NTP Reactor RFP_Binder_07Aug2020.pdf

INL FORM

PROC-1811

08/30/2010

BATTELLE ENERGY ALLIANCE, LLC

REQUEST FOR PROPOSAL NO. TBD

SUBJECT: Space Nuclear Propulsion – Reactor Preliminary Design

DATE: TBD

PROPOSAL DUE DATE: TBD

NAICS CODE: 541990 All Other Professional, Scientific and Technical Services

CONTRACT SPECIALIST: Steven Gihring

TELEPHONE NO.: (208) 526-7706

E-MAIL: steven.gihring@inl.gov

08/30/2010

Battelle Energy Alliance, LLC Request for Proposal No. TBD

1. INTRODUCTION

1.1. This is a Request for Proposal (RFP), prepared by Battelle Energy Alliance, LLC (BEA), a Management and Operating (M&O) contractor for the United States Department of Energy at the Idaho National Laboratory (INL). Under no circumstances shall the recipient of this RFP contact any individual within BEA (excluding contact with BEA Ombudsman, RFP Special Considerations paragraph), other than the Contract Specialist named herein, regarding this RFP.

1.2. Offerors are invited to submit their best technical and price proposals for performing the solicited activities, as found in draft Statement of Work entitled "Space Nuclear Propulsion – Reactor Preliminary Design." Activities will be procured utilizing a competitive, multi-phased acquisition effort. Refer to the draft SOW and the requirements sections of this document for details on what work will be performed during each phase.

1.3. This RFP will result in contract award for the preliminary design only (base scope). BEA anticipates making multiple awards for this work to those Offerors considered to be within the competitive range.

Upon completion of the base scope effort (estimated to require 12 months to complete), BEA and NASA will follow a source selection process to evaluate the deliverables received for the purpose of down-selecting for the optional scope efforts as described in the SOW. The down-selection process will follow a best value method, where the best combination of technical advantage and cost/price reasonableness will determine award selection.

1.4. BEA intends to award different pricing structures for the base scope effort and the optional efforts. The base scope effort will be firm, fixed-price type; Phases 2 and 3 will be cost-plus-fee type.

1.5. The Total Maximum Price (TMP) for individual contract awards supporting the base scope effort resulting from this RFP is $5,000,000.00. Offerors are required to identify in their proposals the scope and best competitive pricing for the maximum level of work to be performed while not exceeding the TMP. Offerors with a proposed price above the TMP may be considered non-responsive and therefore not eligible for award consideration.

2. BASIS FOR AWARD

2.1. Selection Method: Award of the contract will be made to Offerors meeting the Proposal Requirements and whose proposals provide the best value to BEA, where both technical capability and price reasonableness will be taken into consideration for award purposes. The best value determination will follow the sequence presented herein.

2.2. Teaming Arrangements: Teaming arrangements will be accepted by BEA in accordance with Paragraph 5.1.1 to this RFP. Under a teaming arrangement, the proposal shall be submitted by the prime subcontractor, as defined in 5.1.1. The prime subcontractor will be considered the Offeror under the RFP.

2.3. Mandatory Requirement: If an Offeror cannot meet, or does not address, compliance with the following mandatory (go/no-go) requirement, its proposal will be considered nonresponsive and will not be evaluated further.

2.3.1. Mandatory Requirement No. 1: The Offeror shall demonstrate that it or its teaming partner(s) has the experience and current capability to (1) handle High Assay Low Enriched Uranium (HALEU) and (2) apply for and successfully obtain a Nuclear Regulatory Commission (NRC) license required to perform optional scope described in the SOW.

2.3.2. Mandatory Requirement No. 2: The Offeror shall demonstrate that it or its teaming partner(s) has the experience and current capability to fabricate and test nuclear components.

08/30/2010

Battelle Energy Alliance, LLC Request for Proposal No. TBD

2.4. Selection Process:

2.4.1. BEA will utilize a source selection process under this RFP that will be conducted by a Source Evaluation Board (SEB). The SEB will employ the following process to make the selection.

Furthermore, the SEB will evaluate and rank submitted proposals strictly in accordance with the evaluation criteria described herein.

2.4.2. Upon completion of the technical and cost proposal evaluations, comparisons will be made that trade off the differences in technical capability and cost. BEA will continue to make comparisons until it is determined what proposal/offer represents the best value to BEA.

Offerors are advised that the technical evaluation factors, when combined, are weighted higher than those found within the cost scoring criteria.

2.5. Technical Evaluation Criteria: The following evaluation criteria will be used by the SEB to evaluate technical proposals. Offeror’s response to each of the stated evaluation criteria will be evaluated in terms of completeness and favorability to BEA. The Technical Evaluation Criteria are listed in descending order of importance, as described below. (For the sake of consistency and to simplify the proposal evaluation process, structure your table of contents and the body of your proposal to match the order of the evaluation criteria.)

2.5.1. Criterion No. 1 – TECHNICAL (TBD)

2.5.2. Criterion No. 2 – TECHNICAL (TBD)

2.5.3. Criterion No. 3 – PROGRAMMATIC (TBD)

2.6. Price Evaluation Criteria: Price Evaluation Criteria: Offerors shall separately provide their best, firm fixed-price for the base scope described on Form PROC-2120 "Proposal/Certification Form for RFP No. TBD." At this time, pricing is not required for the Option scopes described in the draft SOW.

Offerors with a proposed price above $5,000,000.00 may be considered non-responsive.

A business proposal assessment will be made following the technical evaluation that establishes the reasonableness of price proposed and the overall responsiveness of the proposal.

2.7. Right to Reject: BEA reserves the right to reject any and all proposals and to disregard minor irregularities in proposals received. Offerors are advised that, although negotiations may be conducted with the apparent successful Offeror or Offerors within the competitive range, award may be made without discussions on proposals received. Thus, proposals should be submitted initially on the most favorable terms of cost, technical compliance, and completeness.

2.8. Competitive Range: If BEA determines that revised proposals or best and final offers are necessary, BEA may solicit them from only those Offerors deemed by BEA (based upon evaluation of the current proposals) to have a reasonable chance to be selected for award, i.e., the competitive range.

3. PROPOSAL SUBMITTAL REQUIREMENTS

3.1. Proposal Due Date: The proposal is due by 4:00 p.m. local time on TBD. Proposal shall be electronically transmitted to BEA’s Contract Specialist, Steven Gihring, at steven.gihring@inl.gov.

3.2. Late Proposals: Proposals received after the designated date and time, i.e., late, may be returned without opening. A late proposal retained and opened will be considered in accordance with BEA's best interests. Extension of the proposal due date shall be at the sole discretion of BEA.

mailto:steven.gihring@inl.gov

08/30/2010

Battelle Energy Alliance, LLC Request for Proposal No. TBD

3.3. Proposal Packaging: Responses shall be submitted in two separate electronic transmittals (a technical proposal and a price proposal), to allow for technical evaluation of proposals without access to cost information.

3.4. The following must be completed and submitted to BEA (Note: Specified forms are provided with this

RFP):

3.4.1. Technical Proposals must include:

3.4.1.1. The entire technical proposal elements and submittals described in Paragraph 2.3.

Mandatory Requirement, and 2.5, Technical Evaluation Criteria. For the sake of consistency, Offeror’s proposal should be structured to match the order of the evaluation criteria.

3.4.1.2. Technical Proposal Format Requirements:

3.4.1.2.1. Proposals shall not be more than 25 pages in length;

3.4.1.2.2. On standard 8 ½ by 11 paper;

3.4.1.2.3. Double Spaced; and

3.4.1.2.4. No font smaller than size 11.

3.4.2. Price/Business Proposals must include:

3.4.2.1. Proposal/Certification, Form PROC-2120. In accordance with the requirements of the draft contract, Offeror's price shall include Idaho sales tax for materials specified under this RFP, if any. Offeror must be registered in the INL Vendor Portal via http://vendor.inl.gov to do work with INL. Offerors certifying as a small business must be registered in SAM prior to award via http://www.sam.gov.

3.4.2.2. Offeror’s proposed Work Breakdown Structure activities in support of the work to be performed.

3.4.2.3. Small Business Subcontracting Plan, Form PROC-1860 (required for awards >$700,000).

3.4.2.4. Response to Patent Terms and Notice of Right to Request Patent Waiver, Forms PROC- 6000 and 6001.

3.4.2.5. A statement of any and all patents which are owned by Offeror, or by organizations other than Offeror's organization of which it has knowledge, and which will be used in the performance of the proposed work. Further, this statement shall include complete identification of such patent rights and the ownership thereof. When royalties are included in the proposed cost, Offeror shall provide a report delineating all pertinent royalty information, e.g., amount and to whom it will be paid.

3.4.2.6. Identification of any data proposed to be furnished with limited rights, together with supporting justification in accordance with the principles of the article in the General Provisions entitled "Rights in Technical Data."

3.4.2.7. Fully executed Organizational Conflicts of Interest (OCI) Certification, Form PROC- 3204. Offeror must provide full disclosure of all previous current and planned contract activities where the Offeror is providing assistance on the same or similar matter to any other organization as described in PROC-3202, OCI Disclosure Statement Requirements.

http://www.sam.gov/

08/30/2010

Battelle Energy Alliance, LLC Request for Proposal No. TBD

Note: Consistent with FAR 9.505-2, any subcontractor who provides information for potential use in specifications or work statements for facilities, equipment or components shall identify the potential OCI, impacts of the OCI, and measures it has/will implement to avoid, neutralize, or mitigate the OCI. Failure to disclose OCI may preclude the non-disclosing subcontractor and any benefited affiliate from award in subsequent related procurements.

4. SOCIOECONOMIC CLASSIFICATION

4.1.1. Classification Code: This procurement and falls under North American Industry Classification

System (NAICS) Code: 541990 (Description: All Other Professional, Scientific and Technical Services, Size Standard: $15M). The stated size shall be the sole determining factor as to classification (small or large business) of an Offeror. It is the responsibility of the Offeror to certify its size in the INL vendor portal.

5. SPECIAL CONSIDERATIONS

5.1.1. Teaming Arrangements: Teaming arrangements are acceptable, but they must be in the form of a subcontractor/sub-tier contractor relationship. The Offeror may consider teaming arrangements when responding to the RFP requirements, including the technical evaluation criteria identified herein. Individual team member attributes may be evaluated to the technical criteria. The proposal shall be submitted to BEA from one subcontractor (the "prime" subcontractor) with the responsibilities and capabilities of the sub-tier subcontractors clearly stated in the proposal.

5.1.2. Ombudsman Program: Offeror is hereby notified that issues/concerns relative to this solicitation and/or any resulting contract award that are not resolved by the Contract Specialist identified herein shall be resolved through BEA's Ombudsman Program (Phone: (208) 526-4513). Any issue/concern shall be submitted, in writing, no later than 30 calendar days after contract award to be considered for review.

5.1.3. Voluntary Protection Program (VPP): The INL Voluntary Protection Program (VPP) has been established to promote and ensure a safe and healthful work site that is free of injury and illness.

The INL is a VPP Star Site and is committed to maintaining that designation. Offerors desiring to perform work at the INL must commit to participate in INL's VPP. This commitment will ensure a safer environment for everyone working at the INL. Questions pertaining to the VPP should be directed to the Contract Specialist named herein.

6. PROPOSAL INSTRUCTIONS

6.1.1. Interpretations and Exceptions:

6.1.1.1. Offeror shall submit its proposal on the basis of compliance with the RFP requirements.

Any interpretation of the requirements by the Offeror may be considered an exception and treated accordingly, i.e., establish the offer as non-responsive. Offeror must obtain, from BEA, concurrence/clarification regarding its interpretation to classify it (them) as compliant with, or exception to, the RFP requirement(s). Any exception must be documented as part of the proposal and priced as an alternative.

6.1.1.2. If Offeror takes exception to any RFP requirement(s), either technical or administrative, it shall be so stated in the proposal and formatted as follows:

6.1.1.2.1. Technical exceptions shall be numbered and attached to the technical proposal in a single document;

6.1.1.2.2. Administrative exceptions shall be numbered and attached to the cost proposal; and

08/30/2010

Battelle Energy Alliance, LLC Request for Proposal No. TBD

6.1.1.2.3. Each exception shall be clearly and completely defined.

6.1.2. Rights Reserved by BEA:

6.1.2.1. BEA reserves the right to procure all or any part of the work specified from any Offeror and reserves the right to accept or reject any proposal with or without prior discussion with the Offeror.

6.1.2.2. BEA reserves the right to conduct any necessary pre-award survey and analysis to evaluate an Offeror's capabilities to comply with the requirements of this RFP.

6.1.2.3. BEA reserves the right to conduct a cost audit to facilitate a determination of the reasonableness of proposed costs.

6.1.2.4. BEA reserves the right to contract with whomever it chooses, to re-solicit this requirement, to reject any and all proposals, and to disregard minor irregularities in proposals received. Offerors are advised that, although negotiations may be conducted with the apparent successful Offeror or Offerors within the competitive range, award may be made without discussions on proposals received. Thus, proposals should be submitted initially on the most favorable terms of cost, technical compliance, and completeness.

6.1.3. Proposal Validity Period: A proposal shall remain firm for 120 days after the proposal due date, unless otherwise specified by the Offeror.

6.1.4. Proprietary Information:

6.1.4.1. If you can provide a proposal without proprietary information, BEA prefers this approach.

If proprietary data/information is essential to an effective presentation of your proposal, please adhere to the following:

6.1.4.1.1. If it is possible to do so without destroying the effectiveness of your presentation, place all proprietary data in a separate document as an attachment or appendix to the appropriate proposal volume.

6.1.4.1.2. Each page containing proprietary data must be marked with the following legend, an alternative legend that BEA specifically agrees to accept, or a statement that the documents are submitted pursuant to a specifically identified written agreement between you and BEA defining the duties and obligations of the parties relative to the proprietary data: "This contains 'proprietary data', furnished under BEA Request for Proposal No. TBD which may be duplicated and used by BEA with the express limitations that the "proprietary data" may not be disclosed outside BEA and the U. S. Government." Contact the Contract Specialist if the legend furnished by BEA is not considered appropriate, must be revised, or should be replaced by a written agreement controlling submittal of proprietary data.

6.1.5. Discrepancies in the Request for Proposal: Should an Offeror find discrepancies in, or omissions from, the RFP, its attachments or related documents, or should Offeror be in doubt as to the meaning of any requirements, Offeror shall notify BEA and obtain correction or clarification prior to submitting its proposal.

Blank Page

PROC-2120

(Rev. 06/02/2014)

-1-

PROPOSAL/CERTIFICATION FORM FOR RFP NO. TBD

Date: _______________________________

From: ______________________________________________________________________________ Company

Street Address/P.O. Box

City/State/Zip Code

Contact

E-Mail Address

Phone: ______________________________

Fax: ______________________________

Response to Request for Proposal No. TBD

1. Price

No. Qty UOM Description Unit Price Extended Price

1 1 JB Services, Preliminary Design, Nuclear Thermal Propulsion Reactor System, in accordance with Statement of Work (SOW) - TBD

1.1. $__________________ Price (U.S. Dollars)

1.2. $__________________ Minus Prompt Payment Discount in Section 3, Cash Terms (U.S.

Dollars)

1.3. $__________________ Net Evaluated Price (U.S. Dollars)

NOTE: Proposed price must include sufficient detail to support a price evaluation, including comparison to an independent government cost estimate. Price proposal detail should include:

• Direct labor (hours and hourly labor rates by labor category, and the timeframe of performance).

• Indirect rates applied as a percentage of direct labor dollars. Indirect rates typically include fringe benefits and overhead (either applied separately or in combination).

• Direct materials (if applicable).

• Other direct costs (such as travel or subcontracted effort).

• General and administrative (G&A) expense and other indirect costs.

• Other Costs

• Profit/fee.

Rev. 06/02/2014

Battelle Energy Alliance, LLC RFP No. 0000

-2-

2. Completion:

2.1. Date (or days/weeks after receipt of Contract): ____________________________

3. Cash Terms:

3.1. (_) Prompt Payment Discount: ___% for Payment within 15 Days

3.2. (_) No Prompt Payment Discount: Net 30 Days

4. Vendor Registration:

4.1. INL Vendor Portal: Offeror certifies it [(_) is (_) is not] registered in the INL Vendor Portal via http://vendor.inl.gov. Registration and approval are required to do work with INL. For assistance in completing the vendor portal registration, contact INLVendorPortal@inl.gov or

(208) 526-1588.

4.2. System for Award Management (SAM): Offerors certifying as a small business must be registered in SAM prior to award. The Offeror shall register at no cost via http://www.sam.gov. To remain active, the Offeror is required to update or renew its registration annually. The Offeror certifies it [(_) is (_) is not] registered in SAM.

5. Proposal Expiration: (See Proposal Instructions)

5.1. (_) 90 Days (_) Other _____________________ (Date)

6. Business Type Certification:

6.1. (_) Corporation (_) Partnership (_) Individual/Sole Proprietorship (_) Non-resident foreign individual, foreign partnership, foreign corporation, or foreign non-profit entity

6.2. If Offeror certifies its business type to be "Individual", "Offeror" further certifies that Offeror is not a participant in a BEA Retirement Plan. If Offeror is participating in a BEA Retirement Plan, Offeror shall notify BEA prior to award.

6.3. State: ___________

7. Socioeconomic Classification: As currently defined by the Small Business Administration, Offeror certifies it is a:

7.1. (_) Small: Select the following business classification(s), as applicable:

7.1.1. (_) Native-American Business

7.1.2. (_) Woman-owned Business

7.1.3. (_) Disadvantaged [(_) 8(a) (_) non-8(a)] Business*

7.1.4. (_) 8a Business*

7.1.5. (_) HUB Zone Business (please attach a copy of the Small Business Administration letter)

7.1.6. (_) Veteran Owned [(_) Service Disabled]

7.1.7. *Note: Offeror may be requested to provide a copy of the Small Business Certification

Rev. 06/02/2014

Battelle Energy Alliance, LLC

-3-letter

7.2. (_) Large Business

7.3. (_) Sheltered workshop

7.4. (_) Non-profit Business

7.5. (_) Educational Institution

7.6. North American Industrial Classification System (NAICS) Code: 541990; Size Standard:

$15M; Description: All Other Professional, Scientific and Technical Services

8. Environmental Protection Agency (EPA): Offeror certifies that any facility to be utilized in the performance of the proposed Contract has not been listed on the Environmental Protection Agency (EPA) List of Violating Facilities. Offeror will promptly notify BEA, prior to award, of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that any facility it proposes to use for the performance of the Contract is under consideration to be on the EPA List of Violating Facilities. Offerors will include this certification, including this sentence, in every nonexempt lower-tier contract.

9. GSA List of Excluded Parties: The Offeror or its principals certify it does not appear on the GSA List of Parties Excluded from Federal Procurement or Nonprocurement Programs and is not proposed for debarment by the Federal Government. If Offeror is currently debarred or proposed for debarment, Offeror shall notify BEA prior to award.

10. Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions

10.1. The definitions and prohibitions contained in the clause, at FAR 52.203-12, Limitation on

Payments to Influence Certain Federal Transactions, included in this solicitation, are hereby incorporated by reference in the following paragraph of this certification.

10.2. Offeror, by signing the offer, hereby certifies that, as of December 23, 1989, to the best of his or her knowledge and belief:

10.2.1. No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement;

10.2.2. If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress on his or her behalf in connection with this solicitation, the offeror shall complete and submit, with its offer, OMB Standard Form LLL, Disclosure Lobbying Activities, to the Contracting Officer; and

10.2.3. He or she will include the language of this certification in all subcontract awards at any tier and require that all recipients of subcontract awards in excess of $150,000 shall certify and disclose accordingly.

Rev. 06/02/2014

Battelle Energy Alliance, LLC

-4-

10.3. Submission of this certification and disclosure is a prerequisite for making or entering into a subcontract imposed by Section 1352, Title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.

11. Certification of Filing Toxic Chemical Release Inventory Reporting Form

11.1. The following certification shall be completed by the offeror, who certifies for all of its covered facilities that will be used in the performance of this proposed contract. Under EPCRA section 313 and PPA section 6607, each facility within Standard Industrial Classification Code designation of major groups 20-39 as in effect on July 1, 1985 (and currently codified at 48 CFR 19.102) meeting the reporting requirements files a Form R. If none of the offeror's facilities that will be used in the performance of this proposed contract currently are subject to the Form R reporting requirements because they are not with Standard Industrial Classification (SIC) code designations of major groups 20-39 (as in effect on July 1, 1985), the offeror should check the box labeled No Facilities Subject to Filing. This would complete the offeror's certification requirements. Further, if all of the offeror's facilities that will be used in the performance of this proposed contract meet at least one of the three criteria in the paragraph labeled Not Subject to Filing below, the offeror should check the appropriate box under to certify to that effect. This also would complete the offeror's certification requirements. For offerors with more than one facility, however, there may be situations where some of its facilities are subject to the Form R filing and reporting requirements and others are exempt. In these cases, the offeror cannot certify that it is exempt under the paragraph labeled Not Subject to Filing below unless all of its covered facilities meet at least one of the criteria in the paragraph labeled Not Subject to Filing.

11.1.1. Certification to File: The Offeror, by signing this offer, expressly certifies and agrees that: If awarded a contract resulting from this offer, its covered facilities that will be used in the performance of this proposed contract will file (and continue to file for the life of the contract), unless otherwise exempt as stated below in paragraph (b)(1)-(3), a Toxic Chemical Release Inventory Form (Form R) as described in sections 313(a) and (g) of EPCRA, 42 U.S.C. 11023(a) and (g) and section 6607 of PPA, 42 U.S.C. 13106, for each toxic chemical manufactured, processed, or otherwise used by the offeror at a facility as described in section 313 of EPCRA, 42 U.S.C. 11023, and section 6607 of PPA, 42 U.S.C. 13106. The offeror further agrees and certifies that during the period of performance of this proposed contract, its covered facilities that will be used in the performance of this proposed contract will file a Form R annually on or before July 1 (for the prior calendar year) with the United States Environmental Protection Agency and each appropriate State, pursuant to section 313(a) and (g) of EPCRA; or

11.1.2. Not Subject to Filing: To the best of its knowledge and belief, none of its covered facilities that will be used in the performance of this proposed contract are currently subject to the filing and reporting requirements set forth in the paragraph labeled Certification to File above because such facilities (the offeror must check all of the appropriate boxes):

11.1.2.1. (__) Do not manufacture, process, or otherwise use any toxic chemicals listed under section 313(c) of EPCRA, 42 U.S.C. 11023(c); or

Rev. 06/02/2014

Battelle Energy Alliance, LLC

-5-

11.1.2.2. (__) Do not have 10 or more full-time employees as specified in section 313(b)(1)(A) of EPCRA, 42 U.S.C. 11023(b)(1)(A); or

11.1.2.3. (__) Do not exceed the reporting thresholds, including the alternative threshold established in 40 CFR 372.27, of toxic chemicals established under EPCRA, 42 U.S.C. 11023(f).

11.1.3. If awarded a contract resulting from this offer, and circumstances change during the life of the contract such that, for example, any of its facilities that will be used in the performance of this proposed contract become subject to E.O. 12969 because none of the exemptions in the Not Subject to Filing paragraph above any longer apply (or it no longer is subject to E.O. 12969 reporting and filing requirements) it will provide written notice to BEA, and if required, its facility(ies) to be used in the performance of this proposed contract will file and continue to file for the life of the contract a Form R as described in the Certification to File paragraph.

11.1.4. If awarded a contract resulting from this offer, it shall include a certification substantially the same as this certification in every competitive solicitation for a first tier subcontract expected to be greater than $100,000 where the subcontract is not for "commercial items" as that term is defined in Part 2 of the FAR.

11.1.5. (_) No Facilities Subject to Filing: It does not own or operate any facilities that will be used in the performance of this proposed contract having Standard Industrial Classification Code designations of major groups 20 through 39 or their corresponding North American Industry Classification System (NAICS) sectors 31 through 33, (and currently contained in FAR section 19.102) consistent with EPCRA section 313(b)(1). If, however, the Offeror is awarded the contract, and the status of any of its facilities used in the performance of the contract changes during the life of the contract, it will provide written notice to BEA, and if required, complete this certification. Further, the Offeror will include a certification substantially the same as this certification in all competitive solicitations for first-tier subcontracts for non-commercial items expected to exceed $100,000.

11.1.6. This certification concerns a matter within the jurisdiction of an agency of the United States and that making a false, fictitious, or fraudulent certification may result in criminal prosecution under Title 18, United States Code, Section 1001, and/or administrative action under the Program Fraud Civil Remedies Act, Title 31, United States Code, Sections 3801-3812. Accordingly, the offeror expressly certifies the truthfulness and accuracy of the contents of this certification.

12. Addendum(a) (if applicable): The undersigned acknowledges the receipt of the following addendum(a): __________________

Offeror's Signature: _______________________________________________________________

Offeror's Printed Name: _______________________________________________________________

PROC-1860 PAGE 1 of 7 (Rev. 9/19)

SMALL BUSINESS

SUBCONTRACTING PLAN

Note: Fields will expand to accommodate information being entered.

Date:

Subcontractor:

Address:

Subcontractor Point-of-Contact: Phone: Email:

Subcontract Number: Subcontract value: $ Subcontract Period of Performance Start: End:

Description of Item /Service _______________________________________________________________

Type of Plan [see definitions in paragraph (a) of the Small Business Subcontracting Plan clause.] _______ Individual Plan _______ Master Plan _______ Commercial Plan

The following, together with any attachments, is hereby submitted as a Subcontracting Plan to satisfy the applicable requirements of Public Law 95-507, and the Small Business Subcontracting Plan provisions of the subcontract identified above.

I. Subcontractor Goals

Total estimated dollars to be subcontracted (lower-tier subcontracting in direct execution of this subcontract)

The following goals (expressed in terms of a percentage of total planned dollars and the corresponding dollar values) will be applicable for this Subcontracting Plan. Goals must be established for each category.

If no subcontracting opportunities exist within a specific category or sources are not available, justification is required to substantiate such conclusion.

Should circumstances arise that impact the approved subcontracting plan, immediate notification shall be provided to the following BEA employees:

INL Procurement Agent Tel. No.

Small Business Officer Stacey Francis Tel. No. 208-526-8564

PROC-1860 PAGE 2 of 7

BUSINESS CLASSIFICATION AMOUNT PERCENTAGE

Small Business (SB) (including ANC and Indian Tribes) $

Small Disadvantaged Business (SDB) $

Woman Owned Small Business (WOB) $

HUBZone Small Business (HUB) $

Veteran-Owned Small Business $

Service-Disabled Veteran-Owned Small Business $

Large Business $

TOTAL SUBCONTRACT AMOUNT $

II. Methods Used to Develop Goals

The following methods were used in developing subcontract goals:

Examples:

• The work scope for this subcontract was reviewed to establish potential materials and services which could be subcontracted.

• From the total estimate of potential subcontracted items, a list of those items which were candidates for small businesses was established.

• From the total estimate of potential subcontracted items to small business, a list of those items which could be subcontracted to small business, small disadvantaged businesses, woman-owned businesses and HUBZone certified small businesses, veteran-owned small businesses, service-disabled veteran-owned small businesses was established.

1.

2.

3.

The principal products and/or services to be subcontracted under the subcontract and the type of businesses utilized are shown on Attachment 1. Mandatory

III. Administration of the Subcontracting Program

The following individual will administer the subcontracting program:

Name:

Address:

E-mail:

Telephone:

Alternate Contact

PROC-1860 PAGE 3 of 7

Name:

Telephone:

E-mail:

The individual's specific responsibility for review, monitoring and execution of the Plan, include, but are not limited to:

A. Oversees compliance with the content of this plan.

B. Ensures that all subcontracts placed contain the latest provisions regarding small business and small disadvantaged business subcontracting and that the requirements of the General Provisions as implemented by this plan are being fulfilled by the subcontractors.

C. Performs periodic reviews of subtier subcontracting plans to measure progress of goals and monitors attainment of goals under this subcontracting plan.

D. Submits Subcontracting Report for Individual Contracts and any other periodic reports as requested.

E. Participates in procuring, planning and selection of potential sources to ensure that small business and small disadvantaged business concerns are offered every opportunity to participate in the program.

F. Coordinates and participates with the Small Business Administration, Prime Contractor small business officers, and other groups to locate capable firms.

G. Ensures inclusion of small business, small disadvantaged business, woman-owned, HUBZone, veteran-owned, service-disabled veteran-owned small business concerns in all solicitations.

H. Removes statements, clauses, etc. from solicitations which may tend to prohibit small business, small disadvantaged business, woman-owned business, and HUBZone, veteran-owned, service-disabled veteran-owned small business concerns participation.

I. Maintains records of small business, small disadvantaged business, woman-owned business, and HUBZone, veteran-owned, service-disabled veteran-owned small business concerns' programs.

J. Provides records and reports and fully cooperates in all studies and surveys as may be required by the Prime Contractor or Governmental regulations.

K. Provides a notice to subcontractors and remedies concerning penalties for misrepresentation of business status as small business or small disadvantaged business for the purpose of obtaining a subcontract that is to be included as part or all of a goal contained in the Subcontractor's Subcontracting Plan.

IV. Outreach Efforts

The following outreach efforts will be taken to ensure that small and small disadvantaged business concerns will have an equitable opportunity to compete for subcontracts. Efforts will be made as follows as a minimum:

A. Distribution of company policies and procedures which implement the requirements of the General Provisions.

B. Assignment by name of specific individuals to carry out the policies and procedures.

C. Periodic review of progress made with regard to goals established by individual subcontracting plans D. Training and motivation of personnel to ensure their complete support of the plan.

E. Provide technical and management assistance to small business and small disadvantaged business concerns to ensure complete understanding of requirements.

PROC-1860 PAGE 4 of 7

F. Provide clear-cut and realistic technical specifications and delivery schedules to encourage maximum participation.

G. Consideration of all available small business, small disadvantaged business, woman-owned business, and HUBZone, veteran-owned, service-disabled veteran-owned small business concerns during the make/buy process.

H. Allowing special consideration to small and small disadvantaged business firms by preparing solicitations, allowing adequate time for preparation of bids, arranging specifications and delivery schedules to facilitate the participation of such firms.

I. Where subcontracting opportunities exist, the following publications/sources will be used to search for capable firms:

Examples:

• System for Awards Management (SAM.gov)

• Minority Business Enterprise published by the Defense Logistics Agency

• Existing Company source lists:

1.

2.

3.

J. An outreach effort will be made to solicit the assistance of local, state, and federal offices, trade and manufacturing associations and labor organizations in identifying qualified firms.

K. Counsels and discusses subcontracting opportunities with representatives of small and small disadvantaged business firms.

L. Every effort will be made by (name) to attend small, small disadvantaged and woman-owned business, veteran-owned and service-disabled veteran-owned procurement conferences, workshops, and trade fairs that are available in their specific region during the term of this subcontract. Such as:

1.

2.

V. Lower-Tier Subcontracting

The Subcontractor agrees that the clause in the subcontract, "Utilization of Small Business Concerns and Small Disadvantaged Business Concerns" will be included in all subcontracts which offer further subcontracting opportunities, and that all subcontractors except small business concerns who receive subcontracts in excess of $700,000 ($1,500,000 for construction) will include clause entitled "Small Business and Small Disadvantaged Business Subcontracting Plan", FAR 52.219-9, SMALL BUSINESS SUBCONTRACTING PLAN (OCT 2015) and those subcontractors will be required to adopt and comply with subcontracting plans similar to this one. Such plans will be reviewed by comparing them with the provisions of Public Law 95-507, and assuring that all minimum requirements of an acceptable subcontracting plan have been satisfied. The acceptability of percentage goals shall be determined on a case-by-case basis depending on the supplies/services involved, the availability of potential small and small disadvantaged subcontracts, and prior experience. Once approved and implemented, plans will be monitored through the submission of periodic reports, and/or, as time and availability of funds permit, periodic visits to subcontractor's facilities to review applicable records and subcontracting program progress.

VI. Indirect Costs

PROC-1860 PAGE 5 of 7

Indirect costs were were not included when establishing subcontracting goals. If indirect costs were included, then explain below by describing the method used to determine the proportionate share of indirect costs to be shared with (1) small business concerns and (2) small disadvantaged business concerns.

Explanation:

VII. Surveys

The Subcontractor agrees to fully cooperate in any request for information, studies or surveys that may be required by the customer or Government regulations.

VIII. Reporting

The Subcontractor shall submit small business subcontracting achievement data to the Electronic

Subcontracting Reporting System or eSRS at http://www.esrs.gov/ on a semi-annual basis and upon contract completion in accordance with the schedule below.

October 1 through March 31 Due by April 30 April 1 through September 30 Due by October 30

Final Report due 30 days after expiration of contract or current budget period. Subcontractor will ensure that its lower-tier subcontractors agree to report in accordance with the instructions above.

Battelle Energy Alliance information needed for report:

DUNS number: 152020629 Contract Number: DE-AC07-05ID14517 eSRS Approver: Stacey Francis, 208-526-8564, eSRS_Reporting@inl.gov

IX. Records to Document Compliance

The Subcontractor will maintain the records to demonstrate procedures have been adopted to comply with the requirements and goals in this plan, including establishing source lists and a description of its efforts to locate business concerns and to fulfill the goals contained within this Subcontracting Plan.

The records shall include at least the following:

A. Source lists, guides, and other data that identify small, small disadvantaged, woman-owned, and HUBZone, veteran-owned and service-disabled veteran-owned small business concerns.

B. Correspondence and invitations to small, small disadvantaged, woman-owned, and

HUBZone, veteran-owned and service-disabled veteran-owned small business firm to submit bids.

C. Organizations contacted in an attempt to locate sources that are small, small disadvantaged, woman-owned, and HUBZone, veteran-owned and service-disabled veteran-owned small business concerns.

D. Records on each lower-tier subcontract solicitation resulting in an award of more than $150,000, indicating – http://www.esrs.gov/

PROC-1860 PAGE 6 of 7

� whether SB concerns were solicited and if not, why not;

� whether HUBZone small business concerns were solicited and, if not, why not;

� whether SDB concerns were solicited and if not, why not;

� whether WOSB concerns were solicited and if not, why not � whether VOSB concerns were solicited and, if not, why not;

� whether SDVOSB concerns were solicited and, if not, why not; and � if applicable, the reason award was not made to a SB concern.

E. Records of any outreach efforts to contact (1) trade associations; (2) business development organizations; and (3) conferences and trade fairs to locate small, small disadvantaged, and HUBZone business sources.

F. Records of internal guidance and encouragement provided to buyers through (1) workshops, seminars, training, etc., and (2) monitoring performance to evaluate compliance with the program's requirements.

G. On a subcontract-by-subcontract basis, records to support award data submitted by the offeror to the prime contractor, including the name, address and business size of each lower-tier subcontractor.

Printed Name:

Signature:

Title:

Plan Accepted By:

Signature:

BEA Small Business Program Manager

PROC-1860 PAGE 7 of 7

ATTACHMENT 1 TO SUBCONTRACTING PLAN

Subcontract Number

SELECTED AND PROBABLE SUBCONTRACT/PROCUREMENT SOURCES

DESCRIPTION

SUPPLIER

SOURCE

ESTIMATED

DOLLARS

SB

SDB

WOB

HUB

VO

SDVO

LG

Signature Date

PROC-6000

(Rev. 02-03)

Patent Terms And Notice Of Right To Request Patent Waiver

1. Under the provisions of P.L. 96-517 the patent terms required for contracts and subcontracts with offerors in certain categories are as set forth in DOE Procurement Regulations. In order to determine the patent provisions applicable to this subcontract, please check the applicable box:

Offeror is:

( ) (a) A small business firm as defined in Section 2 of P.L. 85-536 (15 U.S.C. 632) and implementing regulations of the Administrator of the Small Business Administration;

( ) (b) A university or other institution of higher education or an organization of the type described in Section 501(c)(3) of the Internal Revenue Code of 1954 [26 U.S.C. 501(c)] and exempt from taxation under Section 501(a) of the Internal Revenue Code [26 O.S.C. 501(a)]; or

( ) (c) A nonprofit scientific or educational organization qualified under a State nonprofit organization statute (identify statute)

( ) (d) None of the above.

2. Offerors who have checked (d) above have the right to request, in advance of or within 30 days after execution of the subcontract, in accordance with applicable statutes and 10 CFR 784-4, a waiver of all or any part of the rights of the United States in Subject Inventions. If the offeror intends to request a waiver to such invention rights pursuant to 10 CFR 784-4, please indicate:

( ) I intend to request an advance waiver in accordance with 10 CFR 784-4.

( ) I do not intend to request an advance waiver.

This is submitted with the intention that the Department of Energy rely on my representation that is a member of the category indicated.

(organization name)

(Organization Name) (Date Submitted to Contractor)

(Signature)

(Name and Title of Authorized Representative)

PROC-6001 (DOE F 2050.10)

(Rev. 02-05)

U. S. DEPARTMENT OF ENERGY

PATENT INFORMATION SHEET

To: Deputy Chief Counsel, Intellectual Property Law Division U. S. Department of Energy Chicago Operations Office 9800 South Case Ave.

Argonne, IL 60439

1. Contract No. DE-AC07-05ID14517 Performance period:

Subcontract No.: Amount Obligated:

Terms and Conditions Incorporated:

2. Contractor: Subcontractor:

Battelle Energy Alliance, LLC P. O. Box 1625 Idaho Falls, ID 83415-1303

3. Contractor's representative:

U. S. DOE organization Idaho Operations Office Mr. Michael K. Barrett U. S. DOE contracting officer Procurement Services Division 850 Energy Drive, MS 1221 U. S. DOE administrative representative Idaho Falls, ID 83401-1563

4. Location of Work:

Type of work:

Description of work:

5. Patent and Rights in Data Provisions (full text of the provisions used): Attached

6. Waiver Request: Not Requested

Type:

Status:

THIS PATENT INFORMATION SHEET --

Prepared on , 200 , by

Sent to local patent group on , 200 , by

Dispatched __________________________, 200 , by ____________________________________

Assigned to: _________________________, 200 , by ____________________________________

PROC-3202

(Rev. 10-99)

DISCLOSURE STATEMENT REQUIREMENTS

REGARDING

ORGANIZATIONAL CONFLICTS OF INTEREST

Pursuant to DEAR 909.5, it is DOE policy to avoid situations which place an Offeror in a position where its judgment may be biased because of any past, present, or currently planned interest, financial or otherwise, the Offeror may have which related to the work to be performed pursuant to this solicitation or where the Offeror's performance of such work may provide it with an unfair competitive advantage. (As used herein, "Offeror" means the proposer or any of its affiliates or proposed consultants or subcontractors of any tier.) Therefore:

1. The Offeror shall provide a statement which describes in a concise manner all relevant facts concerning any past, present or currently planned interest (financial, contractual, organizational, or otherwise) relating to the work to be performed hereunder and bearing on whether the Offeror has a possible organizational conflict of interest with respect to (a) being able to render impartial, technically sound, and objective assistance or advice, or (b) being given an unfair competitive advantage. The Offeror may also provide relevant facts that show how its organizational structure and/or management systems limit its knowledge of possible organizational conflicts of interest relating to other divisions or sections of the organization and how that structure or system would avoid or mitigate such organizational conflict.

2. In the absence of any relevant interests referred to above, the Offeror shall submit a statement certifying that to its best knowledge and belief no such facts exist relevant to possible organizational conflicts of interest.

Proposed consultants and subcontractors may submit such information directly to the contracting officer.

3. The Contractor/DOE will review the statement submitted and may require additional relevant information from the Offeror. All such information, and any other relevant information known to the Contractor/DOE, will be used to determine whether an award to the Offeror may create an organizational conflict of interest.

If such organizational conflict of interest is found to exist, the Contractor/DOE may (a) impose appropriate conditions which avoid such conflict, (b) disqualify the Offeror, or (c) determine that it is otherwise in the best interests of the United States to contract with the Offeror by including appropriate conditions mitigating such conflict in the contract awarded.

4. The refusal to provide the disclosure or representation and any additional information as required shall result in disqualification of the Offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the Offeror for award, or if such nondisclosure or misrepresentation is discovered after award the resulting contract may be terminated for default. The Offeror may also be disqualified from subsequent related Contractor/DOE contracts and be subject to such other remedial action as may be permitted or provided by law or in the resulting contract. The attention of the Offeror in complying with this provision is directed to 18 U.S.C. 1001.

5. Depending on the nature of the contract activities, the Offeror may, because of possible organizational conflicts of interest, propose to exclude specific kinds of work from the statement of work contained in a solicitation for a negotiated procurement, unless the solicitation specifically prohibits such exclusion. Any such proposed exclusion by an Offeror shall be considered by the Contractor/DOE in the evaluation of proposals, and if the Contractor/DOE considers the proposed excluded work to be an essential or integral part of the required work, the proposal may be rejected as unacceptable.

6. No award shall be made until the disclosure or representation has been evaluated by the Contractor/DOE.

Failure to provide the disclosure or representation will be deemed to be a minor informality (FPR Sec. 1, 2.405), and the Offeror shall be required to promptly correct the omission.

PROC-3204

(Rev. 08-16)

ORGANIZATIONAL CONFLICTS OF INTEREST CERTIFICATION

Subject:

Prime Contractor’s Subcontract No.

Certification:

hereby certifies that to the best of (individual or firm name) (my or its) knowledge and belief, no facts exist relevant to possible Organizational Conflict of Interest (OCI).

Subcontractor shall immediately notify Contractor should circumstances evolve or change as to affect the validity of this certification.

Signature

Printed Name

Title

Date

What is OCI? Although situations may otherwise exist, there are two primary instances that constitute an

OCI:

I.