs. The ▇▇▇▇▇▇-▇▇▇▇ Team will establish a make-or- buy review committee to
review initial outsourcing decisions. The committee will request bargaining unit
involvement in appropriate instances that have the potential to impact
bargaining unit employees. 'Me purpose of outsourcing will, not be to reduce
wages and benefits for existing employees, but rather to improve productivity.
Implementation Process
----------------------
Once an area is identified for outsourcing, the ▇▇▇▇▇▇-▇▇▇▇ Team will pursue the
following process:
1. The ▇▇▇▇▇▇-▇▇▇▇ Team will notify DOE every six months of potential
outsourcings that are being considered for implementation during the next
six-month period. The Team will also report outsourcings that became
effective during the preceding six-month period.
2. Affected employees will be notified prior to the anticipated contract
effective date that their scope of work is at risk of being subcontracted
and that they are, therefore, at risk of being involuntarily separated.
At that time, affected employees will be provided detailed, written
notification of their separation benefit program options. In the event that
a VSPP is one of the options, employees will receive adequate advance
notice to comply with the requirements of the Age Discrimination in
Employment Act and the Older Workers Benefit Protection
-3-
Act. If an employee is eligible, and elects a VSPP option, he or she will
have to comply with the restrictions on reemployment set out in the General
Release and Waiver. (See Appendix 2)
3. Affected employees who are involuntarily separated will receive a two-week
layoff notice prior to the effective date of the new subcontract. In some
cases, management may choose to involuntarily separate employees after the
subcontract has taken effect. At management's discretion, employees receiving
their two-week notice will either remain at work during the two weeks, or
will be sent home With pay pending the termination of their employment.
Salaried employees will receive the standard Involuntary Separation Program
(ISP), including severance pay.
Hourly employees will receive severance pay according to the collective
bargaining agreement in effect at the time of separation, and may receive
standard ISP benefits when involuntarily separated.
After the two-week notice is given and their termination from employment is
effective, employees will be free to accept and begin employment With another
employer at the Site or elsewhere without forfeiting their rights to
severance pay under the ISP. Consistent with applicable collective bargaining
agreements and personnel policies, employees who quit and begin new
employment before the two-week notice will be treated as voluntary quits and
will receive no severance pay.
4. An on-site tuition reimbursement program provides employees with an ongoing
opportunity to retrain themselves to provide core functions, and thus remain
employed in the jobs available on site. Employees whose functions are being
outsourced are also offered the following:
1) Voluntary separation through the current VSPP, if offered;
2) Involuntary Separation through the current ISP, and
3) Involuntary Separation after accepting a position with the outsourccd
entity. (This option allows the employee to accept employment with the
new entity, work through the separation notice period, and receive his
or her full severance payment and hiring preference).
WORK FORCE PLANNING
-------------------
Work Force Analysis
-------------------
The Rocky Flats work force is being restructured to meet new mission
requirements. Contractor input is the first step in the work force analysis.
DOE, however, recognizes its obligation to oversee and independently assess the
information that it receives.
RFFO and ▇▇▇▇▇▇-▇▇▇▇ cooperated to produce a work force analysis that shows the
job category changes and future impacted classifications projected from current
▇▇▇▇▇▇-▇▇▇▇ budget-based estimates.
-4-
This information will be provided as specific restructuring activities are
identified. Initially, RFFO provided ▇▇▇▇▇▇-▇▇▇▇ guidance on the format and
methodology used for conducting the analysis.
Several meetings were held throughout the process in which RFFO continually
reviewed the progress and findings of the analysis in order to assure that the
analysis was being conducted in the appropriate manner. RFFO and the Office of
Worker and Community Transition reviewed and approved the final analysis.
A work force analysis was released to employees concurrent with the work force
restructuring notification issued on February 4, 1997.
Salaried Employee Selection Process
-----------------------------------
Generally, the retention status of each salaried employee is based on
demonstrated performance as reflected by past performance evaluations,
versatility, foreseeable business requirements, and length of service (where
other factors are relatively equal).
Retention lists for each organization are reviewed and approved by the
organization's management. Employees can challenge this assessment through the
company complaint procedure.
Equal Employment Opportunity and Affirmative Action and diversity requirements
are considered in accordance with the protocols established by EEOC. Prior to
the proposed action, a detailed analysis is conducted within all major employee
groups by EEO-I categories, as established by the Equal Employment Opportunity
Commission, to determine whether the action would disparately impact a protected
employee classification and, if so, what legitimate business reasons would
create the disparity. At a minimum, all lawful steps will be taken to assure
that there is no disproportionate impact on protected groups from the
restructuring effort. A final diversity report will be developed for each
contractor's review before the final selection of salaried employees for
involuntary layoffs.
Hourly Employee Selection Process
---------------------------------
Any hourly employees impacted will be laid off using the applicable portions of
the labor agreements in effect.
Management Rights
-----------------
In the event ▇▇▇▇▇▇-▇▇▇▇ finds cause to terminate a subcontract for default,
▇▇▇▇▇▇-▇▇▇▇ has the authority to terminate the subcontract in accordance with
the provisions of the subcontract Employment of key personnel (specifically
defined by position in the subcontract), who are separated as a direct result of
the subcontract's termination for default will be treated as terminations for
cause for purposes of implementing this Plan. Employees who are key personnel of
the terminated subcontract will not be subject to the terms of this Plan.
-5-
Eligibility
-----------
Employees who meet the Job Attachment Test listed below can use the appropriate
benefits within the Work Force Restructuring Plan. Continuous service with a
Management and Operating (M&O) contractor or an Integrating Management
Contractor (IMC) equivalent covered by the requirements of Section 3161 at other
DOE defense nuclear facilities as defined in Appendix C-1 of the Interim
Planning Guidance for Contractor Work Force Restructuring, will be recognized
for determining overall eligibility for benefits. Such service will not be
recognized if work force restructuring benefits were previously received for
such period of service. Breaks in employment of 30 days or less between
continuous service dates will be allowed. Only continuous service at Rocky
Flats With the most current employer or its predecessor will continue to be used
in calculating the voluntary separation payment. Again, periods of service for
which an employee has previously received severance pay, separation pay, or
other work force restructuring benefits will not be recognized for eligibility
purposes and will not be counted or used in the calculation of severance or
voluntary separation payments.
Employees who were transferred by their employer for the benefit of DOE to the
M&O or IMC equivalent contractor at Rocky Flats from another M&O or IMC
equivalent contractor at another DOE facility with the understanding that their
service at Rocky Flats would be considered for all purposes as a continuation of
the prior service and that the prior service would be credited for purposes of
their Rocky Flats employment, may be eligible to have their continuous service
at the previous site recognized in the calculation of the voluntary separation
payment. For such service to be recognized for calculating separation pay, the
employee must have received no work force restructuring benefits coincident with
the transfer and there must have been no break in employment. Employees will
be required to furnish satisfactory proof of eligibility under this provision.
None of the benefits resulting from Section 3161 are available to employees re-
employed at or in support of RFETS.
Regular Employees
------------------
1. The employee must have been working for a contractor with a direct contract
for DOE at a defense nuclear facility on September 27, 1991;
2. The employee must have worked full-time (or regular part-time) at or in
support of the Rocky Flats Site from that date through February 4, 1997, the
date of the work force restructuring notification, and through the date of
their separation under either an ISP or VSPP.
3. The employee must have accepted a voluntary separation incentive or have been
involuntarily separated from employment at the Rocky Flats Site as a
consequence of the work force restructuring notice, set out in number two (2)
above, upon which the employee relies to establish eligibility.
4. Employees hired after September 27, 1991, are only eligible for the benefits
provided by their company's standard policies, access to Career Assistance
Center services, and participation in the Displaced Workers Medical Benefits
Program (if program eligibility requirements are met.)
-6-
Intermittent Workers Including Construction Workers
---------------------------------------------------
1. The employee must have worked for a contractor at a defense nuclear
facility on or before September 27, 1991;
2. The employee must have worked for a contractor at or in support of the
Rocky Flats Site within 180 days preceding the work force restructuring
notification of February 4, 1997.
3. The employee must have worked for a contractor at or in support of the
Rocky Flats Site a total number of hours, including time worked prior to
September 27, 1991, equivalent to an employee having worked full time from
September 27, 1991, through the work force restructuring notification of
February 4, 1997, depending on the date the employee used to establish
eligibility, or have actually worked the local industry standard of fall
time as shown in Appendix 1, from September 27,1991, through the work force
restructuring notification of February 4, 1997, depending on the date the
employee uses to establish eligibility;
4. The employee's job at the Rocky Flats Site must be affected as a result of
the announced work force restructuring. For an intermittent employee, this
would mean the termination of a project or the completion of the assignment
or project without prospect for a follow-on assignment at the site.
Colorado Building Trades craft workers who meet the eligibility requirements
shown above will be eligible for a one-time, special 3161 payment of six weeks'
pay at the base hourly wage rate, relocation, tuition reimbursement, and Career
Assistance Center services. Any Building Trades craft worker who accepts this
3161 benefit will not be eligible for rehire by the site subcontractor for a
period of one year unless he or she pays back a pro rata, share of the voluntary
separation payment to DOE.
Department of Energy Support Service Contractors (SSC) am separated into two
categories:
1. Those employees whose Task Order or Contract is ending, or who are
displaced because they did not take a job with the new contractor, will be
eligible for Outplacement Center access and will be placed on the priority
hiring list for six months.
2. SSC's who are displaced because their position was converted to a Federal
position am eligible for Outplacement Center access, and placement on the
priority hiring list for six months.
Maximize Use of Existing Staff
------------------------------
Rocky Flats contractor and subcontractor management personnel are fully
committed to maximizing use 'of the existing work force to the extent consistent
with efficient operation. Minimizing external hiring is one way to accomplish
this.
-7-
Employee and Community Notification Requirements
------------------------------------------------
Pursuant to Section 3161 of the National Defense Authorization Act for Fiscal
Year 1993, a work force restructuring notification was issued to employees at
the work site and to surrounding communities on February 4, 1997.
The notification announced ongoing work force restructuring activities that
could affect up to 400 positions over the next few years. The restructuring
efforts may result from completion of projects, outsourcing of some functions,
efficiency and productivity improvement measures.
Rocky Flats announcements, bulletins and newspaper articles will continue to be
used to ensure that employees and stakeholders are kept informed concerning
work force restructuring activities.
Under certain conditions, the Worker Adjustment and Retraining Notification Act
(WARN) requires notification at least 60 days prior to layoff or site closure.
WARN Act notification is generally required when there is a layoff of 33 percent
of the employees totaling 50 or more at a single site of employment or a total
of 500 or more employees, or when there is a "plant closing" resulting in a
loss of employment for 50 or more employees in a 30-day period. DOE, in
consultation with the contractor, will determine whether WARN applies.
RESTRUCTURING ELEMENTS
----------------------
Voluntary Separation Payment Program (VSPP)
-------------------------------------------
An optional VSPP may be offered under this Plan in hopes that work force
reductions will occur voluntarily to the maximum extent possible. While this
program has a significant cost impact, it may be needed to attract the required
number of employee reductions.
An employee voluntarily terminating his or her employment pursuant to the VSPP,
cannot become employed at Rocky Flats with DOE or any other contractor or
subcontractor at Rocky Flats for a period of one year from the date of his or
her separation unless he or she refunds a pro rata share of his or her
separation payment to DOE. This also applies to employees whose functions are
being outsourced and who terminate employment pursuant to a VSPP. Further
clarification is contained within the General Release and Waiver contained in
Appendix 2.
Unlike previous VSPPs, many of the future VSPPs may occur on a smaller, more
limited scale. This will happen in two ways: 1) creating targeted VSPPs
affecting only those job classifications actually requiring reduction; and 2)
permitting employees to select their departure date from predetermined VSPP
dates allowing advanced planning for both the employee and employer. In
addition, implementation of large-scale VSPPs may be justified by further
significant budget reductions. With the approval of DOE, the ▇▇▇▇▇▇-▇▇▇▇ Team
will determine which VSPP method would be most appropriate. They may use one or
all of the methods based on the circumstances that occur during the year. The
VSPP is detailed in Appendix 2.
-8-
Draft letters to employees concerning the three options above are contained in
Appendix 3. These letters are examples only and are subject to modification.
Involuntary Separation Process
------------------------------
The process for involuntary separations is outlined by each contractor in its
policy manual for salaried employees and in the labor agreements for hourly
employees. At company discretion, employees may be paid for a minimum of a
two-week notice period while performing a job search. The 60-day notice required
under the WARN Act will only be made when it is determined by DOE, in
consultation with the contractor, that the WARN Act applies to the specific
situation.
Health Insurance Benefits
-------------------------
Health insurance benefits for employees vary by company and by negotiated labor
agreements. However, extended coverage for eligible employees is available
pursuant to DOE's Displaced Worker Health Benefit Program (DWHBP) or the
Consolidated Omnibus Budget Reconciliation Act (COBRA). Eligible employees are
employees who either voluntarily or involuntarily separate and are not eligible
for such coverage under another employer's group plan, including that of a
spouse, or under Medicare coverage. Appendix 4 details this benefit
Relocation Assistance
---------------------
An involuntarily separated employee who moves 50 miles or mom from the Site and
his or her current residence to accept employment within the DOE Complex with a
company that does not provide moving expense reimbursement in the normal course
of business, may receive a maximum $4,000 reimbursement for actual allowable
expenses. This program is detailed in Appendix 5.
Separated Employee Training
---------------------------
Education assistance helps voluntarily and involuntarily separated employees
prepare for other positions. Separated employees must apply for this benefit
during the 12 months following their separation. This is a reimbursement program
which shall not exceed $10,000 total for each person, for a 24-month period
following approval of his or her plan of studies. Existence of this program is
dependent upon the availability of funding.
The Department of Labor (DOL) granted $2,100,000 in Job Training Partnership Act
(JTPA) funds from the Defense Conversion Act to the State of Colorado Governor's
Job Training Office (GJTO) for retraining surplus Rocky Flats workers through
December 31, 1997. These funds can only be used when individual employees have
been targeted for layoffs. JTPA funds am used to retrain individuals already
possessing minimum job skills.
-9-
Another alternative for separated employees is starting their own businesses
using the Rocky Flats Local Impacts Initiative Entrepreneur Resource Program or
by taking courses in operating small businesses from local community colleges.
A third alternative is payments for approved on-the-job training with a new
employer subsidizing the worker's pay for his or her training period. This
program shall have no more than a maximum of 10 participants at any given time.
Appendix 6 details the Separated Employee Training program.
TRAINING FOR THE RETAINED WORK FORCE
------------------------------------
It is the goal of the contractor and DOE to provide training opportunities in
order to help employees who are retained at Rocky Flats under the environmental
management mission meet new mission requirements. As training needs become
available from various line and support organizations, the current training
programs and the necessity for new programs will be evaluated. Modifications to
existing programs will be made to maintain up-to-date programs which meet
emerging business needs.
REHIRING AT DOE FACILITIES AND THE RESUME NETWORK
--------------------------------------------------
DOE developed the Job Opportunity Bulletin Board System (JOBBS) to simplify
implementation of hiring preference by eligible individuals, and by contractors
and subcontractors. Those individuals who have applied for and have been
determined to be eligible for the preference may have their resumes entered into
JOBBS where they will be specifically identified as job seekers with a hiring
preference.
Companies doing new hiring for DOE work should place job announcements into
JOBBS. Contractors and designated subcontractors (those whose DOE contracts
equal or exceed $500,000 in value) must first seek eligible workers from among
individuals listed in JOBBS who are eligible for a hiring preference. All other
subcontractors are encouraged to use JOBBS when hiring for DOE work.
Those individuals who do not want to enter their resumes into JOBBS are
responsible for informing potential employers of their eligibility for a hiring
preference. External hiring is considered only after specific criteria have been
met. The hiring and job-posting procedures are available at the Career
Assistance Centers, and at the ▇▇▇▇▇▇-▇▇▇▇ Team human resource departments.
Resume Network
--------------
Current legislation requires that defense nuclear facility employees who are
involuntarily terminated be given preferential hiring consideration by other DOE
facilities. In order to best facilitate a process by which resume and
qualifications can be readily available to all contractors, a resume network
system has been developed by DOE for those employees who
request it.
-10-
The system provides the following services:
o Resume distribution to Management and Operating and Integrating Contractors
o Opportunity announcements accessible to all separated or potentially
separated workers
o Resume development support for matching surplus workers with known
vacancies
o Matching separated or potentially separated workers with anticipated or
existing vacancies
o Removal of expired vacancies
o Tracking and reporting of preferential hire opportunities
CAREER ASSISTANCE FOR PLACEMENT AT NON-DOE FACILITIES
-----------------------------------------------------
Career assistance will be provided to those employees whose positions are at
risk, who have been deemed surplus, or who have voluntarily separated as
described in this Plan. Counseling services for employees before and after
separation and the use of community resources will be part of this assistance.
PREFERENTIAL TREATMENT OF DOE COMPLEX EMPLOYEES
-----------------------------------------------
Section 3161 provides that, to the extent practicable, employees whose
employment at a defense nuclear facility has been involuntarily terminated
receive hiring preference in filling vacancies in the work force of DOE and its
contractors and subcontractors. ▇▇▇ has determined that employees must be
identified as having helped maintain the nation's nuclear deterrent during the
Cold War in order to qualify for this hiring preference. The preference should
be honored by all prime contractors, and by subcontractors whose contracts with
DOE equal or exceed $500,000 in value.
▇▇▇ established the following criteria for determining eligibility for the
hiring preference: the individual must be a former employee (1) who was
involuntarily terminated (except if terminated for cause); (2) who meets the
eligibility standards under the Section 3161 Job Attachment Test ; and (3) who
is qualified for the job at the time the work is to begin. Where qualifications
are approximately equal, eligible individuals will be given preference in
hiring. However, the preference will be administered so that it is consistent
with applicable law, regulation, or executive order, and collective bargaining
agreements.
This hiring preference is applicable with respect to vacancies in employment at
DOE facilities. However, no such vacancies occur when positions become available
through an outsourcing action or follow-on contract. Current employees are first
offered continued employment with the replacement contractor to avoid a layoff.
Subsequently, the current employees pursue their personal options and then it
becomes necessary to consider employment of non-employees of RFFO.
An individual's hiring preference continues until termination by the action (or
inaction) of that individual. Initially, and on an annual basis thereafter,
eligible individuals must certify their desire to retain their hiring
preference.
-11-
Actions that will terminate an individual's hiring preference include: voluntary
termination or termination for cause from a position that was obtained through
the exercise of the preference, or failure to comply with the annual
certification requirement.
Future Rocky Flats employment opportunities will require review of involuntarily
separated workers within the DOE complex before a contractor considers hiring
individuals not previously employed at Rocky Flats. Of such individuals,
involuntarily separated Rocky Flats workers, who meet the requirements
previously discussed, will be given first preference for future job openings at
Rocky Flats. Currently, hourly contractor employees at Rocky Flats also have
recall rights in accordance with the provisions in their collective bargaining
agreements. Salaried employees do not have specific contractual recall rights.
Involuntarily separated employees from other DOE sites will also receive
consideration after individuals involuntarily separated from employment at Rocky
Flats, for P04itions for which they qualify. DOE has developed a resume network
described in the "Resume Network" Section. Resumes of impacted workers willing
to relocate from downsizing DOE defense nuclear facilities will be kept on file
for 12 months. These resumes will be reviewed for potential candidates prior to
considering candidates from any non-DOE complex source.
RFFO has completed a review of the ▇▇▇▇▇▇-▇▇▇▇ Team's implementation of
preferential hiring prior to issuance of this draft Work Force Restructuring
Plan. Reviews will continue to occur as needed in order to assure that the
hiring processes conform to preferential hiring requirements.
STAKEHOLDER CONSULTATION
------------------------
Consultation With Outside Sources
---------------------------------
In compliance with Section 3161 of the National Defense Authorization Act for
Fiscal Year 1993, a mechanism has been developed to use publicly funded
consultation programs. Consultation with outside agencies is required to support
the Plan.
Employee and Stakeholder Input and Review
-----------------------------------------
This Plan has been developed by RFFO with the input and review of a variety of
stakeholders, including the Rocky Flats Local Impacts Initiative (RFLII) and
labor organizations representing potentially affected employees.
Their activities are described below in the "Community Impact Assistance"
Section. RFLII sponsored many meetings; some were designed to gather general
input while others were to interface with, and gather input from, state and
community agencies and local educational institutions. Meetings were also held
on-site to gather input on the draft plan that was distributed to employees. A
public comment period was conducted on the document.
-12-
Appendix 7 provides specific information concerning stakeholder comments and the
types and numbers of public meetings held.
COMMUNITY IMPACT ASSISTANCE
---------------------------
Many businesses and local government service agencies could be significantly
impacted by the work force restructuring at Rocky Flats. The community impact
assistance described below is designed to offset the effects of work force
restructuring Rocky Flats employees who are impacted by restructuring efforts
are an important part of the picture.
Mitigate Economic Impact on Local Communities
---------------------------------------------
A goal of the Work Force Restructuring Plan is to minimize the economic impacts
on local communities. Much of this will be accomplished by the programs and
activities previously described. Allowing employees to leave voluntarily means
that people who are best prepared for and desirous of other employment are those
who leave. Many already have other employment opportunities available to them or
currently operate small businesses they can expand. Most people in the
aforementioned situations will remain in the area and will not tax the services
of the community. Other efforts to minimize the impacts on surrounding
communities are described below.
Rocky Flats Local Impacts Initiative (RFLII) Activities
-------------------------------------------------------
The RFLII is a coalition of local governments, workers, community-based and
private sector interest groups, surrounding landowners and citizens working
together to identify, assess and mitigate impacts resulting from the change of
mission at Rocky Flats and to plan for its future. Membership is open to any
individual or group.
RFLII also includes non-voting representatives from DOE, ▇▇▇▇▇▇-▇▇▇▇, and other
federal and state agencies and legislators who participate fully. Members
participate through various committees and meet as a full group regularly to
hear committee reports, exchange information, and discuss issues. The group was
formed in 1991, is governed by a 19-member board under an intergovernmental
agreement, and has a staff of four.
Community Transition
--------------------
Based on evaluation of past programs and the results of numerous studies
including the efforts discussed above, RFLII has adopted a revised Community
Transition Plan for 1997-98. Its work plan has the following long term goal and
strategies:
Long Term Goal. Create new, permanent high-wage private sector jobs, especially
in fields matching the skills of displaced Rocky Flats workers. This will be
accomplished by strengthening and diversifying the local economy, helping
companies in target growth sectors expand, assisting businesses started by Rocky
Flats workers, and enhancing research, training, education, and technical
assistance in target industry sectors through the following strategies:
-13-
Strategy 1. Strengthen the Manufacturing Base in the Denver metropolitan area,
with special emphasis on advanced machining, advanced structural materials,
telecommunications equipment, biomedical and electromedical equipment, advanced
computer system hardware, and environmental technologies.
Strategy 2. Promote and Strengthen Colorado as a Center for Environmental
Commerce, with special emphasis on professional services or consulting,
recycling or waste management, pollution control and prevention, analytical
laboratory or characterization .services, renewable energy technology, and
environmental restoration; and achieving a high rate of ISO 14000 certification.
Strategy 3. Assist startup companies in target industries (see numbers 1 and 2
above), and companies started by Rocky Flats workers to succeed and expand.
Strategy 4. Assist Rocky Flats vendors and other area businesses who rely on
defense-related contracts, to diversify and expand their markets. Promote
utilization of local vendors by Rocky Flats, unless doing so would jeopardize
other local jobs.
Strategy 5. Support existing small an medium size companies in the Denver
metropolitan area and help them expand, especially through coordinated
activities with area financial, economic development and business support
entities.
Strategy 6. Promote and facilitate transfer of technologies to and from DOE and
local companies, especially as they relate to Rocky Flats activities.
Based on an analysis of where displaced Rocky Flats workers reside, the
following Colorado counties are included in the RFLII impact area: ▇▇▇▇▇,
Arapahoe, Boulder, Clear Creek, Denver, ▇▇▇▇▇▇▇, Gilpin, Jefferson, Larimer and
Weld.
RFLII programs include an Entrepreneurial Resource Program assisting small and
start-up businesses in targeted industries, or those started by Rocky Flats
workers, with management assistance and information resources and the Equipment
Transfer Program authorized by a Memorandum of Agreement enacted in July of
1996.
In addition, RFLII and RFFO are working with regulators and the private sector
to continue the National Conversion Pilot Project at Rocky Flats. Begun by
former Secretary ▇'▇▇▇▇▇, the project tests the feasibility of converting four
former defense production facilities, along with technology and personnel, to
commercial use.
The second stage, cleanup of two of the buildings and refurbishing of equipment,
was complete at the end of March 1997. A solicitation is scheduled to be issued
in the fall of 1997. If the project proceeds to the manufacturing stage, one of
its goals will be to employ former Rocky Flats workers.
-14-
MEASURING RESULTS
-----------------
An annual report will be provided setting out implementation of the Plan. The
report will also reflect relevant changes in circumstances since the previous
plan and an evaluation of the Plan's implementation during the previous year. A
feedback program is being used to evaluate the restructuring program and to
provide for Plan updates, as required by Section 3161 of the National Defense
Authorization Act.
Rocky Flats maintains records that track employees' use of the various
restructuring activities and the expenditures on those activities; e.g., how
many accepted voluntary separation and what the costs were of these incentives;
how many enrolled in retraining programs and what the costs of retraining were;
how many were transferred to either new jobs within the DOE complex or to new
jobs off-site and the costs of relocation; etc. The Plan update also reports on
the completed actions and future plans of local community impact initiatives.
CONCLUSION
----------
This Plan is intended to be used as an umbrella for future work force
restructuring activities. The Plan may be modified as needed, in accordance with
departmental guidance on work force restructuring, as amended.
-15-
APPENDIX 1
STANDARD AREA FULL-TIME EMPLOYMENT
DEFINITIONS
HOURS REQUIRED IN A YEAR
TO MAINTAIN CONSTRUCTION
LOCAL UNION WORKER BENEFITS
------------------------------------------------------------------------
Asbestos Workers, Local 28 1,600 Hours
Boilermakers, Local 101 1,000 Hours
Bricklayers, Local 7 1,000 Hours
Carpenters District Council 1,560 Hours
Carpenters , Local 1396 1,560 Hours
Carpet & Resilient Tile, Local 419 1,320 Hours
Cement Masons, Local 577 1,440 Hours
Electricians, Local 68 1,620 Hours
Operating Engineers, Local 9 1,600 Hours
Glaziers, Local 930 1,600 Hours
Ironworkers, Local 24 1,200 Hours
Laborers District Council 1,440 Hours
Laborers, Local 720 1,440 Hours
Millwrights, Local 2834 1,560 Hours
Painters & Drywall, Local 79 1,440 Hours
Plumbers & Gas, Local 3 1,500 Hours
Pipefitters, Local 208 1,500 Hours
Roofers, Local 41 1,200 Hours
Sheet Metal, Local 9 1,920 Hours
Sprinkler Fitters, Local 669 1,700 Hours
Teamsters, Local 13 1,600 Hours
APPENDIX 2
VOLUNTARY SEPARATION PAYMENT PROGRAM
GUIDELINES AND
GENERAL RELEASE AND WAIVER
-17-
APPENDIX 2
Rocky Flats Environmental Technology Site
Voluntary Separation Payment Program (VSPP)
Guidelines
General
-------
A Voluntary Separation Payment Plan (VSPP) could be implemented for one or more
reasons which include: budget reductions, outsourcing or privatization of a
function or activity, building or function shutdown, or efficiencies gained
through realignment of work process. When such actions result in a VSPP, the
guidelines below will be followed. The guidelines have been established to
accomplish work force restructuring activities under Section 3161 of the
National Defense Authorization Act for Fiscal Year 1993. An employee voluntarily
terminating his or her employment cannot become employed at the Rocky Flats Site
by the Department of Energy or any other contractor or subcontractor for a
period of one (1) year from the date of his or her separation unless the
employee refunds a pro rata share of his or her separation payment to DOE. Only
those employees who were hired on or before September 27,1991, will be eligible
to participate in the VSPP.
o Voluntary Separation Program Benefits
- VSPP payments will be based on continuous years of service since the last
hire date with the current contractor, its predecessor or eligible
subcontractor at the Rocky Flats Site (with the exception noted above) in
accordance with the attached schedule.
- Medical may continue after separation as identified in Appendix 4.
- Separated employee training nay be provided as identified in Appendix 6.
- Career Assistance services shall be provided on-site prior to separation
and off-site after after separation.
o Eligibility for Voluntary Separation Payment Program
- All integrating and eligible subcontractor personnel (as defined in the
Work Force Planning Section of the Work Force Restructuring Plan 3) at the
Rocky Flats Site are eligible for the voluntary separation package when
offered by their employer.
- Each application shall be screened by the integrating contractor or
eligible subcontractor, using the following criteria to accept Or reject
applicants:
- Impact to a critical environmental safety and health mission supported
by the applicant,
- Impact to a critical safeguard and security mission supported by the
applicant,
- Creation of a condition which would require hiring off-site to backfill
a resulting vacancy,
- Probability that the applicant will be involuntarily separated,
- Probability that the voluntary separation by the applicant will save
another worker from being involuntary separated.
o Voluntary Separation Payment Program Options
- There are three VSPP options which may be used depending an the Site's
circumstances.
Under all options, eligible employees shall receive written descriptions
of program elements, have an opportunity to apply for the VSPP and to
rescind their decision within a specified time frame. Management will
review the applications for impact, retention of critical skills and
give approvals. The schedule details the VSPP percentage amounts.
APPENDIX 2
VSPP Options
------------
Targeted VSPP
-------------
When it has been determined that a particular department, job classification or
employee group must downsize, the affected employees may be given an
opportunity to be voluntarily separated. Once final approval has been given,
the approved employees will separate on a specified date.
Process
-------
Affected departments, job classifications and employee groups would be given
written notice of work force restructuring. Included with this notice would be
the forms required to apply for a VSPP. Information would also include the
particulars (application and rescission time frame, available benefits, VSPP
schedule, waiver, etc.).
The worker would complete the appropriate paper work and return it to the
designated department by the application due date. At the close of the due
date, the worker would have a specified time in which to rescind his Or her
decision in writing. Once the recision period expires, management will review
the VSPP application for impact according to the criteria listed in the
Eligibility for Voluntary Separation Payment Program section.
Employees who are accepted for the VSPP will be notified by management and
their separation date will occur on the designated departure date (unless there
are special circumstances which require the worker to stay beyond the normal
VSSP date).
Predetermined VSPP
------------------
Unlike the goals of many other DOE sites, the Rocky Flats site goal is closure,
and all employees will eventually be impacted by work form restructuring.
Consequently, workers should plan their futures and careers with this in mind.
With the implementation of the Ten Year Plan and the Rocky Flats Clean-up eat,
the contractor will have a plan outlining the work force required to Complete
the project. The plan also provides a completion schedule which can help
determine when areas will require work force restructuring. The projectization
concept of the Ten-Year Plan and the Rocky Flats Clean-Up Agreement establishes
a manageable process by which workers can select a semi-annual VSPP date. This
allows for maximum planning on both the workers' and management's parts.
Under this option employees who apply and am selected to participate in the
VSPP win terminate employment on a date sometime in the future (potentially 6
to 36 months away) based an the completion of their work assignment building
closure, or project This would provide certainty to both the employee and the
company as to a separation date. By participating in the VSPP, an employee will
be agreeing to execute the General Release and Waiver and to terminate
employment on the date set by the ▇▇▇▇▇▇-▇▇▇▇ ▇▇▇ An employee will not be
entitled to benefits under the VSPP if 1) he or she leaves earlier than the
release date without the agreement of the ▇▇▇▇▇▇-▇▇▇▇ Team, 2) he or she is
under a disciplinary suspension or subject to dismissal under the ▇▇▇▇▇▇-▇▇▇▇
Team Disciplinary Policy, 3) he or she refuses to execute the Waiver, or 4) he
or she revokes agreement to the Waiver.
Large-scale VSPP
----------------
If a large-scale VSPP is necessary, management will determine which company
employee groups (salary exempt, salary non-exempt or hourly) shall be eligible
for the VSPP. Once final approval has been given, the approved employees will
separate on a specified date. This tool will continue to be used again if the
Site is faced with significant budget reductions or closure requirements.
APPENDIX 2
Process
-------
Company employee groups would would be given written notice of work force
restructuring. Information with this notice would be the forms required to apply
for a VSPP. Information would also include the particulars (application and
rescission time frame, available benefits, VSPP schedule waiver etc.)
The worker would complete the appropriate paper work and, return it to the
designated department by the application due date. At the close of the due date,
the worker would have a specified time in which which to rescind his or bar
decision in writing.
Once the recision period expires, management will review the VSPP applications
for impact according to the criteria listed in the Eligibility for Voluntary
Separation Payment Program section.
Employees who are accepted for he VSPP will be notified by management and their
separation date will occur on the designated departure date (unless there are
special circumstances which require the worker to stay beyond the normal VSPP
date).
APPENDIX 2
Voluntary Separation Payment Schedule Percentages
*Year of service Percent of Annual Base Pay
------------------------------------------------------------------------
5 24
6 26
7 28
8 30
9 32
10 34
11 36
12 38
13 40
14 42
15 44
16 46
17 48
18 50
19 52
20 54
21 56
22 58
23 60
24 62
25 64
26 66
27 68
28 70
29 72
30 74
31 76
32 78
33+ 80
Employees hired after September 27, 1991, will not be eligible for the VSPP
and are only eligible for benefits provided by their company's standard
policies, access to Career Assistance Center services, and participation in the
Displaced Workers Medical Benefits Program (if program eligibility requirements
are met).
(*Continuous Rocky Flats service with current or predecessor contractor only.)
APPENDIX 2
VOLUNTARY SEPARATION PAYMENT PROGRAM
GENERAL RELEASE AND WAIVER
This Voluntary Separation Payment Program, General Release and Waiver
("Agreement") is entered into by and between ________________ ("Employee") and
▇▇▇▇▇▇-▇▇▇▇, L.L.C. and its prime subcontractors, DynCorp of Colorado, Rocky
Mountain Remediation Services, Safe Sites of Colorado/LATA, and Wackenhut
Security, Inc. ("Employer") as part of Employee's voluntary election to
terminate employment with the Employer.
IN EXCHANGE FOR THE PROMISES SET FORTH BELOW, THE PARTIES AGREE AS FOLLOWS:
1. Employee voluntarily terminates his/her employment with the Employer
effective ___________. Absent the express written authorization of the U. S.
Department of Energy, Employee agree not to seek employment with or become
employed at the Rocky Flats Environmental Technology Site by the Department
of Energy or any other future or current contractor or subcontractor at the
Site for a period of one year from the date of employee's separation. This
includes but is not limited to temporary employment service contracts,
general task order assignments, indefinite quality contracts, basic ordering
agreements, and and consultant contracts. However, this does not preclude
Employee from employment with a company which is Providing supplies,
equipment, materials or commodities to the Site under a fixed-price contract
or purchase order.
2. Employee agrees that the Employer has no obligation to reemploy Employee in
the future, and Employee waives my recall, rehire, or rehire preference
rights such as those that my arise under Section 3161 of the National
defense Authorization Act for Fiscal Year 1993. Employee agrees to perform
all steps required by Employee's policies and procedures at the separation
of employment.
3. Except as set forth paragraph 4 below, Employee, on behalf of
himself/herself and any person or entity entitled to sue on Employee's
behalf, waives I releases Employer, its parents, subsidiaries, and
affiliates, the Department of Energy, and its employees, officers,
directors, shareholders, agents, and successors, from any causes of action
or claims whether known or unknown, that arise out of the Employee's
resignation and separation of employment with Employer and any causes of
action or claims that arise out of Employee's employment with Employer, up
to and including the date of Employee's resignation, under any federal,
state or local law, including but not limited to the Age Discrimination in
Employment Act, the Older Workers Benefit Protection Act of 1990, Title VII
of the 1964 Civil Rights Act, the Equal Pay Act, the Family and Medical
Leave Act, the Employee Retirement Income Security Act, and the Americans
with Disabilities Act, or any applicable state or local law. Employee will
not assert any claim or cause of action released under this agreement in any
administrative or judicial proceeding
4. HOWEVER, Employee does not waive:
(i) any causes of action or claims that arise out of Employee's employment
with Employer, up to and including the date of Employee's separation, that
have been asserted in writing and filed with the appropriate agency or court
prior to __________, 1997.
(ii) any rights or claims that may arise after the date this Agreement is
executed,
APPENDIX~ 2
(iii) any claims relating to pension or retiree health benefits that currently
may be accrued under the Employer's standard retirement program,
iv) any claims under any applicable state worker's compensation laws, or
(v) Any claims for occupational injuries or illnesses arising from Employee's
employment with Employer that are not known or reasonably knowable by the
Employee at the time of the execution of this Agreement.
5. In exchange for Employee's voluntary separation and execution of this
Agreement, Employer Will give Employee the consideration and benefits
outlined in the Rocky Flats Environmental Technology Site, Work Force
Restructuring Plan Number Three, dated ____________.
6. If Employee becomes employed as prohibited in paragraph 1 or otherwise,
violates any provision of this Agreement, then, in addition to any other
remedies Employer has under this Agreement, Employer may require Employee to
repay a prorata portion or all of the payments or other benefits under this
Agreement, and Employee agrees to such payment.
7. Employee has been advised to consider this Agreement and to consult with an
attorney of his/her choice, and Employee has had the opportunity to do so.
Employee has had the right to consider this Agreement for a period of at
least forty-five (45) days prior to entering into this Agreement and has done
so, or has expressly requested that his/her application be granted prior to
the expiration of the 45 days. Employee has the right to revoke this
Agreement for a period of seven (7) days following execution of this
Agreement by giving written notice to the Work Force Restructuring
representative. If Employee revokes the Agreement, It shall not be effective
and enforceable, and Employee will not receive any of the benefits described
in paragraph 5. Employee has read and the terms and contents of this
Agreement, and Employee freely, voluntarily, and without coercion enters into
this Agreement and agrees to be bound by its terms.
8. This agreement constitutes the entire and agreement of Employee and Employer
and can only be modified in writing agreed to by both parties.
9. Employee had access to all of the information required to be disclosed in
these circumstances under the Age in Employment Act regarding who is covered
by the Program, the eligibility factors, the time limits of the Program, the
ages and job tides of everyone eligible for the Program, and the ages of
ineligible employees in the same job or organizational unit.
APPENDIX 2
PLEASE READ THIS AGREEMENT CAREFULLY. IT CONTAINS A RELEASE OF KNOWN AND UNKNOWN
CLAIMS AS DESCRIBED IN PARAGRAPH 3, ABOVE, SUBJECT TO THE LIMITATIONS EXPRESSLY
SET FORTH IN PARAGRAPH 4.
Agreed to:
--------------------------------------------------------
Employee Signature/Date
--------------------------------------------------------
Employer Signature/Date
APPENDIX 3
DRAFT EMPLOYEE LETTERS
DRAFT
(TARGETED OR OUTSOURCING ACTIONS LETTER - OPTION 1)
Date
To: (EMPLOYEE)
From: (MANAGER)
Subject: NOTICE OF INVOLUNTARY SEPARATION AND VSPP OPTION - XXX-???-9X
This letter serves as notice that your organization will experience involuntary
separations on or after (DATE-at least 52 days after the date of this notice).
You may be one of the employees selected as a part of this action. If you are
selected for involuntary separation, you will be notified of your selections no
less than two weeks prior to the date of your involuntary separation.
Because you are now at risk of involuntary separation, you have three options
available to you:
Option 1: You may choose not to take any action. If you are selected for
involuntary separation you will remain an employee through your two week
notification period. At the end of the notification period you will be
terminated and receive your Involuntary Separation Program (ISP) severance
payment and other ISP benefits.
If you are selected for the ISP, then during the period between (MONTH, DAY) and
(MONTH, DAY, YEAR) you must report any full-time or part-time jobs obtained, or
changes in address For any employment during this time you should review Policy
HR 1.12, Conflict of Interest, available at do Offsite Career Assistance Center
(CAC). Should you begin full-time employment with another employer an or before
(MONTH, DAY, YEAR) you must terminate your employment with (COMPANY), under this
policy. Since this will constitute resignation to take another job, you will
cease receiving a weekly paycheck and you will not receive separation pay or any
separation benefits. If you do not secure other employment during this period,
you will remain on the payroll through (MONTH,DAY YEAR). Your paycheck will be
mailed to your home or bank each payday until that time. You will continue to
earn Time Off With Pay (TOWP). Contributions will continue to be made to your
Thrift Plan account during this time if you participate in that program. Your
final weekly paycheck will include all money due to you for unused TOWP. The
check for separation pay will be issued on or about (MONTH, DAY, YEAR).
Based an Section 3161 of the FY 1993 National Defense Authorization Act,
involuntarily separated workers have certain rights. If you meet the eligibility
requirements defined in the Work Force Restructuring Plan, you will be eligible
for preferential hiring consideration at DOE defense nuclear facilities for
future positions requiring the skill and expertise that you possess, should
hiring become necessary. The attached packet of information contains a form
entitled Preferential Hiring Form and a Resume Release Form. In order to
maintain your hiring preference status please complete them and return them to
Work Force Restructuring. We will need you to provide an up-to-date resume n a
computer disc if you wish to be included in the DOE Job Opportunity Bulletin
Board system. If you do not have a resume, the Offsite CAC will work with you to
develop one that is effective. It is your responsibility to maintain your resume
in current status.
Option 2: You are immediately eligible to apply for Voluntary Separation Payment
Program (VSPP) benefits if you were hired on or before September 27, 1991. You
may also be eligible if you had less than a 30-day period between employment
with another DOE nuclear weapons facility and employment at the Rocky Flats
Environmental Technology Site. If you were a corporate transfer from another DOE
nuclear weapons facility you may receive some service credit. Contact your Human
Resources department for further information on these Work Force Restructuring
benefits. You may apply for the VSPP no later than (DATE). If you apply, you
will have a 7-day period, during which you may rescind your decision. If you do
not rescind and your application is accepted by management based on Work Force
Restructuring Plan criteria, you will be required to terminate your employment
(DATE) unless your management approves an alternate date. With prior management
approval, it may be possible to leave before the normal separation date or
extend beyond it. If interested, discuss this issue with your manager or your
Career Assistance Center (CAC) representative.
Attached is a VSPP Information Packet that includes information regarding
application and recision periods, all necessary forms, and a comparison of ISP
vs. VSPP benefits. Please review it carefully.
Option 3: YOU may terminate at any tune to accept other employment or for any
other reason. If you separate prior to the separation date determined by your
management, you will be considered a normal quit You will not receive your VSPP
or involuntary separation monies nor any of the associated Work Force
Restructuring benefit However, you am entitled to continue your medical
coverage wider the Consolidated Omnibus Budget Reconciliation Act (COBRA) if you
choose.
Please review your options carefully and consult with attorneys, accountants, or
financial advisors as necessary. Direct any questions you have to (NAME), (PHONE
NUMBER), in Work Force Restructuring. A final separation date will be provided
to you once you have determined your choice of options.
If you require further information about your possible involuntary separation or
associated benefits available to you, please contact (NAME), Work Force
Restructuring, at (PHONE NUMBER)- We appreciate your past service and
contributions the Site and regret this action may be necessary.
DRAFT
(SELECTED DEPARTURE DATES VSPP LETTER - OPTION 2)
DATE:
TO: (EMPLOYEE)
FROM: (MANAGER)
SUBJECT: FY9X WORK FORCE RESTRUCTURING-XXX-???-9X
I would like to personally notify you that the Department Of Energy announced to
the Rocky Flats Environmental Technology Site (RFETS) a 120 Day Notice of
additional work force restructuring on (MONTH, DAY, YEAR). The announcement
indicated that up to (NUMBER) positions may be eliminated. Approval to offer a
Voluntary Separation Payment Program (VSPP) was also recently received.
A VSPP is being opened effective (MONTH, DAY) for all active, full time
employees at (COMPANY), RFETS who were hired on or before September 27, 1991.
You may also be eligible if you had less than a 30-day employment with another
DOE Nuclear Weapons facility and employment at the RFETS. If you were a
corporate transfer from another DOE nuclear weapons facility you May receive
some service credit. Contact your Human Resources department for further
information on these Work Force Restructuring benefits.
Selections for a future involuntary layoff, if one is required and approved,
will be determined by the Site's projected work requirements defined by the
Site's work force analysis. The number of employees to be involuntarily laid off
in order to attain the required reduction will be determined after the
completion of the VSPP.
Attached is a description of the VSPP, a summarization of voluntary versus
involuntary benefits a Payment Schedule, Application Form, commonly asked
questions and answers to them, information regarding continuation of health
benefits, and the General Release and Waiver Form which you will be required to
execute on your application date. Your agreement to be bound by the General
Release and Waiver Form is a DOE requirement for participation in this offering.
Please review it carefully with your financial advisor and attorney prior to
making your decision.
A major change has been implemented in this VSPP. It allows you to request a
particular separation date as a part of your application process from among a
number of predetermined future separation dates. Complete details are included
in the attached materials.
To assure that you received the best possible information on the upcoming work
force reduction we are taking the following actions. Managers were briefed the
week of (MONTH, DAY) and given information top resent to their employees.
Managers will hold "all-hands" meetings the week of (MONTH, DAY) to provide VSPP
information and to let you know the impact on your organization. Crossroads
articles and bulletin board postings will provide ongoing information. Also, the
Work Force Restructuring Department will hold a series of employee meetings
starting (MONTH, DAY) to give you an opportunity to ask questions you may have.
A meeting schedule is attached. Informational briefings on the VSPP and
available Career Assistance Center services have also been scheduled
through the Career Assistance Center. The schedule of these briefings and the
telephone numbers to call to make a reservation are enclosed. Please plan on
attending to get all the information necessary to make an informed decision. You
are urged to consult with a financial advisor and your attorney before applying
for the VSPP.
The Onsite Career Assistance Center, Building T130J, is available to you to
provide services which may make your decision more clear. It has listings of
available jobs and continues to offer classes in interviewing techniques, job
search skills, resume writing, and a series of specialty classes dealing with
self esteem, and other work issues. Please call the center at extension 6050
for information or to arrange a meeting with an advisor if you desire.
VSPP SUMMARY
You are invited to review the enclosed information and decide if you would like
to apply. The program will be open until (MONTH, DAY, YEAR) and you will have
an opportunity to withdraw from the program during your 7 day recision period.
All withdrawals from the program will be final. You will not be able to change
your election before or after your recision period.
All active employees hired on or before September 27,1991 will be eligible to
apply for this VSPP- Employees who had prior service within the DOE Complex with
less than a 30-day break in employment may also be eligible. See your Human
Resources representative. Corporate transfers from other DOE nuclear defense
facilities may be given service credit. Employees eligible for retirement may
apply for the VSPP and retire concurrently based on our standard retirement plan
provisions. As in previous VSPPs, managers do have the authority to deny the
VSPP applications of those employees whose skills and abilities am required to
accomplish the Site mission.
Employees accepted for do VSPP will have a choice of a number of separation
dates but may separate from employment with the Site no later than (MONTH, DAY,
YEAR). Separation pay will be based on continuous Rocky Flats service from the
latest him date with the Kaiser Kill Team, or its based on the attached
schedule. Where an employee has separated from employment at the Site and been
rehired, the latest date of employment will prevail. This separation payment is
in lieu of any severance payment to which employees might have otherwise been
entitled. Employees will receive separation pay in a lump sum approximately two
weeks after their termination date.
BENEFITS HIGHLIGHTS
All salaried employees with four or more years of service who are currently
enrolled in the Rocky Flats Thrift Plan would be fully vested. Employees have a
variety of options available to them for these funds. Employees will be provided
a notice explaining their rights to make tax free rollover of company or
deferred funds. Other options include leaving the money in the Site Thrift Plan,
or receiving a payout of all monies. Please consult with your financial
advisor concerning the tax implications of your decision.
Employees who am eligible for and elect to take retirement will receive
insurance benefits as a regular retiree. Employees who are not eligible for
retirement benefits but who participate in the VSPP will be eligible for
continuation of medical benefits after separation, as set forth in the attached
guidelines.
Outplacement services will be provided by the Offsite Career Assistance Center
▇▇▇▇ ▇▇▇▇ ▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇ ▇, ▇▇▇▇▇ ▇▇▇, ▇▇▇▇▇▇ ▇▇. ▇▇▇▇▇-5302. Their phone
number is (▇▇▇) ▇▇▇-▇▇▇▇.
APPLICATION PROCESS
Employees electing to apply for the VSPP must complete the attached application,
obtain their manager's signature and submit the application in person to your
Human Resources department before close of business on (MONTH, DAY, YEAR). A
receipt will be given for each application.
Application may be withdrawn only during the employee's recision period. All
withdrawals will be final and must be submitted in person to your Human
Resources Department.
Please be aware that per Department of Energy guidelines you will not be able to
return to work at or in support of the Rocky Flats Technology Site with DOE or
any other contractor or subcontractor for one year unless you pay back a prorata
portion of the voluntary separation payment to DOE.
DRAFT
(LARGE-SCALE VSPP LETTER - OPTION 3)
DATE:
TO: (EMPLOYEE)
FROM: (MANAGER)
SUBJECT: FY9X WORK FORCE REStRUCTURING-XXX-???-9X
I would like to personally notify you that the Department Of Energy announced to
the Rocky Flats Environmental Technology Site a 120 Day Notice of additional
work force restructuring on (MONTH, DAY, YEAR). The announcement indicated
that up to (NUMBER) positions may be eliminated. Approval to offer a Voluntary
Separation Payment Program (VSPP) was also recently received.
A Voluntary Separation Payment Program (VSPP) is being opened effective (MONTH,
DAY) for all active, full time employees at (COMPANY), Rocky Flats Environmental
Technology Site (RFETS) hired on or before September 27,1991. You may also be
eligible if You had less than a 30-day period between employment with another
DOE nuclear weapons facility and employment at the RFETS. If you were a
corporate transfer from another DOE nuclear weapons facility you may receive
some service credit. Contact your Human Resources department for further
information on these Work Force Restructuring benefits.
Selections for a future involuntary layoff, if one is required and approved,
will be determined by the Site's projected work requirements defined in the work
force analysis. The number of employees who might be involuntarily laid off in
order to attain the required reduction will be determined after the completion
of the VSPP.
Attached is a description of the VSPP, a summary of voluntary versus
involuntary benefits, a Payment Schedule, Application Form, commonly asked
questions and answers to them, information regarding continuation of health
benefits, and the General Release and Waiver Form which you will be required to
execute on your separation date. Your agreement to be bound by the General
Release and Waiver Form is a DOE requirement for participation in this offering.
Please review it carefully with your financial advisor and attorney prior to
making your decision.
To assure that you receive the best possible information available on the
upcoming work force reduction we are taking the following actions. Managers were
briefed the week of (MONTH, DAY) and given information to present to their
employees. Managers will hold "all-hands" meetings the we& of (MONTH, DAY) to
provide VSPP information and to let you know the impact on your organization.
Crossroads articles and bulletin board postings will provide ongoing
information. Also, the Work Force Restructuring Department win hold a series of
employee meetings starting (MONTH, DAY) to give you an opportunity to ask
questions you may have. A meeting schedule is attached. Informational briefings
on the VSPP and available Career Assistance Center services have been scheduled
through the Career Assistance Center.
The schedule of these briefings and the telephone numbers to call to make a
reservation are enclosed. Please plan on attending to get all the information,
necessary to make an informed decision. You are urged to consult with a
financial advisor and your attorney before applying for the VSPP. It is a very
important life and career decision.
The Onsite Career Assistance Center, Building T130J, is also available to you to
provide services which may make your decision more clear. It has listings of
available jobs and continues to Offer classes in interviewing techniques, job
search skills, resume writing, and a series of specialty classes dealing with
self esteem, and other worker issues. Please call the center at extension 6050
for information or to arrange a meeting with an advisor if you desire.
VSPP SUMMARY
All active employees hired an or before September 27,1991 are eligible to apply
for this VSPP. Employees who had prior service with the DOE Complex with less
than a 30-day break in employment may also be eligible. See your Human Resources
representative. Corporate transfers from other DOE nuclear defense facilities
may be given service credit. Employees eligible for retirement may apply for the
VSPP and retire concurrently based on our standard retirement plan provisions.
Employees applying for this VSPP will receive the benefits described in the
Rocky Flats Environmental Technology Site Work Force Restructuring Plan (WFRP)
and summarized in the attached package of information. As in previous VSPPs,
managers do have the authority to deny the VSPP applications of employees whose
skills and abilities are required to accomplish the Site mission.
You are invited to review the enclosed information and decide if you would like
to apply. The program will be open until (MONTH, DAY, YEAR) and you will have an
opportunity to withdraw from the program during your 7-day recision period. All
withdrawals from the program will be final. You will not be able to change your
election before or after your recision period. With prior management approval it
may be possible to leave before the normal separation due or extend beyond it.
If interested, discuss this issue with your manager and/or your Career
Assistance Center (CAC) representative.
Employees accepted for the VSPP will separate from employment with the Site no
later than (MONTH, DAY, YEAR). Separation pay will be based on continuous Rocky
Flats service from the latest hire date with the ▇▇▇▇▇▇-▇▇▇▇ Team, or us
predecessors, based on the attached schedule. Where an employee has separated
from employment at the Site and been rehired, the latest date of reemployment
will prevail. This separation payment is in lieu of any severance payment to
which employees might have otherwise been entitled. Employees will receive
separation pay in a lump sum approximately two weeks after their separation
date.
BENEFITS HIGHLIGHTS
All salaried employees with four or more years of service who are currently
enrolled in the Rocky Flats Thrift Plan would be fully vested. Employees have a
variety of options available to them for these funds. Employees will be provided
with a notice explaining their rights to make tax free rollover of company or
deferred funds. Other options include leaving the money in the funds in which it
is invested or receiving a payout of all monies. Please consult with your
financial advisor concerning the tax implications of your decision.
Employees who are eligible for and elect to take retirement will receive
insurance benefits as a regular retiree. Employees who am not eligible for
retirement benefits but participate in the VSPP will be eligible for
continuation of medical benefits after separation, as set forth in the attached
guidelines.
Outplacements services will be provided by The Offsite Career Assistance Center,
▇▇▇▇ ▇▇▇▇ ▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇ ▇, ▇▇▇▇▇ ▇▇▇, ▇▇▇▇▇▇ ▇▇. ▇▇▇▇▇-5302. Their phone
number is (▇▇▇) ▇▇▇-▇▇▇▇.
APPLICATION PROCESS
Employees electing to apply for the VSPP must complete the attached application,
obtain their manager's signature and submit the application in person to their
Human Resources department before close of business on (MONTH, DAY, YEAR). A
receipt will be given for each application.
Applications may be withdrawn only during the employee's recision period. All
withdrawals will be final and must be submitted in person to the employee's
Human Resources department.
Please be aware that per Department of Energy guidelines, you will not be able
to return to work at or in support of the Rocky Flats Environmental Technology
Site with DOE or any other contractor or subcontractor for one year unless you
pay back a prorata portion of the voluntary separation payment to DOE.
APPENDIX 4
SEPARATED EMPLOYEE HEALTH INSURANCE
GUIDELINES
-19-
APPENDIX 4
Rocky Flats Environmental Technology Site
Separated Employee Health Insurance Guidelines
▇▇▇▇▇▇-▇▇▇▇ Team employees voluntarily separated (who are not retiring) may be
eligible for healthcare coverage continuation as follows:
MEDICAL BENEFITS
----------------
Separating employees have the following 3 options regarding medical benefits.
1. DOE Displaced Workers Health Benefit (DWHB) Program
------------------------------------------------------
o Provides the same medical coverage you were enrolled in while you were an
active employee.
o Requires submission of the completed Continuation of Medical Coverage
election/Enrollment form within 30 days of receiving such.
o Requires submission of monthly premium and Statement of Certification/Payment
Coupon.
o First Twelve Months: Employee pays the active employee premium rate during the
first year following termination of employment. Rates are subject to change
annually beginning January 1. Employee premiums along with the Statement of
Certification/Payment coupon, are to be submitted monthly by personal check to
Mutual of Omaha. Employees will be sent invoices by Mutual of Omaha. The
effective date for extended benefits coverage under DWHB will be the first day
of the month following termination.
o Second Twelve Months: Employee pays half of the Consolidated Omnibus Budget
Reconciliation Act (COBRA) rate the second year (13th mouth through 24th
month, following termination of employment). The COBRA rate is 102 percent of
the total premium cost of the plan (including employer and employee shares).
COBRA rates are reviewed and revised each calendar year.
o Twenty-Fifth Month and After: Employee pays full COBRA rate during the third
and subsequent years (starting the 25th month following termination of
employment). COBRA rates are reviewed and revised each year.
If the separated employee's premiums and Statement of Certification/Payment
Coupon are not received by Mutual of Omaha by their due dates, coverage will
terminate effective to the last premium payment period and cannot later be
reinstated.
Coordination of benefits does not apply since employees and their dependents are
not eligible for extended medical coverage under DWHB if they are, or become,
eligible for group coverage elsewhere (Including through Medicare).
You and your dependents at no longer eligible for extended medical coverage
under DWHB when you become eligible for group medical benefits from another
plan. However coverage under DWHB can continue during a required waiting period
(if applicable) for now coverage to begin since you are not yet eligible for
benefits from another plan. For example, if you take a new job that offers
medical benefits that become effective 30 days after your new job begins, you
can continue your DWHB medical coverage during the 30-day wait.
APPENDIX 4
If you are eligible for group coverage from another employer, but that employees
coverage contains a pre-existing condition limitation or exclusion, you will
continue to receive coverage for the pre-existing condition under the extended
medical coverage under DWHB until the preexisting condition limitation or
exclusion period is satisfied. Claims should be filed with the other employer's
insurance plan first. Then an Explanation of Benefits from the other employer's
plan (showing the benefits coverage limitation or exclusion for the preexisting
condition) should be filed with your medical carrier.
Eligible participants include only those dependents who were covered under your
medical plan immediately prior to termination of active employee coverage.
Dependents can be covered without the employee being covered, if the dependent
is not eligible for coverage under another plan. For example, if a terminating
employee is age 65 (or older) and eligible for Medicare (and therefore not
eligible for extended medical coverage und DWHB) and the employee has a spouse
who is age 62 (who is not eligible for coverage under another employer or
through Medicare), then only the spouse is eligible for coverage under DWHB and
the single person rate would be applied.
You can add or delete dependents to your extended medical coverage under DWHB
with a "qualifying event" provided you notify Mutual of Omaha of your qualifying
event/request for change no more that 31 days after the qualifying event occurs.
Informmation about typical qualifying events is contained in the Rocky Flats
Technology Site (RFETS) Summary Plan Description.
Dependents who experience loss of eligibility for extended medical beneft
coverage under DWHB due to a "subsequent qualifying event" (divorce, death of
spouse, children no longer meeting the eligibility provisions of the plan) are
eligible to continue extended medical benefits coverage under COBRA for a
maximum of 36 months from the loss of active employee coverage/termination of
employment provided all of the following are met: (1) they were covered by the
medical benefits plan immediately prior to termination of active employee
coverage, (2) they were continuously covered und extended medical coverap under
DWHB, (3) the subsequent event occurred no more than 18 months from the loss of
active employee coverage/termination of employment, and (4) they provide Mutual
of Omaha formal notification of the qualifying event/request for change no more
than 60 days after the occurrence of the subsequent qualifying event.
2. Normal COBRA Benefits
---------------------
. COBRA continuation coverage must be elected no more than 60 days after
termination of employment. Enrollment will be in the same medical choice in
which you were enrolled just prior to separation from employment with the
▇▇▇▇▇▇-▇▇▇▇ Team. The effective date of continuation of coverage will be the
date following the last pay period after separation (which is the date that
insurance coverage as an active employee terminates).
. The separated employee pays full COBRA rate monthly. Employees will be sent
invoices by Mutual of Omaha.
. If coverage is not elected within 60 days after termination of employment,
and/or applicable premiums are not received by their due dates, coverage will
terminate effiective at the end of the last premium payment period and cannot
later be reinstated.
. When continuing medical coverage through COBRA, you may add or delete
dependents only upon the occurrence of a "qualifying event." You may change
your coverage option to become effective at the beginning of the next calendar
year.
APPENDIX 4
o COBRA rates are reviewed and revised each calendar year.
3. No Coverage
--------------
o Coverage terminates for claims incurred after termination (as of the last date
of the pay period) without continued participation by payment of employee
premiums under extended medical coverage under DWHB or by electing normal
COBRA benefits.
DENTAL BENEFITS
---------------
Normal COBRA Benefits
---------------------
o Dental coverage my only be continued by electing COBRA continuation coverage
for dental benefits no more than 60 days after termination of employment.
Enrollment will be in the same dental plan which you were enrolled just prior
to separation from RFETS. The effective date of COBRA continuation coverage
will be the date following the last pay period after separation (which is the
date that insurance coverage as an active employee terminates).
o The separated employee pays the full COBRA rate for dental coverage monthly by
personal check. Employees will be sent invoices by Mutual of Omaha, (Note:
full, monthly premium payment will be required rather than a pro-rata amount
for mid-month effective dates). Up to 18 months coverage is available as long
as premium payments continue to be made to Mutual of Omaha.
o If coverage is not elected within 60 days after termination of employment
and/or premiums are not received by their due dates, coverage will terminate
effective at the end of the last premiums payment period and cannot later be
reinstated.
o When continuing dental coverage through COBRA, you may add or delete
dependents only upon the occurrence of a "qualifying event." Further
information about COBRA is contained in the RFETS Summary Plan Descriptions.
o COBRA rates are reviewed and revised each calendar year.
"Dual Couples" (Both Spouses Work for the ▇▇▇▇▇▇-▇▇▇▇ Team)
-----------------------------------------------------------
Loss of your employment or your spouse's employment is considered a "qualifying
event" for adding or deleting dependents from coverage. Therefore, an employee
who, separates from the ▇▇▇▇▇▇-▇▇▇▇ Team, whose spouse also works for the
▇▇▇▇▇▇-▇▇▇▇ Team and is eligible for coverage, can be covered by their actively
employed ▇▇▇▇▇▇-▇▇▇▇ Team spouse. The active employee will need to contact
Benefits Administration at Building 452 or by telephoning 966-2856 to obtain the
necessary forms to add dependents (children and/or spouse). coverage must be
elected within 31 days of the "qualifying event" in which case the coverage
will be effective on the day immediately following the pay period in which the
employee separates from RFETS.
APPENDIX 5
RELOCATION GUIDELINES
-20-
APPENDIX 5
Rocky Flats Environmental Technology Site
Relocation Guidelines
Eligible involuntarily separated employees, as defined in the Work Force
Planning Section of the Work Force Restructuring Plan 3, who move 50 miles or
more from the Site and their current residence to accept employment within the
DOE Complex may receive a maximum $4,000 reimbursement. This reimbursement only
covers documented actual allowable relocation expenses incurred within 12 months
from the date of separation. Only expenses or receipts from established
businesses will be accepted.
Eligibility Requirements for Separated Employees:
-------------------------------------------------
o Must have a confirmed full time job and start date before moving.
o The new employer does not provide moving expense reimbursement in the normal
course of business.
o If starting their own business, must have a business license established
prior to moving, and other documentation as required.
o Must be employed by new company for a minimum of two weeks.
o Receipts must reflect that the move occurred either after their start date or
within 14 calendar days prior to their start date.
o Employees traveling a minimum of 350 miles per day and not less than 150
miles on the last day may be eligible for meals and lodging en route.
o Employees moving a minimum of 100 miles from the Rocky Flats Site AND their
current residence may be eligible for temporary living expenses at their
destination.
o Employees who resign from the company under normal separation policies (other
than this Involuntary Separation Program) are not eligible for relocation
benefits.
Reimbursable Relocation Expenses
--------------------------------
o Mileage or towing charges for one (1) vehicle for individuals with single
status and two (2) vehicles for individuals with family status. Direct
mileage will be determined by the ▇▇▇▇ ▇▇▇▇▇▇▇ Guide.
o The cost of packing, unpacking, and transportation of household goods and
personal effects, not to exceed 15,000 lbs., plus up to 30 days of storage at
an established storage business at your destination.
o Receipts are required from an established business for reimbursement of labor
charges and moving supplies.
o Up to five (5) days of temporary living expenses at your destination (meals
and lodging at an established business).
Taxes
-----
Changes in the tax law, effective January 1, 1994, make some relocation
reimbursements taxable income. Taxes will be withheld on these amounts at the
rate of 40.65% (Federal Income Tax 28%, Colorado State Income Tax 5%, FICA 6.20%
and Medicare 1.45%). Consult your tax advisor.
NOTE: THE WORK FORCE RESTRUCTURING RELOCATION GUIDELINES FURTHER DETAIL THIS
PROGRAM. THEY ARE AVAILABLE AT THE ON-SITE CAREER ASSISTANCE CENTER
APPENDIX 6
SEPARATED EMPLOYEE TRAINING GUIDELINES
-21-
APPENDIX 6
Rocky Flats Environmental Technology Site
Separated Employee Training Guidelines
Education Assistance
--------------------
The education assistance training program helps voluntary and involuntarily
separated employees prepare for positions that are available in the Denver
Denver and Metropolitan Areas. Extension Of education assistance for 36 months
past the separation date continues to be approved for those who are
involuntarily or voluntarily separated to help in their training needs.
Separated employees must apply for this benefit during the 12 months following
their separation. This program ends when the employee meets the $10,000 maximum
over a 24-month period or when his or her plan of study is completed, whichever
comes first. The funding for this program continues to be dependent upon budget
availability.
Self-Employment
---------------
Another alternative for separated employees is starting their own business using
the Rocky Flats Local Impacts Initiative Entrepreneur Resource Program or by
taking courses in operating small businesses from local community colleges.
These courses help prepare them to either begin their own business or buy an
existing business. The Small Business Administration has supported these efforts
by providing information and, where possible, financial support. Educational
advise on curriculum availability, educational program costs, and credit
transferability will be provided by the educational institution representatives.
These representatives will help to develop an appropriate individual plan of
studies.
Outplacement Apprenticeship Program
-----------------------------------
A third alternative is subsidizing the worker's pay for his or her training
period to pay for approved on-the-job training with a new employer. This
training period will not exceed one year and a maximum of one-third (up to $4.00
per hour) of his or her pay with do new employer. This program shall have no
more than a maximum of 10 participants at any given time.
APPENDIX 7
STAKEHOLDER COMMENTS AND PUBLIC MEETINGS
-22-
COMMENT PERIOD
--------------
A public comment period was opened and advertised December 6,1996 through
January 10, 1997.
BRIEFINGS AND INFORMATIONAL MEETINGS
------------------------------------
December 10, 1996 Briefing to the Rocky Flats Local Impacts
Initiative Worker Impacts Committee.
Sponsored by DOE
December 11, 1996 Employee informational meeting held on-site.
Sponsored by DOE.
December 12, 1996 Employee informational meeting held on-site.
Sponsored by DOE.
December 16, 1996 Two Employee informational meetings held on-site site.
Sponsored by DOE.
December 17, 1996 Employee informational meeting held on-site.
Sponsored by DOE.
December 18, 1996 Employee informational meeting held on-site.
Sponsored by DOE.
December 18, 1996 Briefing to Congressman ▇▇▇▇▇ ▇▇▇▇▇▇' Office.
SUMMARY OF STAKEHOLDER COMMENTS
-------------------------------
# COMMENTS SUBJECT
---------- -------
55 VSPP PAYMENT SCHEDULE - All 55 comments
requested that no reduction be made in the VSPP
payment schedule.
31 ELIGIBILITY FOR SECTION 3161 BENEFITS -
The majority of the comments requested that
individuals hired after September 27, 1991,
continue to be eligible for all Section 3161
benefits.
29 CREDITING SERVICE FROM OTHER DOE
DEFENSE NUCLEAR FACILITIES All 29 comments
requested that prior service at other
DOE Defense Nuclear Facilities be recognized
for the purpose of eligibility for Section 3161
benefits.
17 RELOCATION ASSISTANCE - The comments requested
that both voluntarily and involuntarily
employees be eligible for relocation
assistance as allowed in to approved 1995 Work
Force Restructuring Plan.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART I - THE SCHEDULE
SECTION D
PACKAGING AND MARKING
Table of Contents
Section Number Clause Title
D.1 PACKAGING
D.2 MARKING
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION D
PACKAGING AND MARKING
D.1 PACKAGING
Preservation, packaging, and packing for shipment or mailing of all work
delivered hereunder shall be in accordance with good commercial practice and
adequate to insure acceptance by common carrier and safe transportation at the
most economical rate(s).
D.2 MARKING
Each package, report or other deliverable shall be accompanied by a
letter or other document which:
(a) Identifies the contract by number under which the item is being
delivered.
(b) Identifies the deliverable Item Number or Report Requirement that
requires the delivered item(s).
Rocky Flats Closure Contract No. DE-AC34-00RF01904
This page intentionally left blank.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART I - THE SCHEDULE
SECTION E
INSPECTION AND ACCEPTANCE
Table of Contents
Section Number Clause Title
E.1 INSPECTION OF SERVICES - COST REIMBURSEMENT (APR
1984) FAR 52.246-05
E.2 ACCEPTANCE
E.3 INSPECTION
E.4 CONTRACTOR QUALITY CONTROL
E.5 GOVERNMENT QUALITY ASSURANCE
E.6 TECHNICAL EXHIBITS
GOVERNMENT QUALITY ASSURANCE/SURVEILLANCE PLAN
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION E
INSPECTION AND ACCEPTANCE
E.1 FAR 52.246-05 INSPECTION OF SERVICES - COST-REIMBURSEMENT
(APR 1984)
E.1.1 Definitions. "Services," as used in this clause, includes services
performed, workmanship, and material furnished or used in performing
services.
E.1.2 The Contractor shall provide and maintain an inspection system
acceptable to the Government covering the services under this contract.
Complete records of all inspection work performed by the Contractor
shall be maintained and made available to the Government during
contract performance and for as long afterwards as the contract
requires.
E.1.3 The Government has the right to inspect and test all services called
for by the contract, to the extent practicable at all places and times
during the term of the contract. The Government shall perform
inspections and tests in a manner that will not unduly delay the work.
E.1.4 If any of the services performed do not conform to contract
requirements, the Government may require the Contractor to perform the
services again in conformity with contract requirements for no
additional fee. When the defects in services cannot be corrected by
re-performance, the Government may (1) require the Contractor to take
necessary action to ensure that future performance conforms to contract
requirements, and (2) reduce any fee payable under the contract to
reflect the reduced value of the services performed.
E.1.5 If the Contractor fails to promptly perform the services again or take
the action necessary to ensure future performance in conformity with
contract requirements, the Government may (1) by contract or otherwise,
perform the services and reduce any fee payable by an amount that is
equitable under the circumstances, or (2) terminate the contract for
default.
E.2 ACCEPTANCE
Acceptance of all work and effort under this contract (including
"Reporting Requirements," if any) shall be accomplished by the Contracting
Officer, or any duly designated representative.
E.3 INSPECTION
Inspection of all items under this contract shall be accomplished by
the DOE Contracting Officer's Representative (COR) or any other duly authorized
Government representative in accordance with Sections H and I of this contract.
E.4 CONTRACTOR QUALITY CONTROL
In accordance with the "FAR 52.246-05, INSPECTION OF SERVICES - COST
REIMBURSEMENT" Clause, the Contractor shall establish and maintain an inspection
system acceptable to the Government, to assure the requirements of the contract
are provided as specified. This system shall:
(1) Identify deficiencies in the quality of services performed
throughout the entire scope of the contract and implement
timely corrective action before the level of performance
becomes unsatisfactory.
(2) Be implemented on the contract start date.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
E.5 GOVERNMENT QUALITY ASSURANCE/SURVEILLANCE PLAN
(a) The Government Quality Assurance/Surveillance Plan identifies specific
services from the Statement of Work for which compliance with the
identified standards is required. The Surveillance Plan identifies
standards by which the Contractor is expected to perform in a
continuous satisfactory manner. The Contracting Officer may impose a
Category 3 fee adjustment in accordance with section B.6 of this
contract if the Contractor fails to correct DOE identified
non-compliance with the Standard in the timeframe specified by the
Contracting Officer, or if there are three non-compliance activities
with a specific standard within any given quarter. The Contractor
shall not be relieved of full performance of the services hereunder and
may be terminated for default based upon inadequate performance of
services, even if a penalty has been imposed.
(b) The services rendered under this contract are subject to Government
inspection both during the Contractor's operations and after completion
of the tasks. After each inspection, the Contractor will be advised of
any unsatisfactory condition(s) for which they are responsible. The
Contractor shall correct such deficiencies promptly and, by written
report to the Contracting Officer, shall address corrective/preventive
actions taken.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
TECHNICAL EXHIBIT
GOVERNMENT QUALITY ASSURANCE/SURVEILLANCE PLAN
---------------------------------------------------------------------------------------------------
REQUIRED SERVICE SOW REF. NO. STANDARD SURVEILLANCE METHOD
---------------------------------------------------------------------------------------------------
SNM Shipments Sec. I, ▇. & B. o All SNM shipped Periodic
in a DOE approved assessments, monthly
shipping container observations, and
o All DOT assessment of each
requirements shipping manifest
satisfactorily met.
o All requirements of
DOE Orders 5610.12,
5610.14 and 460.1A
satisfactorily met.
---------------------------------------------------------------------------------------------------
Waste Shipments Sec. III, A-F o All wastes Periodic
shipped in either DOE assessments, monthly
or DOT approved observations, and
shipping containers assessment of each
o All DOT shipping manifest
requirements
satisfactorily met.
o Requirements of DOE
Order 435.1
satisfactorily met.
o All disposal site
waste acceptance
criteria
satisfactorily met.
---------------------------------------------------------------------------------------------------
SNM Building Deactivation Sec, II, A Safe and Stable condition Periodic assessments
according to the Project and monthly
Execution Plan (PEP) observations
where vaults are empty,
residues and all SNM is
removed, MAA is closed,
chemicals and excess
equipment is removed and
process systems are
drained of SNM solutions.
---------------------------------------------------------------------------------------------------
Facility Decommissioning Sec, II, A All end state Periodic assessments
requirements of the and monthly
approved DOP have been observations
met. Holdup has been
reduced to a specified
manageable level,
equipment and gloveboxes
have been removed and
packaged for disposal and
the
Rocky Flats Closure Contract No. DE-AC34-00RF01904
facility has been
decontaminated and
determined to be at the
required specified level.
---------------------------------------------------------------------------------------------------
Facility Demolition Sec, II. A All end state criteria of Periodic assessments
the approved DOP have and monthly
been met including observations
disposition of building
rubble, and protection of
any known areas of
contamination.
---------------------------------------------------------------------------------------------------
Safeguard and Security Program Sec, V, C. All requirements of the Periodic Surveys,
o Program Management, SSSP following DOE Orders are periodic
o Personnel Security satisfactorily met: DOE assessments, and
o Protection Operations Orders 470.1, 470.2, monthly
o Materials Control and 471.1, 471.2A, 472.1B, observations
Accountability 473.2-1, 474.1-2,
o Information Security 5632.1C, 5639.8A
---------------------------------------------------------------------------------------------------
Fire Protection Sec. V, P All requirements of DOE Periodic assessments
Order 420.1and the and
monthly National Fire
Protection observations
Association Standards
satisfactorily met.
---------------------------------------------------------------------------------------------------
Occupational Safety Sec. V, O All requirements in DOE Periodic assessments
Orders 420.1, 440.1A and
and monthly the
Occupational Health
observations and Safety
requirements
satisfactorily met.
---------------------------------------------------------------------------------------------------
Nuclear Criticality Safety Sec. V. M All requirements of DOE Periodic assessments
Order 420.1 and ANSI/ANS8 and monthly
satisfactorily met. observations
---------------------------------------------------------------------------------------------------
Radiological Protection Sec. V, T All requirements of 10 Periodic assessments
CFR 835 satisfactorily and monthly
met. observations
---------------------------------------------------------------------------------------------------
Nuclear Safety Sec. V, N All requirements of DOE Periodic assessments
Orders 420.1, 425.1, and
monthly 5480.21, 5480.22,
and observations 5480.23
satisfactorily met.
---------------------------------------------------------------------------------------------------
Environmental Monitoring Sec. V, A All requirements of Periodic assessments
Resource Conservation and and monthly
Recovery Act (RCRA); the observations
Comprehensive
Environmental
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Response,
Compensation, and
Liability Act (CERCLA);
the Clean Air Act; the
Clean Water Act; the
Colorado Water Quality
Control Commission
(CWQCC) standards;
natural resource
management regulations,
and RFCA satisfactorily
met.
---------------------------------------------------------------------------------------------------
Environmental Remediation Section IV,A All requirements of Periodic assessments
Resource Conservation and and monthly
Recovery Act (RCRA); the observations
Comprehensive
Environmental Response,
Compensation, and
Liability Act (CERCLA);
the Clean Air Act; the
Clean Water Act; the
Colorado Water Quality
Control Commission
(CWQCC) standards;
natural resource
management regulations,
and RFCA satisfactorily
met.
---------------------------------------------------------------------------------------------------
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART I- THE SCHEDULE
SECTION F
DELIVERIES OR
PERFORMANCE
Table of Contents
Section Number Clause Title
F.1 PRINCIPAL PLACE OF PERFORMANCE
F.2 DELIVERY
F.3 PROJECT COMPLETION
Section F - Page 1
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION F
DELIVERIES OR PERFORMANCE
F.1 PRINCIPAL PLACE OF PERFORMANCE
The principal place of performance of this contract shall be within the
site outlines of the Rocky Flats Environmental Technology Site, near Golden,
Colorado, and such other facilities as may be leased or acquired from time to
time. All deliverable items shall be delivered to the Contracting Officer or
designee, unless otherwise specified.
F.2 DELIVERY
(a) Performance will commence with the effective date of this contract on
February 1, 2000. The target date for physical completion of the contract
is December 15, 2006.
(b) "Physical completion of the contract" as that term is used in Clause I.23,
Incentive Fee, is defined in Clause C. 1.2.
F.3 PROJECT COMPLETION
(a) Release of Withholdings. When the Contractor completes elements (1), (2),
(3) and (4) of physical completion as defined in Clause C. 1.2, the
Contracting Officer will project the Contractors expected fee earnings and
release withheld fees accordingly, but will retain a withholding of at
least $5,000,000 until physical completion as defined in Clause C. 1.2.
The release of withholdings by the Contracting Officer, at this point,
does not change the conditional nature of these fee payments. For
remaining conditional incentive fee payments, the Contracting Officer will
continue to withhold fees in accordance with Clause B.6.
(b) Declaration of Physical Completion. Upon physical completion of contract
as set forth in Clause C. 1.2, the Contractor may prepare a letter
declaring that the Rocky Flats Closure Project has been physically
completed. If the Contractor submits such a letter, the Government will
have one business day to decide whether the Contractor's declaration is
reasonable, after which the Government will, within ninety (90) calendar
days accept the project as complete or provide the Contractor with a final
definitive punch list of material deficiencies which preclude the
Government from accepting the physical completion of the contract. During
the acceptance period, the actual completion date shall be suspended and
fixed as of the date Contractor declares project completion. The
Contractor shall complete the identified deficiencies, the costs of which
shall be considered unallowable, during the nine (9) months immediately
succeeding the receipt of the Government's notification. During this
period, the actual completion date shall remain fixed while the Contractor
completes the remaining open deficiencies.
Upon completion of punch list material deficiencies, the Contractor will
submit a Final Declaration Letter for physical completion of the contract.
The Contractor's final Declaration Letter and the Contractor's
responsibility for completion of any material deficiencies shall be
limited only to completion of the Government's final definitive punch list
of material deficiencies established above, inasmuch as all other work was
previously accepted by the Government. In the event the Government
determines that a portion of its final punch list of material deficiencies
is not completed, the Contractor will be notified accordingly within
thirty (30) calendar days of receipt of the Contractor's Final Declaration
Letter. These costs shall also be considered unallowable. In this event,
and for any future incomplete final punch list work identified by the
Government, the Contractor shall proceed diligently with the completion of
the work and, upon completion, all withholding shall be released to the
Contractor except the required retainage amount set forth by ▇▇▇▇▇▇ ▇.23.
Section F - Page 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(c) Withheld Fee Funding and Payment.
(1) The Contractor will request a reserve of appropriate budget ninety
(90) days prior to the start of the next fiscal year or,
alternatively, the Contracting Officer will confirm in writing to the
Contractor that sufficient funds am available in the current fiscal
year to fund all or a portion of the Contractor's withheld fee.
Withheld fee shall be paid to the Contractor in the next quarter
subject to the provisions of (a) above.
(2) Upon Government acceptance of physical completion of the contact, all
remaining withholdings shall be paid to the Contractor within thirty
(30) calendar days of receipt of the Contractor's invoice.
(d) Upon full acceptance of physical completion of the contract the Government
will pay the Contractor as set forth by Clauses F. 3(c) and B.7.
(e) Contract Close-out. After the Contractor's declaration of physical
completion of the contract, the Government and Contractor shall establish
a separate plan including budget and schedule for close-out of the
contract. The Contract Close-out Plan will include all remaining
administrative matters necessary to close out the contract, including but
not limited to, resolution of remaining and open litigation, audit of
indirect costs, remaining records disposition required by the Government
ongoing monitoring and stewardship costs or any other activities required
by Clause I.22, Allowable Cost and Payment, to close-out the contract. As
set forth in Clause B.8, the cost, schedule and budget established for
contract close out activities shall not be included in Target Cost or
Target Schedule.
Section F - Page 3
Rocky Flats Closure Contract No. DE-AC34-00RF01904
This page intentionally left blank.
Section F - Page 4
Rocky Flats Closure Contract No. DE-AC34-OORF01904
SECTION J
ATTACHMENT A
PERFORMANCE GUARANTEES
Rocky Flats Closure Contract No. DE-AC34-OORF01904
PERFORMANCE AGREEMENT
---------------------
For value received, and in consideration of, and in order to induce the
United States (the Government) to enter into Contract DE-AC34-OORF01904 for the
Rocky Flats Closure Contract, (the Contract) dated, 1/24/00 by and between the
Government and ▇▇▇▇▇▇-▇▇▇▇ Company, L.L.C. (Contractor), the undersigned, ▇▇▇▇▇▇
Group International, Inc. (Guarantor), a corporation incorporated in the State
of Delaware, with its principal place of business at: ▇▇▇▇ ▇▇▇ ▇▇▇▇▇▇▇, ▇▇▇▇▇▇▇,
▇▇▇▇▇▇▇▇, hereby unconditionally guarantees to the Government (a) The full and
prompt payment and performance of all obligations, accrued and executory, which
Contractor presently or hereafter may have to the Government under the Contract,
and (b) the full and prompt payment and performance by Contractor of all other
obligations and liabilities or the Contractor to the Government, fixed or
contingent, due or to become due, direct or indirect, now existing or hereafter
and howsoever arising or incurred under the Contract, and Guarantor further
agrees to indemnify the Government against any losses the Government may sustain
and expenses it may incur as a result of the enforcement by the Government of
any of its rights and remedies under the Contract, in the event of a default by
Contractor thereunder, and/or as a result of the enforcement by the Government
of any of its rights against Guarantor hereunder.
Guarantor has read and consents to the signing of the Contract. Guarantor
further agrees that Contractor shall have the full right, without any notice to
or consent from Guarantor, to make any and all modifications or amendments to
the Contract without affecting, impairing, or discharging, in whole or in part,
the liability of Guarantor hereunder.
Guarantor hereby expressly waives all rights and defenses which might
constitute a legal or equitable discharge of a surety or guarantor. and agrees
that this Performance Guarantee Agreement shall be valid and unconditionally
binding upon Guarantor regardless of (i) any acquisition, (ii) the
reorganization, merger, or consolidation of Contractor into or with another
entity corporate or otherwise, or the liquidation or dissolution of Contractor,
or the sale or other disposition of all or substantially all of the capital
stock, business or assets of Contractor to any other person or party, or (iii)
the enforcement or judgment or the institution of any bankruptcy,
reorganization, insolvency, debt agreement, or receivership proceedings by or
against Contractor, or adjudication of Contractor as a bankrupt, or (iv) the
assertion by the Government against Contractor of any of the Government's rights
and remedies provided for under the Contract, including any modifications or
amendments thereto, or under any other document(s) of instrument(s) executed by
Contractor, or existing in the Governments favor in Law, equity, or bankruptcy.
Guarantor further agrees that its liability under this Performance Guarantee
Agreement shall be continuing, absolute, primary, and direct on itself, any
successors or assigns, and that the Government shall not be required to pursue
any right or remedy it may have against Contractor or other Guarantors under the
Contract. or any modifications or amendments thereto, or any other document(s)
or instrument(s) executed by Contractor, or otherwise. Guarantor affirms that
the Government shall not be required to first commence any action or obtain any
judgment against Contractor before enforcing this Performance Guarantee
Agreement against Guarantor. and that Guarantor will. upon demand, pay the
Government any amount, the payment of which is guaranteed hereunder and law
payment of which by Contractor is in default under the Contract or under any
other document(s) or instrument(s) executed by Contractor as aforesaid, and that
Guarantor will upon demand, perform all other obligations of Contractor, the
performance of which by Contractor is guaranteed hereunder.
Notwithstanding anything in this Performance Guarantee Agreement, the
Guarantor's obligations for performance of the contract hereunder shall not be
any greater than those of the Contractor, and the rights and defenses available
to the Contractor, and specifically related to those rights and defenses arising
out of matters of Contract performance, shall also be available to
1
Rocky Flats Closure Contract No. DE-AC34-OORF01904
the Guarantor in respect of any claim made against the Guarantor upon its
assuming its responsibilities under the Contract.
Guarantor agrees to assure that it shall cause this Performance Guarantee
Agreement to be unconditionally binding upon any successor(s) or assigns to its
interests regardless of (i) any acquisition, (ii) the reorganization, merger, or
consolidation of Guarantor into or with another entity corporate or otherwise,
or the liquidation or dissolution of Guarantor, or the sale or other disposition
of all or substantially all of the capital stock, business, or men of Guarantor
to any other person or party, or (iii) the enforcement of judgment or the
institution of any bankruptcy, reorganization, insolvency, debt agreement, or
receivership proceedings by or against Guarantor, or adjudication of Guarantor
as a bankrupt.
Guarantor further warrants and represents to the Government that the
execution and delivery of this Performance Guarantee Agreement is not in
contravention of Guarantor's Articles or organization, Charter, by-laws, and
applicable law, that the execution and delivery of this Performance Guarantee
Agreement, and the performance thereof has been duly authorized by the
Guarantor's Board of Directors, Trustees, or any other management board which is
required to participate in such decisions; and that the execution, delivery, and
performance of this Performance Guarantee Agreement will not result in a breach
of, or constitute a default under, any loan agreement indenture debt judgment or
contract to which Guarantor is a party or by or under which it is bound.
Notwithstanding any other provisions of this Performance Guarantee
Agreement, this Performance Guarantee Agreement shall expire upon the final
payment at Close out of the Contract
No express or implied provision, warranty, representation or term of this
Performance Guarantee Agreement is intended, or is to be construed. to confer
upon any third person(s) any rights or remedies whatsoever, except as expressly
provided in this Performance Guarantee Agreement.
Interpretation of this Performance Guarantee Agreement shall be subject to
Federal law.
In witness thereof. Guarantor has caused this Performance Guarantee
Agreement to be executed by its duly authorized officer, and its corporate seal
to be affixed hereto on 01/12/00
--------
Date
KAISER GROUP INTERNATIONAL, INC.
By: /s/
-----------------------------
Name
01/12/00
-----------------------------
Date
ATTESTATION INCLUDING APPLICATION
OF SEAL BY AN OFFICIAL OF
GUARANTOR AUTHORIZED TO AFFIX
CORPORATE SEAL
2
Rocky Flats Closure Contract No. DE-AC34-OORF01904
PERFORMANCE GUARANTEE AGREEMENT
-------------------------------
For value received, and in consideration of, and in order to induce the
United States (the Government) to enter into Contract DE-AC34-OORF01904 for the
Rocky Flats Closure Contract (the Contract) dated, 1/24/00 by and between the
Government and ▇▇▇▇▇▇-▇▇▇▇ Company, L.L.C. (Contractor), the undersigned, CH2M
Hill Companies, LTD. (Guarantor), a corporation incorporated in the State of
Oregon with its principal place of business at ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇, ▇▇▇▇▇▇, ▇▇,
hereby unconditionally guarantees to the Government (a) the full and prompt
payment and performance of all obligations, accrued and executory, which
Contractor presently or hereafter may have to the Government under the Contract,
and (b) the full and prompt payment and performance by Contractor of all other
obligations and liabilities of the Contractor to the Government, fixed or
contingent, due or to become due, direct or indirect, now existing or hereafter
and howsoever arising or incurred under the Contract, and Guarantor further
agrees to indemnify the Government against any losses the Government may sustain
and expenses it may incur as a result of the enforcement by the Government of
any of its rights and remedies under the Contract, in the event of a default by
Contractor thereunder, and/or as a result of the enforcement by the Government
of any of its rights against Guarantor hereunder.
Guarantor has read and consents to the signing of the Contract. Guarantor
further agrees that Contractor shall have the full right, without any notice to
or consent from Guarantor, to make any and all modifications or amendments to
the Contract without affecting, impairing, or discharging, in whole or in part,
the liability of Guarantor hereunder.
Guarantor hereby expressly waives all rights and defenses which might
constitute a legal or equitable discharge of a surety or guarantor, and agrees
that this Performance Guarantee Agreement shall be valid and unconditionally
binding upon Guarantor regardless of (i) any acquisition, (ii) the
reorganization, merger, or consolidation of Contractor into or with another
entity, corporate or otherwise, or the liquidation or dissolution of Contractor,
or the sale or other disposition of all or substantially all. of the capital
stock, business or assets of Contractor to any other person or party, or (iii)
the enforcement of judgment or the institution of any bankruptcy,
reorganization, insolvency, debt agreement, or receivership proceedings by or
against Contractor, or adjudication of Contractor as a bankrupt, or (iv) the
assertion by the Government against Contractor of any of the Government's rights
and remedies provided for under the Contract, including any modifications or
amendments thereto, or under any other document(s) or instrument(s) executed by
Contractor, or existing in the Governments favor in law, equity, or bankruptcy.
Guarantor further agrees that its liability under this Performance Guarantee
Agreement shall be continuing, absolute, primary, and direct, on itself, any
successors or assigns, and that the Government shall not be required to pursue
any right or remedy it may have against Contractor or other Guarantors under the
Contract, or any modifications or amendment is thereto, or any other document(s)
or instrument(s) executed by Contractor, or otherwise. Guarantor affirms; that
the Government shall not be required to first commence any action or obtain
any judgment against Contractor before enforcing this Performance Guarantee
Agreement against Guarantor, and that Guarantor will, upon demand, pay the
Government any amount, the payment of which is guaranteed hereunder and the
payment of which by Contractor is in default under the Contract or under any
other document(s) or instrument(s) executed by Contractor as aforesaid, and that
Guarantor will, upon demand, perform all other obligations of Contractor, the
performance of which by Contractor is guaranteed hereunder.
Notwithstanding anything in this Performance Guarantee Agreement, the
Guarantor's obligations for performance of the contract hereunder shall not be
any greater than those of the Contractor, and the rights and defenses available
to the Contractor, and specifically related to those rights and defenses arising
out of matters of Contract performance, shall also be available to
1
Rocky Flats Closure Contract No. DE-AC34-OORF01904
the Guarantor in respect of any claim made against the Guarantor upon its
assuming its responsibilities under the Contract
Guarantor agrees to assure that it shall cause this Performance Guarantee
Agreement to be unconditionally binding upon any successor(s) or assigns to its
interests regardless of (i) any acquisition, (ii) the reorganization, merger, or
consolidation of Guarantor into or with another entity, corporate or otherwise,
or the liquidation or dissolution of Guarantor, or the sale or other disposition
of all or substantially all of the capital stock, business, or assets of
Guarantor to any other person or party, or (iii) the enforcement of judgment or
the institution of any bankruptcy, reorganization, insolvency, debt agreement,
or receivership proceedings by or against Guarantor, or adjudication of
Guarantor as a bankrupt.
Guarantor further warrants and represents to the Government that the
execution and delivery of this Performance Guarantee Agreement is not in
contravention of Guarantor's Articles of organization, Charter, by-laws, and
applicable law; that the execution and delivery of this Performance Guarantee
Agreement, and the performance thereof, has been duly authorized by the
Guarantor's Board of Directors, Trustees, or any other management board which is
required to participate in such decisions, and that the execution, delivery, and
performance of this Performance Guarantee Agreement will not result in a breach
of or constitute a default under, any loan agreement, indenture, debt, judgment
or contract to which Guarantor is a party or by or under which it is bound.
Notwithstanding any other provisions of this Performance Guarantee
Agreement, this Performance Guarantee Agreement shall expire upon-the final
payment at close out of the Contract.
No express or implied provision, warranty, representation or term of this
Performance Guarantee Agreement is intended, or is to be construed, to confer
upon any third person(s) any rights or remedies whatsoever, except as expressly
provided in this Performance Guarantee Agreement
Interpretation of this Performance Guarantee Agreement shall be subject to
federal law.
In witness thereof, Guarantor has caused this Performance Guarantee
Agreement to be executed by its duly authorized officer, and its corporate seal
to be affixed hereto on 12 January 2000
---------------
(Date)
CH2M HILL COMPANIES, LTD
By: /s/ ▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇
--------------------------
Name
12 January 2000
--------------------------
Date
ATTESTATION INCLUDING APPLICATION
OF SEAL BY AN OFFICIAL OF
GUARANTOR AUTHORIZED TO AFFIX
CORPORATE SEAL
2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART I - THE SCHEDULE
SECTION G
CONTRACT ADMINISTRATION DATA
Table of Contents
Section Number Clause Title
G.1 CORRESPONDENCE PROCEDURES
G.2 ADDRESSES
G.3 BILLING INSTRUCTIONS
G.4 DEFECTIVE OR IMPROPER INVOICES
G.5 DOE PROPERTY ADMINISTRATION
G.6 REPRESENTATIONS AND CERTIFICATIONS
G.7 INVOICING/PAYMENT PROCEDURES
SECTION G - Page 1
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION G
CONTRACT ADMINISTRATION DATA
----------------------------
G.1 CORRESPONDENCE PROCEDURES
To promote timely and effective administration, correspondence submitted
under this contract shall include the contract number and shall be subject to
the following procedures:
(a) Technical Correspondence. Technical correspondence (as used herein, this
term excludes technical correspondence where patent or technical data
issues are involved and correspondence which proposes or otherwise
involves waivers, deviations, or modifications to the requirements,
terms, or conditions of this contract) shall be addressed to the DOE
Contracting Officer's Representative (COR) with an information copy of
all correspondence to the DOE Contracting Officer.
(b) Other Correspondence. All other correspondence shall be addressed to the
DOE Contracting Officer, with information copies of the correspondence
to the COR and the DOE Patent Counsel (where patent or technical data
issues are involved).
G.2 ADDRESSES
The DOE Contracting Officer's address is:
Contracts Management Division - Bldg. 460
Attn: ▇▇▇▇▇▇ ▇. ▇▇▇▇
Rocky Flats Field Office
US Department of Energy
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
Future revisions of the Contracting Officer or the address may be
accomplished by written notification from the Contracting Officer to the
Contractor, without a formal contract modification.
G.3 BILLING INSTRUCTIONS
(a) The Contractor shall submit the original and three copies of invoices or
vouchers, in accordance with the Payments provisions of this contract,
to the following address:
Office of the Field Chief Financial Officer, Bldg. 460
Attn: Finance Group
Rocky Flats Field Office
US Department of Energy
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
(b) The Contractor shall submit invoices in accordance with the Billing
Instructions, which will be provided at time of award of a contract, and
other applicable clauses of this document.
SECTION G - Page 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
G.4 DEFECTIVE OR IMPROPER INVOICES
Name (where practicable), title, phone number, office name, and complete
mailing address of officials of the business concern who are to be notified when
the Government receives a defective or improper invoice:
▇▇▇▇▇▇-▇▇▇▇ Company, LLC
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇ ▇▇▇▇ ▇, ▇▇▇▇▇▇▇▇ ▇▇▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
Attention:▇▇. ▇. ▇. ▇▇▇▇▇▇▇▇
Vice President, Administration and CFO
Telephone: (▇▇▇) ▇▇▇-▇▇▇▇
G.5 DOE PROPERTY ADMINISTRATION
For purposes of administration of government property, the points of
contact are:
For real property:
▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇▇▇▇ 966-6501
For other than real property:
▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ (Primary) 966-5918
▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ (Secondary) 966-4639
Assistant Manager for Environment & Infrastructure, Building 460
Rocky Flats Field Office
US Department of Energy
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-8200
Future revisions of the points of contact may be accomplished by written
notification from the Contracting Officer to the Contractor, without formal
contract modification.
G.6 REPRESENTATIONS AND CERTIFICATIONS
The Representations and Certifications completed as attachment to
Section J leading to award of this contract, dated November 15, 1999, are hereby
incorporated into this contract.
G.7 INVOICING/PAYMENT PROCEDURES
(a) The Government will make payments to the Contractor by electronic funds
transfer not later than three (3) business days after receipt of an
acceptable invoice from the Contractor.
(b) The Contractor may submit cost invoices no more frequently than
bimonthly. Fee invoices will be submitted in accordance with Clause B.6.
(c) Any defects in invoices which are discovered after acceptance and
payment will be corrected on subsequent invoices. If the Government
discovers such defects, the Contracting Officer will notify
SECTION G - Page 3
Rocky Flats Closure Contract No. DE-AC34-00RF01904
the Contractor in writing to the individual listed in Clause G.4,
DEFECTIVE OR IMPROPER INVOICES, above. The Contracting Officer's
written notification will explain the nature of the defect, and will
direct the Contractor to reflect the appropriate credit on the next
invoice submitted under this Contract. Unless the Contractor reconciles
the defect to the satisfaction of the Contracting Officer within seven
(7) calendar days, the Contractor shall make the credit as previously
directed by the Contracting Officer.
(d) Any bases for withholding, set off or reduction with respect to invoices
which are discovered after acceptance will be corrected on subsequent
invoices. If the Government discovers such bases for withholding, set
off or reduction, the Contracting Officer will notify the Contractor in
writing to the individual listed in Clause G.4, Defective or Improper
Invoices, above. The Contracting Officer's written notification will
explain the nature of the bases for withholding, set off or reduction,
will specify the dollar amount of the withholding, set off or reduction
and will direct the Contractor to reflect the appropriate credit on the
next invoice submitted under this contract. Unless the Contractor
reconciles the bases for withholding, set off or reduction to the
satisfaction of the Contracting Officer within seven (7) calendar days,
the Contractor shall make the credit as previously directed by the
Contracting Officer.
(e) Nothing in this provision shall affect the rights of either the
Government or the Contractor under the Prompt Payment clause of this
contract.
(f) Notwithstanding the provisions of FAR 52.232-25(a)(4), the Government
is not limited to the seven (7) day notification to the Contractor of a
defective invoice.
(g) The Government acknowledges and agrees that the Contractor may finance
its performance under this contract by selling accounts receivable
arising under the contract to an affiliate of the contractor organized
solely for the purpose of assisting in the financing of the Contractor's
performance under the contract. Such affiliate may further sell and/or
otherwise grant a security interest in such receivables to an ultimate
financing source or sources or an agent or trustee acting on behalf of
an ultimate financing source or sources, such further sale and/or grant
of a security interest being solely for the purpose of completing the
financing of the Contractor's performance of the work under the
contract. The ultimate financing source or sources would provide funds
to the affiliate solely for the purpose of financing the affiliate's
purchasing said accounts receivable from the Contractor, thereby
providing the funding to the contractor to perform the work under the
contract. The Government consents to the financing arrangement
described above.
SECTION G - Page 4
Rocky Flats Closure Contract No. DE-AC34-00RF01904
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SECTION G - Page 5
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART I - THE SCHEDULE
SECTION H
SPECIAL CONTRACT REQUIREMENTS
TABLE OF CONTENTS
Section Number Clause Title
H.1 PROJECT CONTROL SYSTEMS AND REPORTING REQUIREMENTS
H.2 TECHNICAL DIRECTION
H.3 STOP-WORK AND SHUTDOWN AUTHORIZATION
H.4 AUTHORIZATION AGREEMENT
H.5 PERFORMANCE GUARANTEE AGREEMENT
H.6 ROCKY FLATS CLEANUP AGREEMENT
▇.7 ASSIGNMENT OF SUBCONTRACTS
H.8 INTERNAL AUDIT
H.9 RESPONSIBILITIES FOR OPERATION/TERMINATION OF BENEFITS SYSTEMS
H.10 LITIGATION SUPPORT AND LITIGATION MANAGEMENT PLAN
H.11 KEY PERSONNEL
H.12 CONTRACTOR SELF-PERFORMANCE
▇.13 PATENT INDEMNITY SUBCONTRACTS
▇.14 AUTHORIZATION AND CONSENT IN COPYRIGHT
H.15 ROYALTY INFORMATION DURING TERM OF CONTRACT
H.16 ALTERNATE DISPUTE RESOLUTION
H.17 CONTRACT TRANSITION
H.18 EVALUATION OF SUBCONTRACTORS
H.19 EMPLOYEE PERFORMANCE INCENTIVES AND REWARD AND RECOGNITION
H.20 LABOR DISPUTES AND WHISTLEBLOWER ACTIONS
Section H - Page 1
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION H
SPECIAL CONTRACT REQUIREMENTS
H.1 PROJECT CONTROL SYSTEMS AND REPORTING REQUIREMENTS
H.1.01 Project Control System Requirements
(a) In the performance of this contract, the Contractor shall establish,
maintain and use a project control system meeting the requirements
specified in the contract, in the following paragraphs titled "Baseline
Development," "Project Performance," and "Baseline Change Management" of
this Section H.1, and any other system requirements defined by the
Contracting Officer. Contractor may use a pre-existing project control
system if such system satisfactorily addresses the system requirements
defined below.
(b) The project control system must also meet the requirements of the
following DOE guidance:
(1) DOE Order 430.1A, Life-Cycle Asset Management (LCAM), October
14, 1998;
(2) Integrated Planning, Accountability, and Budgeting System -
Information Systems (IPABS-IS) Data Requirements, December 18,
1998;
(3) Integrated Planning, Accountability, and Budgeting System
(IPABS) Handbook, February 16, 1999; and
(4) HQ Baseline Change Control Charter, Office of Environmental
Management, Rev. 0, June 23, 1999.
(c) The Contractor shall provide the Contracting Officer with a detailed
written description of the proposed project control system for review
and approval within 30 days after award of the contract. Cost effective,
graded application of controls will be a critical factor in determining
acceptability of the proposed system.
(d) The Contracting Officer or designated representatives will conduct a
compliance review of the Contractor's proposed project control system to
determine if the description and procedures meet the intent of this
contract clause, "H.1, Project Control Systems and Reporting
Requirements." The Contracting Officer will use the following two
references as the main tools to evaluate the Contractor's project
control system:
(1) DOE/PR-036, Project Control System Guidelines Implementation
Reference Manual, Interim, December 1992; and
(2) A Guide to the Project Management Book of Knowledge, Project
Management Institute, 1996.
Upon system approval by the Contracting Officer, the Contractor shall
fully implement the project control system. The Contractor shall not
make any significant changes to the approved system without the prior
written approval of the Contracting Officer. The Contracting Officer may
direct additional compliance reviews after contract award to determine
whether the Contractor is operating the project control system
efficiently and producing accurate planning, budgeting, reporting and
change control data.
(e) The Contractor shall provide the Contracting Officer or designated
representatives with access to all pertinent records, data, and plans
for purposes of initial approval, approval of proposed changes, and the
ongoing operation of the project control system.
Section H - Page 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
H1.02 Baseline Development
(a) Technical Baseline and Work Scope Definition
(1) Work Breakdown Structure. The Work Breakdown Structure (WBS)
shall provide the basis for all project control system
components, including estimating, scheduling, budgeting,
performing, managing, and reporting, as required under this
contract.
(2) Technical Baseline. The approved project technical baseline shall
be established and maintained in a manner that ensures it can be
used to further define and accomplish work, performance can be
objectively measured, and its configuration is controlled and
changes managed by formal processes. The cost account (currently
Work Authorization Documents or WADs) is the fundamental grouping
of work at which the Contracting Officer will receive routine
status reports, evaluate and measure project performance, and
exercise change control authority. Cost accounts will be
summarized into nine Project Baseline Descriptions.
(b) Roles and Responsibilities
(1) Organizational Breakdown Structure. The manager responsible for
each cost account within the WBS shall be identified. The
functional and technical scope responsibilities, limits of
authority, and key interface points for each cost account manager
will also be included.
(2) Indirect Costs. Person(s) with responsibility and authority for
managing and controlling indirect costs shall be identified at a
level consistent with the other cost accounts.
(3) Cost Account Manager Responsibilities. A cost account shall be
assigned to a manager with responsibility and authority to plan
and budget the work, and control the resources and work
activities within the approved technical, schedule, and cost
baselines. The Cost Account Manager is also responsible to report
status to allow complete project rollup of technical, schedule,
and cost performance for current period, cumulative to-date, and
at-completion.
(c) Cost Estimating
(1) Estimating Methodologies. Estimates shall be integrated with the
WBS and use estimating methodologies that are consistent with DOE
Order 5700.2D, Cost Estimating Analysis and Standardization.
(2) Estimate Preparation. Estimates shall be prepared consistent with
the established project baseline and can be identified by each
WBS element, or rolled up to cost account, Project Baseline
Description (PBD), or total closure project level. The control
system must maintain capability to provide Total Estimated Cost
(TEC), Total Project Cost (TPC), Estimates-to-Complete (ETC), and
Estimates-at Completion (EAC).
(d) Planning and Scheduling Baseline
(1) Planning Constraints. A planning process shall be established and
maintained throughout the project life that identifies
programmatic, operational, legislative, institutional, and other
requirements, constraints, and assumptions that may affect
technical, schedule, and cost baselines. Potential impacts are
identified and considered in managing baselines through
contingency planning and management.
Section H - Page 3
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(2) Project Risk Management. The Risk Management Plan shall be
developed that identifies the various internal and external risks
to achieving the project baseline. The Risk Management Plan will
analyze possible alternatives to mitigate impacts, select and
definitize specific alternatives including cost and
implementation schedules for each alternative, and provide for
routine reporting and updating of the Plan at least quarterly.
(3) Schedule Development. Schedules shall be developed that integrate
with the WBS and cost estimates and represent all project work
scope regardless of funding source. Certain non-project level of
effort work scope may be excluded. Each activity will have
assigned duration representing work scope accomplishment.
Activity logic links shall depict all work scope constraints and
decision points and shall be integrated into a total project
network schedule. Work scope critical path network schedules are
required for the total project and each PBD and in all cost
accounts which exceed $5 million in life-cycle cost.
(4) Schedule Baseline. The project schedule shall clearly depict
critical path activities and milestones from which actual
performance for activities and milestones can be compared, and
from which performance forecasts can be derived. Activities shall
be resource loaded at one level below the cost account or lower
to develop time-phased budgets that are integrated with the
schedule.
(5) Intermediate Schedules. The project schedule shall be developed
in a manner that allows extraction of intermediate and detail
level schedules, for individual Project Baseline Descriptions and
individual cost accounts. Milestones shall be identified and
maintained as part of the schedules.
(e) Cost
(1) Cost Accounts. A cost account structure shall be developed that
is integrated with the WBS and facilitates collection of cost by
functional organization and cost element. All work scope for the
cost account shall be identified and a budget for that work
developed. Budget projections shall be time-phased consistent
with the schedule and anticipated resources, and shall be
reconcilable with the cost estimate.
(2) Total Value of Accounts. All work shall be represented in cost
accounts and the sum of the cost account budgets, plus
contingency and management reserve and fee, equals the baseline
value. The baseline will separately identify the following
individual budget elements:
a) Direct budget - developed at Work Package level, identified at
cost account level
b) Indirect budget - same as direct budget for indirect accounts
c) Management Reserve budget - identified at total closure
project level
d) Cost Contingency - developed at cost account level, but
summarized at PBD level
e) Fee - developed based on adjusted target cost, identified at
baseline summary level
(3) Managing Cost Accounts. A practical and effective method for
controlling and measuring performance of the cost accounts shall
be used, that is verifiable and consistent with schedule
performance management. The Contractor shall exercise specific
control and decision authority at the cost account level or
lower. Indirect budgets, management reserve, and cost contingency
will be included in the cost account management system.
H 1.03 Project Performance
(a) Funds Management
Section H - Page 4
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(1) Funding Limits. Project commitment and expenditures shall not
exceed funding limits as approved by the Contracting Officer.
Funding controls as established in the Contractor's control
system shall provide early warning before funding limits are
exceeded.
(2) Funding Changes. The Contractor shall analyze DOE proposed or
directed funding changes for their impact on technical, schedule,
and cost elements of the baseline. Baseline changes to adjust for
significant funding changes may be proposed consistent with
Change Control procedures.
(3) Funding Reconciliation. An ability to reconcile forecasted
funding requirements with estimated costs to execute remaining
project work shall be maintained on a monthly basis by cost
account. Analysis of the variance between currently authorized
funds and estimated costs to complete shall be used by the
Contractor to make adjustments to budgets or release contingency
funds to Cost Account Managers as appropriate.
(b) Accounting
(1) Recording Costs. All actual direct costs incurred for resources
applied in the performance of work shall be recorded on a timely
basis each month. Cost assignments shall be made in accordance
with an established and auditable system that conforms to
Generally Accepted Government Accounting Standards and Cost
Accounting Standards. Actual costs incurred must be recorded in
the same accounting period that performance is measured and
recorded. Any indirect costs and contingency costs shall also be
collected and appropriately allocated to the project.
(2) Collecting Costs. Costs shall be collected at a Work Package
level or lower and able to be summed through the WBS, cost
account, PBD, or by major Contractor functional organizations.
Mischarges on time cards or other administrative or accounting
errors shall be corrected in a timely manner. Cost Account
Managers shall be provided appropriate reports and information to
analyze monthly charges and are held responsible for the validity
of charges to their cost account.
(c) Work Authorization
(1) Work Authorization. Approval of this Contract provides
authorization for the Contractor to complete the full scope of
work in the Contract. Any Contractor requested changes or DOE
directed changes shall be addressed through the established
Change Control process.
(2) Contract Funding. The Closure Project Baseline with any approved
revisions shall provide the basis for annual authorization of
funds to the Contractor for each fiscal year. The Manager of the
Rocky Flats Field Office will under normal conditions obligate to
the contract the total annual project funding at the start of the
fiscal year. Contract funding under this contract shall be
subject to the administrative controls as described below:
Annual Work Analysis. Prior to the release of funds for
each fiscal year, the DOE will analyze the technical,
schedule, and cost baseline for that upcoming fiscal year.
By May 31st each year the DOE will provide an estimate of
any budget restrictions, or specific technical or schedule
guidance for the upcoming fiscal years through the
remainder of the project. The Contractor shall prepare a
project performance forecast for all upcoming fiscal years
from the approved total Closure Project Baseline and the
DOE guidance. By July 31st each year the Contractor shall
submit to the Contracting Officer or designee a
comprehensive analysis of total project status, including
impacts to technical, schedule, and cost elements of the
Closure Project Baseline and the projected budget
allocations to
Section H - Page 5
Rocky Flats Closure Contract No. DE-AC34-00RF01904
cost accounts with a focus to activities described in the
baseline for the upcoming fiscal year. This deliverable is
known as the Annual Work Analysis (AWA), as derived from
the life-cycle project baseline. Variations from the
life-cycle project baseline described in the AWA, which
exceed established thresholds, shall be addressed through
established Change Control procedures and if necessary,
incorporated into the contract by modification.
(3) Resolving Conflicts. In the event there is a conflict between
the requirements of this clause and the referenced DOE Orders and
guidance, the Contractor shall obtain guidance from the DOE
Contracting Officer.
(4) Responsibility to Achieve Environmental, Safety and Health
Compliance. It is the intention of the Government that all work
performed by the Contractor be conducted in a manner that
protects the environment, the health and safety of employees, and
the public. Notwithstanding the other provisions of this clause,
the Contractor has, in the event of an emergency, authority to
authorize corrective actions as may be necessary to sustain
operations in a manner consistent with applicable environmental,
safety and health statutes, regulations, and procedures. The
Contracting Officer shall be notified in writing within 24 hours
of any Contractor action taken pursuant to this provision.
(d) Performance Analysis
(1) Project Performance. Differences between planned and actual
performance, shall be analyzed and reviewed monthly against the
total project baseline and the Target Cost and Target Schedule
for the current fiscal year portion of the total project.
Performance analysis techniques shall be commercially accepted
and documented, and shall utilize earned-value methods at the
cost account or lower levels of the WBS and shall be reported to
DOE at the PBD level. Objective measures are preferred for
measurement of all technical work scope. For variances between
planned and actual that exceed thresholds established by the
Contracting Officer, the analysis shall describe the causes for
variance, impact on other cost accounts, and corrective action
required.
(2) Project Risk and Contingency Management. The risk from project
and program factors that may affect the technical, schedule, or
cost aspects shall be included in the development of the project
baseline. Changes in the nature of these risks due to evolving
social, political, organizational, environmental or other factors
shall be analyzed quarterly, and resulting impacts to the project
baseline evaluated. Risk plans shall be adjusted and risk
management actions taken as appropriate, including performance
improvements, reallocation of budgets to cost accounts, release
of contingency funds, or baseline change proposals submitted if
thresholds are exceeded.
(3) Estimate at Completion. Quarterly the Estimate at Completion
(EAC) for the total project shall be reviewed and evaluated for
consistency with observed trends in performance, emerging or
resolved issues, and changes in the assessment of project risk.
(e) Reporting
(1) Periodic Plans and Reports. The Contractor shall submit periodic
plans and reports in such form and substance as required by the
Contracting Officer. These periodic plans and reports shall
address general management, schedule/labor/cost, performance
measurement, financial incentives, and other technical
information relating to performance under the Contract. Section
J, Attachment F (Reporting Requirements Checklist) provides
specific information regarding the required plans and reports,
frequency, due dates, reporting levels, distribution, and
thresholds which apply. Where
Section H - Page 6
Rocky Flats Closure Contract No. DE-AC34-00RF01904
specific forms are required for individual plans and reports, the
Contracting Officer shall provide such forms to the Contractor.
(2) Quarterly Critical Analysis (QCA). Once each quarter the
Contractor shall prepare and submit a comprehensive report which
critically analyzes the overall status of the closure project as
well as many key metrics. This report shall include overall
narrative summaries, analysis of schedule trends and projects
float, critical path performance, analysis of critical manpower
skills of other resources, budget and funding figures, and
project risk and contingency plan updates. Reporting elements
required for the QCA are indicated on the Section J, Attachment F
(reporting Requirements Checklist). Each QCA will be signed by
the top executive for the Contractor to revalidate the
Contractor's commitment and accountability for the project
performance.
(3) Report Consistency. Plans and reports shall be prepared in such
a manner as to provide for consistency with the contract
Statement of Work, the project baseline, the approved Work
Breakdown Structure, and correlation of data among the various
plans and reports. The reporting system established and
maintained by the Contractor pursuant to this clause shall
recognize changes in work effort directed by the Contracting
Officer. The Contractor's reporting system shall be able to
provide for the following at the PBD level:
1) Timely incorporation of contractual changes affecting
estimated cost and schedule;
2) Reconciliation of estimated costs for those elements of
the WBS or discrete cost accounts with current
performance measurement budgets in terms changes to the
authorized work and internal replanning;
3) Changes to records pertaining to work performed that will
change previously reported costs for correction of errors
and routine accounting adjustments;
4) Revisions to the Contract's estimated costs for
Government-directed changes to the contractual effort.
(4) Full Access. The Contractor shall provide the Contracting
Officer, or designated authorized representatives, access to any
and all information and documents comprising the Contractor's
project control and reporting system. Generally access will not
be requested more than one level below the level chosen by the
DOE for control and approval authority (PBD), except during
compliance reviews.
(5) Flow-Down of Reporting. The Contractor shall include graded
reporting requirements in all subcontracts adequate to fairly
evaluate performance. The full requirements of this clause shall
be in all cost-reimbursement type contracts when:
1) The value of the subcontract is greater than $12.5
million per year, unless specifically waived by the
Contracting Officer; or,
2) The Contracting Officer determines that the
contract/subcontract effort is, or involves, a critical
task related to the contract.
H.1.04 Baseline Change Management
(a) Baseline Changes. The baseline (which shall be defined for all purposes
notwithstanding any other language in this contract as the Rocky Flats
Closure Project Baseline) is the source document for all project control
and baseline change management. The processes for managing
Section H - Page 7
Rocky Flats Closure Contract No. DE-AC34-00RF01904
and administering changes to all elements of the baseline shall be
timely, formal, and documented. Baseline changes shall be proposed when:
(1) Necessitated by significant project delays, events or other
impacts; or
(2) The parties have negotiated an equitable adjustment in accordance
with Clause, I.75 entitled "Changes - Cost Reimbursement" or
other clauses of this contract.
(b) Baseline Thresholds. Provided that the change does not affect Target
Cost and Target Schedule, the baseline change control thresholds for
technical, schedule, and cost changes shall be the lesser of the
following:
DOE Headquarters Level $40,000,000 or 20% of the PBD costs
on an annual basis
RFFO Level $20,000,000 or 10% of the PBD costs
on an annual basis
Contractor Level Up to the RFFO level
(c) Spending at Variance. In some circumstances the Contractor may exceed
authorized budget levels for a specific cost account when a baseline
change is not warranted, such as for cost overruns. The change control
system shall track, manage, and provide for approval of changes in
funding level as a separate but integrated part of the overall change
control process. Change control records shall maintain clear distinction
between approved changes in funding and baseline changes.
(d) Change Control Processing. Change proposals shall be initiated and
processed in a timely fashion consistent with the requirements of this
contract. Specific change control time frames for consideration and
approval will be established by the Contracting Officer. Each change
control threshold level shall accommodate emergency changes. A record of
all approved changes, at any level, shall be maintained through the life
of the project.
(e) A baseline update to the Rocky Flats Closure Baseline, revision 3a and
the Contractor's system of earned value will be submitted on June 30,
2000, and will include the following features:
o Will incorporate the Statement of Work and the terms and conditions of
this contract
o Will include baseline changes agreed to through June 30, 2000
o Will align project costs (budgeted cost of work scheduled plus
contingency) and the expected conditional incentive fee with the
annual funding level anticipated for this contract
o Will address ▇▇▇▇▇ and Young findings on the review of Revision 3a
o Will be developed at the same or lower level of detail as Revision 3a
The Contractor shall have the right to implement the revised baseline
and its system of earned value following submittal of the baseline,
subject to adjustments agreed between the parties.
(f) Target Cost and Schedule Adjustments. Any changes to target cost, target
fee, target date or target schedule incentive fee shall be executed only
by a contract modification pursuant to the contract terms and
conditions. Baseline changes will not imply the need for a contract
modification.
Section H - Page 8
Rocky Flats Closure Contract No. DE-AC34-00RF01904
H.2 TECHNICAL DIRECTION
(a) In addition to those functions specifically reserved throughout this
contract for the Contracting Officer, the Contracting Officer shall be
the sole authority within the RFFO for establishment of Performance
Baseline Descriptions (PBDs), establishment of work priorities, and
directing work requiring the expenditure of funds which have been
obligated for performance of this contract.
(b) Certain actions that require the formal signature of a Contracting
Officer may be officially delegated in writing to Contracting Officer's
Representatives (CORs). For the purpose of this clause, a COR is an
individual designated by the Contracting Officer to act as an authorized
representative for such functions as technical monitoring, inspection,
and other functions of a technical nature not involving a change in the
scope, cost, terms or conditions of the contract. Copies of any such
delegations relating to this contract will be provided to the
Contractor. The Contractor shall comply with direction provided by the
COR. The following positions are identified as having COR authority:
▇▇▇▇ ▇▇▇▇▇, the Deputy Manager, authority for environmental restoration;
waste management; environmental/ ecological monitoring; nuclear material
management; building management; environment, safety, and health;
nuclear and criticality safety; emergency management; safeguards and
security; architect/engineering and construction management; regulatory
interface and commitment activities; operational baselines and planning;
performance measure development and validation; necessary and sufficient
program; management control system; authorization basis activities;
performance assessment; quality assurance; invoice reviews; and
operations management;
▇▇▇▇ ▇▇▇, Chief Counsel, authority for litigation management activities,
invoice reviews and approvals/disapprovals, and the administration of
the DOE Office of General Counsel Legal Services and Litigation
Management Policies and Procedures
▇▇▇▇ ▇▇▇ ▇▇▇▇▇▇, acting Field Chief Financial Officer, authority for
budget formulation and budget execution activities, finance and
accounting activities, audit and audit-related activities, financial
compliance activities, and invoice reviews;
▇▇▇▇ ▇. ▇▇▇▇▇▇▇, Closure Project Communications, authority for Freedom
of Information Act requests;
▇▇▇▇▇▇▇ ▇▇▇▇, Assistant Manager for Field and Performance Assessment,
serving as the Deputy Manager's alternate COR, authority for
environmental restoration; waste management; environmental/ecological
monitoring; nuclear material management; building management;
environment, safety, and health; nuclear and criticality safety;
emergency management; safeguards and security; architect/engineering and
construction management; regulatory interface and commitment activities;
operational baselines and planning; performance measure development and
validation; necessary and sufficient program; management control system;
authorization basis activities; performance assessment; quality
assurance; invoice reviews; and operations management; and
▇▇▇ ▇▇▇▇▇▇, Assistant Manager for Environment and Infrastructure,
serving as the Deputy Manager's alternate COR, authority for
environmental restoration; waste management; environmental/ecological
monitoring; nuclear material management; building management;
environment, safety, and health; nuclear and criticality safety;
emergency management; safeguards and security; architect/engineering and
construction management; regulatory interface and commitment activities;
operational baselines and planning; performance measure development and
validation; necessary and sufficient program; management control system;
authorization basis activities; performance assessment; quality
assurance; invoice reviews; and operations management.
Section H - Page 9
Rocky Flats Closure Contract No. DE-AC34-00RF01904
In addition to the above CORs, the Rocky Flats Field Office Manager has
full contracting authority in his/her capacity of Head of the
Contracting Activity. This authority is assumed by any individual he/she
designates to act as the Manager in his/her absence, when that designee
is acting within the limits of the Manager's delegation of authority.
Persons with written delegation of authority to act for the above CORs
on a temporary basis may sign authorizations within the CORs' authority.
Also, DOE personnel designated as Facility Representatives provide
technical oversight of operations to help line management assure that
the facilities are operated in a safe, healthful, and environmentally
acceptable manner in accordance with DOE Directives and other
requirements. As such, they have Stop Work and Shutdown Authorization
Authority.
(c) The performance of work by the Contractor, in compliance with the
Project Control System and PBDs, shall be subject to technical direction
from the CORs as follows:
(1) Directions to the Contractor which redirect the contract effort,
shift work emphasis within a work area or a PBD, require pursuit of
certain lines of inquiry, fill in details, or otherwise serve to
accomplish the contractual Statement of Work.
(2) Provision of written information to the Contractor which assists in
the interpretation of drawings, specifications, or technical
portions of the work description.
(3) Review and, where required by the contract, approval of reports,
drawings, specifications, and information to be delivered by the
Contractor to the Government under the contract.
(4) Monitoring compliance with applicable Environment, Safety and
Health provisions and DOE Rules and Orders.
(d) The Contractor shall only accept technical direction if provided in
writing and if within the provisions of the contract and the scope of
the closure project baseline. Technical direction shall not (1)
authorize the Contractor to exceed the total funds obligated on the
contract; (2) entitle the Contractor to any increase in the total amount
of fee set forth in the contract; (3) change any of the express terms or
conditions of the contract; or, (4) interfere with the Contractor's
rights under the terms and conditions of the contract.
(e) The Contractor shall proceed promptly with the performance required by
duly issued written technical directions. If, in the opinion of the
Contractor, any technical direction violates the prohibitions set forth
in paragraph (d) of this clause, the Contractor shall not proceed but
shall promptly orally notify the Contracting Officer of the direction
and reason(s) the direction violates the provisions of this clause. The
Contractor shall confirm this notification in writing within five (5)
workdays from receipt of DOE's written direction. The Contracting
Officer shall render a decision on whether or not the technical
direction is or is not within the Statement of Work of the contract and
whether or not a change order will be issued pursuant to the clause
entitled, "Changes." This decision shall be issued and/or confirmed in
writing, and the Contractor shall promptly comply with the DOE's
direction.
(f) A failure of the Contractor and DOE to agree that the technical
direction is within the scope of the contract, or a failure to agree
upon the contract action to be taken with respect thereto, shall be
subject to the provision of the clause entitled, "Disputes (Alternate
I)" (FAR 52.233-1).
H.3 STOP-WORK AND SHUTDOWN AUTHORIZATION
(a) In the event of an imminent health and safety hazard, identified by
facility line management or operators or facility health and safety
personnel overviewing facility operations, the individual or group that
identified the imminent hazard situation should immediately take actions
to eliminate or
Section H - Page 10
Rocky Flats Closure Contract No. DE-AC34-00RF01904
mitigate the hazard (i.e., by directing the operator/implementer of the
activity or process causing the imminent hazard to stop work, or by
initiating emergency response actions or other actions) to protect the
health and safety of the workers and the public and to protect DOE
facilities and the environment. In the event an imminent health and
safety hazard is identified, the individual or group that identified the
hazard should coordinate with an appropriate Contractor official, who
will direct the shutdown or other actions, as required. Such mitigating
actions should subsequently be coordinated with the DOE Field Office
Manager and Contractor management. The suspension or stop work order
should be promptly confirmed in writing from the Contracting Officer.
(b) In the event of a non-imminent health and safety hazard identified by
facility line managers, facility operators, health and safety personnel
overviewing facility operations, or by independent oversight
organizations, the individual or group identifying the potential health
and safety hazard may recommend facility shutdown. However, the
recommendation must be coordinated with Contractor management, and the
responsible Field Office Manager. Any written direction to suspend
operation should be issued by the Contracting Officer.
(c) Imminent Health and Safety Hazard is a given condition or situation
which, if not immediately corrected, could result in serious injury or
death, including exposure to radiation and toxic/hazardous chemicals.
Imminent Danger in relation to the Facility Safety Envelope is a
condition, situation or proposed activity which, if not terminated could
cause, prevent mitigation of, or seriously increase the risk of (1)
Nuclear Criticality, (2) Radiation Exposure, (3) Fire/Explosion, and/or
(4) Toxic/Hazardous Chemical Exposure.
(d) DOE personnel designated as Facility Representatives provide technical
oversight of operations to help line management assure that the
facilities are operated in a safe, healthful, and environmentally
acceptable manner. As such, they have Stop Work and Shutdown Authority.
H.4 AUTHORIZATION AGREEMENT
(a) The purpose of this clause is to 1) formalize the Contractor's and the
DOE's utilization of Authorization Agreements substantially in the
format of Authorization Agreement Nos. RFETS-006 (Building 559) and
RFETS-013 (750/904 Pads) both of which can be found in Section J,
Attachment G of this Contract; and 2) establish the process for
development and administration of Authorization Agreements.
(b) The Contractor and the DOE will periodically negotiate separate
Authorization Agreements for designated Site facilities and activities.
Each Authorization Agreement will identify the Authorization Basis,
which includes the DOE approved facility or activity safety basis and
contains a control set, that when fully implemented, will support the
safe performance of work on Site. An Authorization Basis may be changed
to update a facility or activity's safety basis in accordance with Site
procedures. The current authorization basis for Site facilities and
activities is reflected in the Authorization Basis Document List.
(c) Authorization Agreement(s) will be signed by the Contracting Officer and
the Contractor's President. The effective date for each current and
future Authorization Agreement will be the date of the signature of the
party last to sign the Authorization Agreement, and on this date it will
be considered incorporated into this Contract by reference. Some
Authorization Agreements will contain the date by which the
Authorization Basis in the Authorization Agreement must be completely
implemented if not already implemented at the time of the signature of
the party last to sign the Authorization Agreement.
(d) Except for changes made to an Authorization Basis, under the procedures
referred to in subparagraph (c) above, an Authorization Agreement may
only be changed bilaterally in writing
Section H - Page 11
Rocky Flats Closure Contract No. DE-AC34-00RF01904
by the Contracting Officer and the Contractor's President. Changes to an
Authorization Agreement shall be considered incorporated into this
Contract by reference.
H.5 PERFORMANCE GUARANTEE AGREEMENT
The Contractor's Guarantor organizations have provided a Performance
Guarantee Agreement in a manner and form acceptable to the Contracting Officer
assuring the performance, duties, and responsibilities of the Contractor will be
satisfactorily fulfilled. The Performance Guarantee Agreement is attached to and
made a part of this contract in Section J, Attachment A.
H.6 ROCKY FLATS CLEANUP AGREEMENT
The Rocky Flats Cleanup Agreement (RFCA), as of October 1, 1999, is the
legally binding agreement between the Department of Energy (DOE), the
Environmental Protection Agency (EPA), and the Colorado Department of Public
Health (CDPHE) to accomplish the required cleanup of radioactive and other
hazardous substances contamination at and from the Rocky Flats Environmental
Technology Site (RFETS). The Contractor agrees to plan and perform the work
under this contract consistent with the implementation of the RFCA requirements
and milestones.
▇.7 ASSIGNMENT OF SUBCONTRACTS
The Government reserves the right to direct the Contractor to assign to
the Government or another contractor any subcontract awarded under this
contract.
H.8 INTERNAL AUDIT
The Contractor agrees to conduct internal audits and examinations,
satisfactory to DOE, of records, operations, expenses, and transactions with
respect to costs claimed to be allowable under this contract. The Contractor
shall submit, for the approval of the Contracting Officer, an audit plan for
internal audits of the Contractor and for audits of prime onsite, cost type
subcontractors. The official audit report(s), including the working papers (as
required), shall be submitted or made available to the Contracting Officer or
his/her designee. This clause does not supersede the Government's right to
perform self-initiated reviews, evaluations, or audits directed at improving the
efficiency of operations and an overall reduction in cost.
H.9 RESPONSIBILITIES FOR OPERATION/ TERMINATION OF BENEFITS SYSTEMS
(a) During the final six months of this contract, the Contracting Officer
shall provide written direction to the Contractor regarding certain
post-employment employee benefits systems, such as pension systems,
post-retirement medical insurance, post-retirement life insurance.
(b) The Contracting Officer may direct any of a number of potential means of
addressing the continuing responsibilities for these systems. The
direction will identify the potential means of addressing such
responsibilities that may include, but are not limited to: termination
of the plans in accordance with relevant laws and regulations,
continuation of the plans on a "pay-as-you-go" basis under a separate
contract with the Contractor, or transfer of plan responsibilities to
another contractor or a third party. The selection among these options
is at the sole discretion of the Contracting Officer. The Contractor
will implement the option as directed by the Contracting Officer.
Section H - Page 12
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(c) To the extent that the Contractor incurs costs under this contract in
implementing the Contracting Officer direction, the Contractor's
allowable costs will be reimbursed according to the Allowable Cost and
Payment provisions of this contract.
H.10 LITIGATION SUPPORT AND LITIGATION MANAGEMENT PLAN
(a) The Contractor shall prepare a Litigation Management Plan, in accordance
with the requirements set forth in the Department of Energy Office of
General Counsel Legal Services and Litigation Management Policies and
Procedures that shall be submitted to the Contracting Officer for
approval within 60 days of contract award. The plan shall include
procedures to manage both the costs and substantive aspects of
litigation, and shall address and apply to subcontractor litigation the
costs of which will be reimbursable as a direct cost. The plan should be
consistent with the DOE policy favoring Alternative Dispute Resolution
(ADR) techniques where appropriate and beneficial to the Government. The
plan will be revised from time to time to conform to litigation
management and ADR policies established by ▇▇▇.
(b) The Contractor may, with the prior written authorization of the
Contracting Officer or the Contracting Officer's Representative, and
shall, upon the request of the Government, initiate litigation against
third parties including proceedings before administrative agencies, in
connection with this contract. Unless otherwise directed by the
Contracting Officer or the Contracting Officer's Representative in
writing, the Contractor shall furnish, immediately, to the Contracting
Officer's Representative, copies of all filings and papers received by
the Contractor with respect to such action. The Contractor shall proceed
with such litigation in good faith and as directed from time to time by
the Contracting Officer or the Contracting Officer's Representative, and
in accordance with the DOE-approved Contractor litigation management
plan (including case management and cost guidelines) and as set forth in
the DOE Office of General Counsel Legal Services and Litigation
Management Policies and Procedures, as such procedures may be revised
from time to time, and if not otherwise made unallowable in this
contract.
(c) The Contractor shall give the Contracting Officer and the Contracting
Officer's Representative immediate notice in writing of any action,
including any proceeding before any administrative agency, filed against
the Contractor arising out of the performance of this contract. Except
as otherwise directed by the Contracting Officer or the Contracting
Officer's Representative in writing, the Contractor shall furnish,
immediately, to the Contracting Officer's Representative, copies of all
filings and papers received by the Contractor with respect to such
action. The Contractor shall proceed with such litigation in good faith
and as directed from time to time by the Contracting Officer or the
Contracting Officer's Representative and in accordance with the
DOE-approved Contractor litigation management plan (including case
management and cost guidelines) and as set forth in the DOE Office of
General Counsel Legal Services and Litigation Management Policies and
Procedures, as such procedures may be revised from time to time, and if
not otherwise made unallowable in this contract.
(d) If any suit or action is filed or any claim is made against the
Contractor, the cost and expense of which may be reimbursable to the
Contractor under this contract and the risk of which is then uninsured
or is insured for less than the amount claimed, the Contractor shall:
(1) Immediately notify the Contracting Officer and Contracting
Officer's Representative and promptly furnish copies of all
filings and papers received;
(2) Authorize Government representatives to collaborate with (I)
in-house or approved outside counsel in settling or defending the
claim, or (ii) counsel for the insurance carrier in settling or
defending the claim when the amount of the liability claimed
exceeds the amount of coverage, unless precluded by the terms of
the insurance contract; and,
Section H - Page 13
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(3) Authorize Government representatives to settle the claim or to
defend or represent the Contractor in and/or to take charge of
any litigation if required by the Department when the liability
is not insured or covered by ▇▇▇▇. In any action against more
than one Department Contractor, the Department may require the
Contractor to be represented by common counsel. Counsel for the
Contractor may, at the Contractor's expense, be associated with
the Department representatives in any such claim or litigation.
(e) The term "filings and papers" as used in paragraph H.10 includes any
document (draft or final) related to an anticipated or instant case,
pending legal proceeding (judicial or administrative) involving
contractor or subcontractor litigation the costs of which will be
reimbursable as a direct cost.
(f) The Contractor and its subcontractors shall provide litigation support
to the Government when requested by the Contracting Officer or
Contracting Officer's Representative in cases of actual or threatened
litigation, regulatory matters, or third-party claims and subject to
applicable rules and regulations. Litigation support includes, but is
not limited to case preparation assistance, document retrieval, review
and reproduction, witness preparation and testimony, expert witness
testimony, and assisting Government counsel as necessary in response to
discovery or other information related activities responsive to any
legal proceeding.
H.11 KEY PERSONNEL
(a) The Contractor shall submit for DOE approval a list of key personnel
within 30 days of contract award. The personnel specified in the
submittal are considered to be essential to the work being performed on
this contract. Prior to diverting to other positions or substituting
any of the specified individuals, the Contractor shall notify the
Contracting Officer in writing at least 30 days in advance and shall
submit justification (including proposed substitutions) in sufficient
detail to permit Rocky Flats Field Office evaluation of the impact on
the Site Closure Project. No diversion or substitution shall be made by
the Contractor without the written consent of the Contracting Officer,
provided that the Contracting Officer may ratify in writing such
diversion or substitution, and such ratification shall constitute the
consent of the Contracting Officer required by this clause. Under no
circumstances will a key personnel position remain unfilled, acting
replacements aside, for more than four months. Failure to adhere to
this provision may be classified as a Category 3 event.
(b) Key Personnel are those positions identified by the Contractor and
approved by DOE in accordance with subparagraph (a) above. Reimbursement
of severance payments made to Key Personnel will be consistent with that
for non-Key Personnel.
H.12 CONTRACTOR SELF-PERFORMANCE
The Contractor is expected to provide project management and planning
for the Project while subcontracting the preponderance of the work to
specialized subcontractors. It is the goal of the parties that at least 80
percent of the work (as measured by contract cost) be subcontracted. Before
deciding to perform any of the remediation, waste management, environmental
restoration, decontamination, demolition, or site support services with its own
forces, the Contractor shall provide a detailed make-or-buy analysis for review
and approval by the Contracting Officer. The make-or-buy analysis, as described
in FAR 15.407-2 must be provided no later than 15 days in advance of any
self-performance.
▇.13 PATENT INDEMNITY SUBCONTRACTS
Except as otherwise authorized by the Contracting Officer, the
Contractor shall obtain indemnification of the Government and its officers,
agents, and employees against liability, including costs,
Section H - Page 14
Rocky Flats Closure Contract No. DE-AC34-00RF01904
for infringement of U.S. Letters Patent (except Letters Patent issued upon an
application which is now or may hereafter be kept secret or otherwise withheld
from issue by order of the Government) from the Contractor's subcontractors for
any contract work subcontracted on the terms and in accordance with the Federal
Acquisition Regulations as may be supplemented by the Department of Energy
Acquisition Regulations.
▇.14 AUTHORIZATION AND CONSENT IN COPYRIGHT
In the case of suit or potential suit in copyright infringement, the
Contractor may request authorization and consent in copyright from DOE.
Programmatic necessity shall be a major consideration in grant of authorization
and consent.
H.15 ROYALTY INFORMATION DURING TERM OF CONTRACT
(a) Cost of charges for royalties. If any royalty payments are directly
involved in the contract or will be charged to the Government as costs
under the contract, the Contractor agrees to report to the Contracting
Officer the following information relating to each separate item of
royalty or license fee:
(1) Name and address of licensor.
(2) Date of license agreement.
(3) Patent numbers, patent application serial numbers, or other
basis on which the royalty is payable.
(4) Brief description, including any part or model numbers of each
contract item or component on which the royalty is payable.
(5) Percentage or dollar rate of royalty per unit.
(6) Unit price of contract item.
(7) Number of units.
(8) Total dollar amount of royalties.
(b) Copies of current licenses. In addition, if specifically requested by
the Contracting Officer, the Contractor shall furnish a copy of the
current license agreement and an identification of applicable claims of
specific patents of other basis upon which the royalty is payable.
(c) The Contractor shall follow the procedures of 48 CFR 27.204 and 48 CFR
927.206 in all subcontracting.
H.16 ALTERNATE DISPUTE RESOLUTION
The DOE and Contractor both recognize that methods for fair and
efficient dispute resolution are essential to the successful completion of the
closure of the Rocky Flats site by the Target Date and for the Target Cost
identified in Section B of this contract. To facilitate the prevention and early
resolution of disputes, the parties agree to the following alternative dispute
resolution (ADR) provisions:
(a) Dispute Avoidance
(1) The Government and Contractor agree to participate in a
partnering workshop, to be conducted by an experienced
professional, jointly agreed upon by the parties, within 30 days
after execution of the contract.
Section H - Page 15
Rocky Flats Closure Contract No. DE-AC34-00RF01904
(2) The parties also agree to jointly select a "standing neutral" to
be available to help resolve disputes as soon as they arise. This
can be an individual or a company with specific expertise in this
area. If a neutral cannot be agreed upon, the DOE Office of
Dispute Resolution will assist the parties in this selection. The
specific ADR process(es) and procedures, as well as the selection
of the "standing neutral" will be determined at the partnering
workshop.
(b) Early Resolution of Disputes
(1) The Government and Contractor shall use their best efforts to
informally resolve any dispute, claim, question or disagreement,
by consulting and negotiating with each other in good faith,
recognizing their mutual interests, and attempting to reach a
just and equitable solution satisfactory to both parties. If an
agreement cannot be reached through informal negotiations, then
such disagreement shall be referred to the "standing neutral,"
pursuant to the procedures jointly developed in the partnering
workshop.
(2) If the neutral offers a non-binding advisory opinion, it shall
not be admissible in evidence in any subsequent proceeding. All
costs incurred by the Contractor in connection with the "standing
neutral" shall, if reasonable, be an allowable cost reimbursable
under this contract.
(c) Formal Complaint. If the dispute has not been resolved through the
"standing neutral" process, either party may request ADR under the
Disputes Clause of the contract.
H.17 CONTRACT TRANSITION
(a) The Contractor and the DOE agree that Contractor work completed prior to
the effective date of this contract, and any liabilities associated with
that work shall be governed by the terms and conditions of Contract
Number DE-AC34-94RF00825 ("previous contract"). Any performance measure
fee payable for incremental work completed under the previous contract
up to effective date of this contract shall be paid in accordance with
the terms of the previous contract. For work completed during the
previous contract (number DE-AC34-94RF00825), the Contractor shall be
entitled to submit completion reports after the conclusion of that
contract. Further, the DOE and the Contractor mutually agree to release
and give up all unresolved claims, and claims by the DOE as set forth on
the listing of claims included as Attachment I in Section J. Nothing in
this subparagraph shall alter the obligations of the parties to close
out the previous contract in accordance with its terms.
(b) The contract terms and conditions of this contract including those
relating to the payment of fee shall govern the execution of work
beginning after the start date set forth in Clause F.2. The terms and
conditions governing the performance of work under contract
DE-AC-34-95RF00825 shall cease to be operative irrespective of the
completion date of that contract.
H.18 EVALUATION OF SUBCONTRACTORS
The DOE and Contractor are committed to zero accidents at the RFETS. To
that end, the Contractor will evaluate all site subcontractors to ensure that
they have an acceptable environment, safety and health (ES&H) program, a program
which contains the following values:
o Compliant with applicable local, state and federal regulatory requirements.
o Employees are properly trained and equipped to perform their assigned work.
The Company has an established orientation program for new hires.
Section H - Page 16
Rocky Flats Closure Contract No. DE-AC34-00RF01904
o Policies and procedures are in place to eliminate accidents,
injuries/illnesses, and damage to property and equipment.
o ES&H records are adequately and properly maintained.
o Accidents/incidents are investigated promptly and required reports are
generated. If the investigation discovers inadequacies in either the work
process or the policies and procedures, the appropriate processes are put in
place to avert the accident/incident in the future and personnel are
provided proper training.
o Hazards are identified and appropriate measures are taken to ensure that
personnel and equipment are adequately protected as a result of identified
hazards.
o Employees have the right to report unsafe conditions and to interrupt or
stop work without fear of reprisal.
o The frequency of ES&H meetings with employees to discuss the work to be
performed and the hazards associated with the work is based upon the scope
of work and commensurate with the work hazards.
o ES&H inspections/audits are conducted to evaluate effectiveness of the
program.
o The Company has an average Experience Modification Rate (EMR), Occupational
Safety and Health Administration (OSHA) Recordable, and Lost Workday case
rate(s) of (1.0, 3.2, and 0.64), respectively, or less, for the previous
three (3) years and shows an improving trend in safety performance.
o The Company has an established written Hazard Communication Program and a
system within the program to maintain Material Safety Data Sheets (MSDS).
o The Company has had no willful citations from OSHA or other regulatory
organizations during the previous three (3) years.
o The Company has received no citations, other than those determined to be
minor violations, or fines for ▇▇▇▇▇-▇▇▇▇▇▇▇▇ Amendments Act (PAAA)
non-compliances during the previous three (3) years.
o The Company has received no fines for Nuclear Regulatory Commission
non-compliances during the previous three (3) years.
H.19 EMPLOYEE PERFORMANCE INCENTIVES AND REWARD AND RECOGNITION
The Contractor and its subcontractors may establish monetary incentive
programs to motivate and recognize employees and improve performance. Such
awards will be based on a combination of individual and company performance
aligned to achievement of closure mission objectives. The annual cost of such
programs will be an allowable cost to the Contractor upon Contracting Officer
approval of the overall program as required by DOE Orders. However, the cost to
DOE will not exceed four percent (4%) of annual gross payroll for any given
year.
Section H - Page 17
Rocky Flats Closure Contract No. DE-AC34-00RF01904
H.20 Labor disputes and whistleblower actions
(a) Labor settlement costs (awards) can arise from judicial orders,
negotiated agreements, arbitration, or an order from a Federal agency or
board. The awards generally involve a violation in one of the following
areas:
(1) Equal Employment Opportunity (EEO) laws,
(2) Union agreements,
(3) Federal labor laws, and
(4) Whistleblower protection laws.
(b) An award or settlement can cover compensatory damages, or underpayment
for work performed. Reimbursement for a complainant employee's legal
counsel may also be covered by an award or settlement.
(c) The allowability of these costs should be determined on a case-by-case
basis after considering the relevant terms of the contract and the
surrounding circumstances; i.e., looking behind the settlement and
considering the causes. If the dispute resulted from actions that would
be taken by a prudent business person (FAR 31.201-3 and 48 CFR (DEAR)
970.3101-3), the costs would be allowable. However, if the dispute was
occasioned by contractor actions which are unreasonable or were found by
the agency or board ruling on the dispute to be caused by unlawful,
negligent or other malicious conduct, the costs would be unallowable.
(d) The allocability of these costs must also be reviewed (FAR 31.201-4 and
48 CFR (DEAR) 970.3101-3). In some circumstances an award may not impact
direct costs, but may be determined to be an allowable indirect cost.
(e) Litigation costs incurred as part of labor settlements shall be
differentiated and accounted for so as to be separately identifiable. If
a contracting officer provisionally disallows such costs, the contractor
may not use funds advanced by DOE to finance litigation costs connected
with the defense of a labor dispute or whistleblower action.
(f) Settlement and litigation costs associated with actions resolved prior
to an adverse determination or finding against a contractor through
judicial action or an agency board will, depending on the circumstances
and facts of each case, generally be allowable, if consistent with
paragraph (c) of this section. Litigation costs associated with an
adverse determination against the contractor require a higher level of
scrutiny before a determination of allowability can be made.
Section H - Page 18
Rocky Flats Closure Contract No. DE-AC34-00RF01904
This page intentionally left blank.
Section H - Page 19
Rocky Flats Closure Contract No. DE-AC34-00RF01904
--------------------------------------------------------------------------------------------------------------------------------
Clause # FAR Reference Title Fill-In Information (See FAR 52.104(d))
--------------------------------------------------------------------------------------------------------------------------------
I. 1 FAR 52.202-1 Definitions (OCT 1995) None
I. 2 FAR 52.203-3 Gratuities (APR 1984) None
I. 3 FAR 52.203-5 Covenant Against Contingent Fees (APR 1984) None
I. 4 FAR 52.203-6 Restrictions on Subcontractor Sales to the
Government (JUL 1995) None
I. 5 FAR 52.203-7 Anti-Kickback Procedures (JUL 1995) None
I. 6 FAR 52.203-8 Cancellation, Rescission, and Recovery of
Funds for Illegal or Improper Activity
(JAN 1997) None
I. 7 FAR 52.203-10 Price or Fee Adjustment for Illegal or Improper
Activity (JAN 1997) None
I. 8 FAR 52.203-12 Limitation on Payments to Influence certain
Federal Transactions (JUN 1997) None
I. 9 FAR 52.204-1 Approval of Contract (DEC 1989) Procurement Executive, Department
of Energy
I. 10 FAR 52.204-4 Printing/Copying Double-Sided on Recycled
Paper (JUN 1996) None
I. 11 FAR 52.209-6 Protecting the Government's Interest When
Subcontracting with Contractors Debarred,
Suspended or Proposed for Debarment (JUL 1995) None
I. 12 FAR 52.215-2 Audit and Records -- Negotiation (JUN 1999) None
I. 13 FAR 52.215-8 Order of Precedence -- Uniform Contract
Format (OCT 1997) None
I. 14 FAR 52.215-9 Changes or Additions to Make or Buy Program
(OCT 1997) None
I. 15 FAR 52.215-10 Price Reduction for Defective Cost or Pricing
Data (OCT 1997) None
I. 16 FAR 52.215-12 Subcontractor Cost or Pricing Data (Oct 1997) None
I. 17 FAR 52.215-13 Subcontractor Cost or Pricing Data--
Modifications (OCT 1997) None
I. 18 FAR 52.215-15 Termination of Defined Benefit Pension Plans
(OCT 1997) None
I. 19 FAR 52.215-17 Waiver of Facilities Capital Cost of Money
(OCT 1997) None
I. 20 FAR 52.215-18 Reversion or Adjustment of Plans for
Postretirement Benefits (PRB) Other than
Pensions (OCT 1997) None
I. 21 FAR 52.215-19 Notification of Ownership Changes (OCT 1997) None
I. 22 FAR 52.216-7 Allowable Cost and Payment (APR 1998) None
Rocky Flats Closure Contract No. DE-AC34-00RF01904
I. 23 FAR 52.216-10 Incentive Fee (MAR 1997) e) Fee payable. (1) The fee payable
under this contract shall be the
target fee increased by thirty (30)
cents for every dollar that the
total allowable cost is less than
$3,963,000,000 or decreased by
thirty (30) cents for every dollar
that the total allowable cost
exceeds $4,163,000,000. If the
total allowable cost is between
$3,963,000,000 and $4,163,000,000,
the fee payable shall be the
Target Fee. In no event shall the
total fee payable be greater than
11.6 percent ($460 million) of Target
Cost or less than 3.77 percent
($150 million) of Target Cost. The
provisions set forth above are
depicted by the curve included in
Section J, Attachment H.
I. 24 FAR 52.219-4 Notice of Price Evaluation Preference for
HUBZone Small Business Concerns (JAN 1999) None
I. 25 FAR 52.219-8 Utilization of Small Business Concerns
(JAN 1999) None
I. 26 FAR 52.219-9 Small Business Subcontracting Plan (JAN 1999) -
Alternate II (JAN 1999) None
I. 27 FAR 52.219-16 Liquidated Damages -- Subcontracting Plan
(JAN 1999) None
I. 28 FAR 52.219-23 Notice of Price Evaluation Adjustment for Small
Disadvantaged Business Concerns (OCT 1998) "N/A - Noncompetitive award"
I. 29 FAR 52.219-25 Small Disadvantaged Business Participation
Program -- Disadvantaged Status and Reporting
(JAN 1999) None
I. 30 FAR 52.222-1 Notice to the Government of Labor Disputes
(FEB 1997) None
I. 31 FAR 52.222-3 Convict Labor (AUG 1996)
I. 32 FAR 52.222-4 Contract Work Hours and Safety Standards Act --
Overtime Compensation (JUL 1995) None
I. 33 FAR 52.222-17 Labor Standards for Construction Work --
Facilities Contracts (FEB 1988) None
I. 34 FAR 52.222-21 Prohibition of Segregated Facilities (FEB 1999) None
I. 35 FAR 52.222-26 Equal Opportunity (FEB 1999) None
I. 36 FAR 52.222-35 Affirmative Action for Disabled Veterans and
Veterans of the Vietnam Era (APR 1998) None
I. 37 FAR 52.222-36 Affirmative Action for Workers with Disabilities
(JUN 1998) None
I. 38 FAR 52.222-37 Employment Reports on Disabled Veterans and
Veterans of the Vietnam Era (JAN 1999) None
I. 39 FAR 52.222-41 Service Contract Act of 1965, as amended
(MAY 1989) None
I. 40 FAR 52.223-2 Clean Air and Water (APR 1984) None
I. 41 FAR 52.223-3 Hazardous Material Identification and Material (b)Hazardous material will be
Safety Data (JAN 1997) - Alternate I (JUL 1995) identified as the contract
progresses, and is much too
extensive to be listed
inclusively in this contract
clause.
I. 42 FAR 52.223-5 Pollution Prevention and Right-to-Know
Information (APR 1998) None
I. 43 FAR 52.223-7 Notice of Radioactive Materials (JAN 1997) (a) Notice shall be provided in
accordance with relevant laws,
orders, directives, and
regulations.
Rocky Flats Closure Contract No. DE-AC34-00RF01904
I. 44 FAR 52.223-10 Waste Reduction Program (OCT 1997) None
I. 45 FAR 52.223-11 Ozone-Depleting Substances (JUN 1996) None
I. 46 FAR 52.223-12 Refrigeration Equipment and Air Conditioners
(JUN 1996) None
I. 47 FAR 52.223-14 Toxic Chemical Release Reporting (OCT 1996) None
I. 48 FAR 52.224-1 Privacy Act Notification (APR 1984) None
I. 49 FAR 52.224-2 Privacy Act (APR 1984) None
I. 50 FAR 52.225-3 Buy American Act -- Supplies (JAN 1994) None
I. 51 FAR 52.225-11 Restrictions on Certain Foreign Purchases
(AUG 1998) None
I. 52 FAR 52.226-1 Utilization of Indian Organizations and
Indian-Owned Economic Enterprises (JAN 1999) None
I. 53 FAR 52.227-1 Authorization and Consent (JUL 1995) None
I. 54 FAR 52.227-2 Notice and Assistance Concerning Patent and
Copyright Infringement (AUG 1996) None
I. 55 FAR 52.227-6 Royalty Information (APR 1984) None
I. 56 FAR 52.227-23 Rights to Proposal Data (Technical) (JUN 1987) Except for data contained on
pages none, it is agreed that
as a condition of award of
this contract, and
notwithstanding the conditions
of any notice appearing
thereon, the Government shall
have unlimited rights (as
defined in the "Rights in
Data--General" clause
contained in this contract) in
and to the technical data
contained in the proposal
dated November 1, 1999 as
modified by letter submitted
November 4, 1999
(RGC-116-99/99-RF-04306),
upon which this contract is based.
I. 57 FAR 52.229-3 Federal, State, and Local Taxes (JAN 1991) None
I. 58 FAR 52.230-2 Cost Accounting Standards (APR 1998) None
I. 59 FAR 52.230-6 Administration of Cost Accounting Standards
(APR 1996)
I. 60 FAR 52.232-17 Interest (JUN 1996) None
I. 61 FAR 52.232-18 Availability of Funds (APR 1984) None
I. 62 FAR 52.232-22 Limitation of Funds (APR 1984) None
I. 63 FAR 52.232-23 Assignment of Claims , Alternate I (APR 1984) None
I. 64 FAR 52.232-25 Prompt Payment (JUN 1997) None
I. 65 FAR 52.232-34 Electronic Funds Transfer (MAY 1999) None
I. 66 FAR 52.233-1 Disputes (DEC 1998) -- Alternate I (DEC 1991) None
I. 67 FAR 52.233-3 Protest After Award (AUG 1996) -- Alternate I
(JUN 1985) None
I. 68 FAR 52.237-2 Protection of Government Buildings, Equipment,
and Vegetation (APR 1984) None
I. 69 FAR 52.237-3 Continuity of Services (JAN 1991) None
I. 70 FAR 52.239-1 Privacy or Security Safeguards (AUG 1996) None
I. 71 FAR 52.242-1 Notice of Intent to Disallow Costs (APR 1984) None
I. 72 FAR 52.242-3 Penalties for Unallowable Costs (OCT 1995) None
I. 73 FAR 52.242-13 Bankruptcy (JUL 1995) None
I. 74 FAR 52.242-15 Stop-Work Order (AUG 1989) -- Alternate I
(APR 1984) None
I. 75 FAR 52.243-2 Changes -- Cost Reimbursement (AUG 1987) --
Alternate I (APR 1984) None
I. 76 FAR 52.243-6 Change Order Accounting (APR 1984) None
Rocky Flats Closure Contract No. DE-AC34-00RF01904
I. 77 FAR 52.244-2 Subcontracts (AUG 1998) (e) As directed separately in
writing by the Contracting
Officer (k) Any subcontract
for which the Contractor
received written Contracting
Officer consent previously
under Contract
DE-AC34-95RF00825.
I. 78 FAR 52.244-5 Competition in Subcontracting (DEC 1996) None
I. 79 FAR 52.244-6 Subcontracts for Commercial Items and
Commercial Components (OCT 1998) None
I. 80 FAR 52.245-5 Government Property (Cost Reimbursement,
Time-and-Material, or Labor-Hour Contracts)
(JAN 1986) None
I. 81 FAR 52.246-5 Inspection of Services (Cost-Reimbursement)
(APR 1984) None
I. 82 FAR 52.246-25 Limitation of Liability -- Services (FEB 1997) None
I. 83 FAR 52.247-1 Commercial Bill of Lading Notations (APR 1984) (a) U. S. Department of Energy
(b) U. S. Department of Energy
Contract No. DE-AC34-00RFO1904
U. S. Department of Energy,
Rocky Flats Field Office,
Contracts Management Division,
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇,
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
I. 84 FAR 52.247-63 Preference for U.S.-Flag Air Carriers (JAN 1997) None
I. 85 FAR 52.249-6 Termination (Cost Reimbursement) (SEP 1996) None
I. 86 FAR 52.249-14 Excusable Delays (APR 1984) None
I. 87 FAR 52.251-1 Government Supply Sources (APR 1984) None
I. 88 FAR 52.251-2 Interagency Fleet Management System Vehicles
and Related Services (Jan 1991) None
I. 89 FAR 52.252-2 Clauses Incorporated by Reference (FEB 1998) ▇▇▇▇://▇▇▇.▇▇▇▇▇.▇▇▇/▇▇▇;
▇▇▇▇://▇▇▇.▇▇.▇▇▇.▇▇▇/▇▇▇▇.▇▇▇▇
I. 90 FAR 52.252-6 Authorized Deviations in Clauses (APR 1984) (b) The use in this
solicitation or contract of
any Department of Energy
Acquisition Regulation (48
CFR Part 9) clause with an
authorized deviation is
indicated by the addition
of "(DEVIATION)" after the
name of the regulation
I. 91 FAR 52.253-1 Computer Generated Forms (JAN 1991)
I. 92 DEAR 952.202-1 Definitions (JAN 1997) None
I. 93 DEAR 952.204-2 Security (SEP 1997) None
I. 94 DEAR 952.204-70 Classification/Declassification (SEP 1997) None
I. 95 DEAR 952.204-71 Sensitive Foreign Nations Controls (APR 1994) None
I. 96 DEAR 952.204-74 Foreign Ownership, Control, or Influence over
Contractor (APR 1984) None
I. 97 DEAR 952.208-7 Tagging of Leased Vehicles (APR 1984) None
I. 98 DEAR 952.209-72 Organizational Conflicts of Interest
(JUN 1997) Alternate I None
Rocky Flats Closure Contract No. DE-AC34-00RF01904
I. 99 DEAR 952.222-70 Whistleblower Protection for Contractor
Employees (APR 1999) None
I. 100 DEAR 952.217-70 Acquisition of Real Property (APR 1984) None
I. 101 DEAR 952.223-75 Preservation of Individual Occupational
Radiation Exposure Records (APR 1984) None
I. 102 DEAR 952.224-70 Paperwork Reduction Act (APR 1994) None
I. 103 DEAR 952.226-74 Displaced Employee Hiring Preference (JUN 1997) None
I. 104 DEAR 952.237-70 Collective Bargaining Agreements -- Protective
Services (AUG 1993) None
I. 105 DEAR 952.245-5 Government Property (Cost Reimbursement, time
and materials or labor cost) None
I. 106 DEAR 952.247-70 Foreign Travel (FEB 1997) None
I. 107 DEAR 952.250-70 Nuclear Hazards Indemnity Agreement (JUN 1996) None
I. 108 DEAR 952.251-70 Contractor Employee Travel Discounts (JUN 1995) None
I. 109 DEAR 970.5204-2 Integration of Environment, Safety, and Health
into Work Planning and Execution (JUN 1997) None
I. 110 DEAR 970.5204-31 Insurance -- Litigation and Claims (JUN 1997) None
I. 111 DEAR 970.5204-58 Workplace Substance Abuse Programs at DOE Sites
(AUG 1992) None
I. 112 DEAR 970.5204-72 Patent Rights -- Profit Making Management and
Operating Contractors (MAR 1995) None
I. 113 DEAR 970.5204-75 Pre-Existing Conditions (JUNE 1997) None
I. 114 DEAR 970.5204-77 Workforce Restructuring Under Section 3161 of
the National Defense Authorization Act for
Fiscal Year 1993 (JUN 1997) None
I. 115 DEAR 970.5204-78 Laws, Regulations, and DOE Directives
(JUN 1997) None
I. 116 DEAR 970.5204-79 Access To and Ownership of Records (JUN 1997) None
I. 117 DEAR 970.5204-82 Rights in Data -- Facilities (FEB 1998) None
I. 118 DEAR 970.5204-86 Conditional Payment of Fee (APR 1999) None
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS
SECTION J
LIST OF ATTACHMENTS
Attachment A Performance Guarantees
Attachment B List of DOE Orders
Attachment C Small and Small Disadvantaged Business Subcontracting
Plan
Attachment D Representations and Certifications
Attachment E Key Personnel
Attachment F Reporting Requirements Checklist
Attachment G Authorization Agreements
Attachment H Schedule and Cost Incentive Graphs
Attachment I Listing of Claims
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION J
ATTACHMENT B
LAWS, REGULATIONS, AND DOE DIRECTIVES APPLICABLE TO RFETS
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION J
ATTACHMENT B
LAWS, REGULATIONS, AND DOE DIRECTIVES APPLICABLE TO RFETS
---------------------------------------------------------
The DOE Directives and Laws found in the following listing are the "List of
Applicable Laws and Regulations," "List of Applicable Directives" and "Lists A
and B" as those terms are used in paragraph (b) of Clause I.115, LAWS,
REGULATIONS, AND DOE DIRECTIVES. Exemptions, waivers and variances that exist in
contract DE-AC34-95RF00825 will carry forward to this contract. This is not
necessarily an all-inclusive list. The Contractor should follow the established
exemption process to obtain relief from requirements of these regulations where
applicable.
Section C refers to Statements of Commitment which detail a tailored and focused
application of Directives for a closure project. The Field Office will enable
this tailoring through a "best efforts" approach.
It is anticipated that during the performance of this contract, the conditions
for applicability of certain DOE Directives may no longer exist. For example,
when special nuclear materials (SNM) are removed from the site, the conditions
for applicability of those DOE Directives addressing safeguard and security of
such material may no longer exist. In any such situation where the Contractor
seeks relief from the requirements of such DOE Directives, the Contractor may
notify the Contracting Officer in writing, explaining the reasons for its belief
that the DOE Directives no longer apply to contract performance. The Contractor
may, at its own risk and assumption of all responsibility, cease to fulfill the
requirements of such DOE Directives once written notification has been delivered
to the Contracting Officer. The Contracting Officer may determine that the
conditions for applicability of a DOE Directive still exist, and may direct the
Contractor to continue compliance with the DOE Directive. Additionally, even
without such direction by the Contracting Officer, if the conditions for
applicability of a DOE Directive once again arise (e.g., SNM is discovered
unexpectedly during demolition efforts), the DOE Directive will immediately
become applicable once again. Sections or paragraphs of DOE Directives which are
not applicable to RFETS (e.g., DOE C 460.2 Section 2 relative to shipping
information on SNF and HLW) are self deleting.
LIST A: Applicable Laws and Regulations
10 CFR 835 RADIOLOGICAL PROTECTION
10 CFR 830.120 QUALITY ASSURANCE
10 CFR 850 BERYLLIUM
LIST B. Applicable DOE Directives
DOE C 140.1-1A DEPARTMENT OF ENERGY INTERFACE WITH THE DEFENSE
NUCLEAR FACILITIES SAFETY BOARD 01-26-99
DOE C 151.1 COMPREHENSIVE EMERGENCY MANAGEMENT SYSTEM 08-21-96
DOE C 200.1 INFORMATION MANAGEMENT PROGRAM 09-30-96
DOE M 200.1-1 TELECOMMUNICATIONS SECURITY MANUAL 03-15-97
DOE N 205.1 UNCLASSIFIED CYBER SECURITY PROGRAM 07-26-99
DOE C 210.1 PERFORMANCE INDICATORS AND ANALYSIS OF OPERATIONS
INFORMATION 09-27-95
DOE C 224.1 CONTRACTOR PERFORMANCE-BASED BUSINESS MANAGEMENT
Section J, Attach B - Pg 1
Rocky Flats Closure Contract No. DE-AC34-00RF01904
PROCESS 12-08-97
DOE C 225.1A ACCIDENT INVESTIGATIONS 11-26-97
DOE M 231.1-1 ENVIRONMENT, SAFETY AND HEALTH REPORTING MANUAL 09-30-95
CHANGE 001 11-07-96
DOE C 232.1A OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS
INFORMATION 07-21-97
DOE C 241.1 SCIENTIFIC AND TECHNICAL INFORMATION MANAGEMENT 08-17-98
DOE M 232.1-1A OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS
INFORMATION 07-21-97
DOE C 311.1A EQUAL EMPLOYMENT OPPORTUNITY AND DIVERSITY
PROGRAM 12-30-96
DOE C 350.1 CONTRACTOR HUMAN RESOURCE MANAGEMENT PROGRAMS,
Change 1 05-08-98
DOE C 413.1 MANAGEMENT CONTROL PROGRAM 12-06-95
DOE C 414.1A QUALITY ASSURANCE 11-24-98
DOE C 420.1 FACILITY SAFETY 10-13-95
DOE O 425.1A STARTUP AND RESTART OF NUCLEAR FACILITIES 12-28-98
DOE O 430.1A LIFE CYCLE ASSET MANAGEMENT 10-14-98
DOE O 435.1 RADIOACTIVE WASTE MANAGEMENT 07-09-99
DOE C of N 440.1 PERFORMANCE ELEMENTS FOR DEVELOPMENT OF A CHRONIC
BERYLLIUM DISEASE PREVENTION PROGRAM 7-15-97
DOE C of O 440.1A WORKER PROTECTION MANAGEMENT FOR DOE FEDERAL 03-27-98
AND CONTRACTOR EMPLOYEES
DOE N 441.1 RADIOLOGICAL PROTECTION FOR DOE ACTIVITIES 09-29-95
DOE O 442.1 DEPARTMENT OF ENERGY EMPLOYEE CONCERNS PROGRAM 02-01-99
DOE C 460.1A PACKAGING AND TRANSPORTATION SAFETY 10-02-96
DOE C 460.2 DEPARTMENTAL MATERIALS TRANSPORTATION AND
PACKAGING MANAGEMENT 09-27-95
DOE C 470.1 CONTRACTOR SAFEGUARDS AND SECURITY PROGRAM
REQUIREMENTS 09-28-95
DOE C 470.2 SAFEGUARDS AND SECURITY INDEPENDENT OVERSIGHT
PROGRAM
DOE C 471.1 IDENTIFICATION AND PROTECTION OF UNCLASSIFIED
CONTROLLED NUCLEAR INFORMATION 08-11-99
DOE C 471.2A INFORMATION SECURITY PROGRAM 03-27-97
Section J, Attach B - Pg 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
DOE M 471.2-1B CLASSIFIED MATTER PROTECTION AND CONTROL MANUAL 01-06-99
DOE M 471.2-2 CLASSIFIED INFORMATION SYSTEMS SECURITY MANUAL 08-03-99
DOE C 472.1B PERSONNEL SECURITY ACTIVITIES 03-24-97
DOE M 473.2-1 FIREARMS QUALIFICATION COURSES MANUAL 07-08-97
CHANGE 001 08-21-97
DOE O 474.1 CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS 08-11-99
DOE M 474.1-1 MANUAL FOR CONTROL AND ACCOUNTABILITY OF NUCLEAR
MATERIALS 08-11-99
DOE M 474.1-2 NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS
SYSTEM REPORTING AND DATA SUBMISSION 02-10-98
CHANGE 001 04-27-98
CHANGE 002 11-16-98
DOE C 475.1-1 IDENTIFYING CLASSIFIED INFORMATION 05-08-98
[Includes only Attachment 2, the CRD document
within Manual 475.1-1, along with the
Definitions in Attachment 1 and the
"Index-CRD".]
N/A ACCOUNTING HANDBOOK Undated
(This document issued 10/17/95 by letter,
▇.▇. ▇▇▇▇▇▇▇ to distribution)
DOE O 1240.2B UNCLASSIFIED VISITS AND ASSIGNMENTS BY FOREIGN
NATIONALS 08-21-92
CHANGE 001 09-03-92
DOE O 1270.2B SAFEGUARDS AGREEMENT WITH THE INTERNATIONAL
ATOMIC ENERGY AGENCY 06-23-92
DOE O 1300.2A DEPARTMENT OF ENERGY TECHNICAL STANDARDS PROGRAM 05-19-92
DOE O 1300.3 POLICY ON THE PROTECTION OF HUMAN SUBJECTS 08-23-90
DOE O 1450.4 CONSENSUAL LISTENING-IN TO OR RECORDING
TELEPHONE/RADIO
CONVERSATIONS 11-12-92
DOE O 1500.3 FOREIGN TRAVEL AUTHORIZATION 11-10-86
CHANGE 007 07-06-94
DOE O 2030.4B REPORTING FRAUD, WASTE, AND ABUSE TO THE OFFICE
OF INSPECTOR GENERAL 05-18-92
DOE O 2300.1B AUDIT RESOLUTION AND FOLLOWUP 06-08-92
DOE O 2320.1C COOPERATION WITH THE OFFICE OF INSPECTOR GENERAL 05-18-92
DOE O 2321.1B AUDITING OF PROGRAMS AND OPERATIONS 05-14-92
DOE O 4330.4B MAINTENANCE MANAGEMENT PROGRAM 02-10-94
DOE O 5400.5 RADIATION PROTECTION OF THE PUBLIC AND THE
ENVIRONMENT 02-08-90
CHANGE 002 01-07-93
Section J, Attach B - Pg 3
Rocky Flats Closure Contract No. DE-AC34-00RF01904
[Excluding Paragraph 1a(3)(a) of Chapter II]
DOE O 5480.19 CONDUCT OF OPERATIONS REQUIREMENTS FOR DOE
FACILITIES 07-09-90
CHANGE 001 05-18-92
DOE O 5480.20A PERSONNEL SELECTION, QUALIFICATION AND TRAINING
REQUIREMENTS FOR DOE NUCLEAR FACILITIES 11-15-94
DOE O 5480.21 UNREVIEWED SAFETY QUESTIONS 12-24-91
DOE O 5480.22 TECHNICAL SAFETY REQUIREMENTS, CHG 2 01-23-96
DOE O 5480.23 SAFETY ANALYSIS REPORTS, CHG 1 03-10-94
DOE O 5530.1A ACCIDENT RESPONSE GROUP 09-20-91
DOE O 5530.2 NUCLEAR EMERGENCY SEARCH TEAM 09-20-91
DOE O 5530.3 RADIOLOGICAL ASSISTANCE PROGRAM 01-14-92
CHANGE 001 04-10-92
DOE O 5530.4 AERIAL MEASURING SYSTEM 09-20-91
DOE O 5530.5 FEDERAL RADIOLOGICAL MONITORING AND ASSESSMENT
CENTER 07-10-92
CHANGE 001 12-02-92
DOE O 5610.2 CONTROL OF WEAPON DATA 08-01-80
CHANGE 001 09-02-86
DOE O 5610.12 PACKAGING AND OFFSITE TRANSPORTATION OF NUCLEAR
COMPONENTS, AND SPECIAL ASSEMBLIES ASSOCIATED
WITH THE NUCLEAR EXPLOSIVES AND WEAPON SAFETY
PROGRAM 07-26-94
DOE O 5610.14 TRANSPORTATION SAFEGUARDS SYSTEM PROGRAM
OPERATIONS 05-12-93
DOE O 5632.1C PROTECTION AND CONTROL OF SAFEGUARDS AND
SECURITY INTERESTS 07-15-94
DOE M 5632.1C-1 MANUAL FOR PROTECTION AND CONTROL OF SAFEGUARDS
AND SECURITY INTERESTS 07-15-94
CHANGE 001 04-10-96
(Excluding Chapter III, paragraphs 1, 2, and
4 - 9; and Excluding Chapter XI)
DOE O 5632.7A PROTECTIVE FORCES 04-13-94
CHANGE 001 02-13-95
DOE O 5639.8A SECURITY OF FOREIGN INTELLIGENCE INFORMATION AND
SENSITIVE COMPARTMENTED INFORMATION FACILITIES 07-23-93
DOE O 5660.1B MANAGEMENT OF NUCLEAR MATERIALS 05-26-94
DOE O 5670.1A MANAGEMENT AND CONTROL OF FOREIGN INTELLIGENCE 01-15-92
DOE O 5670.3 COUNTERINTELLIGENCE PROGRAM 09-04-92
Section J, Attach B - Pg 4
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION J
ATTACHMENT C
SMALL AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
Small and Small Disadvantaged Business Subcontracting Plan
for
▇▇▇▇▇▇-▇▇▇▇ Company, L.L.C.
Rocky Flats Closure Contract No. DE-AC34-OORF01904
Submitted to Department of Energy
ITEM/SERVICE: Rocky Flats 2006 Closure Project (Closure Project)
I. Introduction
In accordance with Federal Acquisition Regulation 52.219-9, titled Small and
Small Disadvantaged Business Subcontracting Plan, ▇▇▇▇▇▇-▇▇▇▇ will implement
a graded approach to procurement (i.e. the application of only the
appropriate terms, conditions, and other requirements to a given acquisition)
which maximizes competitive opportunities among small, HubZone small, small
disadvantaged, 8(a) and woman-owned small business concerns while optimizing
opportunities for success in performance of the subcontracted work.
▇▇▇▇▇▇-▇▇▇▇ is committed to exceeding the goals set forth in this plan by
implementing effective procurement planning that focuses on meeting project
requirements.
A. Policy Statement
It is the Policy of the United States Government and ▇▇▇▇▇▇-▇▇▇▇
Company, L.L.C. that small business concerns, HUBZone small business
concerns, small business concerns owned and controlled by socially
and economically disadvantaged individuals and small business
concerns owned and controlled by women shall have the maximum
practicable opportunity to participate in the performance of
government subcontracts awarded by ▇▇▇▇▇▇-▇▇▇▇. It is ▇▇▇▇▇▇-▇▇▇▇'▇
intention to aggressively pursue, wherever possible, subcontracting
opportunities with small business HUBZone small business small
disadvantaged business and woman-owned small business concerns, in
accordance with Public Law 99-661 and 100-180.
B. Definitions
1. Small Business (SB) concern means a small business as defined
pursuant to Section 3 of the Small Business Act and in relevant
regulations promulgated pursuant thereto, defined as a concern,
including its affiliates that is independently owned and operated,
not dominant in the field of operation in which it is bidding on
Government contracts, and qualified as a small business under
applicable size standards.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 1
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
2. Small Disadvantaged Business (SDB) concern means a small business concern
that:
a. Is at least 51 percent owned by one or more individuals who are both
socially and economically disadvantaged or a publicly-owned business
having at least 51 percent of its stock owned by one or more socially
and economically disadvantaged individuals; and
b. Has its management and daily business controlled by one or more such
individuals.
3. Woman-Owned Small Business (WOSB) concern means a small business that is
at least 51 percent owned by a woman or women who control and operate the
business. Control in this context means exercising the power to make
policy decisions. Operate in this context means being actively involved in
the day-to-day management of the business. Woman means all woman small
business owners.
4. HUBZone Small Business means a small business as defined in paragraph B.1
above that appears on the list of Qualified HUBZone Small Business
Concerns maintained by the SBA.
5. Subcontract includes purchase orders.
6. ▇▇▇▇▇▇-▇▇▇▇ shall have the same meaning as Contractor.
II. FY00 Goals
A. Transition From Existing Prime Contract No. DE-AC34-95RF00825 to New
Closure Contract No. DE-AC3400RF01904:
The closure contract subcontracting plan contained herein includes similar
methods and procedures as the previous ▇▇▇▇▇▇-▇▇▇▇ subcontracting plan
approved by DOE/RFFO under prime contract number DE-AC34-RFOO825. It is
important to note, however, that this new subcontracting plan for the new
closure prime contract. (DE-AC34-OORF01904) incorporates ▇▇▇▇▇▇-▇▇▇▇'▇ new
subcontracting strategy to organizationally and functionally arrange the
site closure work under ▇▇▇▇▇▇-▇▇▇▇'▇ new project-focus management
approach. Consequently, ▇▇▇▇▇▇-▇▇▇▇ Team Subcontractors previously
identified as SSOC, RMRS, RFCSS and WSLLC will transition into traditional
project focused subcontracts (non-Team subcontractors) subject to
individual and separate subcontracting plans as set forth by the
▇▇▇▇▇▇-▇▇▇▇ approved subcontracting plan.
B. Transition and Post-Transition FY00 Goals:
It is anticipated that the new project-focused subcontracts will be
awarded by April 1, 2000. Therefore, the calculation methods and
assumptions used from October 1, 1999 to April 1, 2000 for (SSOC, RMRS,
RFCSS and WSLLC) will be those previously applied under prime contract
number DE-AC34-95RFOO825 and yield the following goals:
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 2
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
I. Fiscal Year 2000 Goals (October 1, 1999 thru March 30, 2000)
SB SDB WOSB
KH $20,500,000 $6,500,000 $ 2,750,000
RFCSS $ 7,000,000 $1,500,000 $ 1,250,000
RMRS $12,400,000 $7,750,000 $ 2,000,000
SSOC $20,000,000 $3,500,000 $ 2,000,000
WSLLC $ 2,600,000 $750,000 $ 2,000,000
TOTAL $62,500,000 $20,000,000 $10,000,000
2. Fiscal Year 2000 Goals (April 1, 2000 through September 30, 2000)
The following FY00 goal calculation assumptions will be used effective April
1, 2000 or actual date of completion of team subcontractors transition to
project-focused (non-team) -subcontracts and yield the following goals:
SB SDB WOSB HUBZONE
KH $62,500,000 $20,000,000 $10,000,000 $1,396,500
(.5% of FY Contract
Value divided by 2)
3. Total FY2000:
SB SDB WOSB HUBZONE
$125,000,000 $40,000,000 $20,100,000 $1,396,500
4. Calculation Rules:
▇▇▇▇▇▇-▇▇▇▇'▇ proposed small business goals will be submitted in writing
October 1 of each year during the term of this contract or by such later
dates as the Contracting Officer may authorize in writing.
Dollars awarded to small business means all dollars to a SB subcontractor by
▇▇▇▇▇▇-▇▇▇▇ and its large business subcontractors (at any tier).
Dollars awarded to HubZone small businesses means all dollars awarded by
▇▇▇▇▇▇-▇▇▇▇, its large business subcontractors, or non-hubzone small
business subcontractors (at any tier).
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 3
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
Dollars awarded to small disadvantaged business (includes 8(a)
subcontractors) means all dollars awarded by ▇▇▇▇▇▇-▇▇▇▇, its large
business subcontractors, or small, non-disadvantaged business
subcontractors (at any tier).
III. Objectives
The objectives of ▇▇▇▇▇▇-▇▇▇▇'▇ SB/SDB/WOSB subcontracting plan are:
A. To seek qualified, diverse SB/SDB/WOSB concerns and provide the entities
an equitable opportunity to compete for subcontracts under this
contract.
B. To establish goals and objectives that encourage increased participation
by SB/ SDB/WOSB concerns in the competitive process. Goals and
objectives will be established prior to each fiscal year.
C. To utilize, to the maximum extent practicable, SB/SDB/WOSB concerns.
D. To focus on SB/SDB/WOSB subcontractor success by rewarding excellent
performance with incentive fees and opportunities for further or
increased participation.
E. Organize and present periodic training seminars on how to qualify for an
SB/SDB/WOSB Subcontract.
F. Implement a Business Opportunity System that uses the Internet to expand
access by SB/SDB1WOSBs to the procurement process by using electronic
bulletin boards, standardized documents such as representations and
certifications, terms and conditions, and electronic source lists.
IV. Procedures
▇▇▇▇▇▇-▇▇▇▇ will follow the procedures listed below to achieve the goals and
objectives of this plan.
A. Upon the completion of major team subcontractor transition to project
focused subcontracts, commit that the Small Business Liaison Officer
will assume the responsibilities of managing ▇▇▇▇▇▇-▇▇▇▇'▇ SB/SDB/WOSB
subcontracting program under this contract. The designated individual
will:
1. Report directly to the Vice President Subcontract, Technical and
Site Services
2. Interface with SBA to develop opportunities for SB/SDB/WOSB;
3. Maintain liaison with the Government concerning SB/SDB/WOSBs;
4. Search for SB/SDB/WOSB sources and maintain qualified SB/SDB/WOSB
source lists for use by ▇▇▇▇▇▇-▇▇▇▇ in procurements, including those
expected to exceed $ 100,000. ▇▇▇▇▇▇-▇▇▇▇ may reserve purchases of
$100,000 or less exclusively for SB's and purchases of $50,000 or
less for SDB's and WOSB's where there is a reasonable expectation
that bids, competitive as to price, quality, and delivery, will be
obtained from two or more responsible firms of the appropriate type;
5. Review and evaluate SB/SDB/WOSB subcontracting plans submitted to
▇▇▇▇▇▇-▇▇▇▇ in connection with supply and /or service awards of
$500,000 or greater (or $1,000,000 or
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 4
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
greater for construction) and assure that such plans are similar to
the subcontracting plan agreed to by ▇▇▇▇▇▇-▇▇▇▇ under this
contract; and
6. Submit and ensure subcontractors submit SF 294 and/or SF 295 in
accordance with the instructions on the forms.
B. Assure that SB/SDB/WOSB concerns are provided an opportunity to
equitably compete for subcontracts, particularly by arranging
solicitations to facilitate the participation of these business concerns
in consideration of site priorities. Where ▇▇▇▇▇▇-▇▇▇▇'▇ lists of
potential subcontractors are excessively long, reasonable efforts shall
be made to give all such types of concerns an opportunity to compete
over a period of time.
C. Maintain records showing (i) whether each prospective subcontractor is a
SB/SDB/WOSB concern, (ii) procedures that have been adopted to comply
with the requirements set forth in this Subcontracting Plan, and (iii)
with respect to the award of any subcontract exceeding $100,000, as
follows:
1. Whether the subcontract award was to an SB/SDB/WOSB or large
business;
2. Whether more than two SB/SDB/WOSB concerns were solicited;
3. The rationale for not soliciting SB/SDB/WOSB concerns if such firms
were not solicited, and
4. The reasons for award to firms other than SB/SDB/WOSB concerns if
such firms were solicited.
Note: The records maintained above will be in a form determined by
▇▇▇▇▇▇-▇▇▇▇. Such reports will be considered to be management records
only and need not be submitted routinely to the Government; however,
records maintained pursuant to this subcontracting plan will be kept
available for review.
▇. ▇▇▇▇▇▇▇▇▇ with the Contracting Officer and the SBA in any requested
studies and surveys of ▇▇▇▇▇▇-▇▇▇▇'▇ subcontracting procedures and
practices under this contract.
▇. Submit information with respect to subcontracting with SB/SDB/WOSBs as
requested by the Contracting Officer.
F. Maintain and use information from the SB/SDB/WOSB ▇▇▇▇▇▇-▇▇▇▇ Directory
and from DOE sources, including the Pro-Net to identify each category
and type of subcontractor for new subcontracting opportunities
G. Receive all appropriate visiting SB/SDB/WOSBs who desire to explain the
entity's capabilities, products and services. Explain the routine of
doing business with ▇▇▇▇▇▇-▇▇▇▇.
H. Consider categories of procurements for exclusive SB participation,
provided that there are sufficient qualified firms to offer the needed
product or service and to assure reasonable prices, quality and
acceptable delivery.
I. Consider subcontracts with firms certified with the SBA under the
Section 8(a) program.
J. Include the clause entitled Utilization of Small, Small Disadvantaged
and Woman-Owned Small Business Concerns in all subcontracts that offer
further subcontracting opportunities.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 5
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
Require all subcontractors (except SB/SDB/WOSB Concerns) that receive
subcontracts in excess of $500,000 ($ 1,000,000 for construction) to
adopt a plan similar to the plan required by the clause entitled Small
Business and Small Disadvantaged Business Subcontracting Plan.
K. Consider privatization initiatives that are set aside for SB/SDB/WOSB
concerns.
V. Responsibilities
▇. ▇▇▇▇▇▇-▇▇▇▇'▇ technical groups shall cooperate with the ▇▇▇▇▇▇-▇▇▇▇
procurement department in considering SB/SDB/WOSBs equitably and fairly
as sources of supply.
B. Major purchases (in excess of $100,000) shall be examined to determine
the feasibility of breaking them down into smaller units so that
SB/SDB/WOSBs may qualify as manufacturers and/or suppliers for such
requirements.
▇. ▇▇▇▇▇▇-▇▇▇▇ shall, in accordance with Section VI of this document
establish realistic and attainable goals and measure progress toward
reaching those goals.
VI. Reports
A. Reports shall be submitted to the DOE as requested in writing, in the
frequency required and in the format agreed upon. Special reports shall
be kept to a minimum.
B. Quarterly reports on SB/SDB/WOSB activities shall also be furnished to
▇▇▇▇▇▇-▇▇▇▇'▇ management staff.
C. SBA reports will be provided semi-annually.
D. Exceptional performance by any ▇▇▇▇▇▇-▇▇▇▇ employee in advancing the
SB/SDB/WOSB program will be reported to ▇▇▇▇▇▇-▇▇▇▇ senior management
and DOE. If weaknesses occur that interfere with the achievement of
goals and objectives, the weakness shall be brought to the attention of
▇▇▇▇▇▇-▇▇▇▇'▇ management staff for appropriate remedial action.
VII. Goals
▇. ▇▇▇▇▇▇-▇▇▇▇'▇ proposed SB/SDB/WOSB goals will be submitted in writing
by October 1st of each year during the term of this contract or by such
later date as the Contracting Officer may authorize in writing. The
proposed fiscal year goals will be based on the latest available
procurement projections, advance financial plan projections and
historical data.
B. Dollars awarded to SB means all dollars awarded to an SB subcontractor
by ▇▇▇▇▇▇-▇▇▇▇ and its large business subcontractors (at any tier).
Dollars awarded to HUBZone SBs means all dollars awarded by
▇▇▇▇▇▇-▇▇▇▇, its large business subcontractors, and non-HUBZone SB
awards at any tier awarded to a firm that is a HUBZone SB. Dollars
awarded to SDB means all dollars awarded to a SDB subcontractor by
▇▇▇▇▇▇-▇▇▇▇, its large business subcontractors, or a small,
non-disadvantaged business subcontractor, at any tier.
1. Service Categories
SB/SDB/WOSB are offered opportunities to submit proposals related
to, but not necessarily limited to the following:
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 6
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
a. Architect-engineering services
b. Professional services
c. augmentation
d. Travel agency services
e. Construction subcontracts in:
o Mechanical
o Electrical
o Fencing
o General construction
o Testing and inspection
o Painting
o Excavation
o Landscaping
f. Construction management
g. Other Specialty subcontracts
h. Vending service
i. Food service
j. Computer equipment
k. Computer training/software
l. Clerical support
2. Method of Developing Goals
The method used by ▇▇▇▇▇▇-▇▇▇▇ to develop its SB/SDB/WOSB
subcontracting goals are based on the factors stated in Section II
above. These factors include:
▇. ▇▇▇-approved goals for FY2000
b. Past projects
c. Analysis of major (over $100,000) procurement projections
d. Established vendor database
e. Survey of procurement managers
f. Consideration of DOE Contracting Officer's recommendations
g. Analysis of historical socioeconomic performance by
▇▇▇▇▇▇-▇▇▇▇
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 7
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
h. HUBZone data provided by the SBA
3. Outreach Program
▇▇▇▇▇▇-▇▇▇▇ will actively participate in local and national
organizations including but not limited to Minority Enterprises,
Inc., local ▇▇▇▇▇▇▇▇ of commerce, the Small and Disadvantaged
Business Committee, Economic and Empowerment Breakfasts.
▇▇▇▇▇▇-▇▇▇▇ will actively seek new SB/SDB/W0SB sources by
establishing a Small/Small Disadvantaged Business/Diversity Advocate
program and by active participation in outreach activities and other
related functions where participation is expected to expose new or
additional qualified concerns to the opportunities at the Rocky
Flats Environmental Technology Site.
▇▇▇▇▇▇-▇▇▇▇ will continue its efforts to augment its source data of
SB/SDB/WOSB concerns. To the extent practicable, ▇▇▇▇▇▇-▇▇▇▇ will
use the following source data:
a. Government agency information
b. Small and small disadvantaged business trade information
c. Small and small disadvantaged business directories both
regional and multi-regional
d. Woman-owned business directories
▇. ▇▇▇▇▇▇ FLU internal source lists
f. Existing Rocky Flats vendor information
g. ProNet searches
h. Data provided by the SBA regarding HUBZone areas and HUBZone
subcontractors
4. Method of Identifying Potential Sources
Procurement personnel (and other site personnel as appropriate) will
have access to computerized data files on potential SB/SDB/W0SB
concerns that will be maintained by ▇▇▇▇▇▇-▇▇▇▇.
a. Section 8(a) Subcontractors: When authorized by DOE,
▇▇▇▇▇▇-▇▇▇▇ will subcontract directly with firms qualified
under Section 8(a) of the Small Business Act. ▇▇▇▇▇▇-▇▇▇▇ will
identify projects and procurements that appear appropriate for
subcontracting to 8(a) firms.
Lower tier subcontract awards to SB/SDB/WOSB concerns:
▇▇▇▇▇▇-▇▇▇▇ will encourage its large business subcontractors
(whether or not their subcontracts require a subcontracting
plan) to provide lower-tier subcontracting opportunities to
SB/SDB/WOSB concerns. ▇▇▇▇▇▇-▇▇▇▇ will use the same data
sources as described in paragraph III of this plan to assist
large business subcontractors in identifying business sources.
In addition, procurement personnel will be encouraged to
attend procurement conferences, seminars, trade fairs and
other related functions where participation is expected to
expose new or additional qualified SB/SDB/WOSB concerns.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 8
restriction on title page of
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
b. Access to solicitation sets and data. To the extent
practicable, ▇▇▇▇▇▇-▇▇▇▇ will assure that SB/SDB/WOSB concerns
have access to solicitations and are provided maximum
opportunity to participate in ▇▇▇▇▇▇-▇▇▇▇ subcontracts.
▇▇▇▇▇▇-▇▇▇▇ will actively solicit and counsel SB/SDB/WOSB
concerns for the purpose of enhancing the potential for
participation in the ▇▇▇▇▇▇-▇▇▇▇ subcontracting program.
▇▇▇▇▇▇-▇▇▇▇ will work toward the utilization of an Internet
home page or electronic bid board for identifying procurement
opportunities
5. Indirect Cost
▇▇▇▇▇▇-▇▇▇▇ does not include indirect and Overhead posts in
establishing goals for its Subcontracting Plan for any subcontract
regardless if it is a large business, SB, SDB, or WOSB.
Signed: /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇
-------------------------
▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇
Title: Director, Contracts
Date: November 15,1999
Use or disclosure of data contained Base Proposal
on this sheet is subject to the SB/SDB Subcontracting Plan -Page 9
restriction on title page of
this proposal.
SECTION J
ATTACHMENT D
REPRESENTATIONS AND CERTIFICATIONS
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
SECTION J
ATTACHMENT D
REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS
TABLE OF CONTENTS
Section Provision
K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY
REFERENCE
K.2 FAR 52.204-3 TAXPAYER IDENTIFICATION (OCT 1998)
K.3 FAR 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995)
K.4 FAR 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (MAR.
1996)
K.5 FAR 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS (OCT 1998)
ALTERNATE II (JAN 1999)
K.6 FAR 52.219-22 SMALL DISADVANTAGED BUSINESS STATUS (OCT 1998)
K.7 FAR 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB
1999)
K.8 FAR 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)
K.9 FAR 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984)
K.10 FAR 52.223-13 CERTIFICATION OF TOXIC CHEMICAL RELEASE REPORTING
(OCT 1996)
K.11 FAR 52.227-6 ROYALTY INFORMATION (APR 1994)
K.12 FAR 52.227-15 REPRESENTATION OF LIMITED RIGHTS DATA AND
RESTRICTED COMPUTER SOFTWARE (JUN 1987)
K.13 FAR 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND
CERTIFICATION (APR 1998)
K.14 FAR 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE
(FEB 1998)
K.15 DEAR 952.204-73 FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE OVER
CONTRACTOR (JUL 1997)
K.16 DEAR 952.209-8 ORGANIZATIONAL CONFLICTS OF INTEREST DISCLOSURE
(JUNE 1997)
K.17 DEAR 970.5204-57 AGREEMENT REGARDING WORKPLACE SUBSTANCE
ABUSE PROGRAMS AT DOE SITES (SEP 1997)
K.18 SIGNATURE/CERTIFICATION
Attachment - Standard Form 328 Certificate Pertaining to Foreign Interests
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 1
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY
REFERENCE
The following solicitation provisions pertinent to this section are hereby
incorporated by reference (by Citation Number, Title, and Date) in
accordance with the FAR provision at FAR "52.252-1 SOLICITATION PROVISIONS
INCORPORATED BY REFERENCE (FEB 1998)."
NUMBER TITLE DATE
52.203-11 CERTIFICATION AND DISCLOSURE APR 1991
REGARDING PAYMENTS TO INFLUENCE
CERTAIN FEDERAL TRANSACTIONS
52.223-4 RECOVERED MATERIALS CERTIFICATION
OCT 1997
K2 FAR 52.204-3 TAXPAYER IDENTIFICATION (OCT 1998)
(a) Definitions.
"Common parent," as used in this provision, means that corporate
entity that owns or controls an affiliated group of corporations
that files its Federal income tax returns on a consolidated basis,
and of which the offeror is a member.
"Taxpayer Identification Number (TIN)," as used in this provision,
means the number required by the Internal Revenue Service (IRS) to
be used by the offeror in reporting income tax and other returns,
The TIN may be either a Social Security Number or in Employer
Identification Number.
(b) All offerors must submit the information required in paragraphs (d)
through (f) of this provision to comply with debt collection
requirements of 31 U.S.C. 770 1(c) and 3325(d), reporting
requirements of 26 U.S.C. 6041, 6041A, and 6050M, and implementing
regulations issued by the IRS. If the resulting contract is subject
to the payment reporting requirements described in Federal
Acquisition Regulation (FAR) 4.904, the failure or refusal by the
offeror to furnish the information may result in a 31 percent
reduction of payments otherwise due under the contract.
(c) The TIN may be used by the Government to collect and report on any
delinquent amounts arising out of the offeror's relationship with
the Government (31 U.S.C. 7701 (c)(3)). If the resulting contract is
subject to the payment reporting requirements described in FAR
4.904, the TIN provided hereunder may be matched with IRS records to
verify the accuracy of the offeror's TIN.
(d) Taxpayer Identification Number (TIN).
[X] TIN ▇▇-▇▇▇▇▇▇▇
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 2
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
[ ] TIN has been applied for.
[ ] TIN is not required because:
[ ] Offeror is a nonresident alien, foreign corporation, or foreign
partnership that does not have income effectively connected with
the conduct of a trade or business in the United States and does
not have an office or place of business or a fiscal paying agent
in the United States;
[ ] Offeror is an agency or instrumentality of a foreign government;
[ ] Offeror is an agency or instrumentality of the Federal
Government
(e) Type of organization.
[ ] Sole proprietorship;
[ ] Partnership;
[ ] Corporate entity (not tax-exempt);
[ ] Corporate entity (tax-exempt);
[ ] Government entity (Federal, State, or local);
[ ] Foreign government;
[ ] International organization per 26 CFR 1.6049-4;
[X] Other A Limited Liability Company
(f) Common parent.
[X] Offeror is not owned or controlled by a common parent as defined
in paragraph (a) of this provision.
[ ] Name and TIN of common parent:
Name
------------------------------
TIN
------------------------------
K.3 FAR 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995)
(a) Representation. The offeror represents that it [ ] is, [X] is not a
women-owned business concern.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 3
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
(b) Definition. "Women-owned business concern," as used in this
provision, means a concern which is at least 51 percent owned by one
or more women; or in the case of any publicly owned business, at
least 51 percent of the stock of which is owned by one or more women;
and whose management and daily business operations are controlled by
one or more women.
K.4 FAR 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED
DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (MAR 1996)
(a) (1) The Offeror certifies, to the best of its knowledge and belief,
that -
The Offeror and/or any of its Principals -
(A) Are [ ] are not [X] presently debarred, suspended,
proposed for debarment, or declared ineligible for
the award of contracts by any Federal agency;
(B) Have [ ] have not [X], within a 3-year period
preceding this offer, been convicted of or had a
civil judgment rendered against them for- commission
of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a
public (Federal, state, or local) contract or
subcontract; violation of Federal or state antitrust
statutes relating to the submission of offers; or
commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making
false statements, tax evasion or receiving stolen
property; and
(C) Are [ ] are not [X] presently indicted for, or
otherwise criminally or civilly charged by a
governmental entity with, commission of any of the
offenses enumerated in subdivision (a)(1)(i)(B) of
this provision.
(ii) The Offeror has [ ] has not [X], within a 3-year period
preceding y this offer, had one or more contracts
terminated for default by an Federal agency.
(2) "Principals," for the purposes of this certification, means
officers; directors; owners; partners; and, persons having
primary management or supervisory responsibilities within a
business entity (e.g., general manager; plant manager; head
of a subsidiary, division, or business segment, and similar
positions).
THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF
AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE,
FICTITIOUS, OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER
SUBJECT TO
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 4
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
PROSECUTION UNDER SECTION 1001, TITLE 18, UNITED STATES CODE.
(b) The Offeror shall provide immediate written notice to the Contracting
Officer if, at any time prior to contract award, the Offeror learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
(c) A certification that any of the items in paragraph (a) of this
provision exists will not necessarily result in withholding of an
award under this solicitation. However, the certification will be
considered in connection with a determination of the Offeror's
responsibility. Failure of the Offeror to furnish a certification or
provide such additional information as requested by the Contracting
Officer may render the Offeror nonresponsible.
(d) Nothing contained in the foregoing shall be construed to require
establishment of a system of records in order to render, in good
faith, the certification required by paragraph (a) of this provision.
The knowledge and information of an Offeror is not required to exceed
that which is normally possessed by a prudent person in the ordinary
course of business dealings.
(e) The certification in paragraph (a) of this provision is a material
representation of fact upon which reliance was placed when making
award. If it is later determined that the Offeror knowingly rendered
an erroneous certification, in addition to other remedies available
to the Government the Contracting Officer may terminate the contract
resulting from this solicitation for default.
K.5 FAR 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS (OCT 1998) - ALTERNATE
II (JAN 1999)
(a) (1) The standard industrial classification (SIC) code for this
acquisition is 8744.
(2) The small business size standard is 500 employees.
(3) The small business size standard for a concern which submits an
offer in its own name, other than on a construction or service
contract, but which proposes to furnish a product which it did
not itself manufacture, is 500 employees.
(b) Representations.
(1) The offeror represents as part of its offer that it is[ ], [X] is
not a small business concern.
(2) (Complete only if offeror represented itself as a small business
concern in paragraph (b)(1) of this provision) The offeror
represents, for general
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 5
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
statistical purposes, it is [ ], is not [ ], a small
disadvantaged business concern as defined in 13 CFR 124.1002.
(3) (Complete only if offeror represented itself as a small business
concern in paragraph (b)(1) of this provision.) The offeror
represents as part of its offer that it is, is not a women-owned
small business concern.
(4) (Reserved)
(5) [Complete only if offeror represented itself as a small business
concern in paragraph (b)(1) of this provision.] The offeror
represents, as part of its offer, that
(i) it [ ] is, [ ] is not a HUBZone small business concern
listed, on the date of this representation, on the List
of Qualified HUBZone Small Business Concerns maintained
by the Small Business Administration, and no material
change in ownership and control, principal place of
ownership, or HUBZone employee percentage has occurred
since it was certified by the Small Business
Administration in accordance with 13 CFR part 126; and
(ii) It [ ] is, [ ] is not a joint venture that complies
with the requirements of 13 CFR part 126, and the
representation in paragraph (b)(5)(i) of this provision
is accurate for the HUBZone small business concern or
concerns that are participating in the joint venture.
[The offeror shaft enter the name or names of the
HUBZone small business concern or concerns that are
participating in the joint venture: _______________.]
Each HUBZone small business concern participating in
the joint venture shall submit a separate signed copy
of the HUBZone representation.
(c) Definitions.
"Small business concern", as used in this provision, means a concern,
including its affiliates, that is independently owned and operated,
not dominant in the field of operation in which it is bidding on
Government contracts, and qualified as a small business under the
criteria in 13 CFR Part 121 and the size standard in paragraph (a) of
this provision.
"Women-owned small business concern", as used in this provision, means
a small business concern
(1) Which is at least 51 percent owned by one or more women or, in
the case of any publicly owned business, at least 51 percent of
the stock of which is owned by one or more women; and
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 6
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
(2) Whose management and daily business operations are controlled by
one or more women.
(d) Notice.
(1) If this solicitation is for supplies and has been set aside, in
whole or in part, for small business concerns, then the clause
in this solicitation providing notice of the set-aside contains
restrictions on the source of the end items to be furnished.
(2) Under 15 U.S.C. 645(d), any person who misrepresents a firm's
status as a small or small disadvantaged business concern in
order to obtain a contract to be awarded under the preference
programs established pursuant to sections 8(a), 8(d), 9, or 15
of the Small Business Act or any other provision of Federal law
that specifically references section 8(d) for a definition of
program eligibility, shall
(i) Be punished by imposition of fine, imprisonment, or both;
(ii) Be subject to administrative remedies, including suspension
and debarment; and
(iii) Be ineligible for participation in programs conducted
under the authority of the Act.
K.6 52.219-22 SMALL DISADVANTAGED BUSINESS STATUS (OCT 1998)
(a) General. This provision is used to assess an offeror's small
disadvantaged business status for the purpose of obtaining a benefit
on this solicitation. Status as a small business and status as a
small disadvantaged business for general statistical purposes is
covered by the provision at FAR 52.219-1, Small Business Program
Representation.
(b) Representations.
(1) General. The offeror represents, as part of its offer, that it
is a small business under the size standard applicable to this
acquisition; and either
[ ](i)It has received certification by the Small Business
Administration as a small disadvantaged business concern
consistent with 13 CFR 124, Subpart B; and
(A) No material change in disadvantaged ownership and
control has occurred since its certification;
(B) Where the concern is owned by one or more
disadvantaged individuals, the net worth of each
individual upon whom
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 7
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
the certification is based does not exceed $750,000
after taking into account the applicable exclusions
set forth at 13 CFR 124.104(c)(2); and
(C) It is listed, on the date of this representation, on
the register of small disadvantaged business concerns
maintained by the Small Business Administration; or
(ii) It has submitted a completed application to the Small
Business Administration or a Private Certifier to be
certified as a small disadvantaged business concern in
accordance with 13 CFR 124, Subpart B, and a decision
on that application is pending, and that no material
change in disadvantaged ownership and control has
occurred since its application was submitted.
(2) [ ] For Joint Ventures. The offeror represents, as part of its
offer, that it is a joint venture that complies with the
requirements at 13 CFR 124.1002(f) and that the representation
in paragraph (b)(1) of this provision is accurate for the small
disadvantaged business concern that is participating in the
joint venture. [The offeror shall enter the name of the small
disadvantaged business concern that is participating in the
joint venture: _____________.]
(c) Penalties and Remedies. Anyone who misrepresents any aspects of the
disadvantaged status of a concern for the purposes of securing a
contract or subcontract shall
(1) Be punished by imposition of a fine, imprisonment, or both;
(2) Be subject to administrative remedies, including suspension and
debarment; and
(3) Be ineligible for participation in programs conducted under the
authority, of the Small Business Act.
K.7 FAR 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB
1999)
The offeror represents that-
(a) It [X] has, [ ] has not participated in a previous contract or
subcontract subject to the Equal Opportunity clause of this
solicitation.
(b) It [X] has, [ ] has not filed all required compliance reports; and
(c) Representations indicating submission of required compliance
reports, signed by proposed subcontractors, will be obtained before
subcontract awards.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 8
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
K.8 FAR 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)
The offeror represents that --
(a) It [X] has developed and has on file, [ ] has not developed and does
not have on file, at each establishment affirmative action programs
required by the rules and regulations of the Secretary of Labor (41
CFR 60-1 and 60-2), or,
(b) It [ ] has not previously had contracts subject to the written
affirmative action programs requirement of the rules and regulations
of the Secretary of Labor.
K.9 FAR 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984)
The Offeror certifies that--
(a) Any facility to be used in the performance of this proposed contract
is [ ], is not [X] listed on the Environmental Protection Agency
(EPA) List of Violating Facilities;
(b) The Offeror will immediately notify the Contracting Officer, before
award, of the receipt of any communication from the Administrator, or
a designee, of the EPA, indicating that any facility that the Offeror
proposes to use for the performance of the contract is under
consideration to be listed on the (EPA) List of Violating Facilities;
and
(c) The Offeror will include a certification substantially the same as
this certification, including this paragraph (c), in every nonexempt
subcontract.
K.10 FAR 52.223-13 CERTIFICATION OF TOXIC CHEMICAL RELEASE
REPORTING (OCT 1996)
(a) Submission of this certification is a prerequisite for making or
entering into this contract imposed by Executive Order 12969, August
8, 1995.
(b) By signing this offer, the offeror certifies that
(1) As the owner or operator of facilities that will be used in the
performance of this contract that are subject to the filing and
reporting requirements described in section 313 of the
Emergency Planning and Community Right-to-Know Act of 1986
(EPCRA) (42 U.S.C. 11023) and section 6607 of the Pollution
Prevention Act of 1990 (PPA) (42 U.S.C. 13106), the offeror
will file and continue to file for such facilities for the life
of the contract the Toxic Chemical Release Inventory Form (Form
R) as described in sections 313(a) and (g) of EPCRA and section
6607 of PPA; or
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 9
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
(2) None of its owned or operated facilities to be used in the
performance of this contract is subject to the Form R filing
and reporting requirements because each such facility is exempt
for at least one of the following reasons: (Check each block
that is applicable)
[ ] (i) The facility does not manufacture, process, or
otherwise use any toxic chemicals listed under
section 313(c) of EPCRA, 42 U.S.C. 11023(c);
[ ] (ii) The facility does not have 10 or more full-time
employees as specified in section 313(b)(1)(A) of
EPCRA, 42 U.S.C. 11023(b)(1)(A);
[ ] (iii) The facility does not meet the reporting thresholds
of toxic chemicals established under section 313(f)
of EPCRA, 42 U.S.C. 11023(f) (including the
alternate thresholds at 40 CFR 372.27, provided an
appropriate certification form has been filed with
EPA);
[ ] (iv) The facility does not fall within Standard
Industrial Classification Code (SIC) designations 20
through 39 as set forth in Section 19.102 of the
Federal Acquisition Regulation;
[ ] (v) The facility is not located within any State of the
United States, the District of Columbia, the
Commonwealth of Puerto Rico, Guam, American Samoa,
the United States Virgin Islands, the Northern
Mariana Islands, or any other territory or
possession over. which the United States has
jurisdiction.
K.11 FAR 52.227-6 ROYALTY INFORMATION (APR 1984)
(a) Cost or charges for royalties. When the response to this solicitation
contains costs or charges for royalties totaling more than $250, the
following information shall be included in the response relating to
each separate item of royalty or license fee:
(1) Name and address of licensor.
(2) Date of license agreement.
(3) Patent numbers, patent application serial numbers, or other
basis on which the royalty is payable.
(4) Brief description, including any part or model numbers of each
contract item or component on which the royalty is payable.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 10
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
(5) Percentage or dollar rate of royalty per unit.
(6) Unit price of contract item.
(7) Number of units.
(8) Total dollar amount of royalties.
(b) Copies of current licenses. In addition, if specifically requested
by the Contracting Officer before execution of the contract, the
offeror shall furnish a copy of the current license agreement and an
identification of applicable claims of specific patents.
K-12 FAR 52.227-15 REPRESENTATION OF LIMITED RIGHTS DATA AND
RESTRICTED COMPUTER SOFTWARE (JUN 1987)
(a) This solicitation sets forth the work to be performed if a contract
award results, and the Governments known delivery requirements for
data (as defined in FAR 27.401). Any resulting contract may also
provide the Government the option to order additional data under the
Additional Data Requirements clause at 52.227-16 of the FAR, if
included in the contract Any data delivered under the resulting
contract will be subject to the Rights in Data-General clause at
52.227-14 that is to be included in this contract. Under the latter
clause, a Contractor may withhold from delivery data that qualify as
limited rights data or restricted computer software, and deliver
form, fit, and function data in lieu thereof. the latter clause also
may be used with its Alternates II and/or III to obtain delivery of
limited rights data or restricted computer software, marked with
limited rights or restricted rights notices, as appropriate. In
addition, use of Alternate V with this latter clause provides the
Government the right to inspect such data at the Contractor's
facility.
(b) As an aid in determining the Government's need to include any of the
aforementioned Alternates in the clause at 52.227-14, Rights in
Data-General, the offeror's response to this solicitation shall, to
the extent feasible, complete the representation in paragraph (b) of
this provision to either state that none of the data qualify as
limited rights data or restricted computer software, or identify
which of the data qualifies as limited rights data or restricted
computer software. Any identification of limited rights data or
restricted computer software in the offeror's response is not
determinative of the status of such data should a contract be
awarded to the offeror.
REPRESENTATION CONCERNING DATA RIGHTS
Offeror has reviewed the requirements for the delivery of data or
software and states (offeror check appropriate block)
[X] None of the data proposed for fulfilling such requirements
qualifies as limited rights data or restricted computer
software.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 11
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
[ ] Data proposed for fulfilling such requirements qualify as
limited rights data or restricted computer software and are
identified as follows:_____________________________________
NOTE: "Limited rights data" and "Restricted computer software" are
defined in the contract clause entitled "Rights In Data-
General."
K.13 FAR 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (APR
1998)
Note: This notice does not apply to small businesses or foreign
governments. This notice is in three parts, identified by Roman numerals I
through III.
Offerors shall examine each part and provide the requested information in
order to determine Cost Accounting Standards (CAS) requirements applicable
to any resultant contract.
If the offeror is an educational institution, Part II does not apply
unless the contemplated contract will be subject to full or modified CAS
coverage pursuant to 48 CFR 9903.201-2(c)(5) or 9903.201-2(c)(6),
respectively.
I. DISCLOSURE STATEMENT-COST ACCOUNTING PRACTICES AND CERTIFICATION
(a) Any contract in excess of $500,000 resulting from this solicitation
will be subject to the requirements of the Cost Accounting Standards
Board (48 CFR Chapter 99), except for those contracts which are
exempt as specified in 48 CFR 9903.201-1.
(b) Any offeror submitting a proposal which, if accepted, will result in
a contract subject to the requirements of 48 CFR Chapter 99 must, as
a condition of contracting, submit a Disclosure Statement as required
by 48 CFR 9903.202. When required, the Disclosure Statement must be
submitted as a part of the offeror's proposal under this solicitation
unless the offeror has already submitted a Disclosure Statement
disclosing the practices used in connection with the pricing of this
proposal. If an applicable Disclosure Statement has already been
submitted, the offeror may satisfy the requirement for submission by
providing the information requested in paragraph (c) of Part I of
this provision. CAUTION: In the absence of specific regulations or
agreement, a practice disclosed in a Disclosure Statement shall not,
by virtue of such disclosure, be
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 12
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
deemed to be a proper, approved, or agreed-to practice for pricing
proposals or accumulating and reporting contract performance cost
data.
(c) Check the appropriate box below:
[X] (1) Certificate of Concurrent Submission of Disclosure Statement.
The offeror hereby certifies that, as a part of the offer,
copies of the Disclosure Statement have been submitted as
follows:
(i) original and one copy to the cognizant Administrative
Contracting Officer (ACO) or cognizant Federal agency
official authorized to act in that capacity (Federal
official), as applicable, and
(ii) one copy to the cognizant Federal auditor.
(Disclosure must be on Form No. CASB DS-1 or CASB DS-2, as
applicable. Forms may be obtained from the cognizant ACO or
Federal official and/or from the loose-leaf version of the
Federal Acquisition Regulation.)
Date of Disclosure Statement: November 1, 1999
Name and Address of Cognizant ACO or Federal Official Where
Filed:
▇▇▇▇▇▇ ▇▇▇▇▇, Contracting Officer
U.S. Department of Energy, Rocky Flats Field Office
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
The offeror further certifies that the practices used in
estimating costs in pricing this proposal are consistent with
the cost accounting practices disclosed in the applicable
Disclosure Statement.
[ ] (2) Certificate of Previously Submitted Disclosure Statement.
The offeror hereby certifies that the required Disclosure
Statement was filed as follows:
Date of Disclosure Statement:
Name and Address of Cognizant ACO or Federal Official Where
Filed:_____________________________________________________
___________________________________________________________
The offeror further certifies that the practices used in
estimating costs in. pricing this proposal are consistent with
the cost accounting practices disclosed in the applicable
Disclosure Statement.
[ ] (3) Certificate of Monetary Exemption.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 13
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
The offeror hereby certifies that the offeror, together with all
divisions, subsidiaries, and affiliates under common control, did
not receive net awards of negotiated prime contracts and
subcontracts subject to CAS totaling more than S25 million (of
which at least one award exceeded $1 million) in the cost
accounting period immediately preceding the period in which this
proposal was submitted. The offeror further certifies that if
such status changes before an award resulting from this proposal,
the offeror will advise the Contracting Officer immediately.
[ ] (4) Certificate of Interim Exemption.
The offeror hereby certifies that (i) the offeror first exceeded
the monetary exemption for disclosure, as defined in (3) of this
subsection, in the cost accounting period immediately preceding
the period in which this offer was submitted and (ii) in
accordance with 48 CFR 9903.202-1, the offeror is not yet
required to submit a Disclosure Statement. The offeror further
certifies that if an award resulting from this proposal has not
been made within 90 days after the end of that period, the
offeror Will immediately submit a revised certificate to the
Contracting Officer, in the form specified under subparagraph
(c)(1) or (c)(2) of Part I of this provision, as appropriate, to
verify submission of a completed Disclosure Statement.
CAUTION: Offerors currently required to disclose because they were awarded a
CAS-covered prime contract or subcontract of $25 million or more in the current
cost accounting period may not claim this exemption (4). Further, the exemption
applies only in connection with proposals submitted before expiration of the
90-day period following the cost accounting period in which the monetary
exemption was exceeded.
II. COST ACCOUNTING STANDARDS-ELIGIBILITY FOR MODIFIED CONTRACT COVERAGE
If the offeror is eligible to use the modified provisions of 48 CFR
9903.201-2(b) and elects to do so, the offeror shall indicate by checking
the box below. Checking the box below shall mean that the resultant
contract is subject to the Disclosure and Consistency of Cost Accounting
Practices clause in lieu of the Cost Accounting Standards clause.
[ ] The offeror hereby claims an exemption from the Cost Accounting
Standards clause under the provisions of 48 CFR 9903.201- 2(b) and
certifies that the offeror is eligible for use of the Disclosure and
Consistency of Cost Accounting Practices clause because during the
cost accounting period immediately preceding the period in which
this proposal was submitted, the offeror received less than $25
million in awards of CAS-covered prime contracts and subcontracts,
or the offeror did not receive a single CAS-covered award exceeding
$1 million. The offeror further certifies that if such status
changes before an award resulting from this proposal, the offeror
will advise the Contracting Officer immediately.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 14
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
CAUTION: An offeror may not claim the above eligibility for modified
contract coverage if this proposal is expected to result in the award of
a CAS-covered contract of S25 million or more or if during its current
cost accounting period, the offeror has been awarded a single
CAS-covered prime contract or subcontract of $25 million or more.
III. ADDITIONAL COST ACCOUNTING STANDARDS APPLICABLE TO EXISTING CONTRACTS
The offeror shall indicate below whether award of the contemplated
contract would, in accordance with subparagraph (a)(3) of the Cost
Accounting Standards clause, require a change in established cost
accounting practices affecting existing contracts and subcontracts.
[X] Yes [ ] No
K.14 FAR 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)
This solicitation incorporates one or more solicitation provisions by
reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available. The
offeror is cautioned that the listed provisions may include blocks that must be
completed by the offeror and submitted with its quotation or offer. In lieu of
submitting the full text of those provisions, the offeror may identify the
provision by paragraph identifier and provide the appropriate information with
its quotation or offer. Also, the fall text of a solicitation provision may he
accessed electronically at this/these address(es):
Federal Acquisition Regulations ▇▇▇▇://▇▇▇.▇▇▇▇▇.▇▇▇/▇▇▇/
Federal Acquisition Forms ▇▇▇▇://▇▇▇.▇▇▇.▇▇▇/▇▇▇▇▇/▇▇▇▇▇▇▇▇.▇▇▇
Department of Energy Acquisition ▇▇▇▇://▇▇▇.▇▇.▇▇▇.▇▇▇/▇▇▇▇.▇▇▇▇ and
Regulations ▇▇▇▇://▇▇▇▇▇▇▇.▇▇▇▇.▇▇.▇▇▇/▇▇▇▇▇▇.▇▇▇
K.15 DEAR 952.204-73 FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE OVER CONTRACTOR
(JUL 1997) Alternate I (DEC 1993)
(a) For purposes of this provision, a foreign interest is defined as any of the
following:
(1) A foreign government or foreign government agency;
(2) Any form of business enterprise organized under the laws of any
country other than the United States or its possessions;
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 15
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
(3) Any form of business enterprise organized or incorporated under the
laws of the U.S., or a State or other jurisdiction within the U.S.,
which is owned, controlled, or influenced by a foreign government,
agency, firm, corporation, or person; or
(4) Any person who is not a U.S. citizen.
(b) Foreign ownership, control, or influence (FOCI) means the situation
where the degree of ownership, control, or influence over a contractor by
a foreign interest is such that a reasonable basis exists for concluding
that compromise of classified information or significant quantity of
special nuclear material as defined in 10 CFR Part 710 may result.
(c) If the offeror has not previously submitted responses to the following
questions to DOE as part of the facility security clearance process, then
it shall answer the following questions. Answer each question in either
the "yes" or "no" column. If the answer is yes, furnish in detail on a
separate sheet of paper all the information requested in parentheses.
Copies of information which responds to these questions and which was
submitted to other Government agencies may be submitted as responses to
these questions if the earlier responses are accurate, complete, and
current.
Question Yes No
1. Does a foreign interest own or have beneficial ownership in X
5% of more of your organization's voting securities? (Identify
the percentage of any class of shares or other securities issued
which are owned by foreign interests, listed by country. If you
answer "Yes" and have received from an investor a copy of
Schedule 13D and/or Schedule 13G filed by the investors with the
Securities and Exchange Commission, you are to attach a copy of
Schedule 13D and/or Schedule 13G.)
2. Does your organization own 10% or more of any foreign interest? X
(Furnish the name of the foreign interest, address by country,
and the percentage owned. Include name and title of officials of
your organization who occupy positions with the foreign interest,
if any.)
3. Do any foreign interests have management positions such as X
directors, officers, or executive personnel in your organization?
(Furnish fall information concerning the of the foreign interest
and the position he/she holds in your organization.)
4. Does any foreign interest control or influence, or is any X
foreign interest in a position control or influence the election,
appointment, or tenure of any of your directors, officers, or
executive personnel? (Identify the foreign interest(s) and furnish
full details concerning the control or influence.)
5. Does your organization have any contracts, binding agreements, X
understandings, or X arrangements with a foreign interest(s) that
cumulatively represent 10% or more of your organization's gross
income? (Furnish the name of the foreign interest, country, nature
of agreement or involvement.
Agreements include licensing, sales, patent exchange, trade secrets,
agency, cartel, partnership, joint venture, proxy etc. Give overall
percentage by country as related to total income and type of
services or products in general terms. If you answer "Yes" and
have received from the foreign interest a copy of Schedule 13D
and/or Schedule 13G filed by the foreign interest with the
Securities and Exchange Commission, you are to attach a copy of
Schedule 13D and/or Schedule 13G.)
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 16
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
YES NO
6. Is your organization indebted to foreign interests? (Furnish X
the amount of indebtedness related to the current assets of the
organization and identify the creditor. Include specifics as to
the type of indebtedness and what, if any, collateral, including
voting stock, been furnished or pledged. If any, and what will
be received after conversion are to furnished.)
7. Does your organization derive any income from Communist X
countries included in Country Groups Q, S, W, Y, and Z in
Supplement No. 1 in 15 CFR part 770? (Discuss in detail any
income derived from Communist countries, including percentage
from each such country as related to total income, and the
type of services or products involved.)
8. Is 5% or more of any class of your organization's securities X
hold in "nominee shares" in "street names" or in some other
method which does not disclose beneficial owner of table title?
(Identify each foreign institutional investor holding 5 percent
or more of voting stock. Identification should include the name
and address of the investor and percentage of stock held. State
whether the investor has attempted to, or has, exerted any
management control or influence over the appointment of directors,
officers, or other key management personnel, and whether such
investors have attempted to influence the policies of the
corporation. If you have received from the investor a copy of the
Schedule 13D and/or Schedule 13G filed by the investor with the
Securities and Exchange Commission, you are to attach a copy of
Schedule 13D and/or Schedule 13G.)
9. Does your organization have inter-locking directors with foreign X
interests? (Include identifying data on all such directors. If they
have a security clearance, so state. Also indicate the name and
address of all other corporations with which they serve in capacity.)
10. Are there any citizens of foreign countries employed by, or who X
may visit, your X offices or facilities in a capacity which may
permit them to have access to classified information or a
significant quantity of special nuclear material? (Provide complete
information by identifying the individuals and the country of which
they are citizens.)
11 . Does your organization have foreign involvement not otherwise X
covered in your answers to the above questions? (Describe the foreign
involvement in detail, including why the involvement would not be
reportable in the preceding questions.)
(d) Prior to award of a contract under this solicitation, the DOE must
determine that award of the contract to the offeror will not pose an undue
risk to the common defense and security as a result of its access to
classified information or a significant quantity of special nuclear
material in the performance of the contract. In making the determination,
the contracting officer may consider a voting trust or other arrangements
proposed by the offeror to mitigate or avoid FOCI. The contracting officer
may require the offeror to submit such additional information as deemed
pertinent to this determination.
(e) The offeror shall require any subcontractors having access to
classified information or a significant quantity of special nuclear
material to provide responses to the questions in paragraph (c) of this
provision directly to the DOE contracting officer.
(f) Information submitted by the offeror in response to the questions in
(c) above is to be used solely for purposes of evaluating foreign
ownership, control, or influence and shall be treated by
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 17
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
DOE, to the extent permitted by law, as business or financial information
submitted in confidence.
NOTICE
Statute prohibits the award of a contract under a national security program to a
company owned by an entity controlled by a foreign government unless a waiver is
granted by the Secretary of Energy.
K.16 ORGANIZATIONAL CONFLICTS OF INTEREST DISCLOSURE-ADVISORY AND ASSISTANCE
SERVICES (JUN 1997)
(a) Organizational conflict of interest means that because of other activities
or relationships with other persons, a person is unable or potentially unable to
render impartial assistance or advice to the Government, or the person's
objectivity in performing the contract work is or might be otherwise impaired,
or a person has an unfair competitive advantage.
(b) An offeror notified that it is the apparent successful offeror shall provide
the statement described in paragraph (c) of this provision. For purposes of this
provision, "apparent successful offeror" means the proposer selected for final
negotiations or, where individual contracts are negotiated with all firms in the
competitive range, it means all such firms.
(c) The statement must contain the following:
(1) A statement of any past (within the past twelve months), present, or
currently planned financial, contractual, organizational, or other
interests relating to the performance of the statement of work. For
contractual interests, such statement must include the name, address
telephone number of the client or client(s), a description of the
services rendered to the previous client(s), and the name of a
responsible officer or employee of the offeror who is knowledgeable
about the services rendered to each client, if, in the 12 months
preceding the date of the statement services were rendered to the
Government or any other client (including a foreign government or
person) respecting the same subject matter of the instant solicitation,
or directly relating to such subject matter. The agency and contract
number under which the services were rendered must also be included, if
applicable. For financial interests, the statement must include the
nature and extent of the interest and any entity or entities involved
in the financial relationship. For these and any other interests enough
such information must be provided to allow a meaningful evaluation of
the potential effect of the interest on the performance of the
statement of work.
(2) A statement that no actual or potential conflict of interest or unfair
competitive advantage exists with respect to the advisory and
assistance services to be provided in connection with the instant
contract or that any actual or potential conflict of interest or unfair
competitive advantage that does or may exist with respect to the
contract in question has been communicated as part of the statement
required by (b) of this provision.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 18
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
(d) Failure of the offeror to provide the required statement may result in the
offeror being determined ineligible for award. Misrepresentation or failure to
report any fact may result in the assessment of penalties associated with false
statements or such other provisions provided for by law or regulation.
K17 DEAR 970.5204-57 AGREEMENT REGARDING WORKPLACE SUBSTANCE ABUSE PROGRAMS AT
DOE SITES (SEP 1997)
(a) Any contract awarded as a result of this solicitation will be subject
to the policies, criteria, and procedures of 10 CFR part 707,
Workplace Substance Abuse Programs at DOE Sites.
(b) By submission of its offer, the offeror agrees to provide to the
Contracting ,Officer, within 30 days after notification of selection
for award, or award of a contract, whichever occurs first, pursuant
to this solicitation, its written workplace substance abuse program
consistent with the requirements of 10 CFR part 707.
(c) Failure of the offeror to agree to the condition of responsibility
set forth in paragraph (b) of this provision, renders the offeror
unqualified and ineligible for award.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 19
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
K.18 SIGNATURE/CERTIFICATION
By signing below, the offeror certifies, under penalty of law, that the
representations and certifications are accurate, current, and complete.
The offeror further certifies that it will notify the Contacting Officer
of any changes to these representations and certifications. The
representations and certifications made by the offeror, as contained
herein, concern matters within the jurisdiction of an agency of the United
States and the making of a false, fictitious, or fraudulent representation
or certification may reader the maker subject to prosecution under Title
18, United States Code, Section 1001.
/s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇ November 15, 1999
---------------------------------------------------------------
Signature of the Officer or Employee Date of Execution
Responsible for the Offer
▇▇▇▇▇▇ ▇. ▇▇▇▇. President and Chief Executive Officer
---------------------------------------------------------------
Typed Name and Title of the Officer or Employee
Responsible for the Offer
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C.
---------------------------------------------------------------
Name of Organization
▇▇▇▇▇ ▇▇▇▇▇▇▇ 93, Unit B
---------------------------------------------------------------
Address
Golden. CO 80403-8200
---------------------------------------------------------------
City, State, ZIP
CONTRACT NUMBER DE-AC34-00RF01904
Rocky Flats Environmental Technology Site
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 20
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
Supplemental Information
to
Section K-16, Organizational Conflict of Interest
of
Solicitation No. DE-AC34-OORF01904
Representations and Certifications
by
▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
I hereby certify that I have the authority to represent ▇▇▇▇▇▇-▇▇▇▇ Company,
L.L.C. and that, to the best of my knowledge and belief, and upon a good faith
investigation, no past (within the past twelve months), present or currently
planned financial, contractual, organizational or other interests exist relating
to the performance of the statement of work. Additionally, ▇▇▇▇▇▇-▇▇▇▇ Company,
L.L.C. has no actual or potential conflict of interest or unfair competitive
advantage with respect to the advisory and assistance services to be provided in
connection with the instant contract or that any actual or potential conflict of
interest or unfair competitive advantage that does or may exist with respect to
the contract in question has been communicated.
Signature:
/s/ ▇▇▇▇▇▇ ▇. Card
------------------------------------
▇▇▇▇▇▇ ▇. ▇▇▇▇
President and Chief Executive Officer
▇▇▇▇▇▇-▇▇▇▇ Company, L.L.C.
November 15, 1999
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 21
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
This page intentionally left blank.
Use or disclosure of data contained Base Proposal
on this sheet is subject to the Representations and
restriction on title page of Certificates - Page 22
this proposal.
ROCKY FLATS CLOSURE CONTRACT NO. ▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
DE-AC34-00RF01904
SECTION J
ATTACHMENT E
KEY PERSONNEL
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION J
ATTACHMENT E
KEY PERSONNEL
▇▇▇▇▇▇-▇▇▇▇ COMPANY, L.L.C.
-------------------------------------------------------------------------
Name Title
-------------------------------------------------------------------------
Card, ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇▇ and CEO
-------------------------------------------------------------------------
▇▇▇▇▇▇, ▇▇▇▇▇▇ ▇. Executive Vice President
-------------------------------------------------------------------------
▇▇▇▇▇▇, ▇▇▇▇ ▇. Director, B771 Project
-------------------------------------------------------------------------
▇▇▇▇▇▇, ▇▇▇▇ ▇. Director, B776 Project
-------------------------------------------------------------------------
▇▇▇▇▇▇, ▇▇▇▇ ▇. Director, B371 Project
-------------------------------------------------------------------------
▇▇▇▇▇▇, ▇▇▇▇ ▇. Director, B707 Project
-------------------------------------------------------------------------
▇▇▇▇, ▇▇▇▇▇ ▇. Director, Industrial Buildings, Site Operations,
and ER Project
-------------------------------------------------------------------------
▇▇▇▇, ▇▇▇▇▇ ▇. Director, Planning and Integration
-------------------------------------------------------------------------
▇▇▇▇▇▇▇▇▇▇, ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇, Materials Stewardship Project
-------------------------------------------------------------------------
▇▇▇▇▇▇, ▇▇▇▇ ▇. Director, Environmental, Safety, Health and Quality
-------------------------------------------------------------------------
▇▇▇▇▇▇▇▇, ▇▇▇▇▇▇▇ ▇. Director of Administration
-------------------------------------------------------------------------
▇▇▇▇▇▇▇▇▇, ▇▇▇▇▇▇▇ ▇. General Counsel
-------------------------------------------------------------------------
Section J, Attach E - Pg 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION J
ATTACHMENT F
REPORTING REQUIREMENTS CHECKLIST
Rocky Flats Closure Contract No. DE-AC34-00RF01904
Report Distribution List
------------------------
Plan/Report Form No. * Frequency Level No. Copies Address
----------- ---------- --------- ----- ---------- -------
Management Plan O,A Total project 5 A
Status Report Q PBD, total project 1,8,1 A,B,C
Summary Report 1332.2 Q PBD, total project 1,8,1 A,B,C
------------------------------------------------
Milestone Schedule Plan 1332.3 O,Q PBD, total project 1,8,1 A,B,C
Cost Plan 1332.7 O,Q PBD, total project 1,8,1 A,B,C
Milestone Schedule Status 1332.3 M PBD, total project 1,8,1 A,B,C
Cost Management Report 1332.9 M PBD, total project 1,8,1 A,B,C
------------------------------------------------
Management Control System Description O,X Total project 1,3,1 A,B,C
WBS Dictionary Index O,X Total project 1,3,1 A,B,C
Cost Performance Reports 1332.12 M M Control Account, PBD 1,8,1 A,B,C
1332.14 PDB 1,8,1 A,B,C
------------------------------------------------
Cash Flow Statement O,Q PBD, total project 1,2,2 A,B,C
Operating Budget O,Q PBD, total project 1,2,2 A,B,C
Supplementary Information A As required as required A
------------------------------------------------
Other (Quarterly Critical Analysis) Q PBD, total project 1,8,1 A,B,C
* Alternate format may be authorized upon approval of the Contracting Officer
1
Rocky Flats Closure Contract No. DE-AC34-00RF0-01904
Due Dates
---------
Within x Calendar
Code Event Days after event
---- ----- -----------------
A As requested As specified
M End of calendar month 30
O Contract award 30
Q End of calendar quarter 30
X Significant change 5
2
Rocky Flats Closure Contract No. DE-AC34-00RF0-01904
List of
A. Contracting Officer
U.S. Department of Energy
Rocky Flats Field Office
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇. CO 80402-8200
B. Assistant Manager for Closure Project management
U.S. Department of Energy
Rocky Flats Field Office
▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-8200
▇. ▇▇▇▇▇ Chief Financial Officer
U.S. Department of Energy
Rocky Flats Field Office
▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇, ▇▇▇▇ ▇
▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇
3
Rocky Flats Closure Contract No. DE-AC34-00RF0-01904
SECTION J
ATTACHMENT G
AUTHORIZATION AGREEMENTS
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 991 Complex Authorization Agreement
--------------------------------------------
Authorization Agreement No. RFETS-014 Revision 1
1. Preamble
The purpose of this Authorization Agreement is to adopt the Building 991
Complex Authorization Basis (AB), as approved by the Department of Energy
(DOE), Rocky Flats Field Office (RFFO) and to authorize the performance of
activities in accordance with the Building 991 Complex AB.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (the Contractor) inherited from EG&G Rocky
Flats, Inc., on July 1. 1995, aging facilities with existing hazards arid
outdated or non-existent authorization basis documentation. It is
recognized by the DOE, RFFO and the Contractor that on July 1, 1995, the
following conditions existed regarding Building 991: (a) the hazards,
design basis and construction detail knowledge of the system, structures
and components were incomplete, and (b) a new AB was needed to support the
new and current missions. The new AB was developed following appropriate
guidance contained in DOE Orders 5480.22 Technical Safety Requirements
(TSR) and DOE 5480.23 Nuclear Safety Analysis Reports (SAR) and DOE-STD-
3011-94, Guidance for Preparation of DOE 5480.22 (TSR) and DOE 5480.23
(SAR) Implementation Plans.
2. Scope of Agreement
This agreement authorizes the scope of activities identified and analyzed
in the AB subject to the terms and conditions in section 5 below.
3. Basis for Approval/Contractor Qualification
3.1. Based on the Review Report for the Building 991 Complex Final Safety
Analysis Report (FSAR) dated May 5, 1999, with specified technical
direction, the Department of Energy, Rocky Flats Field Office
concludes that the Building 991 Complex FSAR adequately documents
the operating safety basis and contains a control set, that when
implemented, provides reasonable assurance that the work activities
described in the Building 991 Complex FSAR can be conducted by the
Contractor without endangering the environment or the health and
safety of the workers or public.
3.2. The Department of Energy, Rocky Flats Field Office finds that there
is reasonable assurance that the Contractor is technically qualified
to engage in the activities authorized by this Authorization
Agreement
4. Authorization Basis
4.1. The effective Authorization Basis for the Building 991 Complex is
those documents identified as applicable to the Building 991 Complex
in the AB Document List (ABDL).
4.2. The DOE approved Building 991 Complex FSAR dated May 5. 1999, shall
be completely implemented, meeting the conditions of subsections 5.4
and 5.5, on or before October 28, 1999. The ABDL shall then be
modified to reflect this change.
Page 1 of 2
Building 991 Complex Authorization Agreement - Continued
--------------------------------------------------------
5. Terms and Conditions
5.1 Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding the Building
991 Complex, except as further defined for safety and health in
subsection 6.2 below, remain in force.
5.2. The Building 991 Complex AB Chapter 3 defines the specific Safety
Management Program commitments under this Authorization Agreement
which meet the applicable safety and health requirements of Section
J, Attachment F, of contract #DE-AC34-95PX-00825. The Administrative
Controls contained in the Building 991 Complex TSRs define the
specific Safety Management Program elements that shall be
implemented under this Authorization Agreement to support the
Building 991 Complex safety analyses.
5.3. The AB including the TSRs will be kept current by The Contractor
through performance of an annual review. As appropriate, changes to
or additional controls that may be needed to safely perform planned
activities will be developed. evaluated and implemented by the
Nuclear Safety Program in accordance with-the Site Integrated Safety
Management System. This change control process shall manage the
configuration of the AB to include timely update and dissemination
of the AB Document List to reflect DOE, RFFO approved AB documents.
5.4. The RFFO has accepted the strategy for implementation of the
Building 991 complex FSAR. The Contractor will approve an
implementation plan (IP) to achieve compliance with the controls and
commitments of the FSAR. The Contractor shall provide written
notification to RFFO of any substantive changes to the IP. This
notification shall include the basis for the change and any
appropriate recovery actions.
5.5. The Contractor will ensure completion of an Implementation
Validation Review prior to implementation of new controls under the
Building 991 Complex FSAR.
6. Special Conditions
None
7. Effective and Expiration Dates of Agreement
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RFO0825, unless modified in writing by both parties
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 9/1/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 9/2/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 774 Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-015
1. Preamble
The purpose of this Authorization Agreement is to adopt the Building 774
Authorization Basis (AB) as approved by the Department of Energy (DOE),
Rocky Flats Field Office (RFFO) and to authorize the performance of
activities in Building 774 in accordance with Building 774 AB.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (the Contractor) inherited from EG&G Rocky
Flats, Inc., on July 1, 1995, aging facilities with existing hazards and
outdated or non-existent authorization basis documentation. It is
recognized by the DOE, RFFO and the Contractor that on July 1, 1995, the
following conditions existed regarding Building 774: (a) Building 774 was
over 40 years old and had aged and degraded structural and system
deficiencies from its original intended design capability, (b) there was
an incomplete knowledge regarding its design and condition of systems and
components due to less than adequate configuration control, (c) some
building systems and components had exceeded their original design life,
and (d) there was incomplete reliable/available data on building systems.
2. Authorization Scope
This agreement authorizes the scope of activities identified and analyzed
in the AB subject to the terms and conditions in section 5 below.
3. Basis for Approval/Contractor Qualification
3.1. Based on the review of the Building 774 Final Safety Analysis
Report (FSAR) and RFF0 reviews of documents listed In the AB
Document List (ABDL) for Building 774. the DOE, RFFO concludes
that the Building 774 AB adequately documents the operating safety
basis and contains a control set that, when implemented, provides
reasonable assurance that the work activities described in the
Building 774 AB can be conducted by the Contractor without
endangering the environment or the health and safety of the
workers or public
3.2. The DOE, RFFO finds that there is reasonable assurance that the
contractor is technically qualified to engage in the activities
authorized by this Authorization Agreement.
4. Authorization Basis
The effective Authorization Basis for the Building 774 is those documents
identified as applicable to the Building 774 in the ABDL.
Page 1 of 2
Building 774 Authorization Agreement (Continued)
------------------------------------------------
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding the
Building 774, except as further defined for safety and health in
subsection 5.2 below, remain in force.
5.2. The Building 774 FSAR, Chapters 9 through 14 define the Safety
Management Program commitments under this Authorization Agreement
which meet the applicable safety and health requirements of
Section J, Attachment F, of contract #DE-AC34-95RF00825. The
Administrative Controls contained in the Building 774 Operational
Safety Requirements (OSRs) define the specific, credited
programmatic elements that shall be implemented under this
Authorization Agreement to support the Building 774 safety
analyses.
5.3. The AB, including the OSRs, will be kept current by the Contractor
through the performance of an annual review. As appropriate,
changes to or additional controls that may be needed to safely
perform planned activities will be developed, evaluated and
implemented by the Nuclear Safety Program in accordance with the
Site Integrated Safety Management System. This change control
process shall manage the configuration of the AB to include timely
update of the AB Document List to reflect DOE, RFFO approved AB
documents.
6. Special Conditions
None
7. Effective and Expiration Dates of Agreement
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RFO0825, unless modified in writing by both parties
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 8/31/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 8/31/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
750/904 Pads Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-013
1. Preamble
The purpose of this Authorization Agreement is to adopt the 750/904 Pads
Authorization Basis (AB), and to authorize the performance of activities
in the 750/904 Pads as analyzed in the AB.
▇▇▇▇▇▇-▇▇▇▇ Company L. L. C. (▇▇▇▇▇▇-▇▇▇▇) inherited from EG&G Rocky
Flats, Inc., on July 1, 1995, aging facilities with existing hazards and
outdated or non-existent authorization basis documentation. It is
recognized by the Department of Energy, Rocky Flats Field Office (RFFO)
and ▇▇▇▇▇▇-▇▇▇▇ that on July 1, 1995, the following conditions existed
regarding the 750/904 Pads: (a) there was an absence of complete
knowledge regarding Its design basis, systems and components due to less
than adequate configuration control, (b) the facility required
modifications to meet the requirements of its future mission and (e) the
facility lacked an authorization basis for the current mission. As a
result of the revised mission to store additional waste types, the Final
Safety Analysis Report (FSAR) was revised to incorporate new analyses and
controls for this mission. This revision was developed following
appropriate guidance contained in DOE Orders 5480.22 Technical Safety
Requirements (TSR) and DOE 5480.23 Nuclear Safety Analysis Reports (SAR).
2. Scope of this Agreement
This agreement authorizes the scope of activities identified and analyzed
in the AB subject to the terms and conditions in section 5 below.
3. RFFO Basis for Approval/Contractor Qualification
3.1. Based on the 750/904 Pads Safety Evaluation Report dated September
27, 1995 and revisions up to and including April 5, 1999, the
Department of Energy, Rocky Flats Field Office concludes that the
amended FSAR adequately documents the operating safety basis and
contains a control set which when implemented, will provide
reasonable assurance that the work activities described in the
FSAR can be conducted by the contractor without endangering the
environment or the health and safety of the workers or public.
3.2. The Department of Energy, Rocky Flats Field Office finds that
there is reasonable assurance that the contractor is technically
qualified to engage in the activities authorized by this
Authorization Agreement.
4. Authorization Basis
The effective Authorization Basis for 750/904 Pads is those documents
identified as applicable to 750/904 Pads in the AB Document List (ABDL).
Page 1 of 2
750/904 Pads Authorization Agreement (Continued)
------------------------------------------------
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding 750/904
Pads; except as set out in section 5.2 below, remain in force.
5.2. The 750/904 Pads FSAR Chapter 5 describes the Safety Management
Program commitments under this Authorization Agreement which meet
the applicable safety and health requirements of Section J,
Attachment F, of contract #DE-AC34-95RF00825. The Administrative
Controls contained in the 750/904 Pads Technical Safety
Requirements (TSRs) define the specific, credited programmatic
elements that shall be implemented under this Authorization
Agreement to support the 750/904 Pads safety analyses.
5.3. The AB, including the TSRs, will be kept current by ▇▇▇▇▇▇-▇▇▇▇
including the performance of an annual review. As appropriate,
changes to or additional controls that may be needed to safely
perform planned activities will be developed. evaluated and
implemented by the Nuclear Safety Program in accordance with the
Site Integrated Safety Management System. This change control
process shall manage the configuration of the 750/904 Pads AB to
Include timely update of the AB Document List to reflect RFFO
approved AB Documents.
6. Special Conditions
None
7. Effective and Expiration Dates
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RF00825, unless modified in writing by both parties.
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 4/13/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 4/28/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 664 Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-007
1. Preamble
The purpose of this Authorization Agreement is to adopt the Building 664
Authorization Basis (AB) as approved by the Department of Energy (DOE),
Rocky Flats Field Office (RFFO) and to authorize the performance of
activities in Building 664 in accordance with Building 664 AB.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (the Contractor) inherited from EG&G Rocky
Flats, Inc., on July 1, 1995, aging facilities with existing hazards and
outdated or non-existent authorization basis documentation. It is
recognized by the DOE, RFFO and the Contractor that on July 1, 1995, the
following conditions existed regarding Building 664: (a) the hazards,
design basis and construction detail knowledge of the systems, structures
and components were incomplete, and (b) a new AB was needed to support
the new and current missions. The new AB was developed following
appropriate guidance contained in DOE Orders 5480.22 Technical Safety
Requirements (TSR) and DOE 5480.23 Nuclear Safety Analysis Reports (SAR)
2. Authorization Scope
This agreement authorizes the scope of activities identified and analyzed
in the AB subject to the terms and conditions in section 5 below.
3. Basis for Approval/Contractor Qualification
3.1. Based on the Building 664 Final Safety Analysis Report (FSAR)
Safety Evaluation Report approved on August 3,1995, the DOE, RFFO
concludes that the Building 664 FSAR adequately documents the
operating safety basis and contains a control set, that when
implemented, provides reasonable assurance that the work activities
described in the Building 664 FSAR can be conducted by the
Contractor without endangering the environment or the health and
safety of the workers or public.
3.2. The DOE, RFFO finds that there is reasonable assurance that the
contractor is technically qualified to engage in the activities
authorized by this Authorization Agreement.
4. Authorization Basis
The effective Authorization Basis for the Building 664 is those documents
identified as applicable to the Building 664 in the AB Document List
(ABDL).
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding the
Building 664, except as further defined for safety and health in
subsection 5.2 below, remain in force.
Page 1 of 2
Building 664 Authorization Agreement (Continued)
------------------------------------------------
5.2. The Building 664 FSAR defines the Safety Management Program
commitments under this Authorization Agreement which meet the
applicable safety and health requirements of Section J, Attachment
F, of contract #DE-AC34-95RFO0825. The Administrative Controls
contained in the Building 664 TSRs define the specific, credited
programmatic elements that shall be implemented under this
Authorization Agreement to support the Building 664 safety
analyses.
5.3. The AB, including the TSRs, will be kept current by the Contractor
through the performance of an annual review. As appropriate,
changes to or additional controls that may be needed to safely
perform planned activities will be developed, evaluated and
Implemented by the Nuclear Safety Program in accordance with the
Site Integrated Safety Management System. This change control
process shall manage the configuration of the AB to include timely
update of the AB Document List to reflect DOE, RFFO approved AB
documents.
6. Special Conditions
None
7. Effective and Expiration Dates of Agreement This Authorization Agreement
is effective as of the date of the last signature below and shall remain
in effect through the life of contract #DE-AC34-95RFO0825, unless modified
in writing by both parties
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 6/23/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 7/13/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 569 Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-008
1. Preamble
The purpose of this Authorization Agreement is to adopt the Building 569
Basis for Interim Operation (BIO), and to authorize the performance of
activities in Building 569 as analyzed in the BIO.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (▇▇▇▇▇▇-▇▇▇▇) inherited from EG&G Rocky Flats,
Inc., on July 1, 1995, aging facilities with existing hazards and
outdated or non-existent authorization basis documentation. It is
recognized by the Department of Energy Rocky Flats Field Office (RFFO)
and ▇▇▇▇▇▇-▇▇▇▇ that on July 1, 1995, to following conditions existed
regarding Building 569: (a) there was an absence of complete knowledge
regarding Its design basis, systems and components due to less than
adequate configuration control, (b) the building required modifications
to meet the requirements of its future mission and (c) the building
lacked a formal authorization basis for operation. Based upon these
conditions a new authorization basis document the BIO, was developed to
meet DOE Standard 3011, Guidance for Preparation of DOE 5480.22 (TSR) and
DOE 5480.23 (SAR) Implementation Plans, and is the focus of this
agreement.
2. Scope of this Agreement
This agreement covers the scope of activities identified and analyzed in
the BIO.
3. RFF0 Basis for Approval/Contractor Qualification
3.1 Based on the Building 569 Review Report with specified conditions,
The Department of Energy, Rocky Flats Field Office concludes that
the BIO adequately documents the operating safety basis and
contains a control set, which when implemented, will provide
reasonable assurance that the work activities described in the BIO
can be conducted by the contractor without endangering the
environment or the health and safety of the workers or public.
32. The Department of Energy, Rocky Flats Field Office finds that there
is reasonable assurance that the contractor is technically
qualified to engage in the activities authorized by this
Authorization Agreement
4. Authorization Basis
4.1. The Authorization Basis (AB) for Building 569 is the DOE approved
BIO dated December 22,1997, the associated RFFO Review Report with
specified conditions dated February 18, 1998 and the Justification
for audibility deficiencies. The AB list for Building 569 will be
maintained current by the contractor in accordance with the
Nuclear Safety Manual as new activities or discovered conditions
result in DOE RFFO approved changes to the AB.
4.2. The BIO, when completely implemented, supersedes all previous
authorization basis documents for Building 569.
Page 1 of 2
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding Building
569, except as set out in section 52 below, remain in force.
5.2. The safety management controls contained in the Building 569
Technical Safety Requirements (TSRs) adequately define the extent
to which the Safety Management Programs shall be implemented under
this Authorization Agreement to meet the applicable requirements of
Section J, Attachment F, of contract #DE-AC34-95RF00825.
5.3. Building 569 operations are authorized to be accomplished in
accordance with the scope, applicable requirements and control set
of the BIO.
5.4. The BIO, including the TSRs, will be kept current by ▇▇▇▇▇▇-▇▇▇▇
including the performance of an annual review. As appropriate,
changes to or additional controls that may be needed to safely
perform planned activities will be developed, evaluated and
Implemented by the Nuclear Safety Program in accordance with the
Site Integrated Safety Management System. This change control
process shall manage the configuration of Building 569 AB to
include timely update of the list to reflect RFFO approved changes
(e.g., page changes, USQ determinations, JCOs).
5.5. ▇▇▇▇▇▇-▇▇▇▇ will approve an implementation plan (IP) to achieve
full compliance with the TSRs. Provisional operation Is authorized
while Implementing the now TSRs. Installation, calibration and
demonstration of readiness of the Passive-Active Drum Counter
(PADC) and Low Specific Activity Counter (LOSAC) under the approved
IP are authorized. ▇▇▇▇▇▇-▇▇▇▇ will riot authorize operation of the
PA/DC until the completion of a satisfactory Management Review to
verify the safe operation of that equipment. Full compliance with
the TSRs will be achieved by April 20, 1998. Termination of other
authorized operations is not required if the implementation and
review of the new controls is not achieved by this date.
5.6. ▇▇▇▇▇▇-▇▇▇▇ will ensure completion of an Implementation Validation
Review prior to implementation of new controls under the BIO. RFFO
will perform an independent verification of the Implementation.
6. Special Conditions
None
7. Effective and Expiration Dates
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RF00825, unless modified in writing by both parties
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇ /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 3/24/98
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. ▇▇▇▇ Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 559 Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-006
1 Preamble
The purpose of this Authorization Agreement is to adopt the Building 559
Authorization Basis, hereinafter referred to as the AS, as approved by
the Department of Energy (DOE), Rocky Flats Field Office (RFFO), and to
authorize the performance of activities in Building 559 in accordance
with the Building 559 AB.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (▇▇▇▇▇▇-▇▇▇▇) inherited from EG&G Rocky Flats,
Inc., on July 1, 1995, aging facilities with existing hazards and
outdated or non-exisistent authorization basis documentation. It is
recognized by the DOE RFFO and ▇▇▇▇▇▇-▇▇▇▇ that on July 1, 1995, the
following conditions existed regarding Building 559: the design basis and
construction detail knowledge of the systems, structures and components
were incomplete.
2. Authorization Scope
This agreement authorizes the scope of activities identified and analyzed
in the AB subject to the terms and conditions in section 5.
3. RFFO Basis for Approval/Contractor Qualification
3.1. Based on the December 1, 1998, Review Report findings and
technical direction, The DOE RFFO concludes that the AB adequately
documents the operating safety basis and contains a control set
that when implemented provides reasonable assurance that the work
activities described in the AB can be conducted by the contractor
without endangering the environment or the health and safety of
the workers or public.
3.2. The DOE RFFO finds that there is reasonable assurance that the
contractor is technically qualified to engage in the activities
authorized by this Authorization Agreement.
4. Authorization Basis
4.1. The effective Authorization Basis for Building 559 is those
documents identified as applicable to Building 559 in the AB
Document List (ABDL).
4.2. The DOE approved Building 559 AB, shall be implemented, meeting
the conditions of subsections 5.4 and 5.5, on or before March 19,
1999. The ABDL shall then be modified to reflect this change.
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements, except as further
defined for safety and health in subsection 5.2 below, remain in
force.
Page 1 of 2
Building 559 Authorization Agreement (Continued)
------------------------------------------------
5.2. The Building 559 FSAR Chapter 9 defines the Safety Management
Program commitments under this Authorization Agreement which meet
the applicable safety and health requirements of Section J,
Attachment F, of contract #DE-AC34-95RF00825. The Administrative
Controls contained in the Building 559 Technical Safety
Requirements (TSRs) define the specific Safety Management Program
elements that shall be implemented under this Authorization
Agreement to support the Building 559 safety analyses.
5.3. The AB, including the TSRs, will be kept current by ▇▇▇▇▇▇-▇▇▇▇
Including the performance of an annual review. As appropriate,
changes to or additional controls that may be needed to safely
perform planned activities will be developed, evaluated and
implemented by the Nuclear Safety Program in accordance with the
Site Integrated Safety Management System. This change control
process shall manage the configuration of the AB to include timely
update and dissemination of the AB Document List for Building 559
to reflect the DOE RFFO approved changes.
5.4. The DOE RFFO has accepted the strategy for implementation of the
Building 559 AB. ▇▇▇▇▇▇-▇▇▇▇ will approve an implementation plan to
achieve compliance with the TSRs by March 19, 1999. Subsequent to
the Fire Suppression System modification, the associated TSRs will
be implemented and reviewed by May 31, 1999. Written notification
to the DOE RFFO shall be made for any substantive changes to the
IP, reporting the basis for the change and any appropriate recovery
actions to the DOE RFFO.
5.5. ▇▇▇▇▇▇-▇▇▇▇ will ensure completion of an Implementation Validation
Review prior to implementation of these new controls under the
Building 559 AB.
6. Special Conditions
None
7. Effective and Expiration Dates
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-▇▇▇▇▇▇▇▇▇, unless modified in writing by both parties
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 3/8/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 3/17/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 440 Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-002 Revision 1
Preamble
--------
The purpose of this Authorization Agreement is to adopt the Building 440 Basis
For Operations and its Review Report, hereinafter referred to as the BFO, and to
authorize the performance of activities in Building 440 which are analyzed in
the Building 440 BFO.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (▇▇▇▇▇▇-▇▇▇▇) inherited from EG&G Rocky Flats, Inc.
(EG&G), on July 1, 1995 aging facilities with existing hazards and outdated
authorization basis documentation. It is recognized by the Department of Energy,
Rocky Flats Field Office (RFFO) and ▇▇▇▇▇▇-▇▇▇▇ that on July 1, 1995, the
following conditions existed regarding Building 440: (a) there was an absence of
complete knowledge regarding its design basis, systems and components due to
less than adequate configuration control, (b) the building required
modifications to meet the requirements of its future mission. Based upon these
conditions a new authorization basis document, the Building 440 BFO, was
developed using DOE Manual DOE-M-450.3-1, The Department of Energy Closure
Process for Necessary and Sufficient Set of Standards and is the focus of this
agreement.
Agreement
---------
With respect to Building 440, the Department of Energy, Rocky Flats Field Office
and KaiserHill agree as follows:
A. All Building 440 operations, including mission program and baseline work
activities will be accomplished in accordance with the applicable
requirements and control set in the Building 440 BFO.
B. Except as set out in paragraph C., applicable federal and state law,
including implementing regulations, and all contractual requirements
regarding Building 440 remain in force.
C. The Building 440 BFO Subsection 4.6.3, Administrative Programs, defines the
Safety Management Program commitments under this Authorization Agreement
which meet the applicable safety and health requirements of Section J,
Attachment F, of contract #DE-AC34-95RF00825. The Administrative
Operational Controls contained in the Building 440 BFO Subsection 4.62,
define the specific Safety Management Program controls that shall be
implemented under this Authorization Agreement to support the Building 440
safety analyses.
D. The Building 440 BFO, when completely implemented, supersedes all previous
authorization basis documents for Building 440.
- 1 of 2 -
Building 440 Authorization Agreement (continued)
------------------------------------------------
E. (Deleted by Revision 1)
F. The Building 440 BFO Operational Controls will be kept current by
▇▇▇▇▇▇-▇▇▇▇ including the performance of an annual review. The change
control process indentified in the Building 440 BFO shall be used to add
new activities or to make changes (such as changes in activity
descriptions, status, related control sets or additional hazards analysis)
to existing activities identified in the Building 440 BFO.
G. (Deleted by Revision 1)
H. The Department of Energy, Rocky Flats Field Office concludes that the
Building 440 BFO adequately documents the operating safety basis and
contains a control set that if fully implemented, will provide reasonable
assurance that the work activities described in the BFO can be conducted
without endangering the environment or the health and safety of the workers
or public.
I. This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RF00M, unless modified in writing by both parties
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 1/25/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 2/2/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
- 2of 2 -
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 371/374 Complex Authorization Agreement
------------------------------------------------
Authorization Agreement No. RFETS-005
Page 1 of 3
Preamble
--------
The purpose of this Authorization Agreement is to adopt the Building 371/374
Complex Authorization Basis, hereinafter referred to as the AB, and to authorize
the performance of activities in the Complex which are enveloped by the analysis
in the AB.
On July 1, 1995 ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (▇▇▇▇▇▇-▇▇▇▇) became the integrating
management contractor replacing EG&G Rocky Flats, Inc. It is recognized by
▇▇▇▇▇▇-▇▇▇▇ and ▇▇▇-RFFO that (a) Building 371/374 Complex facilities were over
20 years old and had system deficiencies from its original intended design
capability, (b) there was incomplete knowledge and limited reliable/retrievable
data regarding its systems and components, (c) some Complex systems and
components required priority upgrades to perform the interim storage mission in
accordance with the Implementation Program Plan for DNFSB Recommendation 94-3,
(d) the planned Complex mission differs from its original design purpose, and
(e) additional upgrades were expected to result from the preparation of a new
authorization basis document. Based upon these conditions a now authorization
basis document, the Building 371/374 Complex Basis for Interim Operation (BIO),
was developed using DOE Standard 3011, Guidance for the Preparation of DOE
5408.22 (TSR) and DOE 5480.23 (SAR) implementation Plans and DOE Standard 3009,
Preparation Guide for the U. S. Department of Energy Nonreactor Nuclear Facility
Safety Analysis Reports, and is the focus of this agreement.
Agreement
---------
With respect to Building 371/374 Complex, the Department of Energy, Rocky Flats
Field Office and ▇▇▇▇▇▇-▇▇▇▇ agree as follows:
A. All BIO activities and operations conducted in the Complex will be
accomplished in accordance with the applicable control set requirements
established in the AB. These control set requirements have been
demonstrated to be adequate to perform the general and current operations
enveloped by the analysis in the AB. During the course of BIO
implementation, any additional controls and technical safety requirements
(TSRS) that may be needed to safely perform planned activities will be
developed and evaluated in accordance with the Activity Control and Nuclear
Safety programs described in the AB.
Building 371/374
Authorization Agreement No. RFETS-005
Page 2 of 3
B. The AB contains a graded set of requirements consistent with the
requirements in DOE Order 5480.23. The requirements are suitable for
implementing Integrated Safety Management for the 371/374 Complex and its
planned mission, including storage of special nuclear material until 2002.
System Evaluation Reports support the BIO and document the means of
assuring compliance with the functional requirements of Complex safety
systems, structures, aid components. Adherence to these requirements is
required by the TSRs. Information copies of changes to the Building
371/374 Complex System Evaluation Report, Section 4.0. 5.0, and 8.0 shall
be provided to DOE, RFFO.
C. Applicable federal and state law, including implementing regulations, and
all contractual requirements regarding the Building 371/374 Complex remain
in force. The safety management controls in Site Program Plans as
referenced in Chapter 3 of the BIO, will enhance the ability of
▇▇▇▇▇▇-▇▇▇▇ to meet the safety management requirements contained in the
Orders and Directives listed in Section J, Attachment F, of contract
#DE-AC34-95RF00825:
D. The Building 371/374 Complex BIO supersedes previous authorization basis
documents for the Complex. Existing Unreviewed Safety Question
Determinations (USQDs) were reviewed to determine the valid compensatory
measures which must be In place to meet the requirements of the proposed
control set and incorporated. Open USQDs and those which may be generated
during implementation of the BID will be addressed in updates to the AB,
as necessary.
E. Building 371/374 Complex TSRs and controls will be kept current by,
▇▇▇▇▇▇-▇▇▇▇ including the performance of an annual review. The
▇▇▇▇▇▇-▇▇▇▇ evaluation processes (e.g., the USQDs and USQ screens) shall
be used to add new activities or to make changes to existing activities
identified in the AB.
F. Controls in the AB will be implemented in a phased manner as described in
the BIO Implementation Plan (IP). An Information copy of any changes to
the BIO IP shall be provided to DOE, RFFO. The AB for BIO activities will
be unambiguous at any stage during the phased implementation. For each
phase, a readiness determination will be performed in accordance with
established Site protocol which implements DOE Order 425.1, Startup and
Restart of Nuclear Facilities. As of August 1, 1998, the BIO will be the
AB of record for all activities conducted in the Building 371/374 Complex.
Building 371/374
Authorization Agreement No. RFETS-005
Page 3 of 3
G. The Department of Energy, Rocky Flats Field Office and ▇▇▇▇▇▇-▇▇▇▇ conclude
that the Building 371/374 Complex BIO adequately documents the operating
safety basis and contains controls (TSRs), that when fully implemented,
will provide reasonable assurance that the work activities described in the
AB can be conducted without endangering the environment or the health and
safety of the workers or public. The BIO Review Report developed by the
RFFO BIO Review Team using DOE-STD-1104, Review and Approval of Final
Safety Analysis Reports, documents the technical bases for RFFO approval of
the BIO and TSRs.
H. The Building 371 Safeguards and Security Plan provides specific direction
for related activities and operations in Building 371.
I. This Authorization Agreement is effective for implementation as of the date
of the last signature below and shall remain in effect through the life of
contract #DE-AC34-95RF00825, unless extended in writing by both parties.
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 9/8/97 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 9/11/97
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 776/777 Complex Authorization Agreement
------------------------------------------------
Authorization Agreement No. RFETS-012 Revision 1
1. Preamble
The purpose of this Authorization Agreement is to adopt the Building 776/777
Complex Authorization Basis (AB), and to authorize the performance of
activities in the Building 776/777 Complex as analyzed in the AB.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (the Contractor) Inherited from EG&G Rocky Flats,
Inc., on July 1, 1995, aging facilities with existing hazards and outdated
or non-existent authorization basis documentation. It is recognized by the
Department of Energy (DOE), Rocky Flats Field Office (RFFO) and the
Contractor that on July 1, 1995, the following conditions existed regarding
the Building 776/777 Complex: (a) the Complex was nearly 40 years old and
had aged and degraded structural and system deficiencies from its original
intended design capability, including some systems and components that had
exceeded their original design life, (b) there was an absence of complete
knowledge regarding its design basis, systems, components and structure due
to less than adequate configuration control, further complicated by the 1969
fire, (c) the complex required modifications to most the requirements of its
future mission, and (d) the complex lacked an accurate authorization basis
for the current mission. Based upon these conditions a new authorization
basis document, the Basis for Interim Operation (BIO), was developed to meet
DOE Standard 3011, Guidance for Preparation of DOE 5480.22 (TSR) and DOE
5480.23 (SAR) Implementation Plans.
2. Scope of this Agreement
This agreement authorizes those activities identified and analyzed in the AB
subject to the terms and conditions in Section 5 below.
3. RFFO Basis for Approval/Contractor Qualification
3.1. Sued on the Building 776/777 Complex Review Report dated March 15,
1999, and addenda dated June 16, 1999 and July 1, 1999 with specified
conditions, the DOE, RFFO concludes that the BIO adequately documents
the operating safety basis and contains a control set which when
implemented, will provide reasonable assurance that the work activities
described in the BIO can be conducted by the Contractor without
endangering the environment or the health and safety of the workers or
public.
3.2. The DOE, RFFO Finds that there is reasonable assurance that the
Contractor is technically qualified to engage in the activities
authorized by this Authorization Agreement.
4. Authorization Basis
4.1. The effective Authorization Basis for the Building 776/777 Complex is
those documents identified as applicable to the Building 776/777
Complex in the AB Document List (ABDL).
4.2. The DOE approved Building 776/777 Complex BIO, Revision 2, shall be
completely implemented, meeting the conditions of subsections 5.4 and
5.5 on or before October 18, 1999. The ABDL shall then be modified to
reflect this change.
Page 1 of 2
Building 776/777 Complex Authorization Agreement (Continued)
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing regulations,
and all contractual requirements regarding the Building 776/777
Complex, except as set out in section 5.2 below, remain in force.
5.2. The Building 776/777 Complex BIO, Chapter 3 defines the Safety
Management Program commitments under this Authorization Agreement which
meet the applicable safety and health requirements of Section J.
Attachment F, of contract #DE-AC34-95RFO0825. The Administrative
Controls contained in the Building 776/777 Complex Technical Safety
Requirements (TSRs) define the specific, credited programmatic elements
that shall be implemented under this Authorization Agreement to support
the Building 776/777 Complex safety analyses.
5.3. The AB, including the TSRs, will be kept current by the Contractor
including the performance of an annual review. As appropriate, changes
to or additional controls that may be needed to safely perform planned
activities will be developed, evaluated and implemented by the Nuclear
Safety Program in accordance with the Site Integrated Safety Management
System. This change control process shall manage the configuration of
the Building 776/777 Complex AB to include timely update of the AB
Document List to reflect RFFO approved changes.
5.4. The RFFO has accepted the strategy for implementation of the Building
776/777 Complex BIO. The Contractor will approve an implementation plan
(IP) to achieve full compliance with the TSRs. The Contractor shall
provide written notification to RFFO of any substantive changes to the
IP. This notification shall include the basis for the change and any
appropriate recovery actions.
5.5. The Contractor will ensure the completion of an Implementation
Validation Review prior to implementation of these now controls under
the Building 776/777 Complex BIO.
6. Special Conditions
None
7. Effective and Expiration Dates
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RFO0825, unless modified in writing by both parties.
S. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 8/23/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 8/25/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 771 Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-003 Revision 2
Preamble
--------
The purpose of this Authorization Agreement is to adopt the Building 771 Basis
For Operations and its Review Report, hereinafter referred to as the BFO, and to
authorize the performance of activities in Building 771 which are analyzed in
the Building 771 BFO.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (▇▇▇▇▇▇-▇▇▇▇) inherited from EG&G Rocky Flats, Inc,
(EG&G), on July 1, 1995, aging facilities with existing hazards and outdated
authorization basis documentation. It is recognized by ▇▇▇▇▇▇-▇▇▇▇ and ▇▇▇-RFFO
that on July 1, 1995; the following conditions existed regarding Building 771:
(a) Building 771 was over 40 years old and had aged and degraded structural and
system deficiencies from its original intended design capability, (b) there was
an incomplete knowledge regarding its systems and components due to less than
adequate configuration control, (e) some building systems and components had
exceeded their original design life, (d) there was incomplete reliable/available
data on building systems, and (e) remaining and planned activities were limited
to maintaining safe current operations and the building habitable, and those
hazard reduction activities leading to a deactivation and decommissioning ready
state. Based upon these conditions a new authorization basis document the
Building 771 BFO, was developed using DOE Manual DOE-M-450-3-1, The Department
of Energy Closure Process for Necessary and Sufficient Set of Standards and is
the focus of this agreement.
Agreement
---------
With respect to Building 771, the Department of Energy. Rocky Flats Field Office
and ▇▇▇▇▇▇-▇▇▇▇ agree as follows:
A. All Building 771 operations, including mission program and baseline work
activities will be accomplished in accordance with the requirements and
control set in the Building 771 BFO.
B. Applicable federal and state law, including implementing regulations,
and all contractual requirements, except as set out in paragraph C.,
regarding Building 771 remain in force.
C. The Building 771 BFO Chapter 5 describes the Safety Management Program
commitments under this Authorization Agreement which meet the applicable
safety and health requirements of Section J, Attachment F, of contract
#DE-AC34-95RF00825. The Administrative Control Requirements contained in
the Building 771 Technical Safety Requirements (TSRs) define the
specific Safety Management Program controls that shall be implemented
under this Authorization Agreement to support the Building 771 safety
analyses.
- 1 of 2 -
Building 771 Authorization Agreement (continued)
------------------------------------------------
D. The Building 771 BFO, when completely implemented, supersedes all
previous authorization basis documents for Building 771.
E. The Building 771 Safeguards and Security Plan provides specific
direction for related activities and operations in the Building 771.
F. (Deleted by Revision 2)
G. The Building 771 BFO TSRs will be kept current by ▇▇▇▇▇▇-▇▇▇▇ including
the performance of an annual review. The change control process
Identified in the Building 771 BFO shall be used to add now activities
or to make changes (such as changes In activity descriptions, deletion
of activities, addition of now activities, status, related control sets
or additional hazards analysis) to existing activities identified in the
Building 771 BFO.
H. (Deleted by Revision 2)
I. The Department of Energy, Rocky Flats Field Office concludes that the
Building 771 BFO adequately documents the operating safety basis and
contains a control set that if fully implemented, will provide
reasonable assurance that the work activities described in the BFO can
be conducted without endangering the environment or the health and
safety of the workers or public.
J. This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RFOO825, unless modified in writing by both parties.
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 1/28/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 2/2/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
- 2 of 2 -
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
779 Cluster Authorization Agreement
-----------------------------------
Authorization Agreement No. RFETS-009
1. Preamble
The purpose of this Authorization Agreement is to adopt the 779 Cluster
Authorization Basis, hereinafter referred to as the AB, as approved by
the Department of Energy (DOE), Rocky Flats Field Office (RFFO), and to
authorize the performance of activities in the 779 Cluster in accordance
with the 779 Cluster AB.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (▇▇▇▇▇▇-▇▇▇▇) inherited from EG&G Rocky Flats,
Inc., on July 1. 1995, aging facilities with existing hazards and
outdated or non-existent authorization basis documentation. It is
recognized by the DOE, RFFO and ▇▇▇▇▇▇-▇▇▇▇ that on July 1, 1995, the
following conditions existed regarding the 779 Cluster (a) the hazards,
design basis and construction detail knowledge of the systems, structures
and components were incomplete, and (b) a new AB was needed to support
the new and current missions. The new AB was developed following
appropriate guidance contained in DOE Standard 3011, Guidance for
Preparation of DOE 5480.22 (TSR) and DOE 5480.23(SAR)Implementation
Plans.
2. Authorization Scope
This agreement authorizes the scope of activities identified and analyzed
in the AB with the terms and conditions in section 5.
3. Basis for Approval/Contractor Qualification
3.1. Based on the Review Report for the 779 Cluster Basis for Interim
Operation (BIO) dated April 28, 1998, with specified technical
direction, the Department of Energy, Rocky Flats Field Office
concludes that the 779 Cluster BIO adequately documents the
operating safety basis and contains a control set that when
implemented, provides reasonable assurance that the work activities
described in the 779 Cluster BIO can be conducted by the contractor
without endangering the environment or the health and safety of the
workers or public.
3.2. The Department of Energy, Rocky Flats Field Office finds that there
is reasonable assurance that the contractor is technically
qualified to engage in the activities authorized by this
Authorization Agreement.
4. Authorization Basis
4.1. The effective Authorization Basis for the 779 Cluster is those
documents identified as applicable to the 779 Cluster in the AB
Document List (ABDL).
4.2. The DOE approved 779 Cluster BIO dated April 28, 1998, shall be
completely implemented, meeting the conditions of subsections 5.4
and 5.5, on or before August 18, 1998. The ABDL shall then be
modified to reflect this change.
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding the 779
Cluster, except as set out in subsection 5.2 below, remain in
force.
Page 1 of 2
5.2. The Administrative Controls contained in the 779 Cluster TSRs
define the specific Safety Management Program elements that shall
be implemented under this Authorization Agreement to meet the
applicable requirements of Section J, Attachment F, of contract
#DE-AC34-95RF00825. The 779 Cluster BIO Section 1.5 and Chapter 4
further define what the balance of the Safety Management Programs
commitments are under this Authorization Agreement.
5.3. The AB, including the TSRs, will be kept current by K-H through
editorial revision within three months of the change (to reflect
corrections or Unreviewed Safety Question Determination driven
changes) in lieu of an annual review. As appropriate, changes to
or additional controls that may be needed to safety perform
planned activities will be developed, evaluated and implemented by
the Nuclear Safety Program in accordance with the Site integrated
Safety Management System. This change control process shall
manage the configuration of the AB to include timely update and
dissemination of the AB Document List to reflect RFFO approved
changes.
5.4. The RFFO has accepted the strategy for implementation of the 779
Cluster AB. ▇▇▇▇▇▇-▇▇▇▇ will approve an implementation plan (IP)
to achieve full compliance with the TSRs. Written notification to
RFFO shall be made for any substantive changes to the IP,
reporting the basis for the change and any appropriate recovery
actions to the RFFO.
5.5. ▇▇▇▇▇▇-▇▇▇▇ will ensure completion of an Implementation Validation
Review prior to implementation of new controls under the 779
Cluster BIO.
6. Special Conditions
6.1. Controls will be eliminated commensurate with a reduction in
hazards and managed per the Nuclear Safety Program.
6.2. Operations are subject to the provisions of the Decommissioning
Operating Plan, RF/RMRS-97-085.UN, Revision 0, Rocky Mountain
Remediation Services, L.L.C., February 6, 1998, or approved
revision.
7. Effective and Expiration Dates of Agreement
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RF00825, unless modified in writing by both parties
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 7/22/98 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 7/21/98
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Building 886 Authorization Agreement
------------------------------------
Authorization Agreement No. RFETS-010
1. Preamble
The purpose of this Authorization Agreement is to adopt the Building 886
Authorization Basis, hereinafter referred to as the AB, as approved by
the Department of Energy (DOE), Rocky Flats Field Office (RFFO) to
authorize the performance of activities in Building 886 in accordance
with Building 886 AB.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (▇▇▇▇▇▇-▇▇▇▇) inherited from EG&G Rocky Flats,
Inc., on July 1, 1995, aging facilities with existing hazards and
outdated or non-existent authorization basis documentation. It is
recognized by the DOE, RFFO and ▇▇▇▇▇▇-▇▇▇▇ that on July 1, 1995, the
following conditions existed regarding Building 886: (a) the hazards,
design basis and construction detail knowledge of the systems, structures
and components were incomplete, and (b) a new AB was needed to support
the new and current missions. The new AB was developed following
appropriate guidance contained in DOE Standard 3011, Guidance for
Preparation of DOE 5480.22 (TSR) and DOE 5480.23 (SAR) Implementation
Plans, and DOE Orders 548,022 Technical Safety Requirements (TSR) and DOE
5480.23 Nuclear Safety Analysis Reports (SAR).
2. Authorization Scope
This agreement authorizes the scope of activities identified and analyzed
in the AB with the terms and conditions in section 5.
3. Basis for Approval/Contractor Qualification,
3.1. Based on the Building 886 Basis for Interim Operation (BIO) Review
Report approved October 10, 1995, and Addendum A approved April 9,
1997, the Department of Energy, Rocky Flats Field Office concludes
that the Building 886 BIO adequately documents the operating safety
basis and contains a control set, that when implemented, provides
reasonable assurance that the work activities described in the
Building 886 BIO can be conducted by the contractor without
endangering the environment or the health and safety of the workers
or public.
3.2. The Department of Energy, Rocky Flats Field Office finds that there
is reasonable assurance that the contractor is technically
qualified to engage in the activities authorized by this
Authorization Agreement.
4. Authorization Basis
The effective Authorization Basis for the Building 886 is those documents
identified as applicable to the Building 886 in the AB Document List
(ABDL).
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding Building
886, except as set out in subsection 5.2 below, remain in force.
Page 1 of 2
ROCKY FLATS ENVIRONMENTAL TECHNOLOGY SITE
-----------------------------------------
Site SAR Authorization Agreement
--------------------------------
Authorization Agreement No. RFETS-011
1. Preamble
The purpose of this Authorization Agreement is to adopt the Site Safety
Analysis Report Volume I (Site SAR) as approved by the Department of
Energy (DOE), Rocky Flats Field Office (RFFO), and to authorize the
performance of activities on the Rocky Flats Environmental Technology
Site (Site) in accordance with the Site SAR. Upon implementation of the
Site SAR this Authorization Agreement supersedes the Master Activity List
(MAL) Authorization Agreement.
▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. (the contractor) inherited from EG&G Rocky
Flats, Inc., on July 1, 1995, aging facilities with existing hazards and
outdated or non-existent authorization basis documentation. It is
recognized by the DOE, RFFO and the contractor that on July 1, 1995, the
following conditions existed regarding the Site: (a) the mission of the
site had changed from weapons production to providing safe storage and
management of wastes and special nuclear material, with the goal of
reducing existing hazards, decommissioning facilities and ceasing
operations, and (b) the existing safety documentation required updating
due to this change in mission. The Site SAR was developed as part of the
overall plan to provide authorization bases for activities at the Site
not covered by facility ABs and as the mechanism to provide the
appropriate safety documentation for facilities with less than nuclear
hazard Category 2 quantities of material. The Site SAR also identifies
the infrastructure systems inherently relied upon in the other nuclear
Hazard Category 2 and 3 facility AB documents. The Site SAR was developed
following appropriate guidance contained in DOE Standard 3009,
Preparation Guide for U.S. Department of Energy Nonreactor Nuclear
Facility Safety Analysis Report, DOE Standard 1027, Hazard Categorization
and Accident Analysis Techniques for Compliance with DOE Order 5480.23,
Nuclear Safety Reports; DOE Standard 3011, Guidance for Preparation of
DOE 5480.22 (TSR) and DOE Order 5480.23 (SAR) Implementation Plans; and
DOE Order 5481.1B, Safety Analysis and Review System.
2. Authorization Scope
This agreement authorizes those activities bounded by the Site SAR
(Volume 1), subject to the terms and conditions of Sections 6 and 6
below. These include Site infrastructure activities that support Hazard
Category 2 and 3 facility authorization bases, on-site hazardous and
radiological transportation activities and all other ongoing activities
currently governed by the MAL that are not governed by a separate
authorization agreement.
3. Basis for Approval/Contractor Qualification
3.1. Based on the Review Report for the Site Safety Analysis Report
dated November 30, 1998, with specified technical direction, the
DOE, RFFO concludes that the Site SAR adequately documents the
operating safety basis and contains a control set that, when
implemented, provides reasonable assurance that the work
activities bounded by the Site SAR can be conducted by the
contractor without endangering the environment or the health and
safety of the workers or public.
Site SAR Authorization Agreement (Continued)
3.2. The DOE, RFFO finds that there is reasonable assurance that the
contractor is technically qualified to engage in the activities
authorized by this Authorization Agreement.
4. Authorization Basis
4.1. The effective Authorization Basis (AB) for Site-wide nuclear
activities is constituted by those documents identified as
applicable to the Site in the AB Document List (ABDL).
42. The DOE approved Site SAR and direction dated November 30, 1998
shall be implemented, subject to the conditions of subsections
5.4, 5.6 and section 6, on or before June 30,1999. On the
implementation date, the ABDL shall be modified to reflect the new
AB, and the Site SAR shall supersede the MAL
5. Terms and Conditions
5.1. Applicable federal and state law, including implementing
regulations, and all contractual requirements regarding the Site,
except as further defined for safety and health in subsection 52
below, remain in force.
5.2. The Site SAR Chapter 6 defines the Safety Management Programs
commitments under this Authorization Agreement which meet the
applicable requirements of Section J, Attachment F, of contract
#DE-AC34-95RF00825. The controls contained in Chapter 7 of the
Site SAR shall be implemented under this Authorization Agreement
to maintain the assumptions of the safety analyses.
5.3. The AB, including the above-specified controls, will be kept
current by the contractor through performance of an annual review.
As appropriate, changes to or additional controls that may be
needed to safely perform planned nuclear activities will be
developed, evaluated and implemented by the Nuclear Safety
Program. This change control process shall manage the
configuration of the AB to include timely update and dissemination
of the AB Document List (ABDL) to reflect RFFO approved AB
documents. The ABDL and the Integrated Safety Management System,
through the use of the Integrated Work Control Process and the
Nuclear Safety Unreviewed Safety Question Determination process,
shall ensure that the AB is identified and reviewed for adequacy
prior to performing nuclear activities.
5.4. The RFFO has accepted the strategy for implementation of the Site
SAR. The contractor will approve an implementation plan (IP) to
achieve compliance with the controls and commitments of the Site
SAR. The contractor shall provide written notification to RFFO of
any substantive changes to the IP. This notification shall include
the basis for the change and any appropriate recovery actions.
5.5. The contractor will complete an Implementation Validation Review
of the Implementation of new controls under the Site SAR.
Page 2 of 3
Site SAR Authorization Agreement (Continued)
6. Special Conditions
6.1. Until the Site SAR approved transportation controls are
Implemented, those interim measures specified in the Appendix to
this Authorization Agreement shall be implemented.
6.2. The interim measures identified in the Appendix will be superseded
by implementation of the Site SAR controls per subsection 4.2
above.
7. Effective and Expiration Dates of Agreement
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RF00825, unless modified in writing by both parties.
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 6/7/99 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 6/7/99
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 3 of 3
5.2. The Administrative Controls contained in the Building 886 TSRs
define the specific Safety Management Program elements that shall
be implemented under this Authorization Agreement to meet the
applicable requirements of Section J, Attachment F, of contract
#DE-AC34-95AF00825. The Building 886 BIO Chapter 3 further defines
the contractor's commitment to the balance of the Safety
Management Program elements under this Authorization Agreement.
5.3. The AB, including the TSRs, will be kept current by K-H through
the performance of an annual review. As appropriate, changes to or
additional controls that may be needed to safely perform planned
activities will be developed, evaluated and implemented by the
Nuclear Safety Program in accordance with the Site Integrated
Safety Management System. This change control process shall manage
the configuration of the AB to include timely update and
dissemination of the AB Document List to reflect RFFO approved
changes.
6. Special Conditions
None
7. Effective and Expiration Dates of Agreement
This Authorization Agreement is effective as of the date of the last
signature below and shall remain in effect through the life of contract
#DE-AC34-95RF00825, unless modified in writing by both parties
8. Agreement
For ▇▇▇▇▇▇-▇▇▇▇ Company L.L.C. For the Department of Energy
Rocky Flats Environmental Technology Site Rocky Flats Field Office
/s/ ▇▇▇▇▇▇ ▇. Card 8/31/98 /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ 9/9/98
------------------------------- -------------------------------
▇▇▇▇▇▇ ▇. Card Date ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ Date
President Manager
Page 2 of 2
Site SAR Authorization Agreement (Continued)
Appendix 1
Interim Measure Completion Action
Date
------------------------------------------------------------------------------
1. Implement the controls developed for the 2/28/99 Standing Order 55
Salt Stabilization Program Transportation (Completed)
Risk, Nuclear Safety Technical Report NSTR
015-97 for all >200 gram/packages of
aged weapons-grade plutonium equivalent,
non waste, on-site (outside/between
buildings/facilities) transfers of SNM not
packaged In Type B containers by
February 28,1999.
2. Establish route control for all on-site 2/28/99 Standing Orders 55
deliveries of bulk propane during the (Completed) and 56
on-site transfer of SNM not packaged In
Type B containers.
3. Limit all on-site transfers of TRU waste 2/28199 Standing Order 55
packaged in standard waste boxes (SWBs) to (Completed)
10 or less boxes per transfer. This control
limits on-site transfers to one-half the
Material at Risk (MAR) value assumed In the
analysis in the Site SAR.
4. Use only trucks with metal floors for all 2/28/99 Standing Order 55
on-site transfers of TRU waste packed in (Completed)
metal drums.
5. Adopt the applicable controls contained 2/28/99 Standing Order 55
within the LLW Crate JCO for on-site (Completed)
transportation activities involving wooden
waste crates. The applicable controls are
stated as follows: 1) limiting the
collection/assembly of unattended wooden
LLW crates to 10 or less; and 2) ensuring
no unnecessary combustibles are in the
vicinity of unattended wooden LLW crates
during loading, unloading and no unnecessary
combustibles are in the transporting vehicle.
6. Limit the on-site transfers of LLW packed 2/28/99 Standing Order 55
in metal drums to less than 100 drums per (Completed)
transfer and LLW packed in wooden crates to
10 or less per transfer.
7. Implement Site Engineered Control #7 and 2/28/99 Sixteen new signs
Technical Direction B-2(b) by February 28, (Completed) Installed "No
1999. These controls address parking and Parking Within 20
ignition sources near propane tanks. Feet"
Appendix - Page 1 of 2
Site SAR Authorization Agreement (Continued)
Interim Measure Completion Action
Date
------------------------------------------------------------------------------
8. Modify the Air Products contract for 2/28/99 Letter to Air Products
Building 223 by February 28, 1999 to limit (Completed) Identifying concern &
the chemicals brought on Site and into this notifying them of
facility to quantities permitted by the Site contract modification.
SAR. Air Products agreed on
February 24, 1999 to
Contract amendment
No.7 incorporating
limits of hazardous
chemicals per
reportable quantities
reported in 40CFR302.
9. Increase Building Managers awareness 2/17/99 Letter from K-H
(through management bulletins) of the Site (Completed) Nuclear Safety
SAR requirements to limit quantifies of the Manager with
hazardous and radiological materials below guidelines for
threshold quantities to prevent changing the subcontractors'
facility classification. action dated February
17, 1999 (HEG-009-99)
10. Each industrial facility manager will 3/15/99 Reports from
conduct a review of their facility and (Completed) subcontractors on
assert that the current various dates
category classification for the facility is confirming
correct and that their current hazardous current hazard
material inventory does not exceed that categorizations.
allowed by the Site SAR.
Appendix - Page 2 of 2
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION J
ATTACHMENT H
SCHEDULE AND COST INCENTIVE GRAPHS
Schedule Incentive
[GRAPH APPEARS HERE]
Schedule Incentive ($ millions)
3/31/06 20
12/15/06 15
3/31/07 0
3/31/08 (20)
3/31/06-12/15/06 = $19,230.77/day
12/16/06-3/31/07 = $141,509.43/day
4/1/07-3/31/08 = $54,794.52/day
SECTION J, ATTACHMENT H
Cost Incentive
[GRAPH APPEARS HERE]
Max Fee $460M
Underrun/Positive Incentive:
Government share: 70%
Contractor share: 30%
Target Fee $340M
Overrrun/Penalty:
Government share: 70%
Contractor share: 30%
Min Fee $150M
Target Cost
$3,563,000,000 $3,963,000,000 $4,163,000,000 $4,796,333,333
NOTE: See Contract B.5(d) for schedule incentive adjustment(s) to fee.
SECTION J, ATTACHMENT H
Rocky Flats Closure Contract No. DE-AC34-00RF01904
SECTION J
ATTACHMENT I
LISTING OF CLAIMS
SECTION J
ATTACHMENT I
LISTING OF CLAIMS
Introduction
This Attachment I identifies the actions to be taken and agreements reached in
order to achieve an early start date for contract DE-AC34-00RF01904 beginning on
February 1, 2000. The Contractor and Government agree to the following,
notwithstanding any other actions, requirements or steps necessary to close out
contract DE-AC34-95RF00825 and to transition to the start of contract
DE-AC34-00RF01904.
A. Contractor agrees as follows:
i. Cost Reduction Proposals
In consideration of the commencement of contract DE-AC34-00RF01904 on February
1, 2000, and the Target Fee identified in Clause B.2(a) therein, Contractor
agrees and acknowledges that it has received adequate compensation and
consideration for all Cost Savings Proposals previously submitted DOE under
▇▇▇▇▇▇ ▇.6 of contract DE-AC34-95RF00825 through the payment of Superstretch
Performance Measure fees paid by DOE from 1996 and thereafter. In addition,
Contractor agrees that the CRP program has been superceded by the Superstretch
Performance measure program and Contractor is not entitled to pursue or seek
compensation for CRPs under contract DE-AC34-95RF00825 or DE-AC34-00RF01904.
ii. Claims for Performance Measure Fee
In consideration of the commencement of contract DE-AC34-00RF01904 on February
1, 2000 and the Target Fee identified in Clause B.2(a) therein, Contractor
agrees to withdraw its claim for unpaid Performance Measure Fee for performance
measure 97-S8.17R presently pending before the Energy Board of Contract Appeals
(EBCA No. C-990228). Additionally, in consideration of the payment by DOE in the
amount of $18,075,292, representing the payment of all unpaid fee earned under
contract DE-AC34-95RF00825 for performance measures, Contractor agrees to
forever give up any claims, whether known or unknown for any unpaid or unearned
performance measure fee Contractor may believe it is entitled to under contract
DE-AC34-95RF00825. The performance measure fee amount is based upon projected
quantities to be delivered by the conclusion of contract DE-AC34-95RF00825. This
amount is subject to adjustment if the quantity of performance actually
delivered would have resulted in a payment amount difference of more than five
percent from the projected quantities. The Contracting Officer may elect to make
partial payments for performance measure fee prior to February 1, 2000, based on
previously submitted completion reports.
▇. ▇▇▇ agrees as follows:
▇. ▇▇▇▇▇▇▇ and Collateral Litigation Expenses
In consideration for the withdrawal of CRP and Performance Measure Fee claim,
the DOE agrees to withdraw its notice of intend to disallow costs in the ▇▇▇▇▇▇▇
case and other miscellaneous litigation expenses as specified in a letter to
Contractor dated October 19, 1999, subject: 1999 Audit Report: ▇▇▇▇▇▇-▇▇▇▇ Legal
Office. DOE agrees that the $66,199.11 identified in that letter and the costs
incurred in defending the ▇▇▇▇▇▇▇ case shall be allowed as reimbursable costs
under contract DE-AC34-95RF00825. Nothing in this subparagraph should be
construed to alleviate the Contractor from compliance with its DOE approved
litigation management procedures.
Section J, Attach I - Pg 1
Rocky Flats Closure Contract No. DE-AC34-00RF01904
ii. Fee Payments
DOE agrees that all fees paid and earned including Cost Reduction Proposal
payments under contract DE-AC34-95RF00825 shall not be subject to reduction or
deduction notwithstanding any other provision in contract DE-AC34-95RF00825, and
except for (a) Category 1, 2, 3 events/incidents identified, and (b)
circumstances evidencing an intentional failure by Contractor to disclose
material information which would have affected DOE's determination of
entitlement to fee or other obvious administrative or clerical error in
calculating the amount of fee earned.
Section J, Attach I - Pg 2
1.PROGRAM/PROJECT TITLE Rocky 2. IDENTIFICATION NUMBER
Flats Closure Projects DE-AC34-00RF01904
3. PARTICIPANT NAME AND ADDRESS
▇▇▇▇▇▇-▇▇▇▇ Company, L.L.C.
4. PLANNING AND REPORTING REQUIREMENTS
A. General Management Frequency
[X] Management Plan 0, A
[X] Status Report VN Q, A
[X] Summary Report Q
B. Schedule/Labor/Cost
[X] Milestone Schedule/Plan O, Q
[ ] Labor Plan
[ ] Facilities Capital Cost of Money Factors
Computation
[ ] Contract Facilities Cost of Money
[X] Cost Plan O, Q
[X] Milestone Schedule/Status M
[ ] Labor Management Report
[X] Cost Management Report M
C. Exception Reports
[ ] Conference Record
[ ] Hot Line Report
D. Performance Measurement
[X] Management Control System Description
[X] WBS Dictionary O, X
[X] Index O, X
[ ] Element Definition
[X] Cost Performance Reports
[ ] Format 1-WBS M
[ ] Format 2-Function
[ ] Format 3-Baseline M
E. Financial Incentives
[ ] Statement of Income and Expense
[ ] Balance Sheet
[X] Cash Flow Statement O, Q
[ ] Statement of changes in Financial Position
[ ] Loan Drawdown Report
[X] Operating Budget O, Q
[X] Supplementary Information A
F. Technical
[ ] Notice of Energy RD&D Project
(Required with any of the following)
[ ] Technical Progress Report
[ ] Draft for Review
[ ] Final for Approval
[ ] Topical Report
[ ] Final Technical Report
[ ] Draft for Review
[ ] Final for Approval
[ ] Software
[X] Other(Specify): See Attached Q
5. FREQUENCY CODES
A--As required M--Monthly S--Semi-Annually
C--Change to Contractual Agreement O--Once After Award X--With Proposal/Bid/Application or with Significant Changes
F-Final (end of effort) (end of effort) 0--Quarterly Y--Yearly or Upon Renewal or Contractual Agreement
6. SPECIAL INSTRUCTIONS (ATTACHMENTS)
[X] Report Distribution List/Addressees [X] Due Dates [ ] Work Breakdown
[X] Reporting Elements [ ] Analysis Thresholds [X] Other
7. PREPARED BY (SIGNATURE AND DATE) 8. PREPARED BY (SIGNATURE AND DATE)
/S/ Signature illegible 1/14/00 /S/ Signature illegible 1/14/00
198
