170030-RFP_CP-28B 28C 37 Trailer Procurement.pdf

UNCLASSIFIED

Notice For Federal Business Opportunities – Purchase Order Page 1 of 1 Rev. 03, Dated November 09, 2011 170030-RFP, CP-28B, CP-28C, & CP-37 Procurement(s)

Notice for Federal Business Opportunities

General Information:

Document Type: Sources Sought

Solicitation Number: 170030

Title: CP-28B – Craft Trailer Procurement, CP-28C – Construction Management Trailer Procurement, & CP-37 – Ten Plex Trailer Procurement

Response Date: 15-December-2011

Classification Code: 54

NAICS: 236220

Small Business Set Aside: No

Recovery Act Project: No

Contracting Office Address:

Acquisition Services Management - CMRR Project Los Alamos National Laboratory (DOE Contractor) PO Box 1663 MS D442 Los Alamos, NM 87545.

Point(s) of Contact:

Primary: Name: Annette Trujillo

E-Mail: annette@lanl.gov

Secondary: Name: Michael Murphy E-Mail: mamurphy@lanl.gov

Description:

BACKGROUND:

The Chemistry and Metallurgy Research Replacement (CMRR) Project is issuing Requests for Expressions of Interest and Prequalification Data (REO) for potential procurements of engineered equipment for the planned CMRR Nuclear Facility at the Los Alamos National laboratory. A bidders list will be developed for each type of engineered equipment to be procured.

This request does not represent any confirmation by LANS of inclusion on the final bidders list, notification of subcontract award or authorization to commence any work related to this request.

INSTRUCTIONS:

All interested, capable, and responsible sources that wish to respond to this sources sought are required to download the supplementary document(s) included on the posting website.

The supplements include a summary scope of work and several questionnaire(s) that must be completed in their entirety and returned electronically to the identified Point(s) of Contact by the Requested Response Date. The questionnaires are designed to evaluate general subcontractor capabilities (technical and financial), safety experience, and quality experience.

Once the sources sought requirement has closed, the CMRR Project will Pre-Qualify offerors based on accurate and complete submission of the questionnaire(s).

mailto:annette@lanl.gov� mailto:mamurphy@lanl.gov�

Request for Expression of Interest, Purchase Order Page 1 of 3 Rev. 02, Dated November 09, 2011 170030-RFP, CP-28B, CP-28C, & CP-37 Procurement(s)

Request for Expression of Interest

170030 - RFP

CP-28B – CRAFT TRAILER PROCUREMENT,

CP-28C – CONSTRUCTION MANAGEMENT TRAILER PROCUREMENT, &

CP-37 – TEN PLEX TRAILER PROCUREMENT

For The Chemistry & Metallurgy Research Replacement (CMRR) Project

Los Alamos National Laboratory (LANL) is seeking Expressions of Interest and Prequalification Data from qualified firms for the services described below.

GENERAL NOTES:

The Chemistry and Metallurgy Research Replacement (CMRR) Project is issuing Requests for Expressions of Interest and Prequalification Data (REO) for potential procurements of engineered equipment for the planned CMRR Nuclear Facility at the Los Alamos National laboratory. A bidders list will be developed for each type of engineered equipment to be procured.

This request does not represent any confirmation by LANS of inclusion on the final bidders list, notification of subcontract award or authorization to commence any work related to this request.

SCOPE OF WORK:

The SUPPLIER shall furnish qualified personnel, equipment, tools, supplies, transportation, technical supervision, professional expertise and materials to safely perform all Work necessary to design, fabricate and deliver 12’ x 60’ and 12’ x 48’ temporary office trailer units for CMRR Construction Packages (CP’s) 28b, 28c, and 37. The required trailers will be delivered to Los Alamos National Laboratory Technical Areas (TAs) 48, 55 and 63 for installation by the CONTRACTOR. TAs 48, 55 and 63 are located in the vicinity of the intersections of Gamma Ray and Puye Roads with Pajarito Road. Delivery shall be performed within an occupied campus area and will require stringent safety controls and protection of people, the environment and existing facilities. The Work includes, but is not limited to: design, fabrication, and delivery of:

• 17 trailer units at TA-55

• 21 trailer units at TA-63

• 32 trailer units at TA-48

Trailer units shall be capable of being configured for assembly into code compliant and fully operational larger modular trailer unit complexes such as 10-wide, 17-wide or other similar configurations in accordance with the Subcontract documents.

The Work includes, but is not limited to, all required submittals, shop drawings, rigging plans, storage plans, installation plans and coordination necessary to provide complete installations and fully operational office, nursing station, changing area and lunchroom modular trailer complexes in accordance with the design documents and LANL standards.

Request for Expression of Interest, Purchase Order Page 2 of 3

SUPPLIER shall provide three-weeks of SUPPLIER representation, instruction and oversight during receipt, staging, assembly, and final inspection of the trailer complexes prior to beneficial occupancy. A minimum of four trips to and from the site of each complex will be required of the SUPPLIER representative.

CONTRACTOR will provide the SUPPLIER with a specific floor plan for each trailer complex.

SUPPLIER will deliver trailers fully fitted out with all required insulation, roofing, siding, skirting, exterior and interior trim, interior partitions, interior and exterior doors, acoustical ceiling systems, flooring systems, cabinetry, electrical power distribution components, telecom and data distribution rough-in components, security system rough-in, HVAC systems, lighting systems, kitchen and janitorial assemblies, ADA compliant toilet facilities, and life-safety components, including, but not limited to fire-sprinkler, domestic water distribution systems, storm and roof drainage systems, and sanitary sewer drainage systems as specified in the Subcontract Documents. Design of all systems and components mentioned above and of all required packaging during storage and transport, in order to protect the individual units, will be the responsibility of the SUPPLIER.

The trailers will be installed on temporary footings / foundations. These footings / foundations are to be designed and furnished by the Trailer SUPPLIER. The design drawings and calculations must comply with the LANL Engineering Standard Manual (ESM) Chapter 5 - Structural Rev. 5, 6/16/08 and IBC 2006.

The complete design package, including structural calculation must be submitted to LANL for approval prior to construction.

Phasing of the Work will be required. SUPPLIER shall provide sufficient resources to complete the work in accordance with the Schedule. Multiple fabrication facilities may be required. Coordination with other projects, other subcontractors, other designers and CONTRACTOR personnel will be required.

SUPPLIER will be required to submit to, and assist with, inspections by the CONTRACTOR at the SUPPLIER’s fabrication plant during fabrication and at the SUPPLIER’s storage facility, during storage.

Design of each complex (TA-55, TA-63, and TA-48) is anticipated to take approximately 2.5 months from date of Notice to Proceed with Design to SUPPLIER from CONTRACTOR. Complete fabrication and delivery of trailers for each complex is expected to take approximately 4 months from date of Notice to Proceed with Fabrication until final delivery of the total number of trailers for each complex. Subcontract award is anticipated in February of 2012.

Each modular unit shall be packaged to withstand the elements during SUPPLIER storage, transportation and storage within the CONTRACTOR’s facility prior to complex assembly.

Exclusions to Scope of Work:

• Installation of trailers

• Final hook up of utilities to trailers.

THE FOLLOWING IS FOR INFORMATION ONLY:

THIS INFORMATION MAY / MAY NOT BE INCLUDED IN THE FINAL REQUEST FOR PROPOSAL:

CONTRACTOR reserves the right to issue purchase orders for less than the total quantity of 70 trailers currently planned and to separate suppliers at CONTRACTOR’S discretion. In order to facilitate the CONTRACTOR’S decision, the SUPPLIER shall provide pricing in the following format:

• Pricing for the total package of 70 trailers in its entirety.

• Pricing for the 17 trailer units at TA-55 alone.

• Pricing for the 21 trailer units at TA-63 alone.

• Pricing for the 32 trailer units at TA-48 alone.

• Pricing for a single office trailer capable of being assembled into a larger modular complex of attached trailers, if the total number of trailer units at each TA site is reduced or increased.

Request for Expression of Interest, Purchase Order Page 3 of 3

SAFETY PREREQUISITES:

Subcontractor must demonstrate safety performance equal to or lower than the following standards:

Statistical Standards

Experience Modification Rate

The “EMR” is a number that is assigned to your company based on the insurance premium you pay and your loss statistics. Contact your insurance company for these numbers.

Maximum Allowable Average:

1.00

Total Recordable Injury/Illness Case Rate

(from Company OSHA 300 log)

Rate =

Total Recordable Injuries/Illnesses x 200,000 Total Employee Hours Worked

Maximum

3.2

DART Case Rate (Days Away From Work, Restriction, or Job Transfer) (from Company

OSHA 300 log)

Rate =

Total Days Away/Restricted/Transferred Work Day Cases x 200,000

Total Employee Hours Worked

Maximum

1.4

Supplier Questionnaire Page 1 of 10 Rev. 02, Dated November 14, 2011 170030-RFP, CP-28B, CP-28C, & CP-37 Procurement(s)

SUPPLIER QUESTIONNAIRE

Enter Dun and Bradstreet (DUNS) Number:

1. GENERAL INFORMATION

NAME OF COMPANY (Full Legal Name)

STREET ADDRESS CITY - STATE - ZIP CODE

MAILING ADDRESS CITY - STATE - ZIP CODE

TELEPHONE FACSIMILE E-MAIL

WEBSITE TELEX/TWX/CABLE OTHER

A. Type of Business (check box or boxes) CORPORATION

OR COMPANY SUBSIDIARY DIVISION PARTNERSHIP

Name and location of Parent Company DUNS No.

If a Division, enter name and location of Corporate Headquarters

DUNS No.

If more than one DUNS number applies to your operation, attach additional explanatory page(s).

B. Type of Facility (check box or boxes) MANUFACTURER/

FABRICATOR DISTRIBUTOR/

SUPPLY HOUSE ASSEMBLY/

SHOP MANUFACTURERS

REPRESENTATIVE

CONSTRUCTION ARCHITECT/

ENGINEER TECHNICAL

SERVICE GENERAL SERVICE

OTHER (SPECIFY)

C. Enter Applicable SIC Codes:

D. Enter Applicable NAICS Codes (North America):

E. Date Business Founded: Under Present Ownership Since:

F. Number of Employees (All Facilities) Manual: Non-Manual:

G. Small, Disadvantaged, Women-Owned or Veteran Status

Check Applicable Boxes SMALL WOMEN-OWNED DISADVANTAGED: HUB ZONE

VETERAN

OWNED SERVICE DISABLED

VETERAN OWNED

2. FINANCIAL INFORMATION (This section MUST BE COMPLETED for consideration. Information is kept CONFIDENTIAL.)

A. Bank Name: Agent: Phone No.:

B. Annual Sales Volume (Last 3 Years):

Year:

20___ $ Year:

20___ $ Year:

20___ $

C. Present Net Worth

D. Can you furnish a Payment and Performance Bond? Yes No

If “Yes”, indicate Max Dollar Limit: $250,000 $500,000 $1,000,000 $5,000,000 $10,000,000 >$25,000,000

Surety Name: Agent: Phone No.:

E. If required, can you furnish a Bank Guarantee or Letter of Credit? Yes No

If “Yes”, indicate Max Dollar Limit: $250,000 $500,000 $1,000,000 $5,000,000 $10,000,000 >$25,000,000

Surety Name: Agent: Phone No.:

Supplier Questionnaire Page 2 of 10

F. Current Financial Ratios (Public companies only) Not Applicable Working Capital / Total Assets Retained Earnings / Total Assets

Earnings Before Interest and Taxes / Total Assets Market Value of Equity / Total Liabilities

Sales / Total Assets

G. Current Financial Ratios (Private companies only) Not Applicable (Current Assets-Current Liabilities) / Total Assets Retained Earnings / Total Assets

Earnings Before Interest and Taxes / Total Assets Book Value of Equity / Total Liabilities

Sales / Total Assets

3. PERSONNEL (For this location –State “Not Applicable” if the position does not exist at this location)

A. President: D. Engineering Manager:

B. Sales Manager: E. QA/QC Manager:

C. Production Manager: F. Field Support Mgr.

4. LABOR RELATIONS – SHOP FABRICATION Not Applicable

(List all crafts with which you have contracts and/or working agreements.

Craft Description Expiration Craft Description Expiration

A. C.

B. D.

5. PLANT OPERATIONS (For this facility only.) Not Applicable

A. Name/Address of This Facility (if different than for facility named at top of Page 1)

Name Address Phone

Facsimile

B. Number of Employees at This Facility: C. Plant in Operation Since:

D. Do you have a Quality Assurance/ program written to comply with the following:

Nuclear related activities – 10CFR 830, Subpart A and DOE Order O 414.1C, Contractor requirements document (Attachments 2, 3 and 4) as implemented through a quality assurance program compliant with ASME NQA-1-2008, with 2009 addenda.

Other: Specify_______________________________________________________________________________________________________

Non Nuclear related activities – 10 CFR 830, Subpart A and DOE Order O 414.1.C, Contractor requirements document (Attachments 2, 3 and 4) as implemented through a quality assurance program compliant with ISO 9001-2000

Other: Specify_______________________________________________________________________________________________________

Nuclear Yes No Other Program (Please Specify)

ISO 9001 Yes No Other Program (Please Specify)

For your Quality Assurance/Quality Control program(s), attach the Table of Contents from relevant manual(s) or, on additional pages, describe the method and level of compliance standard(s).

E. Export Capabilities PROVIDE EXPORT PACKING? YES NO FAMILIAR WITH EXPORT FORMALITIES? YES NO

F. Shipping Facilities RAIL SIDING TRUCK DOCKS WATER ACCESS

6. BIDDING INTEREST AND QUALIFICATIONS

A. Indicate your relevant experience and qualifications as described in the attached “Scope of Work”.

(Attach additional pages if necessary)

B. Indicate appropriate Contract/Purchase Order dollar range within which you prefer, and are currently able, to bid (i.e., $250,000 to $1,500,000)

$ to $

Supplier Questionnaire Page 3 of 10

C. Indicate Industry or Code Certifications (ASME, API, TEMA, Class of Code-Stamp, etc.)

CERTIFICATION EXPIRATION

DATE

CERTIFICATION EXPIRATION

DATE

1. 3.

2. 4.

D. Subcontract Services (List type of work normally subcontracted to others)

7. PROFESSIONAL LICENSES

Indicate the work category you are licensed for and the area(s) (Country/State/Province) in which you hold each. Attach additional pages, if necessary.

TYPE OF LICENSE LOCATION TYPE OF LICENSE LOCATION

1. 3.

2. 4.

8. ENGINEERING, ARCHITECTURAL AND OTHER TECHNICAL SERVICES CONTRACTORS / SPECIFIC DATA LISTINGS

A. List Personnel by Discipline (Number on Staff) – (State “Not Applicable” if the position does not exist )

Project Managers Electrical Engineers Specification Writer

Administrators Mechanical Engineers QA/QC Representatives

Estimators Structural Engineers Technical Writers

Architects Sanitary Engineers Draftsman

9. WORK HISTORY (Complete the attached Work History form per Appendix “B” and attach to this Questionnaire)

Also attach a list of permanent offices and any brochures that further describe your company's activities and capabilities. Please do not include product catalogs, inventory or price lists.

10. SAFETY & HEALTH EXPERIENCE (Complete the attached S&H form per Appendix “C” and attach to this Questionnaire)

11. SOCIAL AND ENVIRONMENT SUSTAINABILITY INITIATIVES (Check all that are employed through company initiatives)

Written environmental policy Products that have achieved "Cradle-to-Cradle" certification

Environmental performance integrated into corporate mission Policies to minimize fuel usage or maximize use of alternative energy

Social performance integrated into corporate mission Code of conduct holding sub-suppliers accountable for social and environmental performance

Annual report detailing its mission-related performance Initiatives to mitigate environmental impacts of finished products

12. GENERAL SERVICE ADMINISTRATION (GSA) CONTRACTS

A. Indicate if your organization has an active GSA Contract in place: YES NO

If “Yes”, identify the available GSA Contract(s) in place:

13. COMPLETED BY:

SIGNATURE TITLE

NAME DATE

APPENDICES:

APPENDIX “A” – GLOSSARY FOR SMALL, DISADVANTAGED, WOMEN-OWNED AND VETERAN ENTERPRISES

APPENDIX “B” – SUPPLIER WORK HISTORY

APPENDIX “C” – SUPPLIER SAFETY & HEALTH QUALIFICATION DATA

Supplier Questionnaire Page 4 of 10

APPENDIX A

GLOSSARY FOR SMALL, DISADVANTAGED, WOMEN-OWNED, AND VETERAN ENTERPRISES

Following are definitions of small business concerns, veteran-owned small business concerns, service-disabled veteran-owned small business concerns, HUB Zone small business concerns, minority business enterprises, small disadvantaged business concerns, women-owned small business concerns and labor surplus area business concerns (all called “Enterprises”) as defined by the U.S. Federal Acquisition Regulations:

Small-Business Concern Firms, including affiliates, that are independently owned and operated, not dominant in the field of operation in which they are bidding on Government contracts, and that qualify under the criteria and size standards for small businesses in 13 CFR Part 121 as determined by the SBA.

HUB Zone A historically underutilized business zone which is located within one or more qualified census tracts, qualified metropolitan counties, or lands within the external boundaries of an Indian reservation. HUBZone’s appear on the List of Qualified HUBZone Small Business Concerns maintained by the SBA.

Veteran-owned Small Business Concern

A small business concern – (1) not less than 51 percent of which is owned by one or more veterans (as defined at 38 U.S.C. 101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and (2) the management and daily business operations of which are controlled by one or more veterans.

Service-disabled Veteran-owned small Business Concern

(1) A small business concern – (i) not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and (ii) The management and daily business operations of which are controlled by one or more service-disabled or, in the case of a veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran. (2) Service-disabled veteran means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is service-connected, as defined in 38 U.S.C. 101(16).

Small Disadvantaged Business Concern (Minority)

An offeror that represents, as part of its offer, that it is a small business under the size standard applicable to the acquisition; and either – It self certifies as a small disadvantaged business concern consistent with 13 CFR part 124, subpart B; and (i) No material change in disadvantaged ownership and control has occurred since its certification; (ii) Where the concern is owned by one or more disadvantaged individuals upon whom 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 (iii) It is identified, on the date of its representation, as a self certified small disadvantaged business concern in the database maintained by the SBA (Central Contractor Registration (CCR)).

Women-Owned Small Business Concern

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 which is owned by one or more women; and 2) whose management and daily operations are controlled by one or more women.

Supplier Questionnaire Page 5 of 10

APPENDIX B

SUPPLIER WORK HISTORY

The Contractor submits the following statement as to its experience qualifications:

1. If stated in the cover letter, provide only experience in work similar in type and magnitude to the identified Work Scope.

2. All awarded contracts have been satisfactorily completed, except as follows (Name any and all exceptions and reasons therefore, attaching additional pages if necessary):

3. The following contracts are currently in progress or have been satisfactorily completed within the last three years or the period specified in the cover letter.

4. If you have not worked in the country specified in the cover letter within the period outlined in 3 above, add a separate page listing any work ever performed in that country. [Item

4 does not apply to U.S. work.]

5. Column Completion Notes:

a. Name and Address. For past work, include an asterisk (*) to identify any work that required nuclear quality assurance.

b. Work Description. Describe work scope and then indicate if prime or subcontract.

c. Start/Stop. Provide starting date and actual/forecast completion by mo/yr, e.g., Jan 93/Sep94.

d. Schedule and Budget. State either "over", "on", or "under" the contract schedule and budget.

Contractor/SUPPLIER WORK HISTORY

Customer Name, address, representative and phone no.

Work Description Location Value Start/Stop Schedule Budget

Supplier Questionnaire Page 6 of 10

List any awarded Contracts/Purchase Orders that were not satisfactorily completed: (List any and all exceptions and reasons therefore, attaching additional pages if necessary):

Supplier Questionnaire Page 7 of 10

APPENDIX C

SUPPLIER SAFETY AND HEALTH QUALIFICATION DATA

NAME OF COMPANY:

The above named Company submits the following Safety & Health qualification data:

1. SAFETY PERFORMANCE

1.1.a Provide a brief description of each fatality your firm has incurred in the three most recent years (add pages if required):

Year 20[ ] Year 20[ ] Year 20[ ]

1.1.b Provide a brief description of each fatality by any sub-tier subcontractor working under your direction has incurred in the three most recent years (add pages if required):

Year 20[ ] Year 20[ ] Year 20[ ]

1.2.a Provide the following information on your firm for the three most recent years:

20[ ] 20[ ] 20[ ]

a. Number of lost workday cases.

b. Number of restricted workday cases.

c. Number of cases with medical attention only.

d. Number of fatalities.

e. Number of hours worked.

1.2.b Provide the following information on any sub-tier subcontractor working under your direction for the three most recent years:

20[ ] 20[ ] 20[ ]

a. Number of lost workday cases.

b. Number of restricted workday cases.

c. Number of cases with medical attention only.

d. Number of fatalities.

e. Number of hours worked.

Supplier Questionnaire Page 8 of 10

2. Are accident reports and report summaries sent to the following and how often?

No Yes Monthly Quarterly Annually

a. Project Superintendent/Site Manager.

b. Vice President/Manager of Construction

c. Safety Director

d. President of Firm

3. Do you hold site safety meetings for field employees both Manual and Non-Manual?

Yes No

How Often?

Weekly Bi-Weekly Monthly Less Often, As needed

4. Do you conduct project safety inspections?

If yes, who conducts this inspection?

TITLE HOW OFTEN?

5. How are accident records and accident summaries kept? How often are they reported?

No Yes Monthly Annually

a. Accidents totaled for the entire company

b. Accidents totaled by project

(1) Subtotaled by superintendent

(2) Subtotaled by foreman

6. How are costs of individual accidents kept? How often are they reported?

No Yes Monthly Annually

a. Costs totaled for the entire company

b. Costs totaled by project

(1) Subtotaled by superintendent

(2) Subtotaled by foreman

7. List key Safety and Health personnel planned for this project. Please list name and expected position. When a project has not been specified, list key company personnel.

NAME POSITION PROPOSED / CURRENT PROJECT

Supplier Questionnaire Page 9 of 10

8. Do you have a written safety & health program?

9. Do you have an orientation program for new hires?

If yes, submit a copy for evaluation. Does it include instruction on the following?

Yes No Yes No

a. Head protection i. Fire protection

b. Eye protection j. First aid facilities

c. Hearing protection k. Emergency procedures

d. Respiratory protection l. Toxic substances

e. Safety belts and lifeline m. Trenching and excavation

f. Scaffolding n. Signs, barricades, flagging

g. Perimeter guarding o. Electrical safety

h. Housekeeping p. Rigging and crane safety

q. Road Safety (Driving)

10. Do you have a program for newly hired or promoted foremen?

If yes, submit a copy for evaluation. Does it include the following?

Yes No Yes No

a. Safe work practices e. First aid procedures

b. Safety supervision f. Accident investigation

c. Toolbox meetings g. Fire protection and prevention

d. Emergency procedures h. New worker orientation

11. Do you hold craft “toolbox” safety meetings?

How Often?

Weekly Bi-Weekly Monthly Less Often, As needed

12. Do you have a written Hazard Communication program?

If yes, how is it implemented on each project?

Supplier Questionnaire Page 10 of 10

13. Do you have/require Material Safety Data Sheets (M.S.D.S.) for material/chemicals/equipment?

If yes, explain field procedure for informing craft workers about potential hazards:

14. List three (3) client references that could verify the quality and management commitment of your safety program.

Name Address Phone No.

a.

b.

c.

Supplier Quality Questionnaire Page 1 of 3 Rev. 00, Dated November 14, 2011 170030-RFP, CP-28B, CP-28C, & CP-37 Procurement(s)

SUPPLIER QUALITY ASSURANCE QUESTIONNAIRE

Supplier or Sub-Tier Name:

Location/Address of Supplier facility (ies):

Product Description:

Does the manufacturer (distributors should obtain the assistance of the manufacturer to complete this) or contractor have a written Quality Assurance Program (QAP) Management System that is developed, implemented and maintained?

Yes No [Hint: Double-click on a box to default to checked, then cut and paste box for the rest of the answers.]

QA/QC MANUAL TITLE ________________________________

REVISION AND ISSUE DATE _________________

ATTACH A TABLE OF CONTENTS OR LISTING AND OTHER SUPPORTING INFORMATION TO THE QUESTIONNAIRE

QA/QC program table of contents and other supporting information attached? Yes No

IDENTIFY CODES AND/OR STANDARDS WITH WHICH YOUR QA/QC PROGRAM COMPLIES

Codes/Standards/Supplements Yes No Comments/Equivalent

1. DOE Order 414.1__ (identify version), Attachment 2

2. ASME NQA-1 ________ (identify year)

3. ASME Section _____ (Certificate No.___________)

4. ISO _______ (Certificate No. _____________)

5. What industry standards do you currently use to develop software/firmware?_________________________________________

6. Other Codes and Standards:__________________________________________________________________

DOE ORDER 414.1

Indicate whether your QA/QC Manual and/or implementing procedures address the following:

DOE ORDER 414.1 Requirement Yes No Procedure/Manual

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (1) - Program Establish an organizational structure, functional responsibilities, levels of authority, and interfaces for those managing, performing, and assessing work. Establish management processes, including planning, scheduling, and providing resources for work.

(An NQA-QA program will need to describe the management process for providing resources.)

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (2) - Personnel Training and Qualification Establish an organizational structure, functional responsibilities, levels of authority, and interfaces for those managing, performing, and assessing work. Establish management processes, including planning, scheduling, and providing resources for work.

Supplier Quality Questionnaire Page 2 of 3

Indicate whether your QA/QC Manual and/or implementing procedures address the following:

DOE ORDER 414.1 Requirement Yes No Procedure/Manual

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (3) - Quality Improvement Establish and implement processes to detect and prevent quality problems. Identify, control, and correct items, services, and processes that do not meet established requirements.

Identify the causes of problems and work to prevent them. Review item characteristics, process implementation, and other quality-related information to identify items, services, and processes needing improvement.

(The DOE Order extends the requirements of NQA-1 to all problems including all conditions [not limited to significant] adverse to quality and to all nonconforming items [not limited to generic]).

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (4) - Documents and Records Prepare, review, approve, issue, use, and revise documents to prescribe processes, specify requirements, or establish design. Specify, prepare, review, approve, and maintain records.

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (5) - Work Processes Perform work consistent with technical standards, administrative controls, and hazard controls adopted to meet regulatory or contract requirements using approved instructions, procedures, etc. Identify and control items to ensure their proper use. Maintain items to prevent their damage, loss, or deterioration. Calibrate and maintain equipment used for process monitoring or data collection.

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (6) - Design Design items and processes using sound engineering/scientific principles and appropriate standards. Incorporate applicable requirements and design bases in design work and design changes. Identify and control design interfaces. Verify/validate the adequacy of design products using individuals or groups other than those who performed the work.

Verify/validate work before approval and implementation of the design.

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (7) - Procurement Procure items and services that meet established requirements and perform as specified.

Evaluate and select prospective suppliers on the basis of specified criteria. Establish and implement processes to ensure that approved suppliers continue to provide acceptable items and services.

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (8) - Inspection and Acceptance Testing Inspect and test specified items, services, and processes using established acceptance and performance criteria. Calibrate and maintain equipment used for inspections and tests.

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (9) - Management Assessment Ensure that managers assess their management processes and identify and correct problems that hinder the organization from achieving its objectives.

DOE Order 414.1, Attachment 2, Quality Assurance Criterion (10) - Independent Assessment Plan and conduct independent assessments to measure item and service quality and the adequacy of work performance and to promote improvement. Establish sufficient authority and freedom from line management for independent assessment teams. Ensure that persons conducting independent assessments are technically qualified and knowledgeable in the areas to be assessed.

Supplier Quality Questionnaire Page 3 of 3

Indicate whether your QA/QC Manual and/or implementing procedures address the following:

DOE ORDER 414.1 Requirement Yes No Procedure/Manual

DOE Order 414.1, Attachment 2, Suspect/Counterfeit Items Preventing the introduction and use of S/CIs through engineering involvement, design, procurement, testing, inspection, maintenance, evaluation, disposition, reporting, trend analysis, and lessons learned work process controls. Training and informing managers, supervisors, and workers on S/CI processes and controls (including prevention, detection, and disposition of S/CIs). Identifying and disposing of S/CIs on site. Restricting S/CI use to only those items that have been found acceptable through engineering analysis and formal disposition process. Collecting, maintaining, disseminating, and using the most accurate, up-to-date information on S/CIs and associated suppliers using all available sources.

(An NQA-1 QA program will need to be expanded to address Suspect/Counterfeit items.)

General

Preparer_____________________ Signature_______________ Title________________________ Date_________

Do you understand the questions above? Yes No

If no, please provide your comments or suggestions. Also, provide any additional information relevant to your quality assurance program.