Appendix A1 - ESH Ts and Cs - Sept. 5, 2024.pdf

APPENDIX B-1 – ENVIRONMENT, SAFETY AND HEALTH (ESH)

REQUIREMENTS

September 5, 2024

Ames National Laboratory is operated by Iowa State University for the U.S. Department of Energy.

Clauses

1. ENVIRONMENT, SAFETY AND HEALTH (AMES LAB SEPT 2024)

2. CONDUCT OF EMPLOYEES (AMES LAB JUN 2023)

3. LAWS, REGULATIONS, AND DOE DIRECTIVES (DEC 2000) (DEVIATION MAY 2018) [SC-ALTERNATE SEP 2018]

ENVIRONMENT, SAFETY AND HEALTH (ESH) TERMS AND CONDITIONS FOR FIXED-PRICE CONSTRUCTION SERVICES

1. ENVIRONMENT, SAFETY AND HEALTH (AMES LAB SEPT 2024)

A. General Obligations of Subcontractor: The subcontractor and lower tier subcontractors shall take all reasonable precautions in the performance of the work under this subcontract to protect the environment and to minimize danger to life and property from all potential hazards and to protect the safety and health of Ames Laboratory, DOE, subcontractor employees and of members of the public. This includes compliance with all the applicable Environment, Safety and Health (ES&H) statutes, regulations, and requirements (including reporting requirements) of Ames National Laboratory, and DOE The safety of all persons employed by Subcontractor and its subcontractors on site shall be the primary responsibility of the subcontractor.

Applicable Regulations and Standards: The regulations and requirements applicable to this subcontract include but is not limited to Title 29 of the Code of Federal Regulations (CFR) including but not limited to parts 1910 and 1926, Title 40 CFR, Protection of Environment, 49 CFR, Transportation, and 10 CFR 851 Workers Safety and Health Program as well as other applicable state, federal, and local regulations for construction. The requirements also include the National Fire Protection Association (NFPA) 70E, “Standard for Electrical Safety in the Workplace.” The subcontractor is responsible for reviewing the requirements of these regulations and determining applicability with respect to subcontracted services provided to the Laboratory.

B. Noncompliance – Notification and Resolution: The Laboratory shall promptly notify the subcontractor, in writing, of any noncompliance with the provisions of this clause and the corrective action to be taken, which may include suspension of employees from the site. DOE, if appropriate, may issue a Notice of Violation (also known as a Notice of Safety Violation) which may be accompanied by a daily fine per citation as described in 10 CFR 851.5. After receipt of such Notice from the Laboratory or DOE, the subcontractor shall promptly investigate and evaluate any noncompliance with applicable ES&H requirements. The subcontractor shall investigate all Notice of Violations (also known as Notice of Safety Violations) received from the DOE or the Laboratory shall submit a written response to the Laboratory’s Technical Representative identified in the subcontract within 24 hours of receipt of the written notice from the Laboratory or DOE.

C. Indemnification: The subcontractor shall indemnify, defend and hold the Laboratory, Iowa State University, the Board of Regents – State of Iowa, and the State of Iowa harmless in the event DOE imposes a fine or penalty upon any of them pursuant to a violation of 10 CFR 851, and such fine or penalty arises out of or is connected with the performance of work under this contract by the subcontractor, its subcontractors, and/or their agents, representatives, servants or employees.

D. Stop Work Order: If the subcontractor fails to provide timely resolution of a noncompliance or if, at any time, the contractor’s acts or failure to act causes substantial harm or an imminent danger to the environment or health and safety of employees or the public, the Laboratory Procurement Official may issue an order stopping work in whole or in part. Additionally, all Laboratory employees, DOE employees, visitors, facility users, and contractors are empowered and obligated to stop any activity that they deem to pose an immediate danger to themselves; other employees, visitors, users, or subcontractors; the public;

or the environment. Any stop work order issued under this clause (or issued by the subcontractor to a lower tier subcontractor) shall be without prejudice to any other legal or contractual rights of the Government or Laboratory. In the event that the Laboratory Procurement Official issues a stop work order, an order authorizing the resumption of the work may be issued at the discretion of the Laboratory Procurement Official. The subcontractor shall not be entitled to an extension of time or additional fee or damages by reason of, or in connection with, any work stoppage ordered in accordance with this clause. In the event the Laboratory subsequently issues an order to the subcontractor to resume work, the subcontractor shall make no claim for an extension of time or for compensation for damages by reason of, or in connection with, such work stoppage.

E. Obligation to Communicate Safety Rules/ Written Certification: The subcontractor shall assure that all its employees and its subcontractors, including employees and lower tiered subcontractors hired subsequent to the commencement of on-site activities, are aware of and are following the subcontractor’s approved Environment, Safety and Health Program (EH&S Program) / Corporate Safety Plan (CSP) and approved Job Safety Analysis, as well as all regulations and rules provided in or alluded to in this clause, and shall sign the Laboratory Affirmation and Certification of Environment, Safety, and Health (ESH) requirements form certifying that these standards and rules have been communicated to all subcontractor employees and lower tier subcontractors.

F. Electrical Standards: The following electrical standards shall apply to this Agreement:

1. All electrical work performed at the Laboratory shall be executed in accordance with the 2017

National Electrical Code (NFPA 70) and 2018 or later Standard for Electrical Safety in the Workplace (NFPA 70E).

2. Subcontractor shall ensure each Subcontractor worker has received 2017 NFPA 70 and 2015 NFPA 70E code update training prior to any working performing work under this Agreement and maintain appropriate written documentation evidencing the training. Subcontractor shall provide copies of this documentation to the Laboratory Technical Representative and Laboratory Procurement Official immediately upon request. Such appropriate documentation includes a copy of the card issued to the worker or a certification issued to the worker from the authorized certification agency.

3. Activity Hazard Awareness submittals shall be written to the 2015 NFPA 70E updated standard. The Laboratory Procurement Official, the Laboratory Construction Management, Project Manager, Laboratory ES&H Representatives and Manager, Department of Energy, and the Ames Site Office, have the authority to stop any work activity which is deemed to be in imminent danger of causing a fatality or serious injury.

G. Reporting Requirements --Accidents, Incidents and Unauthorized Releases: All subcontractor and lower tier subcontractor accidents and unauthorized releases to the environment occurring at the Laboratory site must be reported immediately by dialing the Laboratory’s ES&H office at 515-294-2153. The accident or unauthorized release must be reported immediately to the Laboratory’s Construction Field Representative, Technical Representative or Project Manager. In addition, the subcontractor shall complete an Incident & Concerns Reporting Form (#10200.088) provided by the Laboratory and submit these to the Laboratory’s Construction Field Representative or Project Manager within 24 hours. The types of emergencies that must be reported include but are not limited to: fire, explosion, personnel injury/illness, security incident, vehicle accident, utility failure, possible contamination incident, or a toxic or flammable material spill or release.

H. Cooperation with Investigations: When an accident or unauthorized release occurs or when the subcontractor is issued a Notice of Safety Violation or a safety related Stop Work Order, the subcontractor shall ensure that any injured person and all witnesses to the incident complete a written Incident Description, if requested by the Laboratory. Subcontractor and lower tier subcontractor personnel must be made available upon request by the Laboratory for interviews or to assist in other investigation activities of the Laboratory and / or DOE.

I. Disposal of Waste and Other Materials: The subcontractor is not authorized to dispose of any material on-site unless written approvals are obtained from the Laboratory. This includes but is not limited to the use of garbage and recycling dumpsters, the sinks in buildings, and discharges to the sewer systems. Violations shall be immediately reported to the Laboratory’s Construction Field Representative.

J. Subcontractor Environment, Safety and Health (ES&H) Program and Implementation Plan:

1. Within ten (10) calendar days after award of the contract, the subcontractor shall submit its ES&H Program and Implementation Plan, also referred to as the Corporate Safety Plan (CSP) or the ES&H Program, which contains all programs that are relevant to the contractor’s business activities encompassing all applicable aspects of those regulations and requirements cited at the beginning of this Clause. The subcontractor is required to comply with the requirements set forth in its ES&H Program The subcontractor’s ES&H Program Plan must be signed by a responsible company official and approved by the Laboratory. At a minimum the Subcontractor’s ES&H Program Plan Laboratory officer shall include the provisions set forth below.

a. A statement of the subcontractor's ES&H policy.

b. The name and qualifications of the subcontractor's ES&H Representative and alternate and the names of competent persons for excavation, scaffolding, and confined space entry, etc., as required by the scope of work and/or work conditions.

c. The frequency of regular safety inspections to be conducted by the subcontractor.

d. The schedule of weekly toolbox meetings to be held with subcontractor employees to emphasize project safety and health, environmental protection, and fire prevention.

e. The locations at which the “Worker Protection for DOE Contractor Employees” poster will be posted on the subcontractor's bulletin board(s).

f. Implementation of all ES&H requirements listed in the contract, including the specifications.

g. Employee's right to file a concern with DOE.

h. Drug-Free Workplace requirements; and

i. Disciplinary policy and procedures.

2. The subcontractor's ES&H Plan will be reviewed for compliance with the requirements established above. (A guide for the development of the Plan was included in the solicitation documents.) If found to be in compliance, the Laboratory will approve the Plan. Otherwise, it will be returned to the contractor with comments on areas not in compliance. A pre-construction meeting will be held, and fieldwork will begin only after the Plan is approved. Any revisions subsequent to the initial approval shall be submitted and approved prior to the subcontractor's implementation of these revisions.

3. The subcontractor is responsible for reviewing and approving its subcontractors' ES&H Plan(s), which must comply with the requirements of this contract prior to commencement of work on site and ensuring compliance during performance of the work.

4. If the subcontractor has an approved ES&H Program Plan on file with the Laboratory, revisions necessary to address new work shall be submitted, reviewed, and approved prior to commencing new work.

K. Personal Protective Equipment (PPE): All subcontractor personnel performing work for the Laboratory, both on and off site, are responsible for complying with the “Employer Payment for Personal Protective Equipment –Final Rule” issued by OSHA. The Laboratory is not responsible for providing or paying for PPE required by or issued to subcontractor personnel.

L. Respirable Crystalline Silica (RCS) Exposure: The subcontractor shall comply with the program requirements found in 29 CFR 1926.1153 Respirable Crystalline Silica, if applicable. The subcontractor shall also comply with the Laboratory’s RCS Exposure Plan. Prior to initiation of work the subcontractor shall submit to the Laboratory the subcontractor’s Respirable Crystalline Silica Exposure Control Plan for tasks that will expose workers to RCS. Subcontractor shall ensure the Exposure Control Plan meets the requirements of 29 CFR 1926.1153(g) and shall outline the subcontractor’s plans for conducting exposure assessments and personal exposure monitoring. Subcontractor’s hazard analysis (HA ) should be consistent with the Laboratory’s Sample HA for Silica. Subcontractor shall comply with the silica Threshold Limit Value (TLV) in the 2016 edition of American Conference of Governmental Industrial Hygienists (ACGIH) Threshold Limit Values (TLV) and Biological Exposure Indices (BEI) booklet. The Subcontractor is required to collect and report worker exposure data using Laboratory Report Forms, if requested. The Subcontractor shall submit reports to the Laboratory monthly, or at subcontract completion if duration is less than one month. The Subcontractor is responsible for conducting initial baseline and ongoing exposure monitoring to ensure compliance with the TLV.

M. Exposure Monitoring: For each of its employees and each of its lower-tier subcontract employees that the subcontractor has identified to be at risk of potential exposure, the subcontractor shall notify the Laboratory of the potential exposure as part of the ES&H Program. Subcontractor will review this information before work under this subcontract can begin. Subcontractor, upon obtaining the results of any exposure monitoring, shall provide the data to the Laboratory.

N. Chemicals On-site. Subcontractor warrants that each chemical substance constituting or contained in items furnished under this subcontract is on the list of substances published by the Administrator of the Environmental Protection Agency pursuant to the Toxic Substances Control Act as amended. With each delivery, subcontractor shall provide the Laboratory any applicable Material Safety Data Sheet as required by the Occupational Safety and Health Act and applicable regulations including, without exception, 29 C.F.R. § 1910.1200.

https://www.osha.gov/laws-regs/interlinking/standards/1910.1200(e)(2) https://www.osha.gov/laws-regs/interlinking/standards/1910.1200(e)(2)

O. Hazardous Waste generation: Any hazardous waste, as defined by the Resource Conservation and Recovery Act (RCRA), generated by the subcontractor on site must be handled and disposed of by Laboratory personnel, specifically Environment, Safety, and Health (ESH). The Laboratory is a Small Quantity Generator (SQG) and ships hazardous waste every 180 days.

P. Job Environmental Protection Planning. To the extent required by the project specifications, a sedimentation and erosion control plan and a storm water pollution prevention plan shall be implemented by the subcontractor. The requirements are detailed in the project specifications. All modifications to these plans must be approved prior to implementation. If changes are made to the project work scope that affect these plans, the plans shall be updated by the subcontractor and approved by the Laboratory prior to the revised work scope taking place.

Q. Job Safety Analysis (JSA)

1. The subcontractor must submit within ten (10) calendar days after contract award and have approved, prior to the pre-construction meeting, a job safety analysis which details the specific hazards associated with each phase of the job as well as the mitigating actions the subcontractor shall take to reduce the risk of injury. Safety Data Sheets (SDSs) for all chemicals used or brought on-site are to be submitted as part of this analysis. Additionally, subcontractor must submit a hazard management statement (HMS) to the Laboratory for each hazardous task identified by the Laboratory or the subcontractor within ten (20) calendar day for review prior to commencing the task.

2. Specific procedures in the areas of fall protection, excavation, trenching, confined space, energized electrical work, asbestos abatement, and hoisting and rigging are required as job conditions dictate. Plans to address these activities must be available to the Laboratory prior to starting work. Names and qualifications of competent persons as defined by OSHA must be made available to the Laboratory upon request. Laboratory approval must be obtained prior to starting any job activity requiring an OSHA-defined competent person.

3. The Laboratory’ ES&H representative shall provide a Job Safety Orientation to all subcontractor and lower tier subcontractor employees prior to their starting work. The orientation, as a minimum, shall include a review of the JSA, all related permits and plans, and a review of the emergency numbers, egress routes and assembly points. Each subcontractor employee shall sign the Job Safety Analysis form to indicate having received the orientation. The signature list shall be available to the Laboratory at the end of the first workday and throughout the duration of the contract when signatures are added.

4. The Job Safety Analysis must be formally revised to incorporate changes as required by modifications in work scope during construction. The revisions must be approved prior to the activity taking place. All employees affected by any revisions to the approved JSA shall be notified and advised by the subcontractor consistent with D.3 (above).

R. Subcontractor ES&H Representative: Subcontractor shall designate and identify a competent member of their organization whose duty shall be the implementation of the subcontractor's ES&H Program on the Laboratory site.

1. The subcontractor shall submit the names of the ES&H Representative and alternates to the

Laboratory for approval prior to assignment of duties.

2. The ES&H Representative shall attend the pre-construction meeting and be present at all times work is being performed on site by the subcontractor or lower tier subcontractor. If the ES&H Representative must be off site, the subcontractor shall designate and notify the Laboratory of an alternate.

3. Duties of the subcontractor’s ES&H Representative include, but are not limited to: enforcing the Laboratory ES&H Program as well as Laboratory requirements, providing job specific safety orientation, prevention of accidents, investigation of incidents/accidents and Notice of Violation(s) from DOE or the Laboratory, making daily inspections, and reporting safety related information.

4. The ES&H Representative must have the authority to stop work and change the operation to correct any deficiencies or to eliminate any hazards observed.

5. The ES&H Representative shall have taken, as a minimum, training equivalent to the OSHA 10 hour training course in construction safety before field work at the s Laboratory begins. Documented evidence of attendance, signed by the OSHA certified instructor, shall be available to the Laboratory upon request.

S. Environment, Safety and Health Documentation: The Subcontractor shall, without additional expense to the Laboratory, be responsible for obtaining all necessary licenses. The subcontractor shall submit to the Laboratory the following documents, current certificates, etc. as required:

1. Equipment inspection documentation required by 29 CFR 1926, Subparts L and N, must be with the equipment and shall be available to the Laboratory prior to use. This includes, but is not limited to, personnel lifts, cranes, augers, suspended scaffolds, winches, spreader beams, and lifting devices.

2. If the subcontractor intends to administer first aid or Cardio Pulmonary Resuscitation (CPR), the contractor must comply with 29 CFR 1926. This list shall be part of the Construction Job Safety Analysis.

3. Safety Data Sheets (SDSs) must be maintained by the subcontractor at the job site. SDSs for all products and materials brought on site shall be posted on the contractor's bulletin board accessible to all subcontractor employees and the Laboratory. In addition, all MSDSs must be submitted as part of the Construction Job Safety Analysis.

4. Pressure vessel certificates per 29 CFR 1926.29 if applicable, are required and must be made available to the Laboratory if requested.

5. Documentation of employee training and/or proof of proficiency required by OSHA and this subcontract shall be available prior to commencement of work. Examples include CPR certifications, confined space training, respirator training, competent persons for excavations and scaffolding, NFPA 70E training for energized electrical work, appropriate asbestos abatement training, and fall protection training.

T. Variances: Requests for exceptions to Laboratory environment, health, and safety requirements, contractor's approved ES&H Program and Implementation Plan, subcontractor's Job Safety Analysis, or specified environmental plans must be submitted in writing to the Laboratory. Exceptions shall not be implemented without approval by the Laboratory.

U. ES&H Orientation and Site Access: All subcontractor personnel are to attend Subcontractor Safety

Orientation (CSO) before starting work at the site.

V. Equipment and Tool Inspection: All tools and equipment brought on site by subcontractor and lower tier subcontractors will be inspected by the subcontractor for compliance with OSHA and Laboratory requirements prior to use. Tools and equipment also will be randomly inspected throughout the duration of the subcontract. Items found out of compliance shall be removed immediately from service, tagged as out of service and taken off site by the contractor by the end of that work shift.

W. Laboratory Site Rules The following acts or conduct are prohibited at the Laboratory site and violations will result in disciplinary action.

1. Possession of weapons, firearms, ammunition, explosives or any other apparatus or material hazardous to the public or property.

2. Possession or illegal use of controlled substances or intoxicants or being under their influence.

3. Indecent behavior of any type.

4. Stealing, misuse or destruction of Laboratory or Government property.

5. Violation of site traffic and parking regulations.

6. Loitering outside of designated construction areas.

X. Laboratory Site ES&H Requirements: The following requirements must be included in the subcontractor's ES&H Program and Implementation Plan and implemented on the job site.

1. Permits: The Laboratory conducts work through the use of on-site permits. All required permits will be identified to the subcontractor and the Laboratory will arrange for all necessary permits. No work activity shall be performed without the required permits. Such permits include work entry, energized electrical work, open flame, confined space entry, digging, concrete coring, using powder actuated tools, and removing asbestos. The subcontractor shall comply with all restrictions or provisions listed on the permits. A permit to bring radioactive sources or x-ray equipment on site must be approved by the Laboratory in advance. All coring and penetrating equipment shall be properly grounded. For work outside of Ames Laboratory property or new building construction, the contractor shall have their own permitting system complying with all applicable regulations. These permits shall be made available to the Laboratory upon request.

2. Eye Protection: All employees shall wear safety glasses with rigid side shields at all times in the construction work area unless a higher level of eye protection is required for special hazards. All eye protection must meet the requirement of 29 CFR 1926.102. Safety glasses must be ANSI approved and be marked with the ANSI marking “Z87.1” designation.

3. Hard hats: Hard hats shall be worn at all times in the construction work area. Hard hats shall meet the ANSI Z89.1 standard as defined by 29 CFR 1926.100 and bear the “Z89-.1” designation. High voltage exposure work requires hard hats and shall meet ANSI Z89.2 standards and bear the “Z89.2” designation.

4. Dress code: All employees shall wear clothing suitable for the work and weather conditions. The minimum shall be short (1/4 length) sleeve shirt, long trousers, and hard sole leather work boots providing ankle protection. In addition, any work that presents a greater hazard to the feet or toes requires the use of steel toes or metatarsal guards. Canvas, tennis, or deck shoes are not permitted within the construction work area.

5. Circuit Interrupters: Ground fault circuit interrupters must be provided for electric hand tools and portable generators. The assured equipment grounding program is not an acceptable alternative.

6. Backup alarms: All vehicles and mobile powered equipment, except automobiles and pickup trucks, must have backup alarms.

7. Lifts: Personnel lifts must be equipped with audible motion alarms for movement in any direction. All lifts must be equipped with a safety foot pedal, or other type of interlock to restrict movement.

8. If required by the equipment manufacturer, rollover protection structures shall be provided. Any modifications to lifting and hoisting equipment must be approved by the equipment manufacture.

9. Emergency egress routes must be kept clear at all times, including doors, corridors, work site, and staging areas.

10. No alarms, safety devices, etc. will be disabled without Laboratory approval.

11. Lockout / tag-out: The following lockout/tag-out procedures shall be enforced: Laboratory personnel responsible for the equipment or utility will de-energize systems and initiate lockout/tag-out. Subcontractor personnel must be trained in lockout/tag-out prior to participating in lockout/tag-out of hazardous energy sources and working on lockout/tag-out systems or equipment. Subcontractors must verify that the energy source is de-energized before starting work on the system. Subcontractor employees must apply their lock and tags to energy control devices. For work outside of Ames Laboratory property or new building construction the contractor shall follow their own lockout/tagout program complying with applicable regulations.

12. Fire safety: Fire watches shall be maintained during and for a minimum of sixty minutes after burning, welding, or other fire or spark generating work is completed. An open flame permit must be issued by the Laboratory prior to any welding/cutting operations in Ames Laboratory buildings and it must be posted at the guard station in G34 TASF. Open burning, fire barrels, or other open-flame heating devices having exposed fuel below the flame are prohibited. Flash back preventers are required on oxygen/fuel hoses. Spark arresters shall be provided on all smoke stacks permitting live sparks or hot material to escape.

13. A “multi-purpose” Class A-B-C dry chemical fire extinguisher, ten pound (minimum) with a pressure gauge and current inspection (within last 12 months), shall be on the construction site within 100 feet of the work area. An additional extinguisher is required for each open flame operation.

14. Required Meetings: subcontractors shall hold and document the following meetings:

a. Bi-weekly “Tool Box” meeting (5-15 minutes) for all subcontractor and lower tier subcontractor employees at the site to discuss pertinent safety topics.

b. Meeting minutes or discussion topics must be posted on the subcontractor's bulletin board for a period of one month following the meeting. Minutes shall include the date, person holding the meeting, subject covered, and signatures of attendees.

15. Explosives: The use of explosives is prohibited.

16. Driver’s License: Vehicle operators must have an appropriate valid driver's license when operating vehicles on site.

17. Ladders: Portable metal ladders are prohibited.

18. Daily Inspections: The subcontractor's competent person performing the daily inspections required by OSHA, such as trench and excavation, ladder, and scaffold inspections, shall document each inspection. Such documentation shall be signed and include the date, time, and conditions found. Documentation shall be available for review by the Laboratory for the duration of the project.

19. Scaffolds: The subcontractor must assign a trained and qualified competent person for any approved scaffolding use.

20. Respiratory Protection If workers are required to wear respirators, a written respiratory protection program must be included in the contractor's ES&H Program and Implementation Plan.

A written respiratory protection program must be submitted for approval to the Laboratory prior to using a respiratory protection device, such as dust/mist masks, including those made of paper, half face air purifying respirators, full face air purifying respirators, or any atmosphere supplying respirator.

a. Medical certification records must be submitted as required by 29 CFR 1910 and 1926.

These records must contain the conclusions of a physician regarding the evaluation of the individual employee and consider the employee's physical and psychological ability to use respiratory protection equipment. The records must state whether the employee is able to wear air-purifying respirators, atmosphere supplying respirators, or both. The records must be signed by the evaluating physician and dated within one year of the date of the intended use of the respiratory protection equipment.

b. Training records must be submitted which document that the employee was trained in and has mastered the training subjects in 29 CFR 1910.134. The records must be signed by the trainee and instructor and dated within one year of the date of the intended use of the respiratory protection equipment.

c. Fit test records must be submitted that document the employee was fit tested by a competent fit tester with reliable testing equipment according to the testing requirement of 29 CFR 1910.134. The records must document which types (brands and part numbers or materials of construction and size of respirators) provided a satisfactory fit. The employee must be fitted with the respiratory equipment that will be used at the site. The records must be signed by the employee and the fit tester and dated within one year of the date of the intended use of the respiratory protection equipment.

Y. Disciplinary Program: (or equivalent approved by Ames Laboratory) The subcontractor is required to develop and implement a disciplinary program to control poor performance, misconduct, negligence and safety violations by both its employees and that of any of its subcontractors. This program must be reflected in the subcontractor's ES&H Program and Implementation Plan. The subcontractor should have a plan similar to the one described below.

The Laboratory will enforce the following Disciplinary Program, which includes disciplinary actions up to and including termination of the subcontract. The Laboratory will issue verbal warnings to contractors and subcontractors for safety infractions and will issue written notices of safety violations for more serious or continual infractions. The following progressive program will be implemented in sequential stages based on the quantity of documented safety violations. The previous one-year period from the current date will be utilized in determining the quantity of:

1. Stage 1 (Verbal Notification) When a subcontractor employee is observed to be involved in a safety infraction which is not imminent danger, the employee shall be told of the infraction and the subcontractor's ES&H representative will be notified of the incident.

2. Stage 2 (First Documented Safety Violation) After receiving verbal notification, if a contractor employee is observed to be involved in the same safety infraction, or an infraction which the employee should be cognizant of through his work qualifications, the subcontractor employee will receive a documented safety violation and the contractor's ES&H representative will receive a copy of the violation.

3. Stage 3 (Second Documented Safety Violation) Upon receipt of a second documented safety violation, notifications as stated in Stage 2 above shall be completed. In addition, the subcontractor shall contact the Laboratory to discuss the nature of the violations and the contractor's corrective actions needed to avoid repeated unsafe work practices and the consequences thereof.

4. Stage 4 (Third Documented Safety Violation) Upon receipt of a third documented safety violation the subcontractor employee's access to the Laboratory will be suspended for three working days.

The subcontractor's management will be notified of this suspension by the Laboratory's Procurement office. Prior to returning to work at the Laboratory, subcontractor management and the contractor employee may be required to attend a meeting with Laboratory representatives.

5. Stage 5 (Subsequent Safety Violations) A subsequent documented safety violation of any nature will be cause to suspend the subcontractor employee for two weeks. Additional safety violations will be cause for further suspension. Notification and conditions for granting return access to the Laboratory will be as described in Stage 4 above.

Imminent Danger

Imminent danger situations include, but are not limited to, working at heights above six feet without fall protection; not locking out, tagging and verifying control of hazardous energy before working; not complying with confined space entry requirements; and entering a trench, excavation or space without control measures in place. When a subcontractor employee is observed to be involved in a situation which places him/her or others in imminent danger of being seriously injured or killed, progressive discipline will not be enacted. The employee will instead be suspended from working on the Laboratory site for a period of six months. In addition, the contractor's ES&H representative may be suspended from working on the Laboratory site for three workdays. Conditions for granting return access to the Laboratory will be as described in Stage 4 above.

Subcontractor's Supervisor, Foreman, and/or ES&H Representatives The contractor's supervisor, foreman, and/or ES&H representative may receive a documented safety violation notice for failure to enforce safety program requirements. Any subcontractor's ES&H representative who receives a suspension of any kind will not be allowed to continue in the ES&H representative capacity until reinstated by the Laboratory. Any suspension invoked upon a subcontractor's supervisor, foreman, and/or ES&H representative will start on the day following the documented safety violation to allow the subcontractor time to arrange for a replacement, unless the violation involves imminent danger which warrants immediate removal from site. The subcontractor is responsible for submitting for approval the name and qualifications of a replacement ES&H representative before work will continue. Once an ES&H representative's status has been terminated due to continued suspension, it is at the discretion of the Laboratory to determine reinstatement.

Cost to the Laboratory If Laboratory disciplinary action results in suspension of subcontractor employee(s) including supervisors, foreman, and ES&H representative as discussed above, the subcontractor shall make no claim for an extension of time or for compensation for damages by reason of, or in connection with, this disciplinary action.

RFP List Removal and Disqualification A subcontractor's ES&H performance will be an important factor for future consideration for RFP lists and selection criteria. This will include a review by the Laboratory of the subcontractor's performance, misconduct, negligence, and safety violations by both its employees and that of any of its subcontractors. If it is determined by the Laboratory that the subcontractor has failed to implement its approved ES&H Program or the subcontractor has shown negligence in enforcing ES&H compliance on the Laboratory site, the subcontractor will be removed from the active bid list of subcontractors and shall not be allowed to bid work or work as a subcontractor on the Laboratory site for a period of time as determined by the Laboratory. For example, two suspensions in one year and a poor safety record are grounds for disqualification (i.e., removal from active list of subcontractors). The subcontractor may request reinstatement after a one-year period. The subcontractor’s request must be in writing and contain the Laboratory's Corporate Safety Plan.

Z. Drug-Free Workplace It is the Laboratory's policy to maintain a drug-free workplace. The unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited on the Laboratory site. Also, subcontractor employees are prohibited from consuming alcohol at the Laboratory.

subcontractor and subcontractor employees who violate this policy will be subject to disciplinary action, including discharge.

The subcontractor and all lower tier subcontractors shall abide by the Drug-Free Workplace Act of 1988.

Anyone performing work under this contract will 1) abide by the terms of this policy; and 2) notify their employer of any drug statute convictions for a violation occurring in the workplace no later than five (5) days after such convictions. The subcontractor will notify the Laboratory within ten (10) days following receipt of such information from an affected employee. Failure to provide such notification shall be reason for immediate discipline up to and including barring the employee site access.

AA. Lower-tier Subcontractors. Subcontractor shall include this clause in all of its subcontracts, at any tier, involving performance of this Agreement, except that lower tier subcontracts performing tasks determined to be low risk by Laboratory ES&H may be relieved of some of the obligations of this subclause.

Laboratory ES&H may make this determination upon request of either Subcontractor or a lower tier subcontractor. Such provision in the subcontracts shall not relieve Subcontractor or its obligation to assure compliance with the provisions of this clause for all aspects of the work. Subcontractor shall be responsible for identifying all potential hazards to their lower-tier subcontractors.

2. CONDUCT OF EMPLOYEES (AMES LAB JUN 2023)

The Subcontractor shall be responsible for maintaining satisfactory standards of employee competency, conduct, and integrity and shall be responsible for taking such disciplinary action with respect to its employees as may be necessary. The Subcontractor shall immediately remove from the work any employee of the Subcontractor who, in the sole discretion of the Laboratory, is found to be unsatisfactory in technical performance or personal conduct.

3. LAWS, REGULATIONS, AND DOE DIRECTIVES (DEC 2000) (DEVIATION MAY 2018) [SC-ALTERNATE SEP 2018]

(a) In performing work under this subcontract, the Contractor shall comply with the requirements of applicable

Federal, State, and local laws and regulations (including DOE regulations), unless relief has been granted in writing by the appropriate regulatory agency. A List of Applicable Laws and regulations (List A) may be appended to this contract for information purposes. Omission of any applicable law or regulation from List A does not affect the obligation of the Contractor to comply with such law or regulation pursuant to this paragraph.

(b) In performing work under this contract, the contractor shall comply with the requirements of those Department of Energy directives, or parts thereof, identified in the List of Applicable Directives (List B) appended to this contract [unless and until such time as an alternative procedure, standard, system of oversight, or assessment mechanism resulting from the process described in the Section H clause of this Contract, entitled, “H.16 Application of DOE Contractor Requirements Documents” ” is approved.] The contracting officer may, from time to time and at any time, revise List B by unilateral modification to the contract to add, modify, or delete specific requirements. Prior to revising List B, the contracting officer shall notify the contractor in writing of the Department's intent to revise List B and provide the contractor with the opportunity to assess the effect of the contractor's compliance with the revised list on contract cost and funding, technical performance, and schedule; and identify any potential inconsistencies between the revised list and the other terms and conditions of the contract. Within 30 days after receipt of the contracting officer's notice, the contractor shall advise the contracting officer in writing of the potential impact of the contractor's compliance with the revised list. Based on the information provided by the contractor and any other information available, the contracting officer shall decide whether to revise List B and so advise the contractor.

(c) The contractor shall procure all necessary permits or licenses required for the performance of work under this contract separately, or jointly with DOE as co-permittees, as appropriate.

(d) Regardless of the performer of the work, the contractor is responsible for compliance with the requirements of this clause. The contractor is responsible for flowing down the requirements of this clause to subcontracts at any tier to the extent necessary to ensure the contractor's compliance with the requirements.