BOP-003.0304 Rev. 2, Coordination and Approval Process (CAP) of Contract Actions

1 NNSA Policy Letter: BOP-003.0304R2 (Revision 2) Date: November 7, 2003 TITLE: Coordination and Approval Process (CAP) of Contract Actions I. OBJECTIVES: A. To Establish a coordination and approval process that: 1. Ensures compliance with laws, executive orders, regulations, policy issuances and procedures, and sound business practices; 2. Provides appropriate checks and balances and reasonable assurances against fraud, waste, and abuse; 3. Facilitates maintaining a high quality of contract actions through the exercise of sound business judgment and the inclusion of advice from subject matter experts; and, 4. Drives down decision making by using risk based coordination and approval thresholds in conjunction with well- reasoned dollar based thresholds. B. To convey performance expectations to contracting officers relative to consultation and coordination/approval of their work. II. APPLICABILITY: A. This Policy Letter applies to all organizations and elements of the Administration having contracting authority and to contract actions taken by NNSA contracting officials obligating NNSA or non-NNSA funds. For the purpose of this policy letter, the term “contract actions” includes actions relating to solicitations, contract awards and modifications, financial assistance instruments, sales agreements, subcontracts, termination settlements, and other procurement and personal property actions. Aspects of this policy letter implement coordination and approval for actions that are covered by other policy issuances of NNSA. Those other policies may exempt certain NNSA organizations or elements from their provisions. Organizations and elements that believe they are exempt from some aspects of this policy due to exemption granted from another policy issuance of NNSA shall request exemption from those aspects of this policy in writing to the Director, Acquisition and Assistance Policy, Office of Procurement and Assistance Management (NA-63). The Director, Acquisition and Assistance Policy will give any exemptions of applicability in writing. 2 B. Contractors. If contractors have a requirement to obtain contracting officer consent or approval for certain subcontract actions, the contracting officer shall ensure that the contractor provides documentation equivalent to that required for Federal submissions. III. REQUIREMENTS: A. All organizational elements within NNSA responsible for contract actions must comply with the NNSA Coordination and Approval Process (CAP) at Exhibit #1. B. Annual Forecast of Contracting Actions. 1. Sixty days prior to the start of each fiscal year, NNSA organizations having contracting authority shall provide to Board of Awards Chair, Office of Procurement and Assistance Management (NA-63), a listing of contract actions to be awarded in the upcoming fiscal year. A copy of an advance acquisition plan (see Exhibit #2 for sample plan format and contents) for each contract action must be provided with the listing. The submitting office must update the listing as changes occur throughout the year. The list shall include contract actions meeting any of the following criteria: a. Action for the award, extension, or annual “fee and scope” modification of a management and operating (M&O) contract. b. Actions in excess of the administrative control thresholds established in the NNSA CAP, Exhibit #1. c. Actions likely to provoke unusual public interest or of a new or unusual nature.

2. The Board of Awards Chair will notify the Service Center Director and Site Office Managers, thirty days prior to the start of each fiscal year, of contract actions selected by the HCA and Senior Procurement Executive for HQ coordination and approval. A waiver of HQ coordination and approval is assumed for actions not selected. However, actions meeting the coordination and approval requirements that were not identified on the initial list are not automatically waived. C. Headquarters coordination and approval. 1. The Board of Awards (BOA) Chair, Office of Procurement and Assistance Management, (NA-63) is responsible for leading HQ review of contract actions that exceed administrative control thresholds established by the HCA, and providing the HCA and Senior Procurement Executive with recommendations regarding approval of such actions. 2. The composition of the BOA may vary depending on the action being reviewed. Typically membership will include a member of the Board staff, legal, small business, and program office representation and other members as may be appropriate for a given action. 3 3. The contracting office, in its acquisition planning, should provide for at least a three-week review process for each phase of a contract action (i.e. planning phase, solicitation phase; pre-negotiation phase; post negotiation phase; or prior to sealed bid award) selected by HQ for review. Contracting Offices may request expedited reviews for compelling reasons. Such requests shall be made directly to the Board Chair. 4. The Board’s functions are to ensure contract actions represent a good business deal for NNSA and to determine, among other things: In the case of proposed acquisition plans if: a. The draft statement of work adequately and properly describes the items or services to be purchased. b. The market research and /or survey results are adequate in supporting the acquisition approach. c. The independent government estimate and rationale are adequately supported. d. Noncompetitive, that the justification is adequate and appropriate. If for a prime contract that the requirements of CICA are met. e. Competitive, that the bidders list is adequate and that sufficient research has been conducted to identify potential sources, especially qualified small business sources. f. The proposed contract type is appropriate. In the case of solicitations (for both contracts and subcontracts) if: a. The final SOW adequately and properly describes the items and services to be purchased. b. Proposal preparation instructions are clear and unambiguous. c. Evaluation criteria are clear and provide a means of discriminating among the competing offerors. d. Provisions included allow proper and sound contract administration and oversight. In the case of proposed pre-award clearance or awards if: a. Pre-negotiation objectives are adequately supported. 4 b. Negotiations were conducted competently and the post negotiation memorandum shows all issues resolved. c. Evaluations of offerors were accomplished in accordance with the evaluation plan and the stated solicitation requirements. d. Competitive range determinations, if any, were supportable. e. Proposed contract reflects current regulatory/policy requirements and sound business judgment. f. The contract will be awarded to a responsible contractor. In the case of proposed subcontracts, if source selection was accomplished adequately: a. Were negotiations adequately documented?

b. Were negotiations based on adequate information? c. Is the subcontract in conformance with the prime contract and with the contractor’s approved acquisition policies and procedures, applicable law, and Executive Orders? d. Will the subcontract be placed with a responsible subcontractor? e. Does the subcontract adequately protect the interests of the Government? And f. Does the subcontract reflect best commercial practices? 5. The Board reports its findings and makes its recommendations in the Board minutes, which are provided to the Approving Official. 6. Electronic copies of all documentation supporting the contract action must be submitted to the Board as follows a. For all actions. The name and telephone number of the cognizant Headquarters program official and the local Contracting Officer and a copy of the local coordination and approval of the action (including legal review and all comments). b. Acquisition Planning. The draft Statements of Work (SOW), Independent Government Estimates (IGE), and the Formal Acquisition Plan (see Exhibit 4 template). c. Solicitation phase. The complete solicitation package with file documentation. 5 d. Pre-negotiation phase. Pre-negotiation plan and draft contract. e. Post negotiation phase. The post negotiation summary and negotiated contract. f. Prior to sealed bid award. Record of bid opening and selection documentation with a copy of the successful bid. D. Integrated Process Teams: 1. As an alternative to paragraph III.C.1 for major contract actions, an Integrated Process Team (IPT) may be established to document a formal agreement between Headquarters and Site Offices/Service Center (SO/SC) or between SO/SC and their contractors as to the contracting outcomes needed to support intended mission objectives, the most appropriate acquisition strategy, and the scope of quality control limits/verification methodologies needed to ensure the accomplishment of an agreed to course of action and results. 2. Use of IPTs in lieu of BOA reviews and HCA approvals of solicitations and contract awards shall be coordinated with the HCA and BOA Chair. Typically, ITPs may be appropriate on high dollar value, complex, unique actions or when the action may set a precedence within the NNSA. 3. The IPT will be chaired by a designee of the Head of the Contracting Activity (HCA) and will consist of contracting and program representatives from the Service Center, the Site Office, and the contractor as appropriate, local and/or HQs counsel, a local small business program representative, and at least one contract specialist/contracting officer who is not involved in the contract action. 4. The IPT will develop the business strategy and advance acquisition plan, establish operational control limits to guide the contracting process, refine milestones and timelines, and formalize the Acquisition Business Strategy Agreement (ABSA). The ABSA will be submitted to the Senior Procurement Executive through the BOA Chairman and the HCA for approval. 5. If the ABSA is approved, the procurement may be conducted, in accordance with the approved ABSA, through award without further HQs review or approval. 6. The Senior Procurement Executive must approve any deviation from the ABSA. Material deviations from the ABSA may require that the contract action be processed in accordance with Paragraph III -C. 6 IV. RESPONSIBILITIES: A. Office of Procurement and Assistance Management (NA-63) is responsible for:

1. Establishing policy for coordination and approval of contract actions at the Headquarters level. Policy below that level is established by the Service Center and the Site Offices and is incorporated into this document for convenience. The Chairman, BOA, Office of Procurement and Assistance Management (NA-63) is responsible for updating the CAP Matrix, Exhibit #1. 2. Oversight of contracting systems used by organizational elements within NNSA to ensure compliance with laws, regulations, sound business practices, and policy. 3. Selecting contract actions for coordination and approval. 4. Coordinating HQ approval of contract actions. 5. Approving use of IPT’s to develop ABSAs. B. Associate Director, Office of Business Services, NNSA Service Center is responsible for implementing this coordination and approval process for contract actions awarded by the Service Center. C. Department Managers, Office of Business Services, NNSA Service Center 1. Are responsible for contract actions over which they have cognizance (unless the matrix in Exhibit #1 provides otherwise). 2. Sixty days prior to the start of each fiscal year, identifying contract actions to be awarded in the upcoming fiscal year. 3. Reviewing, approving and submitting all selected Service Center actions, within their respective purview, to NA-63. 4. Performing the “Department Head (Service Center)” duties specified in Exhibit 1. D. Acquisition Support Division, Management Support Systems Department, Office of Business Services, NNSA Service Center 1. Performing the independent review of all Service Center contract actions to be submitted to NA-63 for review. 2. Performing the independent review of Site Office contracting actions, as requested. E. Site Office Managers/Deputy Site Managers 1. Implementing this coordination and approval process for contract actions under the cognizance of their office. This responsibility extends to assuring independent review of actions so that individuals responsible for initiating an action do not approve that action. 2. For contract actions over which they have cognizance, performing the duties specified in applicable acquisition regulations as being performed at a level above the Contracting Officer but that are below the level of the HCA. 7 3. Performing the “Manager/Site Office” duties specified in Exhibit 1 (note some actions require a warrant). F. Contracting Officers, Service Center or Site Office 1. Ensuring that contract actions receive the level of coordination and approval required by this policy letter. 2. Providing electronic copies of all necessary file documentation and any additional supporting data as requested by the reviewers in order for them to perform an adequate review of the contract file. 3. Managing the planning, solicitation, evaluation, and award of contract actions to preclude the need for expedited coordination and approval. 4. For subcontracts, providing documentation equivalent to that required for Federal acquisitions to NA-63. V. NNSA COORDINATION AND APPROVAL PROCESS: A. The NNSA Coordination and Approval Process Flowchart (Exhibit #3) illustrates the processes that contract actions must follow in order to obtain the required coordination and approval prior to signature and execution. Coordination and approval levels will vary according to the nature and dollar value of the contract action (option, extension, modification, etc.). The total estimated dollar value of the contract action, including option values, would be used to determine the appropriate coordination and approval level.

B. Contract actions shall not be executed until the appropriate coordination and approval steps in this policy letter have been accomplished. The Coordination and Approval Document (see Exhibit 5) shall be included in every acquisition or financial assistance file. VII. POINT OF CONTACT FOR ADMINISTRATION POLICY LETTER: Director, Acquisition and Assistance Policy, Office of Procurement and Assistance Management (NA-63) 202.586.8257. BY ORDER OF THE ADMINISTRATOR: Robert C. Braden Senior Procurement Executive National Nuclear Security Administration Exhibits: 1. Coordination and Approval Process (CAP) Matrix 2. Sample Advanced Acquisition Plan 3. NNSA CAP Process Flowchart 4. Sample Formal Acquisition Plan 5. Coordination and Approval Document NNSA COORDINATION AND APPROVAL PROCESS (CAP) INDEX Type of Action Page SIMPLIFIED ACQUISITIONS................................................................................................. 1 SOURCE SELECTION AUTHORITY………........................................................................... 1 SYNOPSIS REQUIREMENTS................................................................................................. 1 ACQUISITION PLANS........................................................................................................... 2 JUSTIFICATIONS FOR OTHER THAN FULL & OPEN COMPETITION (JOFOC).................. 3 SMALL BUSINESS EXEMPTIONS……………………………………………………................ 4 SMALL BUSINESS REVIEWS………………………………………………………................... 4 SOLICITATIONS & AMENDMENTS (NON M&O)................................................................. 5 MISTAKES IN BID ................................................................................................................. 6 CANCELLATION OF SOLICITATIONS…………………………............................................. 7 ORGANIZATIONAL CONFLICTS OF INTEREST.................................................................. 8 PRE-NEGOTIATION PLANS.................................................................................................. 9 CONTRACT AWARDS (NON M&O)...................................................................................... 10 PROTESTS.............................................................................................................................. 11 MODIFICATIONS (NON M&O).............................................................................................. 12 TERMINATIONS AND SETTLEMENT REVIEW BOARDS.................................................... 13 OTHER CONTRACTUAL ACTIONS...................................................................................... 14 PURCHASING SYSTEM APPROVALS (NON-M&O AND M&O)........................................... 15 PRECONTRACT COSTS......................................................................................................... 15 RATIFICATIONS.................................................................................................................... 15 SUBCONTRACT CONSENTS (NON-M&O AND M&O)......................................................... 16 FINANCIAL ASSISTANCE INSTRUMENTS.......................................................................... 17 UTILITY PROCUREMENT PLANS (INCLUDING DRAFT CONTRACTS)............................. 18 SALES (INCLUDING WORK FOR OTHERS)………………………………….......................... 19

INTERAGENCY AGREEMENTS………………………………………………………............... 19 SOLICITATIONS & AMENDMENTS (SITE SPECIFIC - M&O AND NON-M&O) ................. 20 NEW AWARDS & FIVE YEAR REWRITES (M&O) ............................................................... 21 EXTEND/COMPETE RECOMMENDATIONS (M&O) ............................................................ 21 EXERCISE OF OPTION TO EXTEND COMPETITIVELY AWARDED M&O......................... 21 MODIFICATIONS (SITE SPECIFIC – M&O AND NON-M&O)............................................... 22 PERFORMANCE EVALUATION PLANS/REPORTS ............................................................. 23 Exhibit 1, NNSA Coordination and Approval Process 1 Simplified Acquisitions, Source Selection Authority, Synopsis Requirements # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Simplified Acquisitions P1 S2 Source Selection Authority * (regardless of dollar level Acquisition Letter AL-2000-09) P1 C2 C3 C4 A5 Synopsis P1 C2 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. * The Procurement Executive is the Source Selection Authority (SSA) for major facility management contracts. The HCA is the SSA for all other procurement actions. This authority may be redelegated. Exhibit 1, NNSA Coordination and Approval Process 2 Acquisition Plans (Non-M&O) # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. P R I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is

tr at or /N N SA A ge nc y H ea d Written Acquisition Plans Over $5,000,000 ^ P1 C2 C4/FD C3 C5 C6 * C7 *A8 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not selected, HQ review is waived. The waiver does not apply to actions not previously identified to NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process. Exhibit 1, NNSA Coordination and Approval Process 3 Justifications for Other than Full and Open Competition # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Justifications for Other Than Full & Open Competition (FAR 6.3) $500,000 and Under $501,000-$1,000,000 $1,000,001- $5,000,000 $5,000,000- $25,000,000 ^ Over $25,000 ̂ P/S1 P/S1 P/S1 P/S1 P/S1 A4 A5 A2 S3 S3 S3 S3 C4/FD C4/FD S2 S2 S2 S2 S4 S5 S5 S6 S6 C7 C7 A9 * C9 A10* S8 C8 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . * For actions exceeding $5,000,000, the HCA is the Competition Advocate. For actions exceeding $25,000,000, the Procurement Executive is the Competition Advocate. Exhibit 1, NNSA Coordination and Approval Process 4 Small Business (Non-M&O) # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv

is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Small Business Exemptions (Non- M&O) Over $100,000 C3 P1 C2 C4 C5 C6 C7 C8 A9 A10 Small Business Reviews Over $100,000 * P1 S3 C2 S4 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procu rement). Qualification relative to the field counsel will be determined by GC-1 . * Under $100K: Reviews must be completed for acquisitions that are not set-aside for small businesses Exhibit 1, NNSA Coordination and Approval Process 5 Service Center Solicitations (Non-M&O) % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Solicitations & Amendments Competitive and Non- Competitive Through $1,000,000 $1,000,000 - $5,000,000 Over $5,000,000 ^ P1 P1 P1 C2/S2 C2/S4 C2/S9 ** ** C4/FD ** C3 C3 **** **** C5 **** **** C6 * C7 * C8 * A9 % Assistance in preparing solicitation cost instructions is available from the Acquisition Support Division, Management Support Systems Department, NNSA Service Center. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . ** Obtain review under unique or unusual circumstances. **** When unusual circumstances warrant or patent issues exist * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not selected, HQ review is waived. The waiver does not apply to actions not previously identified t o NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process.

Exhibit 1, NNSA Coordination and Approval Process 6 Mistakes in Bid # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Mistakes in Bid Mistakes Disclosed Before Award – Apparent Clerical Mistakes (FAR 14.407-2) Mistakes Disclosed Before Award – Other (FAR 14.407-3) ^ Mistakes After Award (FAR 14.407-4 & 33.2) ^ P1 P1 P1 A2 C2 C2 C3/FD C3/FD ** ** C4 * C4 * C5 C5 C6 C6 A7 C7 A8 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . ** Coordination may include the program office if mistakes involve technical requirements. * Coordinate with OGE on mistakes in bids (except for minor informalities or irregularities and apparent clerical procedures other than clear-cut determinations of non-responsiveness) Exhibit 1, NNSA Coordination and Approval Process 7 Cancellation of Solicitations # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numb ers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Cancellation of Solicitations Cancellation of Invitations for Bids Before Bid Opening (FAR 14.209) Cancellation of Invitations After Bid Opening (FAR 14.404-1 & DEAR 914.404-1 (c)) ^ Rejection of all Proposals under Request for Proposal & Cancellation of Solicitations (FAR 15.608(b))^ P1 P1 P1 A2 C2 C2 C3/FD C3/FD A6 **

* C4 C4 C5 C5 C6 A7 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submi tted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted. ** The Source Selection Authority may reject all proposals received in response to a solicitation, if doing so is in the best interests of the government. * Coordinate with OGE on bid rejections under sealed bidding procedures (other than clear-cut determinations of non-responsiveness) or proposal rejections under negotiated procurements. Exhibit 1, NNSA Coordination and Approval Process 8 Organizational Conflicts of Interest # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t SC o r Si te O ff ic e C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Organizational Conflicts of Interest% Recommended Course of Action for Potential OCI known prior to solicitation FAR 9.504 OCI Waiver FAR 9.503 P1 P1 C3 C3 C2 C2 ** ** ** ** C4 C4 C5 C5 A6 A6 * # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. % The contracting officer's judgment need be formally documented only when a substantive issue concerning potential organizational conflict of interest exists. ** Contracting officers should obtain the advice of counsel and the assistance of appropriate technical specialists in evaluating potential conflicts and in developing any necessary solicitation provisions and contract clauses * If the contracting officer finds that it is in the best interest of the United States to award the contract notwithstanding a conflict of interest, a request for waiver shall be submitted in accordance with 9.503. The waiver request and decision shall be included in the contract file. Exhibit 1, NNSA Coordination and Approval Process 9 Pre-Negotiation Plans # % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia

to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Pre -Negotiation Plan Through $1,000,000 $1,000,000 - $5,000,000 Over $5,000,000; ^ or controversial actions or unusual in nature (regardless of dollar value); or overruns estimated at 25% of contract amount or over $500,000 P1 P1 P1 S2 C2/S4 C2/S8 C4/FD C3 C3 C3 *** *** *** C5 C6 C7 A8 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. % Pricing assistance, in accordance with Contract Specialist Guide 15.4, is required for all new non-M&O awards exceeding $500,000. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . *** Coordination with the program office is optional. Exhibit 1, NNSA Coordination and Approval Process 10 Service Center Contract Awards (Non M&O) > % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe ti tio n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el ( N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Through $1,000,000 # *** P1 S2 ** **** **** $1,000,000 - $5,000,000 # *** P1 C2/S4 ** C3 **** **** Over $5,000,000 ^ # *** P1 C2/S10 C4/FD C3 C5 C6 C7 C8 * A9 * Letter Contract – written determination < (FAR 16.603-3) # P1 C2/S7 C3 **** **** C4 C5 A6 Use of Option P1 S/2 Exercise of Options P1 S/2 > Excludes funding modifications and unilateral actions taken pursuant to FAR 43.103 (b)(1) or (3). % Pricing assistance, in accordance with Contract Specialist Guide 15.4, is required for all new non-M&O awards exceeding $500,000.

@ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. # May include coordination of program office in instances, such as, when impact statement of urgency is required to justify issuance of a letter contract. *** Acquisition solicitati ons above $100,000 and modifications above $500,000 having subcontracting possibilities only. ** Obtain review under unique or unusual circumstances. **** When unusual circumstances warrant or patent issues exist ^ Action will include evidence in docume nts that a SC or Site as applicable, independent peer review has been conducted . * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not selected, HQ review is waived. The waiver does not apply to actions not previously identified to NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process. < Letter contracts follow the same coordination and approval procedures as definitized contracts. Exhibit 1, NNSA Coordination and Approval Process 11 Protests # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el ( N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Protests (FAR 33.103 & 104 DEAR 933.103 & 933.104) ^ Agency Level Protest 1. Agency Level Protest Decision ^ P1 C2 C4/FD C3 ** C5 C6 S7 *** 1a. Decision to Continue with Award or Performance ^ P1 C2 C4/FD C3 ** C5 C6 * C7 C8 A9 **** GAO Level Protest 2. GAO Level Protest ^ P1 C2 C4/FD C3 ** C5 S6 ***** C7 C8 A9 2a. Decision to Continue with Award or Performance ^ P1 C2 C4/FD C3 ** C5 S6 C7 C8 A9 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . ** Coordination with the program office may be necessary. *** Protest decided by the Procurement Executive if:

-Protester requests decision by the Procurement Executive. -HCA is contracting officer of record at time protest is filed, having signed either the solicitation where the award has not been made, or the contract, where the award or nomination of the apparent successful offer has been made. -The HCA concludes that one or more of the issues raised in the protest have the potential for significant impact on NNSA acquisition policy. * Cover letter transmitting protest file to NA-63, with copy to NA-3.1. **** Endorsement required by the Deputy or Associate Administrator. ***** Cover letter transmitting protest file to NA-3.1, with copy to NA-63. Exhibit 1, NNSA Coordination and Approval Process 12 Service Center Modifications (Non-M&O) % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Modifications (Non- M&O) $1,000,000 and under $1,000,001- $4,999,999 $5,000,000- $10,000,000 ^ Above $10,000,000 or Causing the Contract Value to exceed $10,000,000 ^ Incremental Funding Modifications (regardless of dollar value) P1 P1 P1 P1 P1 S2 C2/S4 C2/S8 C2/S9 S2 C4/FD C4/FD C3 C3 C3 < < < < ** ** ** ** C5 C5 C6 C6 * C7 * C7 * C8 * C8 * A9 % Pricing assistance, in accordance with Contract Specialist Guide 15.4, is required for all non-M&O modifications exceeding $500,000. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . < Unless the modification is strictly administrative, include the program office in the coordination process. ** Coordination required when patent issues exist. * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not selected, HQ review is waived. The waiver does not apply to actions not previously identified to NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process. Exhibit 1, NNSA Coordination and Approval Process 13 Terminations (Non-M&O) # % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I

ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Terminations (complete or partial) & Settlement Review Boards (SRBs) (Non M&O) (FAR 49) Notification to Procurement Executive * ^ P1 C2 C4/FD C3 C5 C6 S7 N8 N9 N10 Terminations Under $10,000,000 Over $10,000,000 ^ P1 P1 C2/S7 C2/S10 C4/FD C3 C3 C5 C5 < < C6 C6 A7 C7 C8 A9 N10 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. % Pricing assistance, in accordance with Contract Specialist Guide 15.4, is required for all non-M&O claims, terminations, settlements and equitable adjustments of any value. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Q ualification relative to the field counsel will be determined by GC-1. * The Procurement Executive shall be notified prior to taking any action to terminate (a) contracts for the operation of Government-owned facilities, (b) any prime contract or subcontract in excess of $10 million, and (c) any contract the termination of which is likely to provoke unusual interest. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . < Coordination required when patent issues exist. Termination of prime contracts for the operation of government-owned facilities requires the transfer of intellectual property to the successor contractor and clearance through the Patent Counsel. Exhibit 1, NNSA Coordination and Approval Process 14 Other Contractual Actions ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Other Contractual Actions Extraordinary Contractual Actions Indemnification under PL 85-804 (FAR Part 50)

Under $50,000 $50,000 and Over P1 P1 ** C2 ** C2 C4 C4 C5 C5 A6 C6 C3 C3 C7 A8 @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ** If related to M&O or site specific contract. Exhibit 1, NNSA Coordination and Approval Process 15 Purchasing System Approvals (M&O and Non M&O), Precontract Costs, and Ratifications ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t Si te O ff ic e or S er vi ce C en te r C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Purchasing System Approvals (M&O) P1 C2 A5 C3 C4 Purchasing System Approvals (Non M&O) # P1 C2 A6 C3 C4 C5 Precontract Costs # Precontract Costs – period greater than 15 days (FAR 31.205-32) P1 C2 C3 C4 A5 Ratifications ^ # Under $25,000 Over $25,000 P1 P1 C3/FD C3/FD C2 C2 C4 C4 C5 C5 C6 C6 C7 C7 A8 C8 A9 @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted. Exhibit 1, NNSA Coordination and Approval Process 16 Subcontract Consents (Non-M&O and M&O) ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers re flects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Subcontract Consents (FAR 44.2) #

Required Subcontract Consents (Non-M&O) $10M or less Over $10M ^ C2 C2 P1 P1 A3 C4/S9 C3 C5 C6 * C7 * A8 Subcontract Consents Subcontract Review Boards (M&O) Actions Exceeding $10M or of an Unusual Nature^ ** ** P1 S6 ** ** C2 C3 * C4 * A5 @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not selected, HQ review is waived. The waiver does not apply to actions not previously identified to NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process. ** In accordance with the Linton Brooks’ Matrix, the Service Center has lead responsibility for M&O Subcontract Review Board activities and provides a recommendation for subcontract consent to the Site Office Contracting Officer. Assistance from audit, pricing, patents and technical specialists should be requested as needed. Exhibit 1, NNSA Coordination and Approval Process 17 Financial Assistance Instruments (10 CFR 600) # % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el ( N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Restricted Eligibility or Non-Competitive Determination $1,000,000 or Under ^ Over $1,000,000 ^ C2 C2 C3 C3 C5/FD C5/FD C4 C4 P1 P1 C6 C6 C7 C7 C8 C8 A9 C9 C10 A11 Solicitations and Awards (Competitive and Noncompetitive) Under $5,000,000 Over $5,000,000 ^ P1 P1 C2/S4 C2/S9 C4/FD # C3 ** ** C3 C5 # C6 C7 C8 * A9 * Statutorily Required Grant Awards (formula grants) Under $5,000,000 Over $5,000,000 ^ P1 P1 C2/S4 C2/S9 C4/FD # C3 ** ** C3 C5 # C6 C7 C8 * A9 * # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. % Pricing assistance, in accordance with Contract Specialist Guide 15.4, is required for all new non-M&O awards exceeding $500,000.

@ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . ** Coordination with the Program Office may be considered. # When unusual circumstances warrant. * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not selected, HQ review is waived. The waiver does not apply to actions not previously identified to NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process. Exhibit 1, NNSA Coordination and Approval Process 18 Utilities (Non-M&O) # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe ti ti on A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Utility Procurement Plans (Includes draft contracts regardless of dollar value or type)* (FAR 41) ^ P1 C2 C3 C5/FD C4 C7 C6 C8 C9 * C10 * A12 ** C11 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . * HQ, NA-52, the Office of General Counsel (NA -3.1) and HQ Office of Procurement and Assistance Management (NA-63), jointly review and NA-63 approves the acquisition and sale of utilities. ** HQ, Office of Infrastructure and Facilities Management (NA-52) is the Associate Administrator for all utility acquisitions. Exhibit 1, NNSA Coordination and Approval Process 19 Sales and Interagency Agreements # ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite

O ff ic e) D iv is io n M an ag er P ro gr am O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Sales *** No NA-63 review required. See footnote below. Interagency Agreements (Funds-Out Only) **** P1 C2/S7 C3 C4 C5 C6 # Matrix assumes action is performed by the Service Center. If action is performed by the Site Office, a similar hierarchy within the Site Office shall be used. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. *** Sales contract means a legal agreement under which DOE will provide to a non-federal source, products and services, such as energy research and development and related technical and analytical services, oil, nuclear waste disposal and interim storage services. Reimbursable work for others includes work for other Federal agencies or non-federal entities performed by the M&O contractors. Contracting Officers with the authority to sign “Sales” must perform the determinations and certification requirements set forth in DOE Order 481.1B and DO E Notice 481.1a for all reimbursable work for others. Identification of sales activities to NA-63 or review of sales activities by NA-63 is not required. However, it is expected that Work for Others activities will be reviewed and assessed periodically as part of the Service Center/Site Office Procurement System Self Assessment. The Office of Institutional & Joint Programs staff, NA-116 will perform the periodic assessments of Work for Others actions and provide the results of those assessments to the Service Center and NA-63. **** Review requirements pertain to Interagency Agreements (IAs) that: (1) place NNSA in the role of "requiring" agency (i.e., NNSA is seeking goods or services from another federal agency (funds-out), as opposed to where NNSA is the servicing agency (funds-in)) and (2) do not specifically prohibit the servicing agency from providing NNSA with the required goods or services through existing or future contracts awarded by the other agency. It does not include IAs with the General Services Administration for space or utilities, or those necessary to use other agency's Government-wide Acquisition Contracts (GWACs). Exhibit 1, NNSA Coordination and Approval Process 20 Site Specific Solicitations (M&O and Non-M&O) % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t Si te O ff ic e C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er

al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Solicitations & Amendments Competitive and Non- Competitive Through $1,000,000 $1,000,000 - $5,000,000 Over $5,000,000 ^ P1 P1 P1 C2/FD C2/FD C2/FD **** **** C3 **** **** C4 C3 C5 * C8 * A9 % Assistance in preparing solicitation cost instructions is available from the Acquisition Support Division, Management Support Systems Department, NNSA Service Center. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . **** When unusual circumstances warrant or patent issues exist * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not selected, HQ review is waived. The waiver does not apply to actions not previously identified to NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process. Exhibit 1, NNSA Coordination and Approval Process 21 Contract Awards (M&O) (FAR 17.6) ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR In iti at or /P ro gr am O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t C on tr ac tin g O ff ic er (S C o r Si te O ff ic e) In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA )@ D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d New Awards & Five- Year Rewrites ^ * P1/S10 C2/FD C3 C4 C5 C6 C7 A10 N8 N9 Extend/ Compete Recommendations and Decision (M&O) ^ (FAR 17.602, DEAR 917.602 and 605, AL- 96-09) * P1 C2/FD C3 C4 C5 C6 C7 C8 C9 S10 ** Exercise of Option to Extend a Competitively Awarded M&O Contract ^ (AL-96-09) * P1/S9 C2/FD C3 C4 C5 C6 A7 A8 @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted .

* In accordance with the Linton Brooks’ Matrix, the Service Center has lead responsibility for M&O Contract Award activities and a supporting role for Extend/Compete Recommendations. ** Decision to extend or compete is reserved for the Agency Head. Exhibit 1, NNSA Coordination and Approval Process 22 Site Office Modifications (M&O and Non-M&O) % ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t Si te O ff ic e C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d Site Specific Modi fications (M&O and Non-M&O) $1,000,000 and under ^ $1,000,001- $4,999,999 ^ $5,000,000 - $10,000,000 ^ Above $10,000,000 or Causing the Contract Value to exceed $10,000,000 ^ Incremental Funding Modifications (regardless of dollar value) P1/S3 P1/S5 P1/S7 P1/S7 P/S1 C2/FD C2/FD C2/FD C2/FD < < < < ** ** ** ** C3 C3 C3 C4 C4 C4 * C5 * C5 A6 * C6 * A7 % Pricing assistance, in accordance with Contract Specialist Guide 15.4, is required for all non-M&O modifications exceeding $500,000. @ Applicable actions submitted for HQ review will include evidence of appropriate and qualified counsel review and coordination (Patent or/ and Procurement). Qualification relative to the field counsel will be determined by GC-1. ^ Action will include evidence in documents that a SC or Site as applicable, independent peer review has been conducted . < Unless the modification is strictly administrative, include the program office in the coordination process. ** Coordination required when patent issues exist. Exhibit 1, NNSA Coordination and Approval Process 23 Performance Evaluation Plans & Reports (M&O) Fee Determination ACTION CODES: A- Approval C-Coordination & Review P-Preparation S-Signature N-Notification FD-File Documented Numbers reflects order in which to accomplish actions. PR I ni tia to r/ Pr og ra m O ff ic e Sm al l B us in es s Sp ec ia lis t C om pe tit io n A dv oc at e C on tr ac t S pe ci al is t Si te O ff ic e C on tr ac tin g O ff ic er In de pe nd en t R ev ie w (S er vi ce C en te r or S ite O ff ic e) D iv is io n M an ag er Pr og ra m O ff ic ia l o r SS A (H Q /S ite /S er vi ce ) Pa te nt C ou ns el (N N SA @ ) O ff ic e of G en er al C ou ns el (N N SA @ ) D ep ar tm en t H ea d (S er vi ce ) M an ag er /S ite O ff ic e B oa rd o f A w ar d H ea d of th e C on tr ac tin g A ct iv ity Se ni or P ro cu re m en t E xe cu tiv e D ep ut y or A ss oc ia te A dm in is tr at or A dm in is tr at or /N N SA A ge nc y H ea d

Performance Evaluation Plans (M&O) Review and Approval of Performance Evaluation Plans Reviews will be accomplished in accordance with NAP-4. Performance Evaluation Reports (M&O) Review and Approval of Performance Evaluation Reports Reviews will be accomplished in accordance with NAP-4. Fee Determination Fee Determination Reviews will be accomplished in accordance with NAP-4. * Subject to selection under the annual HQ CAP Review Plan. For actions submitted but not s elected, HQ review is waived. The waiver does not apply to actions not previously identified to NA-63, Office of Procurement and Assistance Management. Independent Review is required for all award instruments and files to be forwarded to HQ. If NA-63 Process Waiver is granted, documents will be coordinated and approved IAW the approved Service Center Coordination and Approval Process. Exhibit 2 Sample Advanced Acquisition Plan 1. Contracting activity, and individual point of contact (including name/phone no.): 2. Method (sealed bid, negotiated, other): 3. Type of action (contract type (i.e., CPFF, FFP); grant; cooperative agreement; loan; etc): 4. Estimated dollar value, including any options: 5. Percentage (in $) of requirement set-aside for SB, SDB, WOB, and/or HUBZone concerns: 6. NAICS code: 7. Is the action, or portion thereof, the result of a consolidation of previously separate requirements: 8. New Award; Modification 9. Estimated month of solicitation issuance: 10. Estimated month of award: 11. Name of contractor, if known (incumbent and/or potential awardee): 12. Degree of confidence that action will be funded: High Medium Low 13. Brief description of work: 14. Degree to which this procurement has been previously reviewed by NA-63: (Example: You are reporting a contract award from a solicitation already reviewed by Headquarters.) Exhibit 3 Coordination and Approval Process (CAP), Process Flowchart Coordination and Approval Process (CAP) Coordination and Approval Policy issued by NA-63 Organization determines if all elements of policy apply Prepare and forward to NA-63 request for exemption to elements of policy No Follow coordination and review processes outlined in matrix Yes NA-63 determination of exemption No Those elements of policy not applicable Yes End Check for Site Office or Service Center implementation instructions that augment policy. EXHIBIT 4 FORMAL ACQUISITION PLAN FOR PROJECT/PROCUREMENT: I. PROCUREMENT BACKGROUND AND OBJECTIVES A. Description: B. Applicable Conditions: C. Estimated Cost:$ ; Basis of Estimate: D. Funding Source: [ ] NNSA, [ ] DOE, [ ] Other: E. Capability or Performance F. Performance Period/Delivery Date Required: G. Statement of Risk: [ ] Minimal, [ ] High, [ ] Other: H. Cost/Technical/Schedule Trade-offs: I. Acquisition Streamlining: II. PLAN OF ACTION A. Competition (Describe how competition will be sought): B. Sources (List of potential suppliers): C. Socioeconomic Participation (Describe the availability of capable small, small disadvantaged, and women-owned businesses): D. Contracting Consideration E. Source Selection Procedures (Attach Justification for Single Source): F. Subcontract Type: G. Budgeting and Funding: H. Priorities, Allocations, and Allotments: I. Contractor versus Government Performance: J. Inherently Governmental Functions:

K. Management Information Requirements: L. Acceptance Criteria and Method: M. Make or Buy: N. Test and Evaluation: O. Logistics Considerations: P. Government Property and Other Information: Q. Contract Administration: R. Environmental, Health, and Safety Concerns (If checked, attach explanation): [ ] Hazardous Waste, [ ] Nuclear Materials, [ ] Other: S. Computer-Related Acquisitions : T. Security Considerations (Describe if required): U. Other Requirements (Describe): V. Milestones for the Acquisition Cycle (Attached): APPROVAL SIGNATURES DATE _________________________ _________________ Requester __________________________ _________________ Procurement Representative Exhibit 5, NNSA Service Center Form AL 4230.4 NNSA Service Center/Site Office COORDINATION & APPROVAL DOCUMENT TITLE OF DOCUMENT: Sample: Service Center Prime Contract Action or Financial Assistance Instrument Exceeding $5M Document No. DE-AC52-03NAXXXXX Modification/Amendment Number Basic Award - A000 DESCRIPTION: Support Services Contract in support of the XYZ program Department: Acquisition and Financial Assistance Division: Acquisition Department POC Name and Telephone Number: Ed Lovett, 123.456.7890 You are requested to review the attached document and indicate your coordination/approval in the space provided. Comments and/or nonconcurring statements should be attached on a separate sheet. COORDINATING/APPROVING OFFICE ORDER SIGNATURE DATE Contract Specialist P-1 Contracting Officer C-2/S-10 Division Manager C-3 Independent Review C-4 Patent Councel C-5 Legal Councel C-6 Department Manager C-7 Board of Awards C-8 Head of Contracting Activity A-9 LEGEND: P/Preparation: prepares the document C/Coordination: coordinates as a reviewer A/Approval: affixes signature as the approving official S/Signature: signs/executes the document