new de-ac07-051d14517 - energy.gov · 2014. 9. 17. · contract no. de-ac07-051d14517 modification...

I I I

6. ISSUED BY CODE 1 7 . ADMINISTERED BY (If other than Item 6) CODE

U.S. Department of Energy ldaho Operations Office (NE-ID) Site Services Division

PAGE 1 OF 2 PAGES AMENDMENT OF SOLlClTATlONlMODlFlCATlON OF CONTRACT

Diane C. Long, Contract Specialist (208) 526-0949

1. CONTRACT ID CODE DE-AC07-051Dl4517

1955 Fremont Avenue I

5. PROJECT NO. (If applicable)

Battelle Energy Alliance, LLC P.O. Box 1625

4. REQUISITIONIPURCHASE REQ. NO. NOPR

2. AMENDMENTIMODIFICATION NO. M028

ldaho Falls, ID 83415-1240

ldaho Falls, ID 83415

3. EFFECTIVE DATE See Block 16c

8. NAME AND ADDRESS OF CONTRACTOR (No.. street, county, State and Zip Code)

( I 9B. DATED (SEE ITEM 11)

9A. AMENDMENT OF SOLICITATION NO.

X

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers is extended, is not extended.

10A. MODIFICATION OF CONTRACTIORDER NO.

DE-AC07-051D14517

CODE FACILITY CODE

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation as amended, by one of the following methods:

1 OB. DATED (SEE / E M 13) November 9,2004

(a) By completing ltems 8 and 15, and returning - copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment vou desire to chanae an offer alreadv submitted. such chanae mav be made by telearam or letter, orovided each telearam or letter makes reference to the

11. THlS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

. - solicitation and thisimendment, and iH received prior to-the opening hour and date specified. 12. ACCOUNTING AND APPROPRIATION DATA (If required)

NIA 13. THlS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTSIORDERS;

IT MODIFIES THE CONTRACTIORDER NO. AS DESCRIBED IN ITEM 14. A. THlS CHANGE ORDER IS ISSUED PURSUANT TO (Specify authority):

I THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A. I B. THE ABOVE-NUMBERED CONTRACTIORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (Such as chanoes in ~ a v i n a - - . , " I ofice, appmpnation date, etc.) SET FORTH IN ITEM 14. PURSUANT TO THE AUTHORITY OF FAR 43.103(b). '

I

E. IMPORTANT: Contractor - is not. Xis required to sign this document and return 13 copies to the issuing office.

X

14. DESCRIPTION OF AMENDMENTIMODIFICATION (Organized by UCF section headings, including solicitation~contract subject matter where feasible)

C. THlS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF: Bilaterial Modification: Mutual Agreement of the Parties FAR 43.103 (a)(3) D. OTHER (Specify type of modification and authority):

(See Continuation Page)

Except as provided herein, all terms and conditions of the document referenced in Items 9A or 10A, as heretofore changed, remains unchanged and in full force and effect. 15A. NAME AND TITLE OF SIGNER (Type orprint)

LISA A. SEHLKE Pr

158. CONTMCTORIOFFEROR ED

BY /~/zt/pf persof, authorized to sign)

16A. NAME AND 'TITLE OF CONTRACTING OFFICER (Type or print) MICHAEL L. ADAMS INL Contracting Officer

16B. UNITED.STIXVES OF AMERICA I 16C. DATE SIGNED

BY l)&j,,JJ 1. (& d &ignature orcontracting Officer)

NSN 754-01 -1 52-8070 30-105 \ STANDARD FORM 30 (REV. 10-83) PREVIOUS EDITION UNUSABLE Prescribed by GSA FAR (48 CFR) 53.24

Contract No. DE-AC07-051D14517 Modification No. M028

of 2

Continuation page

The purpose of this modification is to incorporate a revised Part 111 Section J, Attachment I, entitled "Contract Data requirement Listing (CDRL)".

Part 111 Section J, Attachment I Pages J-I 1 through J-I 23 are deleted in their entirety and replaced with Part I11 Section J, Attachment I dated 12/12/05; Pages J-I 1 through J-I 23.

All other terms and conditions remain unchanged.

Contract No. DE-AC07-051D14517 Modification No. M028 Section J Attachment I

Part 111 Section J, Attachment I Contract Data Requirements List

This document defines contract data deliverables required to be submitted to DOE by the Contractor during contract performance. The Contractor shall review this CDRL at least annually and provide any recommendations to the Contracting Officer. This CDFU will be updated as required over the life of the contract. Periodic CDFU status reports shall be provided to the Contracting Officer.

This list identifies deliverables to DOE and does not relieve the contractor of the responsibility to prepare and deliver any other data required by law or regulation.

This CDFU is organized as follows:

A. Procurement B. Legal C. Industrial Relations D. BudgetandFinance E. Personal and Real Property F. Environmental Requirements G. Safeguards and Security Requirements H. Operations, Safety, Health and Quality Assurance I. Programs Appendix A (Data Item Description for deliverables D.1, D.2, and D.4)

The following notes are applicable to the CDFU table:

Note 1. A = Approval; C = Certification by DOE (required for some regulatory documents; certification requires hardcopy submittal); R = Review and comment; N = No action - Information only. Unless otherwise specified, the length of time for DOE review or approval will be 30 calendar days. Note 2. This column identifies the position to receive delivery notification. Each deliverable will be available to DOE in electronic form per Section C.3 unless hardcopies are specified. Note 3. The term "days" means calendar days unless otherwise specified.


Contract Data Requirements List (CDRL)

Distribution and

Notification Note 2

CO

CO

CO

DOE Manager CO

CO

CO

CO OCC

CO OCC

CO Tech Transfer IP Counsel

CO Tech Transfer IP Counsel CO

Due Date And

Frequency Note 3

At contract takeover Annually October 1. CLOSED

CLOSED

Draft - October 1, 2005 Final - December 31 , 2005 Updates - when issued As needed.

January 10, April 10 July 10 October 10

pppp

CLOSED

CLOSED

CLOSED

As required

August 1

DOE Action Note 1

R

N

A

R

A

N

A

A

A

R

A

Customer Or

Program

Data Item Description

Submit an assurance statement to the Contracting Officer regarding the Contractor's system of management controls in accordance with Clause 1.1 0. Submit final Interface Agreement with ICP Contractor that identifies all cross- cutting issues and effected actions to be implemented. Contractor's plan to accept responsibility for all work scope during transition period. Submit a Contractor Assurance System in accordance with contract clauses.

See Section H, Clause H.5 for required content and need. Quarterly Status reports showing all items scheduled and the status of delivery for the prior quarter; any items overdue from Contractor with their recovery plan; any items for which Government action is overdue. The Contractor shall submit a Conflict of

Title of Data Item

Annual Written Assurance Statement Interface Agreement with ICP Contractor Final Transition Plan Contractor Assurance System

Directives and Alternatives CDRL Status

Conflict of

Item No.

A. A.l

A.2

A.3

A.4

A.5

A.6

A.7

Contract Reference

Procurement 1.10

Section C, para 2.3.G.4

Section C, para 2.5.0

Section H. Clause H.4

DEAR clause 970.5203-1 (b).

Section H, Clause H.5 Section J, Attachment I

H.44

A.8

A.9

A.10

A. l l

H.36

1.30

1.35 1.37

C. 2.3.C

Interest Compliance Plan Legal Management Plan

Conflicts of Interest - Technology Transfer

Patent Rights

Minorities and Women ~n Senior Technical and Management Positions

Interest (COI) Compliance Plan to the CO for approval

Legal Management Plan to control the legal costs and comply with the DOE policy.

Contractor shall provide implementing procedures that seek to avoid employee and organizational COls, or the appearanpe of COI, in the conduct of its technology transfer activities. Report of Patent Rights as required by contract clause.

Submit a plan for recruiting and retaining highly skilled, world-class talent. including minorities and women in senior technical and management positions.


1

Distribution and

Notification Note 2

CO

CO SB

CO SB

CO SB

CO FSD

CO FSD

CO FSD IP Counsel CO Tech Transfer IP Counsel CO Tech Transfer IP Counsel PSD IR

Due Date And

Frequency Note 3

Submit by December 15 annual updates

August 2005, Annual Updates

April 30 & October 30 each PI. At contract completion Annually October 30

(1) June 30 (2) January 31 (3) June 30

Consistent with Accounting Handbook Requirements Annually Before October. 30th Annually

Annually, October 1st

As Required

DOE Action Note 1

A

A

A

A

A

A

A

A

R

R

Customer Or

Program


Diversity Plan -The Plan shall include innovative strategies for increasing opportunities to fully use the talents and capabilities of a diverse work force. The Plan shall address at a minimum, the Contractor's approach for promoting diversity through (1) the Contractor's work force, (2) educational outreach, (3) community involvement and outreach, (4) subcontracting, (5) economic development (including technology transfer) (6) policies and practices, (7) recruitment strategies, and (8) employee concerns. .The Small Business Subcontracting Plan submitted by the Contractor identifying consideration for small business, local and Idaho businesses. Standard Form 294, Subcontracting Report for Individual Contracts. This report shall be submitted to the CO semiannually and at contract completion.

Standard Form 295, Summary Subcontract Report. Submitted annually for contracts within civilian agencies.

Annual internal audit and examination of records, operations, expenses, and transactions with respect to costs claimed to be allowable. Internal Audit shall provide to the contracting officer the following three report/documents: (1) Internal Audit Implementation Design, (2) Annual Audit Report, and (3) Annual Audit Plan, in accordance with revised clause 1.43 subparagraph on lnternal Audit. Certified Cost Statement for the total of net expenditures accrued (i.e., net costs incurred) for the period covered by the Cost Statement.

Annual plan on planned spending of royalties and other income from authorized technology transfer activities Report on INL's technology transfer activities.

Plan for conducting its technology transfer function for the upcoming year.

Submission of a semi-annual report that includes for exempt and non-exempt employees: (i) Total cost of overtime; (ii) Total cost of straight time; (iii) Overtime cost as a percentage of straight-time cost; (iv) Total overtime hours; (v) Total straight-time hours; and (vi) Overtime hours as a percentage of straight-time hours.

Title of Data Item

Diversity Plan

Small Business Subcontract Plan SF 294, Subcontractin g Report for Individual Contracts SF 295, Summary Subcontract Report Internal Audit

Statement of Costs Incurred and Claimed

Disposition of Income

Technology Transfer Records Technology Transfer Plan

Exempt and Non-exempt employees

Item No.

A.12

A.13

A.14

A.15

A.16

A.17

A.18

A.19

A.20

A.21

Contract Reference

1.25

H.35

FAR 52.21 9-9

FAR 52.219-9

DOE 0 221.2 H.22 1.10 1.43

1.42

1.43

1.30

1.30

1.21

I


Distribution and

Notification Note 2

CO OCC

CO

CO -

CO

CO

CO

CO

CO

CO

CO

CO Security

Due Date And

Frequency Note 3

Initial within 180 days of contract takeover;

Annual updates as required;

90 days prior to start of negotiations of any extension As required

As required

Semi-annual - additional as required At contract takeover. Revisions when issued At contract takeover; Revisions when issued Semi-annual- additional as required Annually December 30

Annually October

Annually Novem ber

As required

Annually

Final, No Later than August, 2006

Customer Or

Program


Submit a make-or-buy plan and updates.

Notify the CO when in any given year it is likely that overtime usage as a % of payroll may exceed 4%. Submit an overtime control plan as required by contract clause. A semiannual report on total foreign national employment.

Implement purchasing system and future revisions as required by contract clause.

Documented Management Controls System in accordance with contract clause.

Submit organization chart and any future revisions in accordance with contract clause. Submit reports in accordance with contract clause.

As required by DEAR clause 970.5244-1 and Balanced Scorecard requirements.

As required by DEAR clause 970.5244-1 and Balanced Scorecard requirements.

Written notice to the CO of any changes in the extent and nature of FOCI which would affect the answers to the questions presented in DEAR 952.204- 73. Further, notice of changes in ownership or control which are required to be reported to the Securities and Exchange Commission, the Federal Trade commission, or the Department of Justice shall also be furnished concurrently to the CO. The contractor shall transmit to the CO information obtained from employees

A

DOE Action Note 1

A

N

A

' R

R

R

N

N

A

A

R, A

A

Title of Data Item

Make-or-buy plan

Overtime notification

Overtime Plan

Foreign National Employment Contractor Purchasing System

Management Controls System

Contractor's Organization

Affirmative Procurement Report Self- Assessment Plan

Self- Assessment Report FOCI

Employee Disclosures

Item No.

A.22

A.23

A.24

A.25

A.26

A.27

1 A.28

A.29

A.30

A.31 A.32

A.33

A.34

regarding other employment services in accordance with DEAR 970.0371-8. Provide a joint INL- ICP Contractor detailed plan addressing all indirect funded s e ~ c e s as listed in Section J, Attachment F-6, beyond January 31, 2007. This plan shall address both the function and the personnel, and how both the INL and ICP Contractors will continue or reduce those services.

Contract Reference

1.18

1.21

1.21

DOE N 142.1 Section C, para 2.3.E.2.d 1.54

1.10

1.12

1.23

1.54

DELETED 1.54

1.1

1.12

Joint INL and ICP Contractor Plan for Services

A.35 C.2.3.G.3


DOE Action Note 1

R

A

N

N

N

FUN

A

N

R

R, A

A

A

R

A

Due Date And

Frequency Note 3

Final by January 31,05; Updates if revised At Contract Takeover, Revisions when issued

Annually October 15 Annually, by September 15

Quarterly 151h day of Month January April July October Monthly, on the first Day of Each Month As required

Annually, by October 31

April 15 8 October 15 of each year Annual December 15 FY 06 only due January 15 September 30, then as needed

As required.

Annually upon request from Headquarters

Every 3 years, Initial Sept. 30 2005

Distribution and

Notification Note 2

CO

CO

OCC

OCC

OCC

Litigation Management Attorney Signed Cop= OCC

OCC

IR Office (signed)

DOE Manager DOE CO DOE CF&AOIR Office

IR Office

Two copies of signed DOE Form 3220.5 to the IR Office IR Office

IR Office (signed hardcopy)

Item No.

A.36

A.37

B. 6.1

8.2

8.3

8.4

6.5

8.6

C. C.l

C.2

C.3

C.4

C.5

C.6


MOU signed by ICP and INL Contractors detailing how all services in Section J, Attachment F-6.2 will be divided. managed, and performed. Standards and procedures necessary to implement the requirements set forth in 48 CFR 970.0371

Annual budget covering current pending matters. Anticipates potential liabilities and assets from current and potential litigation for the upcoming fiscal year.

Reports are to report all approved costs and status updates for all matters involving retained counsel, including but not limited to contractor litigation. LMTS system

Information copies of subcontractor invoices for all legal services.

Submit all Risk~anagement and Liability Insurance policies and plans and changes thereto for approval.

Summary for the year showing total number of claims, total amount paid for each claim, and total for all claims.

Report of any DB violations and investigations.

Plan that establishes management structures to conduct employee relations.

Comply with requirements of the DOE Restructuring Plan and the HQ Planning Guidance for Contractor Workforce Alignment. Submit for review and approval salary actions for the President and all senior executives reporting to the president making over $1 OOWyear. Report for salarylwage expenditures.

Conduct Value Studies and comparisons to the U.S. Chamber of Commerce Employee Benefit Survey.

Customer Or

Program

Contract Reference

C.2.3.G.2.b

1.12

LEGAL 1.38,10 CFR 719.17 35 U.S.C. 3515; OMB SFFAS No. 5;

1.38; 10 CFR 719.41

1.38; 10 CFR 719.36

-

1.38

H.18

INDUSTRIAL H.16, 29 CFR Part 5.7b, 48 CFR 52.222-6 Section H, Clause H.14 and H.18

H.30 1.26

H.14

H.18

H.14

Title of Data Item

MOU between ICP and INL for 'Other Site Services" Standards and Procedures

Annual Legal Budget Annual Contingency Liability and Assets Report Quarterly Status reports

Legal Services Invoices Risk Management & Liability Programs Annual Workers Compensation Open Claims Report

RELATIONS Davis-Bacon Semiannual Report Contractor's Employee Management Plan

Workforce Alignment ActionsJPlan

Individual Salary Actions

Contractor Salary-Wage Increase Expenditure Report Marketing tests for allowability and reasonable- ness of costs for welfare benefit


Distribution and

Notification Note 2

CO IR Office

IR Office

DOE Manager DOE CO IR Office - Five copies of published document received from the

DOE Action Note 1

A

A

A

Customer Or

Program

C.10 H.14 IRS Forms Provide copy of IRS submittal. Submit 5500 Annual ReturnIReport of Employee Initial August

Benefit Plan with Schedules. 31 2006 C . l l H.14 IRS Form Submit IRS Form 5300, Application for

Due Date And

Frequency Note 3

As required

As required.

Annually, September


Submit all benefit plans and changes thereto, to the CO for approval before implementing. Submit for approval all proposed retirementlpension plans and changes before implementation. Provide an annual Actuarial Valuation report for each DOE reimbursed retirementlpension plan.

C.12

C.13

C.14

C.15

C.16

- C.17

Title of Data Item

Benefit Plan Approvals

Approval of all Retirementl Pension Plans Pension Plan Annual Actuarial Valuation Report

Item No.

C.7

C.8

C.9

Contract Reference

H.14

H.14

Section H, Clause H.l4(c)(3)(ix)

H.14

H.14 H.18

H.14

H.14, H.18

H.14

H.14 Salary - the salary - wage expenditures. March 30

5300

Special pension programs Report of Settlement

Monthly Headcount Report by Area

Workforce Information System (WFIS)

Contractor Report of Employment Distribution by Program

Contractor

D. D.l

Determination for Employee Benefit Plan, with Schedule. Receive approval for any Submit special pension programs such as Early-Out Retirement Programs. Provide the CO with a summary of settlement after each agreement on a new Collective Bargaining Agreement. (a) Provide contractor headcount information by organization and area location. (b) Provide Contractor Headcount ~nformation by category of exempt, nonexempt, union, etc. An electronic report providing data on the (a) number of exempt, nonexempt, bargaining unit, non-bargaining unit employees and retirees; (b) payroll costs by a variety of categories; (c) insurance costs; (d) benefits costs/plans;(e) compensation costs by hours of work by various categories; (f) workforce restructuring actions (g) employee supplemental compensation (h) collective bargaining agreements, settlement dates (i) employment by EEO categories. Electronically submitted through WFIS. An electronic report providing data on the number of contractor employees by DOE-HQ Program Office.

An Electronic report providing data on

BUDGET and H.23

A

R

R

A

A

Wage Increase Expenditure Report

FINANCE Project Management System

As required

As required

Monthly (6'"f each month)

(a) - (9) Annually

(h) As revised

(i) Quarterly

Quarterly April 30

Project Management System Document

IR Office

IR Office

IR Office

IR Office

IR Office

A Initial 60 days after contract award, and as revised

CO & Site Services Division Director


compliance with Appendix A and approved Management System. All work will align with HQ fund sourcesJreporting requirements. (See Appendix A)

Item No.

Contract Reference

Title of Data Item

D.3

D.4

D.5 D.6

D.7


D.8 D.9

H.21

H.21, H.23 DELETED H.23

DOE 0 130.1

D.10

DELETED DOE 0412.1

D.l l D.12

0); ~ . 2 1 ' (a) H.21 (a)(l);

Annual Reports Baseline Reporting

Ad Hoc Requests UNICAL

H.23

D.13

DOE 0. . .

534.18; 1.48

R&D report, Uncosted Analysis, etc.

Baseline reporting as required by Appendix A.

Ad Hoc requests

Budaet Formulation documents,

Work

DELETED DOE 0135.1

DOE Order 534.18

crosscuts, data sheets, etc.

Work Authorization Documents. Authorization

Environmental

DOE0 534.18 (List

DOE 0 534.18 H.21

Environmental Liability information Liability

Project

I

piles and submits to DOE an annual ution vear indirect cost baseline

support.

Project Authorization Documentation. Authorization Functional Cost Report

Out Year ocument ihat summarizes indirect costs

Indirect and support costs by function.

Distribution Action and

Program Note 1 Frequency Notification

D.18

0.19

Note 3 Draft control Account Plans due annually August 15. Final due annually September 20

,I-1 7 1 2/12/05

H.21 (a)(l,)

H.21 (a)(l)

tower is the finai cost objective. Travel Cost Collect and report travel costs incurred by Report the contractor for both domestic and

foreign travel. Travel Certification of all travel being reasonable Certification and for necessary functions Certification Report Letter hard copy signed with reference to

the electronic file.

N

R

Annually, as required As required

Budget Director A

A

Per CO letter

A

I I I

/ A ( As required I I Budget Director

Per UNICAL guidance

A

Budget Director

Retumed within 2 weeks

Monthly FSD Director FIS Accountant

Noon 2"d Calendar work

Budget Director

of receipt As required

R

I I

R Contracting FSD Director Officer Letter Lead FIS

CO Budget Director

reflecting year Accountant end guidance

necessary Annual, December

days after end of month, starting after the end of the

FSD Director

September I

day following Quarter end

FSD Director following year


DOE Action Note 1

R

A

A

A

R

R

R

R

R

R

R

Customer Or

Program


Financial Statement Reporting, including footnote disclosures and analyses.

CAS Disclosure Statement describes the contractor's accounting practices that they will be using for contract performance per Cost Accounting Standards. Signed Certification Letter. Describes contractor proposed accounting practice change including impact analysis at the major program level associated with change Provides report of waivers from full cost recovery approved during the quarter in pricing department materials & sewices

Annually record LDRD costs, scope, into the Department's LDRD database. Input data into the DOE HQ database via internet. Provide collection and aging information about receivables due from the public as defined by the supplement to Volume I of the Treasury Asset Management Manual, "Instructional Workbook for Preparing the Report on Receivables Due From The Public". Fiscal Year. STARS lnterim and Year End reporting requirements from OFCR Debt Collection Act of 1982 and the Debt Collection Improvement Act of 1996 Provide collection and disbursement information about transactions with other nations. Fiscal Year STARS Interim and Year End reporting requirements. Provide dollar value of Special Nuclear Materials reported in DOE DIMS. Fiscal Year STARS, Interim Fiscal Year STARS, Interim and Year End reporting requirements.

Provide financial information (sources and disbursements) for Tracking of Technology Transfer Third-party Receipts. Fiscal Year STARS Interim and Year End reporting requirements.

Financial information about Receivables from Foreign Obligors. Fiscal Year STARS Interim and Year End reporting requirements.

Report erroneous payments and steps taken to prevent errors in future payments.

Item No.

D.20

D.21

D.22

D.23

D.24

D.25

D.26

D.27

D.28

D.29 D.30

D.31

Due Date And

Frequency Note 3

Per Headquarters guidance

Initial and when Accounting Practices Chanqe As accounting practices change

Quarterly January April July, October. Annual

Quarterly, working day after Quarter

Quarterly, working day after Quarter

Per Headquarters guidance at FY year-end

Contracting Officer Letter reflecting year end gu~dance

Contracting Officer letter reflecting year end guidance

Per Headquarters guidance

Distribution and

Notification Note 2

FSD Director

FSD Director & CO (original)

FSD Director

FSD Director

FSD Director

7'"SD Director

7'"SD Director

FSD Director

FSD Director

FSD Director

FSD Director

Contract Reference

H.21(a) DOE 0 534.1 B

Sect~on I FAR 52.230-2 FAR 52-230-6

Section I FAR 52.230-2 FAR 52-230-6

DOE 0 522.1

H.21 DOE 0 413.2A 1.43 H.21; DOE 0 534.1 B

H.21 DOE 0 534.18

DOE 0 534.1 B DOE 0 474.1A

H.21 DOE 0 534.1 B

DELETED H.21 DOE 0 534.18

H.21 DOE 0 534.18

Title of Data Item

Quarterly & Annual Financial Statements

CAS Disclosure Statement

Accounting Practice Change Notification Pricing Exception Report

LDRD Reporting

Report on Receivables due from the Public (220.9 Report)

International Transact~ons Report (A-65 Report) Detail submission into DIMS (Departmental Inventory Management System) Tracking of Technology Transfer Third-party Receipts Report

Current Status of Accounts Receivable from Foreign Obligors Report Report of Waiver of Claims for Erroneous Payment


Distribution and

Notification Note 2

FSD Director

FSD Director

FSD Director

FSD Director

FSD Director

FSD Director (original certification)

FSD Director (original certification)

FSD Director

FSD Director

FSD Director

FSD Director

DOE Action Note 1

A

A

R

R

R

R

R

R

R

R

R

Customer Or

Program

1

Due Date And

Frequency Note 3


December 15th Annually



Contracting Officer letter reflecting year end guidance Contracting Officer letter reflecting year end guidance

5th working day of August

Monthly 15Ih Working Day

Within 15 calendar days of request

As finalized by the lntemal Audit organization Quarterly Januarv 15'


Report financial information as required by HQ call letter. Fiscal Year STARS Interim and Year End reporting requirements.

Report provides contractor results of recovery audit programs, which identify payment errors and recovery of amounts overpaid. Report financial transactions made in foreign currency. Fiscal Year STARS Interim and Year End reporting requirements.

Report financial transactions made in foreign currency. Fiscal Year STARS Interim and Year End reporting requirements.

Identify any problems incurred during Year End Closing and Reporting. Fiscal Year STARS Interim and Year End reporting requirements. Assertions made pertaining to the integrity of the financial information provide to HQ for the Consolidated DOE Financial Statements. Government Reform Act of 1994. A report on the status of the Contractor's management controls for all programs and administrative functions including problems identified, progress made in correcting prior reportable problems, and make an assessment about the integrity of contractor financial systems.

Report providing daily draws and account balance.

Reports of audits / reviews performed by the M&O Contractor lntemal Audit organization requested as-needed by DOE in response to OIG allegations concerning the M&O Contractor. Reports of audits 1 reviews performed by the M&O Contractor Internal Audit organization at NE-ID request.

Status report on corrective action to external audit recommendations for

Title of Data Item

Financial Statement, Analysis, Footnote Disclosures, 81 Supplementar y Stewardship Information Report of Audit Recoveries

Report on Estimated Foreign Currency Collections & Expenditures Report on Unfunded Foreign Currency Reservations Accounts Documentatio n on Year End problems

Annual Management Representatio n Letter

FMFlA Annual Assurance Memo

Report of Status of Federal Funds Drawn from Treasury ASAP System OIG Referrals

DOE requested audits

Status report on corrective

Item No.

D.32

D.33

D.34

D.35

D.36

D.37

D.38

D.39

D.40

D.41

D.42

Contract Reference

H.21 DOE 0 534.16

H.21 1.43 (e)

H.21 DOE 0 534.16

H.21 DOE 0 534.1 6

H.21 DOE 0 534.16

H.21; 1.10

1.10 DOE 0 413.1A

1.42

DOE 0 221.2 H.22 1.10 1.43

DOE 0 221.2 1. 43 H.22 1.10 1.43 DOE 0


Distribution and

Notification Note 2

FSD Director

FSD Director

FSD Director

FSD Director

-

FSD Director

CO ID Property

FSD Director

FSD Director

FSD Director

DOE Action Note 1

R

R

R

R

Customer Or

Program

Data Item Description Due Date And

Frequency Note 3 ---

April 15' July 15 October 15

Per CO request

Annually November

Semi-Annual April 30 November 30

Monthly 3rd Working Day

1

E.l

E.2

E.3 E.4

E.5

E.6

E.7

D.43

D.44

D.45

D.46 D.47

E. A

A

R

R

N

R

1.55 41 CFR 109- 43.4701

1.55

DELETED 1.55

1.55 41 CFR 109- 1.5110

1.55 41 CFR 109- 1.5203 (1)

1.55 41 CFR 109- 1.5110

Annually - November 15

CLOSED

Fiscal Year End October. 31'

Annually January 31"

Annually January 31'

2300.18

1.43 H.21 DOE 0 21 10.1A JCP Government Printing & Binding Regulations JCP Government Printing & Binding Regulations DELETED 1.43: 31 USC 3513, Treasury Financial Manual

PERSONAL and Excess Personal Property Furnished to non-Federal Recipients in any manner, including Abandonment, Destruction or Donation to Public Bodies

Property Management System and Baseline Government Property lnventory

Non- Expendable Personal Property Activity Physical Inventories

Subcontractor Annual Inventory Report Stores and Warehouse Inventory

Personal Property Transferred under the Used Energy-Related Laboratory Equipment Grant Program, the Education and Research Transfer Program (ERTP) Executive Order 12999, and for Economic Development.

Reporting requirement. TBD based on SDB targets.

Additions and Deletions by Line Item and Acquisition Costs.

Inventory Summary Report of Sensitive Items Having an Acquisition Cost of $2,000.01 or More including Fire Arms, Ammunition, and Military Property. Physical Inventory Results With Total Acquisition Costs of Government Property in Possession.

Summary of Reconciled Results of Physical Inventories.

action to external audit recommendati ons

Ad-Hoc Reports

Printing & Publishing Activities 3 Year Plan

Commercial Printing Report JCP Form 2

Treasury 224 Reporting Submittal to DOE

REAL PROPERTY

k-

department audit reporting and tracking (DARTS) purposes.

Ad-Hoc reports to establish rates that will be used in pricing activities/services to ensure full cost recovery objectives.

Identifies printing & publishing information to HQ.

Identifies printing & publishing information to HQ.

Treasury payment reconciliation requirements. Fiscal Year STARS Interim and Year End reporting requirements.


Due Date And

Frequency Note 3


Annually December 1"


Annually October 31"


Every two years January 31" Every three years January 31"

Monthly (by 1 0Ih)

Annually October 31st

Monthly to ID Annual to HQ April 1"

Annually December 31"

Quarterly October, January April July. Annually January

DOE Action Note 1

R

Distribution and

Notification Note 2

FSD Director

FSD Director

FSD Director

FSD Director

FSD Director & HQ

FSD Director

FSD Director

FSD Director

FSD Director

FSD Director HQ

FSD Director

FSD Director

FSD Director

Customer Or

Program


Additions & Deletions By Line Item & Acquisition Cost.

3-Year Forecast for Returns and

Item No.

E.8

E.9 1 I/

R

R

R

R

R

A

N

R

A

N

N

Withdrawals of Precious Metals.

Tracking System Accounting for all DOE- owned Precious Metals Regardless of Location.

An annual report describing any negotiated disposals of surplus personal property having an estimated fair market value of more than $5,000. Property performance objectives and measurements and reports of self- assessments.

Inventory Summary Report of All Capital Items.

Wall-To-Wall Inventory Summary Report of Sensitive Items Having an Acquisition Cost of $2,000 or Less (Except for Arms, Ammunition, and Military Property). Reports all eligible assets for Community Reuse Organization Screening. Disposal action will resume for these assets unless a CRO request is received. Reports Fiscal Year fleet vehicle data. Data collected in FAST is used to support the Department of Energy's and , NNSA compliance with the Energy Policy Act, EO 131 49 and the GSA SF-82 Report.

Reports Monthly Motor Equipment Utilization for all INL Fleet. The annual report to HQ shall be an accumulation of the entire year. Business Case Justification For Retention of Any Permanently Assigned Vehicles Not Meeting Approved Vehicle Utilization Standards.

Reports Net Sales data for property sold on-line.

DOE Contractors categorically manage and report property volumes and original acquisition dollar values of government- owned property annually.

E.10

E.11

E.12

E.13

E.14

E.15

E.16

E.17

E.18

E.19

E.20

Contract Reference

1.55 41 CFR 109- 1.5110

1.55

Title of Data Item

Stores Inventory & Warehousing Activity

Precious 41 CFR 109- 1.5110

1.55 41 CFR 109- 1.5110

1.55 41 CFR 109- 45.304-2.50

1.55

1.55 41 CFR 109- 1.5110 1.55 41 CFR 109- 1.5110

1.55 41 CFR 109- 38.5103

1.55, 1.56

1.55 41 CFR 109- 38.51 03

1.55

1.55

1.55

Metals Forecast for Withdrawals and Returns Precious Metals Inventories

Negotiated Sales Report

Property Performance Objectives & Measurement s & Self- Assessment Reports Capital Equipment Inventories Physical Inventories

Community Reuse Organization (CRO) Federal Automotive Statistical Tool System (FAST)

Vehicle Utilization Report

Vehicle Utilization Business Cases

DOE On-line Sales E-Bay, BID 4 Assets, etc.

DOE-HQ Property Information Database (PIDS)


Distribution and

Notification Note 2

FSD Director

Electronically On-Line Reporting

FSD Director

FSD Director

FSD Director

FSD Director

FSD Director

FSD Director

DOE-EMIER FFAICO Lead

ETSD Director

ETSD Director

ETSD Director

Due Date And

Frequency Note 3

Annually December 1'

Annually January 31'

Annually April 1"



Annually October 31"

Annually January 1"'

Quartefly January July April October.

DOE Action Note 1

R

N

A

A

R

R

R

R

Customer Or

Program


For any property exchanged or sold the pertinent FSC group, number of items, OAC, exchange allowance or sales proceeds, and source from which the property was originally acquired. A Web-based application, this process assists DOE with the control 8 management of government property. The end-user process correctly assigns assets to the correct user and updates the INL electronic property record system to reflect the assignments. Report of exempted vehicles from requirement of displaying U.S. Government tags 8 other identification. Request 8 justify the need for temporary removal and substitution of Government markings. Vehicle leases not procured through the GSA Automotive Commodity Center, unless a waiver resulting from a GSA study is in effect.

Reports annual agency performance data on meeting the goals of E013149.

Identifies to GSA real property disposals for the year.

Identifies disposable real property to HUD

Identifies disposable real property to HUD

Item No.

E.21

E.22

E.23

E.24

1 E.25

E.26

E.27

E.28 E.29

F. Use for any discovery of previously unknown soil or groundwater contamination from past operations. Location, type and extent of contamination.

Report all scheduled environmental surveillance and compliance monitoring samples.

EPCRA 31 1 Quarterly reports. DOE submits to EPA (111, 411, 711, 1011).

.

Annual EPCRA 312 report certified by the contractor. DOE submits annually 311 to EPA.

R, A

New Site Identification Forms

Quarterly Environmental Surveillance and Compliance Monitoring Samples EPCRA 31 1 Quarterly Reports

EPCRA 312 Annual Report

Contract Reference

41 CFR 102- 39.75

1.55 41 CFR 109- 1.5110

41 CFR 109- 38

1.55 41 CFR 109- 38

1.55 41 CFR 109- 38

41 CFR Part 102-84.55

41 CFR Part 102-75.1 170

DELETED 41 CFR Part 102-75.1 170

ENVIRONMENTAL F.l

F.2

F.3

F.4

As Needed

Title of Data Item

Exchange - Sale Report

End-User Reporting

Report of. Exempted Vehicles

Agency Purchase and Lease of Motor Vehicles Alternate Fuel Motor Vehicle Report

Annual Real Property Disposal Report to GSA Real Property Report to HUD

McKinney Act Report 10 HQ

REQUIREMENTS FFAICO and OU 10-08 Remedial Investigation1 Feasibility Study (RIIFS) DOE 0 450.1, ldaho Code 50, City of Idaho Falls Municipal Code Chap. 1, Sec. 8 DOE 0 450.1 40 CFR 370 8 EO 13186.

DOE 0 450.1 40 CFR 370 8 EO 13186.

N

R

R, C

Annually to DOE: February1 4


Distribution and

Notification Note 2

ETSD Director

ETSD Director

ETSD Director EPA

ETSD Director EPA

ETSD Director

ETSD Director

ETSD Director

City of Idaho Falls; ETSD Director

ETSD Director Distribution after approval

City of Idaho Falls; ETSD Director DOE-ID IRC Facility

State of Idaho Division of Environmental Quality (DEQ) ETSD Director

ETSD Director

DOE Action Note 1

Customer Or

Program

Due Date And

Frequency Note 3


Annual EPCRA 313 report certified by the contractor. DOE submits to EPA.

List of Approved Pesticide Usage

Site-wide TSCA Document Log and Annual Inventory in accordance with EPA letter dtd 11/26/99. Contractor submits to regulators by July 1. Site-wide TSCA Radioactive Waste Inventory in accordance with EPA letter dtd 11/26/99. Contractor submits to regulators by July 1. Applicable information for inclusion in the Annual Site Environmental Report to DOE-ID.

Letter report to document results from the surface radiation surveys to DOE-ID.

Update the INL Environmental Monitoring Plan as needed. Review the plan annually to assess the necessity for updates. At a minimum, the plan will be updated even/ three years. Copy of Monthly Pretreatment Reports (pH logs) to the City of Idaho Falls. Certified by contractor. Contractor submits to City.

Annual Groundwater Monitoring Plan and revision, as needed to maintain accuracy.

Copy of semi-annual IRC Liquid Effluent Reports to the City of Idaho Falls. Certified by contractor. Contractor submits to City.

Copy of Annual Drinking Water Fee Assessment to the State of Idaho. Contractor submits to regulators.

Annual Wastewater Land Application Permit (WIAP) Report certified by the contractor to DOE. Contractor submits to regulators by March 1.

Item No.

F.5

F.6

F.7 F.8

F.9

F.10

F . l l

F.12

F.13

F.14

F.15

F.16

F.17

F.18

Contract Reference

DOE 0 450.1 40 CFR 372 & EO 13186

40 CFR 152 - 180, & Idaho Code Chapter 43, Section 22-3401 to 22- 3426. DELETED 40 CFR 761.65 (a) (2) (ii)

40 CFR 761.65 (a) (2) (i i)

DOE 0 231.1 DOE 0 450.1

DOE 0 450.1

DOE 0 450.1

City of Idaho Falls Municipal Code Sewer Ordinance 8- 1 -37c DOE 0 450.1

I

City of Idaho Falls Municipal Code Sewer Ordinance 8- 1 -37c DOE 0 450.1 IDAPA 58.01.08

DELETED

DOE 0 450.1 IDAPA 58.01.17

R, C

R

R

R

R

R

A

N

A

N

N

R

Title of Data Item

EPCRA 313 Report

Annual Pesticide Usage Report

TSC A Document Log & Annual Inventory TSCA Radioactive Waste Inventory Annual Site Environmental Reporting

Surface Radiation Surveys Report Environmental Monitoring Plan Updates

Monthly Pretreatment Reports

Annual Groundwater Monitoring Plan IRC Liquid Effluent Reports

Drinking Water Fee Assessment

Annual Wastewater Land Application Permit (WMP) Report

Annual: June 1 to DOE July 1To EPA Annual: September30

Annually: DOE-ID June 1

Annually: DOE-ID June 1

Annually: Data by April 1, Report sections by May 1 Annually: January 31

Annually: April 30 Next update: April 30, 2007

Monthly: last day of month following the report period

Annually, if needed

Semi- Annually: December 31 & June 30

Annually: October 30

Annually: DOE-ID February 21


Note3 1 Note 2 Annually: 1 ETSD Diieclor September 30

DOE Action Note 1

A

R

R

R

R

N

R

R, C

R, C

R, C

R, C

R, C

R

DOE-ID Idaho Department

Resources (IDW R)

Customer Or

Program

August 30


Best Available Technology (BAT) Update Report for any discharge to soil with any potential radiation release.

Fees for Construction of Ground Water Monitoring Wells. Contractor submits to regulators Jan 30.

Shallow Injection Well Report (and verify status and condition of 20% of the wells).

Deep Injection Well Permit Renewals, as required, to DEQ. Certified by contractor. Contractor submits to regulators. Submit the Comprehensive Well Inventory and the Annual Water Use Report (combined). Contractor submits to regulators June 28.

Report Annual Revegetation Assessments for disturbed sites.

Source Water Assessments Report for drinking water, revise as necessary to maintain accuracy. Contractor submits to reqJlators. Annual Site-Wide NESHAPS radioactive emission reporting certified by the contractor. DOE submits to regulators June 30.

Annual Title V Significant Source Criteria Air Pollutant Emission Inventory certified by the contractor. DOE transmits to DEQ April 1.

Toxic Exemption Air Pollutant Report certified by the contractor. May 1.

DEQ Triennial Air Emission Inventory certified by the contractor. Next due date expected in May 2006. Maintain the air emissions inventory database. Contractor submits to regulators. Quarterly SMC PTC Reports, certified by the contractor. Contractor submits to DEQ (4/30,7/30, 10/30, 1 /30)

Reports required by the Title V operating permit, certified by the contractor. DEQ deadline is 30 days after the end of the reporting period for semi-annual and annual reports. Contractor submits to regulators.

J-l 14 12/12/05

by permit

Title of Data Item

Best Available Technology (BAT) Update Report

Fees for Construction of Ground Water Monitoring Wells Shallow Injection Well Report Deep Injection Well Permit Renewals

Comprehensiv e Well lnventory & the Annual Water Use Report Annual Revegetation Assessments Source Water Assessments

Annual NESHAPS Radioactive Emission Report

Annual Title V Significant Source Criteria Air Pollutant Emission lnventory for Fee Purposes Toxic Exemption Air Pollutant Report DEQ Triennial Air Emission Inventory

Quarterly SMC PTC Reports

Title V Operating Permit (IRC and INL)

Item No.

F.19

F.20

F.21

- F.22

F.23

F.24

F.25

F.26

F.27

F.28

F.29

F.30

F.31

Annually: ETSD Director; May 28 to

Contract Reference

DOE 0 5400.5 Change 2

IDAPA 37.03.09

DOE 0 450.1 IDAPA 37.03.03 IDAPA 37.03.03

INL Water Rights Agreement

DOE 0 450.1

40 CFR 141 - 143

DOE 0 450.1 40 CFR 61 Subpart H

DOE 0 450.1 IDAPA 58.01 .01.389.

DOE 0 450.1 IDAPA 58.01 .01.223. 05 DOE 0 450.1 40 CFR 51.30(b)

DOE 0 450.1 PTC # P- 030501

DOE 0 450.1 40 CFR 70 and IDAPA 58.01 .01.300s

August 31

DOE.

Annually: May 31 90 DOE

Annually: March 1 to

Annually: ETSD Director;

ETSD Director; EPA DEQ State of ldaho INL Oversight Office Distribution ETSD Director

1 oworking Program days before I DEQ

I

DEQ deadline I To DOE 15 1 ETSD Director;

Quarterly, to DOE

;king days DEQ prior to DEQ DOE-ID IRC deadline Facility (for IRC stated in Title V) ermit

ETSD Director DOE-ID SMC

Contract No. DE-AC07-051D14517 Modification No. M028 Section J Attachment I x q - - G z Reference

40 CFR 51.166

I

F.36 1 40 CFR 61 1 Subpart M

DOE 0 450.1 40 CFR 302

40 CFR 260 (et seq)

DOE 0 414.1A Change 1, DOE G 414.1- 1, and DOE P 450.5.

Title of Data Item Description Data Item

Significant sources. Provide a current database

increment

Annual Annual NESHAPS Asbestos Notification NESHAPS certified by the contractor. Contractor As best os submits to reaulators bv 12/21. - Notification Annual 1 Annual NESHAPS Asbestos Reporting

Asbestos submits to DEQ by January 31.

Notifications 1 regulators. Risk 1 Update the Risk Manaaement Plan - Management Plan - General Duty Clause Compliance

~enera l Duty Clause Compliance Analysis

TRA PTC TRA PTC Reports certified by the Reports contractor. Contractor submits final to

DEQ quarterly (11114, 2/14, 5/15, 8/14). I INL CERCLA Prepare INL CERCLA Continuous Continuous Release Reports, as needed, Release Reports Consent I Track all Consent Order and other Order and regulatory milestones and ensure they other are met. Provide quarterly status reports Regulatory to DOE-ID and as requested. Milestones Status Reports Environmental I Monthly Disclosure Loas. Disclosure ~ubmitvoluntary environmental Logs and disclosure logs to appropriate Federal, other State and Local regulatory agencies Disclosures monthly, as needed. Provide oral or

written disclosures and planned corrective actions outside of monthly logs

I to regulatory agencies as needed to -

demonstrate effective environmental management, in line with EPA voluntary disclosure policy, for more significant issues. Contractor submits to regulators

Environmental Regulatory Processes and Operations Compliance & Adequacy Assessments

Provide results of environmental self- assessments.

Customer DOE Due Date Distribution Or Action And and

Program Note 1 Frequency Notification

R Annually: ETSD Director; December 1 DEQ to DOE

R Annually: ETSD Director; DOE-ID DEQ January 15

N As needed ETSD Director DEQ

I I I

R, Quarterly ETSD Director C To DOE DEQ

R Quarterly to ETSD Director DOE January 30 April 30 July 30 October 30.

R Monthly, or as ETSD Director needed (each as

appropriate) - Federal, State and

I I

I Within 30

Local Agencies DOE Director- Affected facility

ETSD Director QSD Director DOE-ID ESH&QA Oversight Program Manager DOE-ID Director(s) for affected facility(ies)


40 CFR 302, and EO 13186

Item No.

oht tract Reference

Distribution and

Notification Note 2

ETSD Director (as appropriate) - Federal (EPA, USCG, NRC), State (DEQ) and Local Agencies DOE Director for affected

F.45

F.46

Due Date And

Frequency Note 3

G.2 G.3

G.4

G.5

Title of Data Item

DOE 0 450.1 Archaeological Resources Protection Act of 1979 43 CFR Part 7 DOE 0 450.1 Archaeological Resources Protection Act of 1979

G.6

Customer Or

Program

Data ltem Description

DELETED DOE 0 470.1 Change 1

DOE 0 151.18

DOE 0

DOE Action Note 1

Chemical Spills Reports and Response

Federal Archaeology Program Report to Congress

Protection of Key Archaeologica I and Historic Architectural Properties

F.47

F.48

F.49 G. G.l

1 l5l.lB I Management Emergency Management Plan. I I plan

DOE 0 151.18

Prepare Chemical Spills Reports, as needed, to DEQ, NRC, or USCG, dependent on the nature of the spill. Contractor submits to regulators.

N

DOE 0 450.1 36 CFR 800 and DOE 0 1230.2

DOE 0 450.1 National Historic Preservation Act of 1966, as amended, 36 CFR Part 800 DELETED

SAFEGUARDS & DOE 0 474.1A

Site Safeguards & Security Plan (SSSP)

Emergency Management Performance Measure

Emergency Management 1 Program

As needed

Prepare and deliver to DOE-ID the annual Department of Interior (DOI) Questionnaire on the Federal Archaeology Program Report

Submit the INL site monitoring forms for monitoring conducted to DOE-ID by October 31. Support protection of key archaeological and historic architectural properties by conducting periodic monitoring. Specific sites to be determined each year depending on risk, I at least 5 sites per year.

Emergency Readiness Assurance Plan

-- INL Cultural Resources Management Plan

National Registry of Historic Places Nomination Packages

EMERGENCY Material Control and Accountability Plan

---PP

Meet the requirements of the Safeguards & Security Strategic Plan (SSSP). Complete review of the SSSP and update as necessary annually by September 30. DOE HQ Quarterly Performance Measures.

Annually submit the updated INL

R

R

Annual review and update the INL Cultural Resources Management Plan, as needed.

Prepare and submit nomination packages to DOE-ID for historic properties to the National Register Of Historic Places in accordance with established guidelines and regulations, as needed and agreed each year.

SERVICES REQUIREMENTS Complete review of the Material Control and Accountability Plan by March 31 annually per DOE 0 474.1A.

days

R, A Annually: SD Director R - 21 September 30 days A - 7 days N

July 1 October 1

R- 21

Submit Emergency Readiness Assurance Plan updates compliant with the governing directives annually.

R

R, A

Annually: February 15

Annually to DOE October 31

R, A R - 21 days A - 7 days

Facility(ies) ETSD Director

ETSD Director

Annual, when needed March 1 to DOE

As requested

ETSD Director For external distribution of final (after DOE review) -1 2 hard copies ETSD Director

Annually, August 30

SD Director R, A R - 45 days A -7

Administrator Emergency Management Program Administrator

Annually: March 31


Reference

H. OPERATIONS, H.l I DOE0

5480.1 9, Change 2

H.3 1 DOE 0 5480.20A Change 1

H.4a 10 CFR 830 Subpart A; DOE 0 430.1 8; DOE P 450.4

Reports 1 proposed startup authoritv level. I I A -'7 davs I ~anuar; & 1

Distribution and

Notification Note 2

Emergency Management Program Administrator

AFETY, HEALTH and QUALITY ASSURANCE REQUIREMENTS

Due Date And

Frequency Note 3

As required

Documents (e.g., matrices). I 1 days Conformance Operations I A - 7 days I

Title of Data Item

Hazards Assessment Document

Startup Notification

(SNRS)

Documents Personnel Selection, Qualification and Training for Nuclear Facilities

Customer Or

Program


Submit Hazards Assessment Document updates compliant with the governing directives.

The SNRs shall include, at a minimum, the level of readiness activitv and the

R-14 davs

Real Property Asset Management

DOE Action Note 1

R, A R-21 days A - 7 days

. .

With respect to the selection, qualification and training of personnel for INL nuclear facilities:

Semi- Annuallv:

I JUIY Conduct of ] Conduct of Operations Conformance

a. Prepare and submit a Training Implementation Matrix to the DOE Manager for review and approval.

QSD Director; ANLO: AM/R&D

1 R - 2 1 I As needed I QSD Director;

b. Procedures for exemptions to specific training or qualification requirements for an individual.

c. Provide written requests for certification extensions to the DOE Manager for approval.

d. Prepare and submit an assessment of the need for a simulator, for Category A test and research reactors only.

Report of periodic systemic evaluations of training and qualification programs. Perform periodic (at least biennially) systemic evaluations of training and qualification programs.

l a. A maintenance management

program that includes a condition assessment of the real property assets, a work control system, management of deferred maintenance, a method to prioritize, and systems to budget and track maintenance expenditures.

b. ldentification of 5-year maintenance and repair requirements (sustainment) and funding for deferred maintenance reduction.

c. ldentification of &year recapitalization requirements to replace or modernize existing facilities.

a. and b. R - 21 days A - 7 days

C. R - 7 days A- 7 days

d. R - 30 days A - 7 days

e. N

a. and b. Within 90 days of contract takeover

c. As needed

d. As needed

e. Biennially, initial due in July 2005

b. lnclude annually in Ten year Site Plan submittal. See Item 1.3

c. lnclude annually in Ten Year Site Plan submittal.

a. N

QSD Director; ANLO

a. As needed

AMILO; DOE Maint. Program Manager

Contract No. DE-AC07-051D14.517 Modification No. M028 Section J Attachment I

Item No.

H.4b

H.5

H.6

H.7 H.8

H.9

Contract Reference

DOE 0 433.1

10 CFR 830 Subpart B

10 CFR 830 Subpart B

DELETED IOCFR 830.203

SOW 2.4.8, 48 CFR 970.5223-1, DOE 0 450.1, DOE 0 414.18 Change 1, DOE P 450.4, and DOE G 450.4-18, Volumes 1 and 2

Title of Data Item

Maintenance Management Program for DOE Nuclear Facilities

Documented Safety Analyses (DSAs), Technical Safety Requirements CTSRs), Unreviewed Safety Questions (USQs) DSAs, TSRs, USQs

USQ Process

Integrated Safety Management


d. Condition assessments must be performed on real property assets at least once within a five-year period, and may be required more frequently for mission essential facilities and infrastructure.

Maintenance Implementation Plan (MIP) that uses a graded approach to address Nuclear Facility Maintenance program requirements.

Provide a schedule for maintaining safety basis for nuclear facilities current.

a. Submit new PDSAs, DSAs, TSRs b. Submit annual DSA updates, and TSR changes c. Submit summaries of USQ determinations.

Submit to DOE a procedure for the USQ Process that meets the requirements.

a. Prepare and submit for DOE approval, ISMS Description Document prior to contract start takeover for the INL. The annual review and update of the INL ISMS Description Document shall be submitted to DOE for approval by January 30, starting the second contract year.and thereafter. This description document will include the EMS.

b. Annual ISMS Safety Performance Objectives, Performance Measures and Commitments Affirmation (Annual Affirmation).

1

Customer Or

Program

DOE Action Note 1

Due Date And

Frequency Note 3

Distribution and

Notification Note 2

AMILO; DOE Maint. Program Manager

QSD Director; AMLO

a. & b. DSAs, TSRs; NE-ID Manager; AMILO - USQs: AM/LO; Director OSD

NE-ID Manager; AMLO; QSD Director

AMIOS CO

d. N

R, A R-21 days A- 7 days

N

a. WA-90 days b. WA - 90 days c. N

R -30 days A - 7 days

a. Initial: R-21 days A - 7 days

Updates: R-45 days A - 15 days

b. R-30 days A-15 days

d. Condition Assessment Program will support the reporting requirements of FIMS. Within 120 days of contract to revalidate existing MIP(s) are in compliance. Biennial review and as needed for changes. As needed

a. As needed b. IAW Annual update Schedule c. Annually - January

Initial: within 90 days of contract takeover; Revisions: as needed

(a) Final Approved - prior to contract takeover;

(a) Updates - Annually: January 30

(b) Final Approved - prior to contract takeover

(b) Annually: December 15


Customer Or

Program

I

Item No.

H.10

H. l l

H.12 H.13 H.14 H.15 H.16

H.17 H.18

Title of Data Item

Authorization Agreements

Fire Protection and Fire Marshal

Fire Protection Program

Injury and

Contract Reference

48CFR 970.5223-1, DOE P 450.4, and DOE G 450.4-1 B, Volumes 1 & 2 DOE0 420.1A

DELETED DELETED DELETED DELETED DOE M 231.1

DELETED DOE0

DOE Action Note 1


Develop and submit for approval Authorization Agreement(s), if determined to be necessary by the contractor and the DOE funding program.

Perform biennial management effectiveness assessments of the Program per DOE G 440.1 -5 and provide assessment results to DOE.

Submit the Annual Summary of Fire Damage covering the fire protection program and loss experience of the previous year.

Provide monthly injury/illness summary

H.19

I H.20

H.21

H.22 H.23

H.24

H.25

H.26

Due Date And

Frequency Note 3

Illness Reporting

440.1AA

DOE0 440.1A, DOE M 231 . l- lA, and 29 CFR 1904

O 420.1A and ANSIIANS 8.1 & 8.19 10 CFR 835 Subpart E

DELETED DOE0 420.1A, DOE 0 430.1 B, & DOE 0 433.1

DOE 0 420.1A, DOE 0 430.1 B, & DOE 0 433.1

DOE M 231.1 - 1 A, Change 1 Chapter Ill DOE 0 5480.19 Change 2

each month

Distribution and

Notification Note 2

CAlRS Direct Data Entry

QSD Director

QSD Director

NE-ID Fire Protection Engineer NE-ID

1 Maintenance Program Manager

reports to DOE, including lnjurylllhess. 1 TRCR and DART Case Rate, an

N

NE-ID Manager; AMLO

QSD Director

DOE Fire Protection Engineer

QSD Director

1

R -30 days A - 7 days

--- For New: Twice Monthly For Revised: Quarterly January 10 April 10 July 10 October 10

As needed

Injury and Illness Record keeping

Criticality Safety Program

DOELAP Accreditation of Dosimetry Program

Fire & Life Safety System Preventative Maintenance

Fire & Life Safety System Preventative Maintenance

Annual Dosimetry Report

Five-year Long-Range Staffing Plan

NE-ID Fire Protection Engineer; NE-ID Maintenance Program Manager

NE-ID Radiological Controls Program Manager AMLO; QSD Director

N

N I Annually September 30

Quarterly: October 30 January 30 April 30 July 30

N ' Biennial: September

analysis of performance measures, data

Enter the appropriate data from the DOE F 5484.3 (or equivalent) into CAlRS for each new or revised occupational injury and illness.

Conduct an annual self-assessment to elements of ANSIIANS 8.1 & 8.19 and provide DOE with the results.

Biennially submit a Request to DOE for recertification of the INL dosimetry programs.

Report of fire and life safety system preventive maintenance activities, within nuclear facilities.

Report of fire and life safety system preventive maintenance activities for all water-based fire suppression systems within all Site areas to DOE.

Annual dosimetry report and historical dose reports as requested.

Five-year long-range staffing plan for all Site Areas to DOE.

R - 30 days A - Per DOE-EH Protocols

Review and Submit to EH-1

-

Biennially: Based on last accreditation

N

-

March 31

Annually March 31, and as requested

N

N

Quarterly: October 30, January 30,

N

' By the 10In of

April 30, July 30

Annually January 2


Customer Or

Program

I

Item No.

H.27

H.28

H.29

I.

Contract Reference

10 CFR 830 Subpart A and DOE 0 414.18

H.5 10 CFR 830 Subpart A, DOE 0 414.18 & DOE P 450.5 10 CFR 830 Subpart A & DOE 0 414.18

PROGRAMS

Title of Data Item

Quality Assurance program

Management and Independent Assessments

Management and Independent Assessments

1.1

1.2

1.3

1.4

1.5

1.6

1.7 1

1.8

1.9

1.10


This QAP shall integrate the performance expectations of the QA Rule and Order with a consensus standard for quality assurance. The standard selected should suit the products and services of the organization (e.g., ASME NQA-1) and its customers. Provide DOE a schedule of planned Management and Independent assessments.

Provide a status of management and independent assessment activities to DOE to include analysis of any significant findings and identified trends.

Distribution and

Notification Note 2

NE-ID Manager; QSD Director

AMIOS; AMIAS; CO

AMJOS AMIAS CO

Voluntary Consent Order

Voluntary Consent Order DOE Order 430.1 8

DOE Order 430.1 8

DOE Order 430.1 B

CERCLA DOE Order 430.1 B

DOE Order 430.18

DOE Order 430.1 B

DOE Order 430.2A

IdahoPower Contract with ,

NE ID

DOE Action Note 1

Tank Closure Plans

VCO Annual Report Ten Year Site Plan

INL Building Ownership Database

Comprehensiv e Facility and Land Use Plan Site Integrated Infrastructure Ten-Year Acquisition and Recapitaliza- tion Projects Plan General Purpose Capital Equipment Five-Year Acquisition Plan Annual Earthquake report Annual Energy Usage Report Annual Energy Usage Forecast to ldaho Power

Due Date And

Frequency Note 3

ETSD VCO Lead

ETSD VCO Lead

NE-HQ - 10 DOE-ID - 30 EM-HQ - 10 Other HQ - 10 NE-HQ EM-HQ DOE-ID

NE-HQ EM-HQ DOE-ID

NE-HQ DOE-ID

NE-HQ DOE

DOE-ID

DOE-FEMP DOE-ID

NE ID Idaho Power -1

R, A R - 30 days A - 7 days

Closure Plan in accordance with RCRA Regulations.

Provide input to VCO Annual Report to ICP Contractor. Content in accordance with DOE Order.

Defines DOE Secretarial Office owner for each building and major structure under the purview of DOE. Update List 246 to reflect deletions or additions Documents long-term land use plan and planning maps for facility areas, must include Record of Decision data.

Describes all planned General Plant Projects and Line Item Capital Projects under the purview of DOE (includes projects funded by NE and other programs EM, NNSA, etc. at INL).

Describes planned General Purpose Capital Equipment purchases.

Documents earthquake activity on and around the INL

Electronic data to DOE-HQ, Federal Energy Management Program describes current year energy usage Forecast energy usage for the next 12 months

R

Initial: Within 90 days of contract takeover

Revisions:

I

I

In compliance with VCO schedule

I Annually

N

N

Annual, October

Initial: May 1, 2005

Annually: October 31

A

N

March 30 & September 30

Quarterly: (Within 60 days after the end of the quarter)

A September 30 or As req'd.

A September 30 or As req'd.

R March 30 & September 301 for 05 the first report is due by June 17,2005

R Annually, October 30

N Annually September 30

N Annually November 30

R ' Annually September 30


Due Date And

Frequency Note 3

Distribution and

Notification Note 2

Customer Or

Program


Dept. of Army - 1 DOE


DOE

DOE SMC Division Director, Team Lead, DOE CFO SMC Program Analyst


Dept. of Amy - 1 DOE

SMC Division Director



DOE Action Note 1

Title of Data Item

Item No.

Contract Reference

Maintain the Technical Data Package Agreement # Data Package and issue revisions as directed by Dept.

Requirements of Army in accordance to the reference Document 03 document.

A

A

A

R

R A

R A

N if SAP used

R, A by Dept. of Army for local quides N if Army Guide used R, A by Dept. of Army for local guides R A

1.12

1.13

1.14

1.15

1.16

1.17

1.18

1.19

As required

As required

As required

Monthly, 1 0Ih or next business day

Semi-annually October April

Annually September

As directed by Program Office

As d~rected by Program Office

As directed by Program Office

MOU Between

Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE Interagency Agreement # DE-AI07- 891D12865 MOU Between Dept. of Army and DOE Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE

Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE

Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE

Technical Data Package Requirements Document 04

Quality Control Plan

Operating Reports

Five Year Funding Profile

Annual Detailed Work Plan

SMC Special Access Program Classification Guidance

Special Access Program - Security Procedures Guide

SMC Counterintellig ence Plan

Maintain the Technical Data Package and issue revisions as directed by Dept. of Army in accordance to the reference document.

Develop a Quality Control Plan in accordance to the reference document.

Provide a monthly report in accordance with the reference document.

Submit projected budgets across SMC Program business tasks for current year and next 5 fiscal years in accordance to reference document.

An annual budget will be submitted to the Dept. of Army for review and approval in early September for the following year in accordance to the reference document.

DOE and its contractors will use the Dept. of Army Special Access Program (SAP) Classification Guide or may use local guides based upon these and approved by Dept of Army in accordance with the reference document.

DOE and its contractors will use the Dept. of Army Security Procedures Guide or may use local guides based upon these and approved by DA in accordance with the reference document.

DOE and its contractor will provide support through the INL Counterintelligence Office for implementation of the SMC Counterintelligence Plan in accordance with the reference document.


Distribution and

Notification Note 2




DOE SMC Division Director DOE CFO SMC Pro~ram Analyst DOE SMC Division Director DOE CFO SMC Program Analyst

DOE SMC Division Director

DOE SMC Program Office

DOE SMC Division Director

CO, Chief Scientist

CO, Chief Scientist

DOE Manager, CO, CFAO, Chief Scientist

DOE-ID TRA Director

Customer Or

Program

I

Item No.

1.20

1.21

1.22

1.23

1.24

1.25

1.26

1.27 1.28

1.29

1.30

1.31

Title of Data Item

Quarterly Security Clearance Reinvestigatio n Report

SAP Operations Security Plan

Program Security Reviews

Engineering Project Status

Engineering Projects, Environmental and Waste Management Quarterly Review In-Production- Review (IPR)

Engineering Projects Five Year Plan

M028 NISPOM Security Review

LDRD Annual report

LDRD Management plan INL Strategic Plan

Contract Reference

Interagency Agreement # DE-A107- 891D12865 MOU Between Dept. of Army and DOE SAP Security Procedures Guide

SAP - Security Procedures Guide SMC Program Management Plan

SMC Program Management Plan

SMC Program Management Plan SMC Program Management Plan

DELTETED DOD 5220.22 - M National Industrial Security Program Operating Manual DOE 0 413. 2A

DOE0 413.2A

DOE Policy Manual,

DOE Action Note 1


DOE and its contractors will use a five (5) year reinvestigation period for personnel security clearances of personnel in accordance to the reference document.

Provide a written Operations Security Plan to protect Program SAP National Security Information in accordance to the reference document Report on Program security reviews in accordance with reference document.

Provide a monthly report in accordance to the reference document.

Provide a quarterly report in accordance to reference document.

Provide information in accordance with the reference document.

Provide Engineering Projects Five Year Plan in accordance with the reference document.

Perform a review of SMC SAP Program to NISPOM and its supplement to maintain compliance to SAP Security Procedures Guide and to Interagency Agreement # DE-A107-891D12865 MOU Between Dept. of Army and DOE.

Detailed annual report of LDRD expenditures and Technical projects and accomplishments. Annual Plan for managing LDRD initiatives funded and processes.

Annual Strategic Plan describing INL mission, vision, critical attributes and

1.32

1.33

Due Date And

Frequency Note 3

ATR Restart Recommendat ion

M028

Secretary of Energy Guidance; Annual Instructional Planning Instructions DOE 0 425.1C

Deleted

A

R A

R

R

R

R

R A

R

N

A

A

Quarterly

As directed by DOE SMC Program Office

As directed by Program Office or Dept. of Army Monthly, 1 oth or next business day

Quarterly

Semi-annually in October and April Annually, Draft last day in July, finalized in October

April 27,2006

Annually by March 31

Annually by August 15

Annually by October 1

--- Following each outage

strategies from an INL-wide perspective.

Reactor Start-up Recommendation following completion of outages, prior to startup. In compliance with approved Contractor startup planlprocedure

R


Note 1. A = Approval; C = Certification by W E (required for some regulatory documents; certification requires hardcopy submittal); R = Review and comment; N = No action - Information only. Unless otherwise specified, the length of time for W E review or approval will be 30 calendar days. Note 2. This column identifies the position to receive delivery notification. Each deliverable will be available to DOE in electronic form per Section C.3 unless hardcopies are specified. Note 3. The term "days" means calendar days unless otherwise specified.

Item No.

1.34

1.35

1.36

1.37

1.38

Contract Reference

DOE 0 470.1 and supplemental guidance DOE N 473.8 H.23

H.23

SectionJ, Attachment P

Section J, Attachment P

Title of Data Item

Compliance with Manager's Standing Orders ATR Programs Mid-Year Review NR Annual Budget Briefing

Plan for Future ATR Spent Fuel Storage

Plan for Alternate Off- site Radioactive Waste Disposal


Deliverables required by the DOE Manager's Standing Orders. Standing Orders and direction to discontinue will be formally issued to the Contractor by the Contracting Officer Year to date program performance status, outlook, issues, actions needed, and Agreements and Commitments

Year-to-date program performance status, out-year program requirements, funding issues, unfounded needs, and Agreements and Commitments. This detailed plan describes the approach along with the overall schedule for the design, construction, and startup of alternate ATR spent nuclear fuel storage to be operational in order to support ATR SNF beyond 2010. This plan must describe the approach (including alternatives), budget requests and timing and provide the overall schedule (including major milestones and deliverables). Any required DOE approvals or actions shall also be described in the plan This detailed plan describes the approach along with the overall schedule for having an off-site LLW capability in place for contact handled waste by October 1, 2008 and for remote handled waste by October 1,2009. The plan shall also describe the continuous involvement of INL tenants in this process, including Naval Reactors to assure the needs of all parties will be met by the new capacity. This plan must describe the approach to the management of the effort, the technical approach (including alternatives), budget requests and timing, and provide the overall schedule (including major milestones and deliverables). Any required DOE approvals or actions shall also be described in the plan.

Customer Or

Program

DOE .

Action Note 1

Due Date And

Frequency Note 3

Distribution and

Notification Note 2

As defined in order

10 copies

20 copies

CO AM/R&D AMlLO

CO AMIR&D AMlLO

As defined in order

As defined in order

N R

Annual, typically MarchlApril

R Annual, as scheduled

A August 17,06

A Contact Handle LLW - March 15, 06

Remote Handle LLW- June 14,06