PART IV REPRESENTATIONS AND INSTRUCTIONS. Section K Representations, Certifications, and Other Statements of Offerors

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1 PART IV REPRESENTATIONS AND INSTRUCTIONS Section K Representations, Certifications, and Other Statements of Offerors Section L Instructions, Conditions, and Notices to Offerors L.1 Formal Communications L.2 Explanation to Prospective Offerors L.3 Amendments to Solicitations L.4 Period of Acceptance L.5 NAICS Code and Small Business Size Standard L.6 Preparation of Offers L.7 Proposal Format and Contents L.8 Financial Statement L.9 Small Business Subcontracting Plan L.10 Required Price Proposal Submittals L.11 Technical Proposal L.12 Submission of Proposals L.13 Failure to Submit an Offer L.14 Late Submissions, Modifications, and Withdrawals of Proposals L.15 Opening of Proposals L.16 Protests L.17 Disclaimer L.18 Special Notes L.19 Final Revised Proposals L.20 Teaming Subcontractors of Fluor-B&W Portsmouth LLC L.21 Oral Presentations L.22 Pre-Proposal Meeting/Teleconference L.23 Facilities Capital Cost of Money L.24 Restriction on Disclosure and Use of Data L.25 Proprietary Rights L Facility Clearance Section M Evaluation Criteria for Award M.1 Introduction M.2 Basis for Award Best Value M.3 Evaluation of Proposals Part I (Best Value) M.4 Evaluation of Proposals Part II (Best Value Selection Process) M.5 Price Evaluation M.6 Contract Award M.7 Evaluation of Options Rev. 2, 11/25/2014

2 PART IV REPRESENTATIONS AND INSTRUCTIONS SECTION L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS L.1 FORMAL COMMUNICATIONS Formal communications such as Request for Clarification and/or information concerning this solicitation should be submitted either electronically or in writing to the address below: Fluor-B&W Portsmouth, LLC P.O. Box 548 Piketon, Ohio Attn: Beryl G. Myers, Contract Administrator beryl.myers@fbports.com L.2 EXPLANATION TO PROSPECTIVE OFFERORS Any explanation desired by prospective Offerors regarding the meaning or interpretation of the solicitation, specifications, etc. shall be transmitted in writing. Any information concerning this solicitation or request for clarification will not be provided in response to telephone calls as oral explanations or instructions given to an Offeror prior to the award of the proposed contract will not be binding. Fluor-B&W Portsmouth LLC will address request received electronically or by facsimile that is sent to the attention of Beryl Myers, beryl.myers@fbports.com. All questions must be confirmed in writing to the above address. The format of the questions shall follow the sequential numbering of this solicitation's sections and paragraphs and shall state the major paragraph heading. A Pre-Proposal Conference Call will be held on or about December 4, Conference Call details (including a Conference Call number) will be proved by separate communication. Questions must be submitted in writing (via ) and received December 12, 2014, by 5PM EDT. L.3 AMENDMENTS TO SOLICITATIONS If this solicitation is amended, all terms and conditions that are not amended remain unchanged. Offerors shall acknowledge receipt of any amendment to this solicitation by the date and time specified in the amendments. L.4 PERIOD OF ACCEPTANCE Proposals in response to this solicitation shall be valid for a minimum of 90 days. L.5 NAICS CODE AND SMALL BUSINESS SIZE STANDARD The North American Industry Classification System (NAICS) for this acquisition is The small business size standard is $15,000, (c) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees. L-1

3 L.6 PREPARATION OF OFFERS (c) (d) (e) (f) Offerors are expected to examine the RFP Documents, Section C, related drawings, sketches, specifications, schedule, Attachments, Exhibits, Reference Documents and all instructions. Failure to do so will be at the Offeror's risk. Each Offeror shall furnish the information required by the solicitation. The Offeror shall sign the offer and print or type its name on the offer page. The person signing the offer must initial erasures or other changes. Offers signed by an agent shall be accompanied by evidence of that agent's authority, unless that evidence has been previously furnished to Fluor-B&W Portsmouth LLC. For each item offered, Offerors shall (1) show the unit price/cost, including, unless otherwise specified, packaging, packing, and preservation and (2) enter the extended price/cost for the quantity of each item offered in the Schedule. Offers for supplies or services other than those specified will not be considered unless authorized by the solicitation. Offerors must state a definite time for performance of services, unless otherwise specified in the solicitation. Time, if stated as a number of days, will include Saturdays, Sundays, and holidays. L.7 PROPOSAL FORMAT AND CONTENTS Proposal shall include all data and information required by this solicitation. Offeror shall submit one (1) electronic proposal (via ) meeting the requirement of this solicitation. The proposal shall be presented in two (2) separate volumes: 1) Volume I Technical Proposal 2) Volume II Price Proposal No element of cost/price shall be included in the Volume I Technical proposal Offerors shall provide a full written explanation of all exceptions taken to the specifications or data requirements, if any, by referencing the appropriate paragraph or exhibit line item number, as appropriate. Any exceptions shall be attached to, Section K Agreement to Contract Terms and Conditions/General Provisions, and submitted with the Offeror s proposal. If no exceptions are taken, the Offeror shall so state. L.8 FINANCIAL STATEMENT The Offeror shall, upon request, promptly furnish Fluor-B&W Portsmouth, LLC with a current certified statement of the Offeror s financial condition and such data as Fluor-B&W Portsmouth, LLC may request with respect to the Offeror s operations. Fluor-B&W Portsmouth, LLC will use this information to determine the Offeror s financial responsibility and ability to perform under the contract. Failure of an Offeror to comply with a request for information will subject the offer to possible rejection on responsibility grounds. L.9 SMALL BUSINESS SUBCONTRACTING PLAN If the Offeror is other than a small business as defined in Item No. L.5 above, a subcontracting plan that separately addresses subcontracting with small and small disadvantaged businesses is required with L-2

4 proposals when the proposed price exceeds $1,500,000 for construction and $650,000 for other services. This plan shall include the elements as defined in FAR , Small Business Subcontracting Plan, Alternate II. This plan will be attached to and made a part of the proposed contract. Failure to submit and negotiate the subcontracting plan may make the Offeror ineligible for award. L.10 REQUIRED PRICE PROPOSAL SUBMITTALS Completed Fluor-B&W Portsmouth LLC Solicitation, Offer and Award Form. Completed Section B tables, including the Contract Price Summary (Table B-1, and individual tables (Tables B-2 through B-10) for each Base Contract and Option Subtask. Unit rates are considered firm and fixed. i. In addition to the Labor Categories described in Section C of the RFP, the Offeror shall propose additional Labor Categories that will be used to perform the work (if any). The minimum qualifications, experience, training, and registration requirements; and the roles and responsibilities for each additional labor category proposed shall be included in Attachment A of the Technical Proposal. ii. Offeror shall complete Tables B-2 through B-10, providing: 1) Pay Item Descriptions (Labor Categories); 2) Estimated Quantities (Hours); 3) Fully burdened hourly unit rates; and 4) Extended Pay Item Prices. In case of a discrepancy between a Unit Rate and an Extended Pay Item Price, the Unit Rate will be presumed correct, subject however, to correction to the same extent and in the same manner as any other mistake. iii. FBP anticipates that the contractor will be required to make up to six (6) trips to the PORTS site for design reviews/meetings. Travel expenses incurred in performance of this contract will be reimbursed in accordance with the Federal Travel Regulations (FTR) in effect at time of travel, Clause H.33. (c) (d) (e) (f) (g) (h) Cost and pricing data in accordance with Public Law , Truth in Negotiations Act, when applicable. Completed Fluor-B&W Portsmouth LLC Representations, Certifications and Other Statements of Offerors (Section K). Completed Agreement to Contract Terms and Conditions/General Provisions (Section K), with any exceptions detailed and attached. Completed Organizational Conflicts of Interest Representations or Disclosure Statements, Attachment No. 1 to Fluor-B&W Portsmouth LLC Representations, Certifications and Other Statements of Offerors (Section K), when applicable. Small Business Subcontracting Plan, when applicable. A Certificate of Insurance in accordance with the Fluor-B&W Portsmouth LLC General Provisions entitled Required Insurance, when applicable. (i) IRS Form W-9 L.11 TECHNICAL PROPOSAL Offeror s proposal shall meet the mandatory go/no-go requirements as specified in Section M to be eligible for further consideration. Upon determination that Offeror s proposal meets the mandatory go/no-go L-3

5 requirements, it will be further evaluated for technical merit in accordance with the evaluation criteria specified in Section M. The technical proposal should be specific, detailed, and complete to demonstrate clearly and fully that the Offeror has a thorough understanding of the Statement of Work and project requirements. The technical proposal should include descriptions sufficient to describe the Offeror s approach and to illustrate clearly the manner in which the Offeror intends to accomplish the work in accordance with the milestone schedule and other contract requirements. Each section of the Technical Proposal should have a one to one correspondence to each section of evaluation criteria. The Technical Proposal, when completed, should be limited to fifty (50) pages (25 pages front and back). One side of an 8 1/2-inch (in.) x 11-in. sheet shall count as one page; one side of an 11-in. x 17-in. page shall count at 2 pages. Cover page, table of contents, tab sheets and dividers will not be counted toward the page total. Information contained on the fifty-first (51st) page and beyond will not be reviewed or considered. Resumes should be limited to two (2) pages per person; project descriptions limited to one (1) page per project. Offeror should avoid providing extraneous materials and supplemental documentations that is not required. Offeror s technical proposal should include the following: Attachment A Work Plan Attachment B Personnel Qualifications and Experience Attachment C Resource Loaded Schedule Attachment D Past Performance The contents of the technical proposal should be as follows: 1. Attachment A Work Plan Work Plan should include the following sections: a. Technical Approach. The Technical Approach should include a description of how the technical work of the Tasks and Subtasks will be performed and the deliverables will be prepared. The Technical Approach should include a description of the design development process including technical, QA, and constructability review process, and the process to prepare: Design Drawings Technical Specifications Support Plans Quantity Estimate Other aspects of the design The Technical Approach should include the approach for: Review of contaminants of concern (COCs), design concentrations, and flow rates Technology evaluation and selection Supporting regulatory compliance and coordination with Ohio EPA Designing the system to handle varying levels of contaminant concentrations and flow rates Methodology and analysis for design The Technical Approach should acknowledge that after preliminary design, the OSWDF ILTS and South ILTS designs should be delivered as separate and independent packages. For both the OSWDF ILTS and the South ILTS deliverables, include specific lists including: Design Drawing Titles L-4

6 Technical Specifications Sections Calculations b. General Management Approach. This section should include a table describing each Labor Category proposed (including new labor categories) to perform the Work and included in the Section B tables. The table should include experience, training, registration, and qualification requirements and the roles and responsibilities for each Labor Category. This section also should include the following: a project Organizational Chart showing each Labor Category identified on the Section B tables; management approach; and a description of how the organization will function to perform the Work. Describe the proposed role of each teaming partner and/or subcontractor on the Offeror s team with estimated direct costs over $5K, if applicable. Describe their scope of work and the estimated percentage of work they are expected to perform. Reference Section H, Article H.75 for maximum amount of work that may be subcontracted. The section should also include the plan to monitor, coordinate and control the work (including in-house, subcontractor and teaming partner personnel). Present a strategy to quickly begin the Work and to provide expertise for optimal service to the Company. c. Project Management and Control Systems. This section should include a description of the project management and control systems and methods that will be used to monitor and control project schedule and costs. d. Quality and Safety Integration. This section should include a description of how quality and safety will be integrated into the Work and how management will maintain quality for work performed in multiple offices, including those of teaming partners and/or subcontractors, where applicable. This section should include a description of the Quality Assurance/Quality Control (QA/QC) processes that will used to ensure quality deliverables, and the methods that will be used to integrate QA/QC into the Work. The description should focus on the specific work scope and subcontract scope (if any), work processes, peer review, corrective actions, and continuous improvement. This section should include details about the corporate Health and Safety Program and how it will be integrated into the design process. 2. Attachment B Personnel Qualifications and Experience This should include a list or summary table of the Key Personnel and senior staff proposed for the Work. The summary should include their proposed roles and responsibilities on the ILTS project, company affiliation, education, and brief summary of experience and expertise including years of experience relevant to this project. If applicable, include project experience of personnel working with one another. At a minimum, provide resumes for one (1) Project Manager, one (1) Lead Senior Engineer, and two (2) Senior Engineers. Provide up to six (6) additional resumes for other personnel. Resumes should include the applicable labor category; qualifications; and relevant project experience including project descriptions, periods of performance, and description of role and responsibility for each project. L-5

7 3. Attachment C Resource Loaded Schedule Provide a Resource Loaded Schedule. The Resource Loaded Schedule should identify the utilization schedule of Section B pay items and corresponding resources (e.g. hours for each Labor Category) for each Section C Task, Subtask, and major activity. Schedule should include site visits, Submittals (deliverables), and Company, DOE, and Ohio EPA review periods as specified herein. The schedule should show the sequence, durations and logic ties, and should show critical paths for the contract milestones presented in the Contract Milestone Schedule (EXHIBIT 1) of Section C. 4. Attachment D Past Performance This should include a list or summary table of Offeror s project experience, including wastewater treatment projects that involved similar design engineering services and treatment technologies, and projects for the DOE. Include project title, summary scope, and year (s) performed Provide up to six (6) project descriptions of similar wastewater treatment projects performed by the Offeror within the last ten (10) years. Each project description should be a maximum of one (1) page and should include: a. Client Name and Address b. Client Technical Point of Contact. Name, phone number, and c. Contract Number d. Contract Type (firm fixed price, time and materials, etc ) e. Period of Performance f. Final/Current Contract Value g. Description of Work Scope. Identify the scope of design services performed by Offeror, including at a minimum: design phases completed (Title I, Title II, and/or Title III), targeted COCs, treatment technologies used in design for each COC, and system capacity. Include experience working with Ohio and other state regulatory agencies. h. List of personnel proposed for the ILTS project that worked on the project and their role on the project. i. Distinguishing capabilities demonstrated, accomplishments, and client recognitions (if received and applicable) L.12 SUBMISSION OF PROPOSALS Offerors shall provide proposals in two separate volumes. Volume I Technical Proposal Volume II Price Proposal Minimum Qualification Requirements: Section M contains minimum qualification requirements. Offeror must meet these qualification requirements to be eligible for award. Offeror s technical proposal must include evidence and supporting documentation to support a favorable determination that Offeror meets each and every qualification requirements. No information regarding pricing shall be provided within the technical proposal. L-6

8 Proposal Due Date: Proposals must be received on or before Monday, December 22, 2014, at 12:00PM Eastern Standard Time. Electronic submission is preferred, with the technical and pricing volumes clearly separated within the package. A representative of the Offeror authorized to legally bind the company must sign the original proposal. Proposals shall be addressed as follows: version to beryl.myers@fbports.com (files must be less than 10 MB each). Call (740) to confirm receipt. L.13 FAILURE TO SUBMIT AN OFFER Those firms not responding should advise Fluor-B&W Portsmouth LLC why no offer is being submitted and whether the firm wishes to receive future solicitations for similar requirements. If a recipient does not submit an offer and does not notify Fluor-B&W Portsmouth LLC that future solicitations are desired, the recipient's name may be removed from the applicable mailing list. L.14 LATE SUBMISSIONS, MODIFICATIONS, AND WITHDRAWALS OF PROPOSALS (c) Offers or modifications of offers received at the address specified for the receipt of offers after the exact time specified for receipt of offers will not be considered. Notwithstanding Paragraph A above, a late modification of an otherwise successful proposal, that makes its terms more favorable to the Company, will be considered at any time it is received before award and may be accepted. Proposals may be withdrawn by written notice received at any time before award. Proposals may be also withdrawn via facsimile or if the request is received by the proper Company Buyer at any time before award. Proposals may be withdrawn in person by an Offeror or an authorized representative, if the representative's identity is made known and the representative signs a receipt for the proposal before award. L.15 OPENING OF PROPOSALS There will be no public opening of the proposals. Offerors may be advised of award as soon as possible after source selection has been made and the consent of the Department of Energy (DOE) has been submitted, if required. L.16 PROTESTS This is not a solicitation issued by the U.S. Government, and Fluor-B&W Portsmouth LLC is not acting as an agent of the U.S. Government in issuing this solicitation. Any contract resulting from this solicitation will not be a contract of the U.S. Government. Therefore, the courts and administrative organizations that have jurisdiction over bid protests relating to the award of government contracts will not have jurisdiction to consider any protest relating to the award or proposed award of a contract relating to this solicitation. The DOE has advised Fluor-B&W Portsmouth LLC that the DOE will not act upon any protest about the award or proposed award resulting from this solicitation and that it will not request the General Accounting Office (GAO) to consider any such protest. L-7

9 L.17 DISCLAIMER This solicitation does not commit the United States Government and/or Fluor-B&W Portsmouth LLC to pay for any costs incurred in the preparation and submission of a proposal or for any other costs incurred prior to the execution of the contract. This solicitation shall not be construed in any manner to be an obligation on the part of the United States Government and/or Fluor-B&W Portsmouth LLC to enter into a contract or any other arrangement with the Offeror. L.18 SPECIAL NOTES Sections L and M will be physically removed from any resultant award. L.19 FINAL REVISED PROPOSALS (c) Offerors are cautioned to review carefully all terms and conditions and specifications of this solicitation prior to the submission of proposals. Fluor-B&W Portsmouth LLC may award this solicitation without discussion of proposals received. Discussions may be held at the sole discretion of Fluor-B&W Portsmouth LLC. A complete understanding of technical requirements and all other terms and conditions of the proposed contract should exist between the Offeror and Fluor-B&W Portsmouth LLC at the conclusion of any such discussions. Final revised proposals may be requested upon the completion of discussions if held. Offerors may not submit any new or revised terms or conditions in their final revised proposals that have not been fully disclosed, discussed, and understood during discussions. Any such revisions must be substantiated and must be able to be traced back to the original proposal. Any revisions or nonconcurrence to negotiated agreement terms and conditions submitted in the revised proposal may be a basis for the rejection of the Offeror's final revised proposal. L.20 TEAMING SUBCONTRACTORS OF FLUOR-B&W PORTSMOUTH LLC Offerors are cautioned that if your company is a Parent, Division, Affiliate or teaming partner of Fluor Federal Services, Inc. or Babcox &Wilcox Technical Services Group, the members of Fluor-B&W Portsmouth LLC that is performing prime contract DE-AC30-10CC40017 with the Department of Energy, you must identify this on the OCI certification in Section K. (See Representations and Certifications) L.21 ORAL PRESENTATIONS Oral presentations may be required from the Offeror s determined to be in the competitive range. The content, format, time and location of any oral presentation will be specified in writing by Fluor-B&W Portsmouth LLC. The presentations may be held at Fluor-B&W Portsmouth LLC or the Offeror s facility. The purpose of any oral presentation will be to facilitate understanding by Fluor-B&W Portsmouth LLC of the Offeror s Technical Proposal. L.22 PRE-PROPOSAL MEETING/TELECONFERENCE Offerors will be contacted approximately 3 working days after issuance of the RFP to schedule a preproposal meeting to discuss the RFP requirements. Questions and answers will be documented via amendment and issued to all Offerors. L-8

10 L.23 FACILITIES CAPITAL COST OF MONEY Facilities capital cost of money will not be an allowable cost under the contemplated contract, The resulting contract will include the clause Waiver of Facilities Capital Cost of Money (FAR ). L.24 RESTRICTION ON DISCLOSURE AND USE OF DATA Offerors or quoters who include in their proposals or quotations data that they do not want disclosed to the public for any purpose or used by Fluor-B&W Portsmouth LLC except for evaluation purposes, shall-- Mark the title page with the following legend: "This proposal or quotation includes data that shall not be disclosed outside Fluor-B&W Portsmouth LLC and the Government and shall not be duplicated, used or disclosed--in whole or in part-- for any purpose other than to evaluate this proposal or quotation. If, however, a contract is awarded to this Offeror or quoter as a result of--or in connection with-- the submission of this data, Fluor-B&W Portsmouth LLC and the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit Fluor-B&W Portsmouth LLC's or the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]"; and Mark each sheet of data it wishes to restrict with the following legend: "Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal or quotation." L.25 PROPRIETARY RIGHTS Fluor-B&W Portsmouth LLC's proprietary rights are involved in the information disclosed and requested herein. The Offeror shall not disclose neither this document nor the information disclosed herein, nor any part thereof, shall be reproduced or transferred to other documents, or used or disclosed to others for any other purpose other than for purposes of this proposal, except as specifically authorized in writing by Fluor- B&W Portsmouth LLC. L FACILITY CLEARANCE As prescribed in (d)(5), insert the following provision in all solicitations which require the use of Standard Form 328, Certificate Pertaining to Foreign Interests, for contracts or subcontracts subject to the provisions of : FACILITY CLEARANCE (MAY 2002) NOTICES Section 2536 of title 10, United States Code, prohibits the award of a contract under a national security program to an entity controlled by a foreign government if it is necessary for that entity to be given access to information in a proscribed category of information in order to perform the contract unless a waiver is granted by the Secretary of Energy. In addition, a Facility Clearance and foreign ownership, control and influence (FOCI) information are L-9

11 required when the contract or subcontract to be awarded is expected to require employees to have access authorizations. Offerors who have either a Department of Defense or a Department of Energy Facility Clearance generally need not resubmit the following foreign ownership information unless specifically requested to do so. Instead, provide your DOE Facility Clearance code or your DOD assigned commercial and government entity (CAGE) code. If uncertain, consult the office which issued this solicitation. Use of Certificate Pertaining to Foreign Interests, Standard Form 328 (1) The contract work anticipated by this solicitation will require access to classified information or special nuclear material. Such access will require a Facility Clearance for the Contractor organization and access authorizations (security clearances) for Contractor personnel working with the classified information or special nuclear material. To obtain a Facility Clearance the Offeror must submit a Certificate Pertaining to Foreign Interests, Standard Form 328, and all required supporting documents to form a complete Foreign Ownership, Control or Influence (FOCI) Package. (2) Information submitted by the Offeror in response to the Standard Form 328 will be used solely for the purposes of evaluating foreign ownership, control or influence and will be treated by DOE, to the extent permitted by law, as business or financial information submitted in confidence. (3) Following submission of a Standard Form 328 and prior to contract award, the Contractor shall immediately submit to the Contracting Officer written notification of any changes in the extent and nature of FOCI which could affect the Offeror s answers to the questions in Standard Form 328. Following award of a contract, the Contractor must immediately submit to the cognizant security office written notification of any changes in the extent and nature of FOCI which could affect the Offeror s answers to the questions in Standard Form 328. Notice of changes in ownership or control which are required to be reported to the Securities and Exchange Commission, the Federal Trade Commission, or the Department of Justice must also be furnished concurrently to the cognizant security office. Definitions (1) Foreign Interest means any of the following (i) A foreign government, foreign government agency, or representative of a foreign government; (ii) Any form of business enterprise or legal entity organized, chartered or incorporated under the laws of any country other than the United States or its possessions and trust territories; and (iii) Any person who is not a citizen or national of the United States. (2) Foreign Ownership, Control, or Influence (FOCI) means the situation where the degree of ownership, control, or influence over a Contractor by a foreign interest is such that a reasonable basis exists for concluding that compromise of classified information or special nuclear material may result. (c) Facility Clearance means an administrative determination that a facility is eligible to access, produce, use or store classified information, or special nuclear material. A Facility Clearance is based upon a determination that satisfactory safeguards and security measures are carried out for the activities being performed at the facility. It is DOE policy that all Contractors or Subcontractors requiring access authorizations be processed for a Facility Clearance at the level appropriate to the activities being performed under the contract. Approval for a Facility Clearance shall be based upon L-10

12 (1) A favorable foreign ownership, control, or influence (FOCI) determination based upon the Contractor s response to the ten questions in Standard Form 328 and any required, supporting data provided by the Contractor; (2) A contract or proposed contract containing the appropriate security clauses; (3) Approved safeguards and security plans which describe protective measures appropriate to the activities being performed at the facility; (4) An established Reporting Identification Symbol code for the Nuclear Materials Management and Safeguards Reporting System if access to nuclear materials is involved; (5) A survey conducted no more than 6 months before the Facility Clearance date, with a composite facility rating of satisfactory, if the facility is to possess classified matter or special nuclear material at its location; (6) Appointment of a Facility Security Officer, who must possess or be in the process of obtaining an access authorization equivalent to the Facility Clearance; and, if applicable, appointment of a Materials Control and Accountability Representative; and (7) Access authorizations for key management personnel who will be determined on a case-by-case basis, and must possess or be in the process of obtaining access authorizations equivalent to the level of the Facility Clearance. (d) (e) (f) A Facility Clearance is required prior to the award of a contract requiring access to classified information and the granting of any access authorizations under a contract. Prior to award of a contract, the DOE must determine that award of the contract to the Offeror will not pose an undue risk to the common defense and security as a result of its access to classified information or special nuclear material in the performance of the contract. The Contracting Officer may require the Offeror to submit such additional information as deemed pertinent to this determination. A Facility Clearance is required even for contracts that do not require the Contractor s corporate offices to receive, process, reproduce, store, transmit, or handle classified information or special nuclear material, but which require DOE access authorizations for the Contractor s employees to perform work at a DOE location. This type facility is identified as a non-possessing facility. Except as otherwise authorized in writing by the Contracting Officer, the provisions of any resulting contract must require that the Contractor insert provisions similar to the foregoing in all subcontracts and purchase orders. Any Subcontractors requiring access authorizations for access to classified information or special nuclear material shall be directed to provide responses to the questions in Standard Form 328, Certificate Pertaining to Foreign Interests, directly to the prime Contractor or the Contracting Officer for the prime contract. NOTICE TO OFFERORS CONTENTS REVIEW (PLEASE REVIEW BEFORE SUBMITTING) Prior to submitting the Standard Form 328, required by paragraph (1) of this clause, the Offeror should review the FOCI submission to ensure that: (1) The Standard Form 328 has been signed and dated by an authorized official of the company; L-11

13 (2) If publicly owned, the Contractor's most recent annual report, and its most recent proxy statement for its annual meeting of stockholders have been attached; or, if privately owned, the audited, consolidated financial information for the most recently closed accounting year has been attached; (3) A copy of the company s articles of incorporation and an attested copy of the company s by-laws, or similar documents filed for the company s existence and management, and all amendments to those documents; (4) A list identifying the organization's owners, officers, directors, and executive personnel, including their names, social security numbers, citizenship, titles of all positions they hold within the organization, and what clearances, if any, they possess or are in the process of obtaining, and identification of the government agency(ies) that granted or will be granting those clearances; and, (5) A summary FOCI data sheet. NOTE: A FOCI submission must be attached for each tier parent organization (i.e. ultimate parent and any intervening levels of ownership). If any of these documents are missing, award of the contract cannot be completed. (End of provision) L-12