BOP 540.6 Admin Chg 1, Acquisition Coordination and Approval Processes

BOP 540.6 Admin Chg I 5-11-17 ADMINISTRATIVE CHANGE TO BOP 540.6, Acquisition Coordination and Approva! Process Locations of Changes: Italics are clarification information except page 1 Page Paragraph From To bU11�i/J.1111�auortal.�11�r2v.2oyli11&ra11� Cover Footer 1h!i!•mlu'.n!!-mb-2�lPH��lnn�!!-btt12;//hg.na.2ov n�•=�-:.• qgny a. BOP- 003.0304R5, Headquarters Approval of Con/met Actions Process (CAP), dated 08-08-07. b. BOP-003.0601, NNSA Contractor Human Resources (CHR) Policy Guidance, dated 1 2 c. 04-28-06. BOP-003.0601Rl, Contractor Human Resources (CHR) Policy and Approval of Actions Process, dated 05-18-11. d. BOP-003.0506, Coordination and Approval Process (CAP) for Personal Property Action, dated 06-28-05. I 2 4 (new) added BOP 540.6, Acquisition Coordination and Approval Processes, dated 3-18-15 SUMMARY OF CHANGES. Changes were made to Appendix 1, Appendix 1 Exhibit I, Appendix I Exhibit 2, and Appendix 4 due to personnel updates, consistency corrections and changes in the following regulations: • 10 CFR 600 was SttRerseded by 2 CFR 200 UNIFORM ADMINIST R ATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL A WARDS as amended by 2 CFR 910 of the same title. • FAR Case 2014-022 entitled, "Federal Acquisition Regulation; Inflation Adjustment of Acquisition Related Thresholds." • DOE P 54 7. I Small Business First Policy 2 (4) BOP 540.6 Admin Chg l 5-11-17 APl-5 APl-6 APl-6 APIEl-4 APIEl-4 APIEI-4 APIEl-5 ' APIEI-6 APIEl-20 APIEl-20 APIEl-20 2 CFR 200 as amended by 2 CFR 910, 5. c. 10 CFR 600, DOE Guide to Financial Assistance, DOE Guide to Financial Assistance, Update May 23, 2013 or successor5. d. Update June 2008 or successor updateupdate (505) 845-4745 6 . Contact (505) 845-4903 Row2 Blank Col umn 3 ... when the strategy contemplates an an acquisition> $6M ... .. . when the strategy contemplates acquisition> $3M ... . . . and when the use of a single ... and when the use of a single award award BPA with a value exceeding BPA with a value exceeding $112M, Footnote 8 $103M, including any options, is including any options, is contemplated contemplated. Row2 Column >$ I SOK� $700K >$1501< � $6501< I Row 3 Column > $700K but� $13.SM > $6501< but� $12.SM I Row4 Column > $13.SM but�$68M > $12 .SM but� $62 .SM 1 Row 5 Column > $68M > $62 .SM 1 Column 15: Senior Procurement Executive RS Column 15: deleted Row3 Column 16: Deputy or Associate Col umn 16: A SAdministrator A6 Financial Assistance Instrnments Financial Assistance Instruments Title (2 CFR 910) (10 CFR 600) Column One Level Above CO none heading Column Program Official Program Official or SSA heading 2 A7 (5) BOP 540.6 Admin Chg 1 3 5-11-17 Determination of Restricted API El-20 Eligibility row heading Determination of Non- Competitive APlEl-20 Financial Assistance row heading Determination of Restricted Eligibility (IO CFR 600.6) <SIM �SIM Contracting Officer column A3 One Level Above CO column Didn't exist Legal Counsel CS Review by Independent Revie-i,11 · required for actions under and above $IM R4 Approval by HCA required under $IM A6 � $JMApproval by Program Official or SSA A6(5) Approval by Contracting Officer R3 Determination of Non- Competitive Financial Assistance 10 CFR600.6 <$1M ;::$IM Contract Specialist R2 Approval by Contracting Officer A3 Blank column Approval by Program Official or SSA< $1M Blank ;:: $IM Determination of Restricted Eligibility 2 CFR 910.126(b) Regardless of Dollar value

Contracting Officer C3 (10) One Level above CO A5 C4 Approval by Independent Review not required for actions under and above $IM so review deleted. Blank No approval by HCA (review deleted) Blank No approval required Blank Blank· Determination of Non-Competitive Financial Assistance (2), (6) 2 CFR 910.126(d) Regardless of Dollar Value R3 Approved Approval by Contracting Officer A4 (10) One Level Above CO A6 Approval by Program Official C2 No independent review Blank 4 BOP 540.6 Admin Chg I 5-11-17 Reviewed by Independent Review R4 no HCA approval Blank approved by Head of Contracting Activity < $IM A6 .:: $IM R6 No.footnote APlEl-20 AP1 El-20 AP1 E\-20 Blank If 910.126(c)(8) public interest used row heading Solicitations and Awards row heading Deputy of Associate Administrator < $IM (6) .:: $1M (5) Just used footnote (6) for public interest blank Solicitations and Awards (7), (8), (9) If910.126(c)(8) public interest used Program Initiator PI Contract Specialist R3 Contracting Officer A4 (10) One Level Above CO A9 Program Official C2(5) Legal Counsel CS Independent Review R6 Head of Contracting Activity N7 Deputy or Associate Administrator S8(6 Solicitations and Awards (2), (7), (8), (9) Contracting Officer Signature S6 Contracting Officer Signature SS Independent Review PAS PA6 $$6M /'OWAP1E1-20 Blank column One Level Above CO Column (1) HCA approval if.footnote (8) applies No HCA approval required API El-20 >$6M Head of Contracting Activity (8) Blank Pricing assistance requirement for all Pricing assistance requirement for APlEl-20 Footnote 2 new awards exceeding the threshol_d set all new awards exceeding $SM forth in CSG 15 .4. Approved, prior to award, by the responsible program Assistant Secretary, Deputy Administrator, or official of equivalent authority and the Concurred in by the responsible AP!El-20 Footnote 5 Contracting Officer. The approval program technical official. authority may be delegated to one organizational level below the Assistant Secretary, Deputy Administrator, or official of equivalent authority. 4 BOP 540.6 Admin Chg I 5-11-17 APJEl-20 Footnote 6 , APIEl-20 Footnote 10 AP1E2-1 Line 3 APJE2-l Legend APIE2-1 Legend AP4-4 i. and j. AP4-4 k. and I. AP4-4 6. CONTACT 5 i f the authority being used is 2 CFR 126 If the authority being used is l O CFR (c) (8), public interest, that · 600.6(c)(8), public interest or determination must be approved by the supports an Earmark, the DNF A mus responsible Program Assistant be approved by the responsible Secretmy, Deputy Administrator, or Program Assistant Secretary, Deputy other official of equivalent authority. Administrator, or other o.fficial of Signature can be on the Coordinatio11 equivalent authority. If this is the case, the review procedures for greater than $IM must be used. blank 1 level above the Contracting Officer 1 level above the Contracting Officer (if CO is the substantial preparer) C-Coordination: coordinates & reviews Blank i. DOE Order 580.1 and Contractor Reqt1irements Document (CRD), Department of Energy Personal Property Management Program j. DO.E Order 580.IA and Contractor Requirements Do?ument (CRD), Department of Energy Personal Property Management Program k. Executive Order 12999 Educational Technology: Ensuring Opportunity for All Children in the Next Centwy l. Stevenson-Wydler Technology Innovation Act of 1980 (505) 845-5437

and Approval Process, CAP, or separate determination kept in file. The determination authority should be referenced in the DNFA. CO concurs with Determination of Restricted Eligibility pi'ior to award; CO approves DNF A prior to award; both require approval by CO and one level above the CO. C- Concmrence: agreement with document R-Review: reviews the document Deleted since rescinded i j. (505) 845-5950 THIS PAGE INTENTIONALLY LEFT BLANK BUSINESS OPERATING PROCEDURE BOP540.6 Admin Change 1 : 5-11-17 ACQUISITION COORDINATION AND APPROVAL PROCESSES 1,•� 1l&ll National Nuclear Security Administration NATIONAL NUCLEAR SECURITY ADMINISTRATION Office of Acquisition and Project Management CONTROLLED DOCUMENT OFFICE OF PRIMARY INTEREST (OPI): AVAILABLE ON-LINE AT: Office of Acquisition Management https;//nnsaportal,enera,i:ov/jntranetlna-mb/na-mb-20/pai:es/nnsa-polh:y,aspx printed copies are uncontrolled THIS PAGE INTENTIONALLY LEFT BLANI< d. BOP 540.6 5-11-17 ACQUISITION COORDINATION AND APPROVAL PROCESSES 1. PURPOSE. The purpose of this document is to provide acquisition professionals with the guidance necessary to successfully process procurement actions, and: a. Ensure compliance with laws, executive orders, regulations, policy issuances and procedures, and sound business practices; b. Provide appropriate checks and balances and reasonable assurances against fraud, waste, and abuse; c. Ensure.acquisitions are properly planned, based upon clear, performance-based requirements and acquired by sound business practices andjudgment, considering advice from subject matter experts, as appropriate; Drive down decision making and accountability to appropriate levels by using risk based coordination and approvals; and e. Promote streamlined acquisition processes consistent with mission, quality, and regulatory requirements. This document includes the following process areas: • Appendix 1: Non-Management & Operating instrnments • Appendix 2: Management & Operating (M&O) contracts • Appendix 3: Contractor Human Resources (CHR) • Appendix 4: Personal Property Actions CANCELLATION. BOP 540.6, Acquisition Coordination and Approval Processes, 3. APPLICABILITY. 2. dated 3-18-15. a. Federal. This applies to all National Nuclear Security Administrntion (NNSA) personnel that award contract actions,-administer the resulting contracts or agreements, or otherwise obligate NNSA or non-NNSA funds. Refer to each appendix regarding additional conditions of applicability. b. c. Equivalency. In accordance with the responsibilities and authorities assigned by Executive Order 12344, codified at 50 USC sections 2406 and 2511 and to ensure consistency through the joint Navy/Department of Energy (DOE) Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors (Director) will Contractors. Does not apply to contractors. 2 REQUIREMENTS. BOP 540.6 5-11-17 in;iplement and oversee requirements and practices pertaining to this Directive for activities under the Director's cognizance, as deemed appropriate. Refer to each appendix regarding any additional equivalencies and/or exemptions. 4. SUMMARY OF CHANGES. Changes were made to Appendix I, Appendix I Exhibit I, Appendix I Exhibit 2, and Appendix 4 due to personnel updates, consistency corrections and changes in the following regulations: • 10 CFR 600 was superseded by 2 CFR 200 UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL A WARDS as amended by 2 CFR 910 of the same title,

FAR Case 2014-022 entitled, "Federal Acquisition Regulation; Inflation Adjustment of Acquisition Related Thresholds", and DOE P 547.1, Sma/1 Business First Policy. 5. Refer to each appendix regarding unique requirements. 6. RESPONSJBILlTlES. Refer to each appendix regarding unique responsibilities. 7. REFERENCES, Refer to each appendix for a list of references. 8. DEFINITIONS. Refer to each appendix for a list of definitions. 9. CONTACT. Dire_ctor, Office of Acquisition Management, NA-APM-10 at 202-586-7439, BY ORDER OF THE ADMINISTRATOR: \/Ke!: ,,.Ja-(eph Waddell Senior Procmement Executive Appendices: 1. Coordination and Apprnval Process for Non-Management and Operating Actions 2. Coordination and Approval Process for Management and Operating Actions 3. Coordination and Approval Process for Contractor Human Resources Policy Actions 4. Coordination and Approval Process for Personal Property Actions 5. Coordination and Approval Process Flow Chart a. c. BOP 540.6 Appendix I 5-11-17 APl-1 APJ>ENI>IX 1: COORDINATION AND APPROVAL PROCESS FOR NON­ MANAGEMENT AND OPERATING ACTIONS AND ALL ARCHITECT­ ENGINEERING AND CONSTRUCTION RELATED ACTIONS I. PURPOSE. Ensure compliance with laws, executive orders, regulations, policy issuances and procedures, and sound business practices; b. Provide appropriate checks and balances and reasonable assurances against fraud, waste, and abuse; c. Ensme acquisitions are properly planned, based upon clear, performance-based· requirements and acquired by sound business practices and judgment, considering advice from subject matter experts, as appropriate; d. Drive down decision making and accountability to appropriate levels by using risk based coordination and approvals; and e. Promote streamlined acquisition processes consistent with mission, quality, and regulatory requirements. 2. APPLICABILITY. a. Federal. This applies to all National Nuclear Security Administration (NNSA) personnel that award contract actions, administer the resulting contracts or agreements, or otherwise obligate NNSA or non-NNSA funds and other personnel involved in processing NNSA Non-Management and Operating (M&O) contract actions, as well as M&O architect-engineering (A/E), and construction-related (e.g., actions in support of the project after achieving CD-0 through project closeout) contract actions. b. (1) The dollar amounts specified in this BOP are the aggregate amount of the · dollars related to the basic contract or agreement plus all changes made to that underlying contract or agreement to date (including all options). This is often called the potential value of the contract. This definition is in keeping with the threshold definitions in Federal Acquisition Regulation (FAR) 6.304. (2) For the purpose of this Appendix, the term "contract actions" includes procurement and assistance related actions detailed in Exhibit I, Non M&O Coordination and Approval Process Table. Unless otherwise noted, Exhibit 1 applies to Non-M&O actions. Equivalency. Exemption. If you believe you are exempt from some aspect of this BOP because of another policy issuance by NNSA, an exemption must be requested in writing b. Appendix I APl-2 BOP 540.6 5-11-17 and specifically approved in writing by the Senior Procurement Executive (SPE). As apprnpriate, specific actions may be waived by the Head of the Contracting Activity (HCA). 3. REQUIREMENTS.

a. All organizational elements within NNSA responsible for contract actions must comply with the NNSA CAP Table (Exhibit I) unless they have obtained a specific written exemption from the SPE, or a written waiver from the HCA in accordance with paragraph 4.a.(3). Head of the Contracting Activity Coordination and Approval. (I) The Deputy Director, Office of Acquisition Management, NA-APM-10, is the HCA for all Non-M&O contract actions, M&O construction actions, and M&O A/E actions regardless of dollar value. NOTE: For the purposes of this Appendix and Exhibit 1, HCA authorities and responsibilities for "non-M&O contract actions" also include M&O architect-engineering (A/E), and constrnction-related contract actions. (2) The HCA may reserve the right to require coordination and approval of actions at their sole discretion, regardless of the estimated dollar value. (3) Those involved in a review of contract actions may vary depending on the action being reviewed. Participation may include legal, small business, and/or prngram office representation and other members as may be appropriate for a given action. (4) HCA approval ofNon-M&O contract actions may be based on oral exchanges during formal briefings from the Contracting Officer to assigned staff, Briefings and exchanges will normally focus on strategies, approaches, methodologies, evaluations, assessments and decisions associated with contract actions. Following the briefing(s) the Contracting Officer shall document the outcome of the discussions in the official contract file. In addition, the documents submitted for HCA approval shall be placed in the contract file in their final form along with the signed Coordination and Approval Document (see Appendix 1, Exhibit-2). (5) HCA approval ofNon-M&O contract actions and subcontracts will be based on reviews of documentation as well as strategies, approaches, methodologies, evaluations, assessments and decisions. (6) The HCA will provide an approval decision within five working days after conduct of oral briefings or receipt of requit·ed supporting documentation. In the event that additional time is required to review complex or novel requirements, the Contracting Officer will be notified of the delay, the rationale, and the expected length of delay. (7) a. BOP 540.6 Appendix 1 5-11-17 APl-3 Contract actions shall not be executed until the appropriate approvals in this BOP have been received. A record ofreviews and approvals shall be included in every acquisition 01· financial assistance file that requires approval beyond the Contracting Officer; and, the Coordination and Approval Document may be included in each file that requires review or approval. An individual Coordination and Approval Document is not required for every action requiring review or approval if proof of the review and/or approval is otherwise evident. (8) For the review and approval process, copies of all documentation suppo1'ting the contract action must be submitted to the appropriate office. Documents to be submitted should be supportive of the particular action and the particular acquisition phase. 4. RESPONSIBILITIES. Deputy Director, Office of Acquisition Management, NA-APM-10: (I) Establish policies, processes and procedures for Non-M&O contract actions. (2) Ensure that all Non-M&O contract actions represent good business decisions for the NNSA and are supported by quality documentation.

(3) Coordinate or approve Non-M&O contract actions in Exhibit 1, or waive coordination and approval requirements for specific actions on a case-by­ case basis. b. Non M&O Policy and Oversight Branch, Acquisition Policy and Oversight Division, NA-APM-141, or in the case of M&O Construction or Architect­ Engineering actions, the Constrnction and Specialty Acquisition Branch, NA­ APM-123, as applicable: (I) Perform independent review/coordination of Non-M&O contract actions requiring HCA or Senior Procurement Executive (SPE) approval. (2) Provide advice and assistance to the Contracting Officer to ensme contract actions represent good business decisions for NNSA and reflect high quality work products. (3) · Forward all Non-M&O documents to the HCA or the SPE for coordination or approval in accordance with this BOP. c. Field Office Managers/Deputy Field Managers or Designee (e.g. Business Manager) or Program Offices, as applicable: (I) Implement this BOP for contract actions under their cognizance. This responsibility extends to assuring independent review of actions so that Appendix 1 BOP 540.6 APJ-4 5-11-17 individuals responsible for initiating an action do not coordinate on or approve the action. (2) For contract actions for which they have cognizance, perform the duties specified in applicable acquisition regulations as being performed at a level above the Contracting Officer or a level above the Substantial Preparer, as applicable. (3) Perform the "Manager/Field Office" duties specified in Exhibit I (Note: Some actions may require a Contracting Officer Warrant). d. The Office of the General Counsel, NA-GC (or, in cases where the contracting action originates at a field office, the Field Office Counsel), will provide a single set of coordinated advisory comments regarding legal, fiscal, and patent input. e. Contracting Officers, Office of Acquisition Management, NA-APM-10, APM, or Field Offices: (1) Ensure contract actions represent good business decisions for NNSA and reflect high quality work products. (2) Ensure that contract actions are reviewed and receive the level of coordination and approval as required in Exhibit 1 of this BOP. (3) Ensure that copies of all necessary file documentation and any additional supporting documents are submitted through the Non M&O Policy and Oversight Branch, NA-APM-143 or in the case of M&O Construction or Architect-Engineering actions, the Construc,tion and Specialty Acquisition Branch, NA-APM-123, for submission to the HCA or the SPE, as applicable. (4) Plan the solicitation, evaluation, and award of contract actions in a manner that precludes the need for expedited coordination and approval. (5) Resolve comments at each level prior to submission to the next higher level for review. After legal review takes place, if substantive or fundamental changes are made to the package as a result of subsequent reviews, the reviewing attorney will be notified of the changes to ensure the legal sufficiency of the action is not impacted. Ultimately, the Contracting Officer is to ensure this notification takes place prior to issuance of the action. (6) The Contracting Officer has the authority to resolve comments, unless approval at a higher level is required, in which case, the approval authority that must agree with the disposition of comments. (7) Ensme that contract and financial assistance actions have been fully coordinated through appropriate functional experts as necessary prior to

BOP 540.6 Appendix I 5-11-17 APl-5 submission to the HCA or SPE. Subject areas requiring functional coordination may include, but are not limited to: (a) contract law, (b) financial assistance law, (c) appropriations law, (d) intellectual property, (e) real and personal property, (f) contractor human resources, (g) small business issues, (h) environmental, safety and health (ES&H), (i) National Environmental Policy.Act (NEPA), U) DOE special authorities (e.g., barter, loan, guarantees), and (k) NNSA implementation of DOE Order 413.3B "Program and Project Management for the Acquisition of Capital Assets," or successor Order, as applicable. (8) Contract actions shall not be executed until all the appl'Opl"iate coordination and approval steps in this BOP have been flCComplished. Where the review from a particular element is only to be conducted on a random basis (as opposed to 100% of the time), there will be a footnote stating such (see the NNSA CAP Table at Exhibit 1). In this event, the Non M&O Policy and Oversight Branch will utilize a sampling plan to determine whether the individual action will be randomly selected for review unless excluded as noted by the footnotes (e.g., Constrnction & A&E actions, Source Selections). Otherwise, all coordination and approval requirements are mandatory l 00% of the time for that category of action unless exempted from review by the footnotes ( e.g., subcontracts that fall within the approved Field Administrative Contracting Officer approval thresholds). 5. REFERENCES. a. Federal Acquisition Regulations, Title 48 CFR Chapter l b. Department of Energy Acquisition Regulations, Title 48 Chapter 9 c. 2 CFR 200 as amended by 2 CFR 910, Financial Assistance Appendix I BOP 540.6 APl-6 5-11-17 d. DOE Guide to Financial Assistance, Update May 23, 2013 or successor update e. DOE Acquisition Guides f. J?OE Acquisition Letters g. BOP-003.0303A, Contracting Authorities, February 5, 2009,.,or successor update h. Designation of Authority and Delegation of Authority Order No. 00-003-01 D to the Deputy Associate Administrator for Acquisition and Project Management October 28, 2013 or successor Designation/Delegation i. Designation of Authority and Redelegation of Authority to the Director, Office of Acquisition Management, February 09, 2014 or successor Designation/Delegation J. Designation of Authority and Redelegation of Authority to the Deputy Director, Office of Acquisition Management, February 09, 2014 or successor Designation/Delegation k. Contract Specialist Guide (CSG) 1.6, Review of Acquisition and Financial Assistance Actions, April 29, 2011 or successor update 6. CONTACT. Deputy Director, Office of Acquisition Management, NA-APM-10,at (505) 845-4745. Exhibit I: Non-M&O (Including all Architect and Engineering and Constrnction-Related Actions) Coordination and Approval Process Table Exhibit 2: Coordination and Approval Document BOP 540.6 Appendi x I Exhibit I 5-11-17 APIEl-1 APPENDIX 1, EXHIBIT 1: NON-M&O (INCLUDING ALL ARCHITECT AND ENGINEERING AND CONSTRUCTION-RELATED ACTIONS) COORDINATION AND APPROVAL PROCESS TABLE TABLE OF CONTENTS Synopses, Pre-solicitation Notice Requirements and Source Selection Authority ................2 Simplified Acquisitions, Commercial Buys, and GSA Schedule .......................................... 3 Acquisition Plans ................................................................................................................... 4

Justification for Other Than Full·and Open Competition/Limited Somces, Exception to Fair Opportunity ................................................................................................................ 5 Small Business Waivers and Small Business Reviews .......................................................... 6 Solicitations and A1nend1nents .............................................................................................. 7 Mistakes in Bid ...................................................................................................................... 8 Cancellation of Invitation for Bids/Solicitations, Rejection of all Proposals ........................ 9 Organizational Conflicts of Interest ...................... :................................................................ I 0 Selection/Evaluation Docmnents ........................................................................................... 11 Pre-Negotiation Plans ............................................................................................................ I 2 Contract A wards .................................................................................................................... I 3 Protests................................................................................................................................... 14 Modifications ......................................................................................................................... 15 Terminations .......................................................................................................................... I 6 Extraordinary Contractual Actions and Waiver for Submission of Cost or Pricing Data ...... 17 Purchasing System Approvals, Precontract Costs and Ratifications·: ................................... 18 Subcontract Consents ............................................................... .-............................................. 19 Financial Assistance Instruinents ......... : ................................................................................. 20- Interagency Agreements and IA Modifications ..................................................................... 21 I (2) Appendix 1 Exhibit I BOP 540.6 APIEI-2 5-11-17 Synopses, Pre-solicitation Notice Requirements and Source Selection Authority (SSA) ACTION CODES: A-Approvnl C - Concurrence N - Notification I' - Prcparntion R - Review & Comment S - Signntm·e PA-Post Awnrd Review Numbers reflect order in which to nccomplish nctions. ... 0 E e bO e � .s"' -= ·;;; ... A:: /l-, E �o e /l-, � = ·;;;" ... � .. bO = .. "' = j� �.. <> 0 ;,. '0 < c:: 0·.:: -= .. C. E 0 u .. •:a .. ·.;.. C. V) ... " !l = 0 u ..... u E 0 bL = -� e i: 0 u < V) V) ... 0 -; ·;; IE 0 E f 01) 0... /l-, .;"' = " 0 u i:.. 'i1 /l,,, .;"' = " 0 u .. 'iP ...:i .. u !:::... 0 '0 .; �.. 00"' = .. � i '>...� ... = ....., = .. C.., .., = ... bL = -=" !l = 0 u ., .s 'o ,€ '0 ;,. .. ·.:: ., u Ill< i:., E.,... " " £1 Ji e c:: .... � vii.:! � .. ·.; � ... < .s ... !l0 "' ?· ·;; = ·-c. e ... '0 /::)-<( < V) z �... .s t!.... <JI ·;;; ·a .., < w 0 e. ..., c = ., bO < Syno11sis/Prc-solicit11tio 11 Notices R2 (2) P l /\3 Dcsignntion of Source Selection Authority FAR 15.3 All Other Procurement Actions Pl R2 ( I) S3

(I) If the S11bst11ntial Preparer of the document is the Contrnet Specialist, the Contracting Oflicer's coordinntion and review will suffice. However, if the Contrncting Officer is the Substantial Preparer of the document, coordination nnd review must be neeomplished nt lenst one level nbove the Contrncting Officer. When nny Sources Sought/Requests for Statements of Capability nre included in the Synopsis, the nnnouncement must include Smnll Business Progrnm M111mger review and coordination. BOP 540.6 Appendix l Exhibit l 5-11-17 APlEl-3 Simplified Acquisitions, Commercial Buys, and GSA Schedule (Solicitation, Amendment and Selection) (7) ACTION CODES: A-Approvnle C-Conc111·1·encce N- Notification P - Prcpamtio1i R - Review & Comment S - Signnture PA-l'ost Award Review Numbers renect order in which to nccomplish actions. Simplified Acquisitions (5) Commercial Items and Sm•ices (FAR 12.6) :5 $6.5M (5) (6) 0 s �D e t .s., '.Q ·a.... �"" E � �D 0 i:l ..... 0 .la p., > "0 -; "' < ·;:; � .. = = C. 0 ·i;; V)�::s ... ...� ,.. � .. ..�D C. f .. = E 1: E '" 0 0 V) � V u Pl Pl < V) V) ... .. .. 0 '-' -;li3 ·.:i ..0 "' co IE s:: s:: 0 ::s 0·.:: '-' e V...f� = co = . ..... 0 e .. V p., p., S2 R2/ S4 cl"' = ::s 0 V -; "fP� R3 (3) co = .. � � '-' '-'�IS .. 0 ·:: � .. = "0 0�... u] = .. ..It "0 -s = .... c�o .. 0 .. C. = ... ., "0 �� .. '-' = � .... ::i: < PAS ..... = .. s .. ... ::s u e � p., � .2 e � � VJ l"1 ..... .s '-' � ... "' 0 < ... ...0 �"' �-·a ::s ·-c.E .. "0 A< < V) �... .s � .la s:: ·s "O < '"' e, "0 . .,.. ::i: ;., = �o < GSA Schedule Bu1•s (includini: orders issued agninst BPAs) with n SOW (Services) Pl R2/ R3 S5 (2) R4 (3) Best Vnluc < $1M > SIM but :5 $6Me >$6M Pl -- --- Pl -- R2/ R3 S5 V ---- _.QL R R4 SG (2) _J!l__ R4 _QL R5 PA6 --- R3 - -·-- With n SOW (Scl'Vices) Low Price ffechnicnlly Pl S2 Acceptable Any$ Vaine -- --- ··-- -- Without n SOW (Supplies)· Pl S2 (I)e If the Substantial Preparer oflhe document is the Contract Specialisl, the Contracting Ofiiccr's coordination and review will suffice.e However, if the Contracting Officer is the Substantial P.-eparcr of the document, coordination and review must be accomplished at lenst onee level above the Contracting Officer.e (2)e If relevant issues wnrrnnt such review as determined by the Contracting Officer.e (3)e For actions :5 $6M, if relevant issues warrant such review as determined by the Contracting Officer. Exception: For actions> $1M but:$e $6M, a post award legal review is mandatory if the action is selected for post award independent review.e (4)e Independent Review required only if selected based on random sampling, the frequency of sampling being determined based on an HCAe approved sampling plan which takes into account the prior track record of the Section or Branch. Architect-Engineering and Constructione for Capital Asset Projects, nnd Source Selections (i.e., where a Board or Panel is established) over$ I OM are excludet! from randome sampling.e (5)e If the requirement is for the rental or leasing of space, a Certilied Realty Specialist shall perform the action (quasi-real property actionse such as apartment lease <I year, lease/temporary storage unit, not including warehouses, may be acquired via purchase order - ref. Reale Property Desk Guide).e

(6)e Commercial Items: This is applicable ·10 acquisition of supplies or services that meet the definition of commercial items, covered by FARe 12.6 and docs not include acquisitions conducted under Part 8. If greater than $6.5M, the Solicitation & Amendments,e Selection/Evaluation Documents and other applicable tables shall be used for coordination and approval.e (7)e If an amendment makes significant changes to the acquisition strategy or any significant changes to the solicitation, review is required ine accordance with this page of the CAP. Otherwise, no review is required above the level of the Contracting Officer.e � ... � = � � ... .... � -- (3)e (9) RS Appendix 1 Exhibit I BOP 540.6 APlEl-4 5-11-17 Acquisition Plans (All Non-FFP Contracts (1) Including Master, Federal Supply Schedules, Blanket Purchase Agreements, GWACs, Utility Contracts and Energy Savings Performance Contracts including Utility Energy Services Contracts (UESCs) and Power Purchase Agreements (PPAs)) (7)(10) 11)(12) 13) ACTION CODES: uA - Approval E < bOC - Concurrence 0 E =V)., V) .. .. -::N - Notilicntion f <u ...= ef = uE bO fi .." :: V) Gi'0 ..P- Prepnrntione f 0 IS ..u 0 .. .ta 0,!:!'> 0 bO ... ;> 0'; E uR - Review & Comment .... "0 '; IE ... ..< ·.:; t "' = 0·.:; tl "0 � _g .. e "0i::i::0 "' .iS - Signatm·e u.i ...= l ::, .� ]SIE C = bO 11 ., • OI 0 ::,PA-Post Award Review C .. u .. ..0... 'vi 0 0 1:1-:: V) ,s·.i:: "0OI ::, 0 ti C .. C. .... .... E .:a ;.,C-:: jl) .::., .,bO u ..= u 0e = -G' 'i: ·a "" OI C. ·- � 1:1 u 1:1 ·-Numbers reflect order in sC C., ,i�D "C ·e " u ,i E = ... bO0 = ... ""E"0 � OI ., � ., "0 ..., bO0which to nccomplish OI .....i::i:: E' 0 0 = u V) �::cl-"1/lo,, ... ,.;j - A< < </lo,, V)' u uactions. Aeguisition Plans R3/R4 (9)R2 (4)e Pl PA6AS (8)(3)<S6M (5) (6) ·-- ---- ·-- -- --- �S6M R2 R4 (4)e R3/ Pl R6A7 (8) (6) (I)e (FAR 7.103) A written plnn is not normally required for firm-fixed-price contrncts but may be required as appropriate,e (2)e Independent Review required only if selected bnsed on rnndom sampling, the frequency ofsnmpling being determined based one 1111 HCA npproved smnpling plnn which takes into account the prior track record of the Section or Branch. Architect-Engineeringe nnd Construction for Cnpital Asset Projects, and Source Selections (i.e., where n Board or Pnncl is estnblished) over $1 OM oree excluded from random sampling.e (3) Coordination is required if the action proposes the use of other than full and open competition (FAR 7.104(c)).e (4) The planner shall coordinate the acquisition plan or strategy with the cognizant small business specialist when the strategye contemplates an ncquisition � $3M, unless the contrnct or order is entirely reserved or set-nside for small business under Part 19.e (5)e A milestone list from the contract writing system serves ns the Acquisition Plan for actions less than $6M if n milestone is inserted referencing determination in backup file that meets requirements of 16.103(d)(I) regarding contrnct type. (6) Acquisition plnns for other than Firm Fixed Price conlrncts shall be approved al least one level above the Contracting Officer.e (FAR 7.103(j))e (7)e For Utilities and Energy Snvings Performance Contrncls/Orders, regardless of dollar value, acquisition plnns shall follow thee snme npprovul us if� $6M. Compliance with the DOE Sustainability Order 436.1 is required for nil utility contracts lo includee �PC&

(8)e Note: Determinntion & Findings (D&F) are also required for various types of contracts. The HCA is required to approve the D&F for, but not limited to: Time nnd Mnlcrinl conlrnct when the bnse period plus any option period exceeds three years; the usee of incentive and nwnrd fee conlrncls; two�slep sealed bidding; the use ofmulti-ycnr contracts; and when the use ofn single nwarde BP A with n value exceeding $1 l 2M, including any options, is contemplated.e (9) The total of the basic and option periods/quantities shall not exceed 5 years in the case of services/supplies (FAR 17.204(e)).e (Ref. DOE AL 2010-05, or successor policy, the Senior Prncuremcnt Executive shnll approve the Acquisition Plan.)e (10) Orders issued against BP As are subject to the same coordination and approval requirements listed above; however, n strenmlincde Acquisition Pinn nddressing clements that have clmnged for orders issued under the BPA is acceptable.e (11)e II is recommended that legal be invited to any ncquisition planning meetings, so that they can assist in identifying nncl resolvinge any foreseeable issues.e (12)e For acquisition plans nssociated with A/E and Constrnction projects �$SOM, compliance with the DOE Order 413.3B, ore successor Order, is required.e (13)e The Personal Property Brunch must be consulted with for those actions that might involve personal property.e � ., ·.:: � ,:: � ... � < � � .. � "' -� = � R5 BOP 540.6 Appendix 1 Exhibit I 5-11-17 APlEl-5 Justification for Other Thari Full and Open Competition, Limited Sources Justification, Sole-Source (including Brand Name) Justification for an Exception to Fair Opportunity (FAR 6.304, 8.405-6, ACTION CODES: A - ApJll'OVlll C -Concnrrcncc N - Notificntion P- Pl'cpamtion R-Rcvicw & Comment S- Sig1111tt11'C PA-Post Awnrd Review Numbers reflect order in which to accomplish actions. >$1501( < $7001( .. IE <I 0 E fo 0 .. t g ., ,:: ....·a ,:.... Pl 13.501, 16.505 <s (/) (/) .. e � bO 13 ... .. 0 "' ., 0e ...i:,. :; IE u "' '0 ] .;·;; < "'.. 0rl 1:3 s:s: I>, ens: 0 0 :::,V) s:·;;;= .. ,:: 0 ... ·.:: a u t) = .. ., ...!! !! I>, e s:co �Ol C a = u = u 0 0 00 .. .,u u�:; u ,:.... i:,. A2 (3) .. ·£ = '-' .,co = ., <I <I IE .. e... <> = ., 0 0 'f s: E ·.. 0 ., e, cl :5! ... u = � � g '0 ., < ...s: � '-' .. e n '0 ,s e 0� fl ::i::0 = i:,. .!!I ., 'o lu �n .. .e,·a s: c., Q, 0 = ·- = .. '0 '>-; s: ·; "" a ·e' '0 ij tl ., .. '0 '0 co., .... = ll:< (/) �< < <...i t>O 2: ., R4 R3 R5A6 R2> $7001( but :S $13.SM Pl (2)(I) R3R4 ASR7 R2> $13.SM I.mt :S S68M Pl R2R7>$68M Pl R6(2)(() R3R4 (2)(() R5 RS A9R6 (I) Ifthe Substantial Preparer of the document is the Contract Specinlist, the Contracting Officer's eoordinntion and review will suffice for lhis requirement. However, if the Contracting Officer is the Subslantial Preparer of the document, coordination and review must be accomplished at least one level above the Contracting Officer. (2) A separate Progrmn Official coordination is only necessary if the PR·lnitiator is someone other than the primary progrnm representative. (3) Use ofthe exception at FAR 6.302-7 Public Interest requires Agency Hend determinution und is not redelegablc. -� � � � � � � � � � -� � � � ... --- --- --- --->$3M >$3M (3) Appendix 1 Exhibit 1 BOP 540.6 APlEl-6 5-11-17 Small Business Waivers and Small Business Reviews (4) ACTION CODES: A-Approval C-ConeUl'l'CllCC N - Notification P - Prcparntion R-Rcvicw & Comment S- Signature PA-Post AwRl'll Review

Numbers reflect order in which to accomplish actions. .,.. IE 0 a e e oc 0 .. ] "' /l. a e 0.(, 0 ... /l. "' ,:: ·;;; :s t � b = .. C\1 C rn a� � E ., 0 i> "O --r. C 0 .::: .:::., c:,. a 0 u ... .:a -a ·;:;., c:,. rn .. b <,I ,:: 0 u ....,.. !,::.... 0 oc ,:: £ ,:: 0 u ... :s 0 .. IE 0 a e oc 0... /l. S11111ll Bnsincss Wnivcrs R2 P lR3 �$1501( but�$31H .;"' C :s 0 u ... C., /l. .;"' C :s 0 u -;; 'iP ,-l "O .; ., oc <'I C <'I ., i:.. "O C., c:,. ..s "O ., e = oc C ·.i::.. 0 u ., i3 "ot "O ·s: �t ::Z::< A4 i:;i' 0 i:;i' e, 0 ;:; e, t;tJ !--< I:) < ,z C � ·E ., ::,..., i:.:i.. C., a t ::,.. 0... i:i... ... 0 ·;;.. rn .!: u �s ,. e 0 .."- .o'i: = ·-c:,. E .. "O I:)< R3 R2 P l R4 (2) A5 --· --- -- -- -··- Snrnll Business Review (DOE Form 4220.2} �SI50K but�$3M Pl Sil ( I) R2 S3 -- S4 R5 R6Pl R2 S3 (2). (I) (I) Requires SBA concurrence on DOE F 4220.2 if not set-aside under a small business socio-economic progrnm. (2) Includes DOE OSDBU review if> $3M and was not exclusively reserved or set-aside under a small business socio-economic progrnm. (3) Includes DOE Advanced Planning Acquisition Team (APAT) Review if>$100M. (4) Small Business Wnivers nnd Small Business Reviews should be worked concmrcntly. � � --- -- � ., � � .... = -- -- --- ---- -- --- BOP 540.6 Appendix 1 Exhibit 1 5-11-17 APIEI-7 Solicitations and Amendments (e.g., Non-Competitive/Competitive FAR 12, 15, 16.505, 35, 36) (5) (6) (7) (8) (10) (11) (12) ACTION CODES: A-At>JJl'OVnlt C - Concnl'l'encet N - Notificationt I' - I' 1·e1mrntio11 R-Revicw & Comment S - Signnturc PA-Post Award Re\'icw Numbers reflect order in which to occomplish nctions. Drnft and Final Solicitntions & Amendments (Excludes supply items) :5SJM > $JM hut :;,$6 Mt >$6M ., <0 VJE .... .. VJ .. E �o rl ... .. .. 0e f! 0 ,\a ....bO f! /l,, � .;:s Ii:!.,, ·;:;.., 0 = < .. .,,� C !S i:: "' bD 0 = VJ C.8 E u 0... '.:I(II .., ....':: .f e e�! 0 "' '2 e ... i::... bD.... 0 ... ..i= C 00 0 ... (II u u /l,, /l,,/l,, ]i u E R2/ R3Pl S5 (2) ··--,__ --,__ R2/ R3Pl (2) S5 (I) R2/ R4Pl (2)S6 (I) .., l:'3 t 0 't '0 �.; .; ..."' i:: � ... C = ., '0=0 u bD ... (II "' .; = ... (II '0'iP ..,J R4 (3) R4 PA6(3) R5 R3 bO .c ':: .... £ C 0 u ... ,.Cl �i '0 f(II . ... t:i: .. (9) --·- (9) (9) ., ·S= r!l .... .. .... < C 8 VJ $ ... .I'!! 0 E .., � e.I:! 0 ' = '0 .... .8t (II /l,, ,\a .. 0 0 c "' = ::Il t· .. � 1 � ·= 0 '2 = ,;,, ·e C '0.. e-t bD VJ Q .. < < -·-- ---· --- ------ --- ·--- --- ---- (I) Ir the Substantial Preparer oft he document is the Contract Specialist, the Contracting Ofiicer's coordination and re\'icw will suffice. However, if the Contrncting Officer is the Substantial Preparer of the document, coordination and review must be nccomplished at lens! one level above the Contracting Officer. (2) If relevant issues warrant such review as determined by the Contrncting Officer or General Counsel. (3) For actions::: $6M, if rele1•ant issues warrant such review as determined by the Contracting Oll1ccr. Exception: For actions> $IM but::: $6M, a post award legal review is mandatory if tlie action is selected for post award independent review. (4) Independent Review required only if selected bnsed on random sumpling, the frequency of smnpling being determined based on an HCA approved sumpling plan which takes into nccount the priol' trnck record of the Section or Branch. Architect-Engineering and Construction for Capital Asset Projects, nnd Source Selections (i.e., where n Bonni or Pnnel is established) over$ I OM are

rexcluded fom random sampling. (5) Ifnn nmendment makes significnnt changes to the acquisition strategy or any significnnt changes to Sections Lor M of the solicitation, review is required in accordance with this page of the CAP. Otherwise, no review is required nbovc the level of the Contracting Officer. (6) The Selection/Evnluntion Plan must be submitted along with the final solicitation for review, unless otherwise agreed to by the HCA. (7) Task or delivery orders ngninst pl'iced Indefinite Delivery contracts nre exempt. New tusk or delivery orders against unpriced Indefinite Delivery contracts follow the same review requirements as new contract net ions. (8) Letter contract actions must be reviewed as if they were solicitations. (Also see Contract Awards table for D&F approval.) (9) IA W DEAR 915.20 1, approval for the use ofsolicitntions for information or planning purposes shall be obtained from the Head of the Contracting Activity. (10) For CAP purposes, n lette"r request for proposal (model contract) is considered a solicitation action under this table. (11) For solicitation and amendments nssociated with NE and Construction projects �$50M, compliance with the DOE Order 413.3 B, or successor Order, is required. 1 (12) The Personal Properly Brnnch must be consulted with for those actions that might involve personal property. ---- � � Appendix 1 Exhibit 1 BOP 540.6 APIEl-8 5-11-17 Mistakes in Bid ACTION CODES: A-Approvnl C -Concurrence N - Nolilicntion l'- l'repnrntion R-Review & ·comment S - Signnt111·e PA-Post Awnrd Rc,•iew Numbers reflect order in which to accomplish actions. Mistakes in Bid Mistakes Disclosed Before Awnrd - Appnrent Clerical Mlstal1es (FAit 14.407-2) Mistakes Disclosed Before Awnrd - Other (FAR 14.407-3 & DEAR 914.407-3) Regardless of dollnr vnlue1--_;.;_;_:c.;;__________ Mlstnkes After Awnrd (FAR 14.407-4 & 33.2, DEAR 914.407-4) ,___ R2Pl C4 (1) ,___l----l----l--�-- -- R2 R4P l (I) ...... ., :i1 Q 0 bD s 0 e E E bDc 0 u P l A2 R3 A5 ---�-----1-----1--- R5 A6R3 --·--·- (I) If the Substantial Prepnrer of the document is the Contract Specialist, the Contracting Ofl1cer's coordination and review will suffice. However, if the Contracting Officer is the Substnntinl Preparer of the document, cimrdinntion and review must be nccomplishcd at lens! one level above the Contracting omccr. -- :� --- � ----- � � >< !! � -- --- ---- -- -- R4 BOP 540.6 Appendix 1 Exhibit 1 5-11-17 APlEl-9 Cancellation of Invitation for Bids/Solicitations, Rejection of all Proposals ACI'ION CODES: A• App1·ovnl C • Concurrence N - Notification P - Prepnration R- Review & Comment S - Signnturc PA-Post Aw1ll'(l Review Numbers renecl order in which to nccomplish actions. Cimccllation of Invitn•tion for Bids Cnncellation of lnvitntions for Dids Defore Did Opening (PAR 14.209) Cnncellntion of Invilntions After Bid Opening (FAR 14.404-1 & DEAR 914.404-1 (c)) Regn rd less of dolln1• vnluc Cnncellntion of Solicitations (FAR IS.206(e)) Rejection of nll ., IE u 0 E E r! 00 �o 0.. 0 /l,. .. � V, � C 0... ·;;;"' ::, .. � ..0 = "' ] c,s " � E "' /l,. Cl)� < Cl) � ., -� .... Cl) .. 0 u .. 0 "ti > .. IE ·;:; .; V,< ·;:;.. 0 IE CC Q,, Ob 0 0 ::,en C 0... ,;: t u u 8 u f fQ,, 00 e: e s:: e: 0 !l 0 0 0 .. c,su u u /l,. /l,. Pl A2 -- -- -··-·- R2P l (I) R2/ R3Pl A6 (I) bJl .. C '.:l u IE u r!... C't � 0A:: .. :Ecl uV, 0 -� C ..C .. u .. ::, "ti -s 0 ., = ... 'o i 00"' Q,,..Ci,D "ti

� c,s li = -...:I l:i::< ---·- --·· R4 R3 A5 R4RS (2) .. ::, u.. ... < G.)'C E C/J .. "' 0E ·;:; e, ::, � � .s "'u < ... .,.. r! f ..e 01t/l,. ,\!) :,.... �·a C 0 ::, ·--=i. E ·s .,·a., .. 'tl "O 00 C/J 14 < < <( --·- --- ---- Proposnls nuder Competitive Negotinted R2Pl AS R3 (2)(I) Acc1nisitions (FAR 15.3) (I} If the Substantial Preparer of the document is the Conlrnct Specinlisl, the Contracting Onicer's coordination and review will suffice. However, if the Contracting Officer is the Substantial Preparer of the document, coordination and review must be accomplished nt least one level above the Contracting Officer.· (2) Independent Review required only ifselcctcd based on rnndom sampling, the frequency of sampling being determined based . on an HCA approved sampling plan which lakes into account the prior track record of the Section or Brunch. Architect­ Engineering and Construction for Capital Asset Projects, and Source Selections (i.e., where a Board or Panel is established) over $1 OM arc excluded from random sampling. .. . Appendix 1 Exhibit l BOP 540.6 APlEl-10 5-11-17 Organizational Conflicts of Interest ACTION CODES: A-Approval C - Conc111·1·c11ce N - Notification P- Preparntion R-Review & Comment S- Signature PA-Post Award Review Numbers reflecl order in which to accomplish actions. Organizational Conflict of Interest Evnluntlon .. u IS 0 E f bD 0 ,_ @.: � OS ·= .... i::i: /:I,, E f bb 0 ,_ /:I,, V, I'.! C·;;; = .. � � = .. .. ,:: E '" CJ}� ., � 0 > "0 < C 0·.:: ·.::... C. E 0 u ... .l!l � ·;:;., C. CJ} ... .. � C 0 u Pl ,_., u IE 0 bD C·.:: u -� C 0 u S2 (2) < CJ} ,_ 0 ;;; ·;:; l:: 0 8 e bb 0 ,_ /:I,, .l V, C = 0 u ... C....... .. /:lo, .; V, C = 0 u i .. ...l ., u IS 0 "0 .:; � .. blJ .. C .. � t 't i::i: i: .. "0 C., C. .. "0 C.... bD C � f... C 0 u .. -= ... �c -0 ·;;:� ·..:: " u :tl< .. = � � ... C � .. .ti E u 0 .. V, ,_ = "' 0 u --i: 'f0 .. .. ...0 V. /:I,, .. c•·c 0 = ·-c. E·a., .. "0 CJ} A< < CJ} z �,_ � � V, ·= '§.., < Gi' 0 e, � �' C... bD < Recommended Course ofAction fo1· significant notentinl conflict (mown prior to solicltntion FAR 9.504 Pl R2/ S6 (1)(3 R4 R3 A5 Regardless of dollar value Waiver Notwithstandini:a Conflict of Interest ---- -- --- -- -- FAR 9.503 & DEAR 909.503 Pl R2 ( I) R4 R3 A5 (I) lflhe Substantial Preparer of the document is the Contmet Specinlist, the Contracting Officer's coordination and review will suffice. However, ifthe Contracting Officer is the Substantial Preparer ofthe document, coordination and review must be accomplished ut lensl one level above the Contracting Officer. (2) The Contrncting Officer's judgment must be formally documented only when a significnnt issue concerning potential organizational conflicts ofinterest exists. (3) )fa significant potential OCI arises after receipt of proposals, the same coordination and approval will ap11ly as if·'known prior· 1to solicitation". BOP 540.6 Appendix 1 Exhibit 1 5-11-17 APlEl-11 Selection/Evaluation Documents (Applicable to FAR 12, 15, 16.5, 35, 36) (Excludes Supplies) (5) ACTION CODES: A - A11proval .. C • Concurrence "' ISN - Notification 0 s P - Prcpa rntion E E CbR-Review & E CD e Comment i:i,. e <I) S - Sig1rnturc �� PA-Post Award Review .e g OI � t Numbers reflect order in c:: = •.... which to occomplish � ]�octions. .. 1l 0 > 'ti< c:: 0 :€...., C. E 0 u - ... <II .. "' =; Ii: ·;:; .. 0 0. bD Vl c:: ... ·.c "' "' E E...i: C 0 0u u

< Vl Vl ... 0 1;" !.-::.... 0 E E CD 0 .. ""' .; <I) c:: = 0 u ... c::� OI i:i,. .. <I) c::= 0 u .a tD ,-1 .. "' IS 0 'ti .; � .. CD OI = OI � .-.. 1)1) = � ·.c 11: "' .. E·;: ... ., = 0� ... u c:: .. .. -= 'ti ... c:: .. 'c; t C. .. 'ti ·;;: 'ti n t .s ll:< ., -� -= "' .. � - < C � (J) ., ,!:! § E "' .. 0 ... ... �... e = � e g"' <- 0 ... e � ... �0 -""' V.·-... t' C ·a G' 0 :, ·- c::·e'2 ., .. fr� 'ti bD Vl A< < < Selection/Evaluation Plans (4) R2Pl (I) S4 R3 (2) PA5 $S6M ------ -·-· ---·--- --•M --- ---- --- ---- -- -- >S6M Pl R2 S5 R4 R3 Sclcction/Evaluntion Reports (6) R2Pl (I) R3 (2) PA4 $S6M ---- >S6M Pl R2 R4 R3 Selection Determination (7) IU (I) Pl/ S4 R3 (2) PAS $ S6l\l --- --- -- -- -- --- -- -- --- --- --- -- -- ·-- >S6M R2 -l'lT S5 R4 R3 ( I) I fthe Substantial Preparer oft he document is the Contract Specialist, the Contracting Officer's coordination and review will suffice. However, if the Contracting Officer is the Substantinl Preparer of the document, coordination and review must be accomplished ut least one level above the Contracting Officer. (2) For actions$ $6M, if relevant issues warrant such review as determined by the Contracting Officer. Exception: For actions> $IM but$ $6M, a post award legal review is mandatory if the action is selected for post award independent review. (3) Independent Review required only if selected based on random sampling, the frequency of sampling being determined based on an HCA approved sampling pion which tokes into account the prior truck record of the Section or Brnnch. Architect­ Engineering and Construction for Capital Asset Projects, and Source Selections (i.e., whel'e n Board or Panel is established) over $1 OM al'e excluded from random sampling. (4) The Selection/Evaluation Plan must be submitted with the solicitation for review, unless otherwise opproved by the HCA. (5) Task or delivery ol'ders against priced Indefinite Delivery contracts are exempt. New task or delivery oJ'ders awarded aguinst_ unpl'iced Indefinite Delivery contracts follow the same review requirements as new contract actions. (6) The Selection/Evaluation Repol't must be l'eviewed at the appropriate level prior to briefing the Source Selection Authority (SSA). (7) The SSA (if other than the Contracting Officer) will prepare the Source Selection Determination. The Contracting Officer and the SEB/IPT technical members, with advice from the Attorney, may assist in writing the decision. However, the SSA has the ultimate responsibility for the Selection Document. � � " � .. � � ... " "' � � ; .... � .... ·� � .. � ---- --- --- ---- --- ---- -- (I) Appendix I Exhibit 1 BOP 540.6 APlEl-12 5-11-17 Pre-Negotiation Plans (5) (6) ACTION CODES: .,..A-Approval .e;,bO aC - Concurl'ence :EC.. OI ·Eti(JN- Notificntion " < (JIE bOP - Prcpnrntion 80 "V) < ..V).. .::R- Review & e � <8 ....(J ubO OI V) /;i'0 IS .,�.. 0Comment e 0 ., OI.. u > � (J 0bO 8 ·;:; "' % 0 ,:::0 'fS- Signature "O < .!:!ISi.. ., e,0(J "O �-;:; ... Si � � 0 ...0 .;PA-Post Award u OI = "O� .,(J "s "" " c::. bO <.J.,,::: " 0Review " 0 .. ...9 ·;;; " V) u 0 = 0 " ,s� "O ., ·c e = (J .....:: (J 8 u 0 .. " ...bO .. a· ·= r!= c::. ....e OI c::.·=Numbers reflect order 0 :, ."O C-;bO.... r::: ..OI ·= 0 "' ·eOI8 C bO OI "O .. "O < bO0 0 0in which lo accomplish .. ..0.. "' OI .,8 C ::il (Jj A ◄ <u u u � "' ..:I ::E -"' V)nctions. Pl'e-Negotintion Pinn S2Pl ( 1) S$1M ·-- -·-- ---L.__ ----,___-·-

PA3S2l'I>$JM bnt:5$6M (2)(I) ---·--- R2/ A6R4 R5 R3P l S7>$6M (7)(3) (4) (I) Ifthc Substantial Preparer of the document is the Contract Specialist, the Contrncting 0111cer's coordination and review will suffice. However, if the Contracting Officer is the Substantial Prepnrer ofthe docu111ent, coordination and review must be nccomplished at least one level above the Contrncting Officer. (2) Independent Review required only if selected based on random sampling, the frequency of sampling being determined based on an HCA appro,,e<l sa111pling plan which takes into account the prior track record ofthe Section or Branch. Architect-Engineering and Construction for Capital Asset Projects, and Source Selections (i.e., where a Bonrd or Panel is established) over$ I OM ore excluded from rnndo111 sampling. (3) If patent issues exist. (4) Legal Review is only required for negotiations related to ter111s or conditions ofthe contrnct, or when the CO or HCA require advisory input. (5) Task or delivery orders against priced Indefinite Delivery contrncts ore exempt. New task or delivery orders nwarded against_ unpriced Indefinite Delivery contracts follow the same review requirements os new contrnct actions. (6) Price/Cost Estimating Brnnch, NA-APM-144, ussistance/annlysis is mandatory for nil proposals over $1M, unless otherwise waived. (7) Approval at the l'rc-negotintion level muy include a% or dollar value limit imposed by the HCA prior to negotiations. .. (4) BOP 540.6 Appendix I Exhibit 1 5-11-17 APlEl-13 Contract Awards (Including Task & Delivery Orders, Letter Contracts & Options) (5 {6)(7) ( ACTION CODES: A-Approvnl C-Concurrence N- Notificntion P- P1·cpill'ntion R-Rcview& Comment S- Signature PA-Post Awn1·d Rc,•iew Numbers reflect order in which to accomplish actions. .. u 0 e f bD 0.. � .. ] .i:i:: /l., E < .. VJ f ... VJ bD ll ...... .. 0f 0 .� u /l., � -;li3 < :a ·;;; .. 0� C g, bD li3 .5 VJ C 0 :e .... '+:I; � u u /:!:I b �"' �s s� : bDe C C:e � 0 0 0 f VJ,_ u u u /l., <i "' C ::s 0u = ........ /l., .; C ::s 0u i ..J .. u IS 0 "C -.; it., bD.. C.. � bD Cl ·.:: :I: u ., £ 't ,::: 01: 0 .... u C .... "C ,s C.."' .. "C }� .5 =..,j .. -� ::s u.. � ... ,:::.. E t:! ::s u 0.. /l., .. 0 ·= .. VJ -<........ ·;;; 0 �"' .. 0� f 0 .i c· C ·e[� "C Q .. -< � 0 e, "C ., u C.. bD-< Contract Award :,$1M >SIM but:,$6M >$GM Letter Contract- written determination (FAR 16.603-3) (4) Pl S2 �-- �-- -- ---- --· Pl S2 ·--- Pl R2/S4 R2/S7Pl (I) R4 (2) R5 (2) --- -- PA3 ---�- (3) R3 AG --- -- --- -- --,__ --- --- Use ofOt>lions Pl S2 Exercise ofOptions Pl S2 (I) Ifthe Substantial Preparer ofthe document is the Contract Specialist, the Contracting Officer's coordination and review will suffice. However, ifthe Contracting Officer is the Substantial Preparer ofthe document, coordination and review must be accomplished at least one level above the Contracting Officer. (2) lfrelev11nt issues warrant such review as determined by the Contracting Officer. (3) Independent Review required only ifselected based on random sampling, the frequency ofsampling being determined bused on · an HCA npproved sampling plan which tnkes into account the prior track record ofthe Section or Branch. Architect-Engineering and Construction for Capital Asset Projects, and Source Selections (i.e., where a Board or Panel is established) over $1OM are excluded from random sampling.

Leiter contracts and their definitizntion follow the same coordination and approval process as definitizcd contracts (e.g., Solicitations nnd Amendments and Pre Negotiation Plans tables). (5) Task or Delivery Orders against priced Indefinite Delivery contracts nre exempt. New task or delivery orders awarded against_ unpriced Indefinite Delivery contracts follow the same review requirements ns new contract actions. (6) Undefinitized tnsk orders/contract actions nncl their definitization (e.g., Pre-Negotiation Plans, etc.) arc subject to the same review and approval requirements as Letter Contracts noted above. (7) For task orders/contract actions associated with A/E nnd constrnction projects� $SOM, compliance with DOE Order-4 I 3.3B or successor order is required. Appendix l Exhibit I BOP 540.6 APlEl-14 5-11-17 Protests ACTION COJ)ES: " A-Approvnle C -Conc111Tencce N - Notificntione P - l'rcparntione R-Reviciv & Commente S- Signnt111·ee !'A-Post Award Review Numbers reflect order in which to accomplish actions. ., u lE E E bO 0 .. t .s OS ,;:: ·;;... p.. E E OS, 0 .. ll-< <I) <I) " ,::: ·:;;:, .. � <> b = "' OS r: E "' V) � � fi 0 ;,. 'O < ,::: 0 ·.:: ,;:: " i:,. E 0 u .... .!!l ] u" i:,. V) .... u � C 0 u .. " u !::.... 0 bO C ·.:: u OS .. .... ,::: 0 u < V) V) .. 0 ci ·u 15 0 E E bO e p.. .; <I) C :, 0 u 'E....... OS p.. .; <I) C :, 0 u 1° ..J " u e 0 'O .; �... bO OS ,::: OS � bO C 'll u i [!·s: .. 'E 0i:i:; .... u C " .. -= 'O .... C .. 'o t Q. .. 'O �i .., u,:::.... ::c � �·:, ... � .... C" E., .. :, u e ll-< .. 0 ·;;... V) e .!:! u 0 <I) .. "' 0...-::- .. r: 0 ....V. =c· :, ·-c,.eE ... 'O A.-,: < V) �.. 0.... .i; .!!l ,::: ·e 'O-< &i' e, 'O � :::i:: c C l>O -< l'rotcsts {FAR 33.l03/.104 & DEARe 233.103/. 104) Agency Level Protest Decision Pl R2 (I) R4 RJ S6 NS (2) All dollnr tlu·cshold� -- Decision to Continue with Award or l'crformancc Pl R2/ S7 (3) RJ N4 N5 N6 (4) Corrective Relief P l R2 (I) R4 R3 A5 GAO Level Protest Notice of Protest Pl R2 R2 Agency Report -- Pl �) R4 ---- --- RJ N5 N6 -- Decision to Continue with Award 01· Performnnce Pl R2 R5 R6R4 RJ C7 (4)( I) A8 -- -- ---- --- -- -- -- -- --- -- Decision not to Comply with n GAO Recommenda tion Pl R2 (I) R4 R3 R5 S8 A6 (5) N? (I)e Iflhe Substantial Preparer of the document is the Contract Specialist, the Contracting Officer's coordination and review wille suffice. However, if the Contrncting Officer is the Substnnlinl Preparer of the document, coordinntion ond review must be accomplished nt lens! one level above the Conlrncling Otlicer.e (2) Protest decided by the Senior Procurement Executive if:e •e Prolesler requests decision by the Procurement Executive;e •e HCA is the Conlrncling Officer nl the lime the protest is filed, h11ving signed either the solicitation where the awarde has nol been made, or the contract, where the award or nomination of the apparent successful offeror has been made;e or •e HCA concludes that one or more of the issues raised in the protest have the potential for significant impact 01i NNSAe acquisition policy.e (3)e Approvnl must be granted al one level above the Contracting Officer.e (4)e Endorsement required by the Deputy or Associate Administrator.e (5)e lfa DOE wide policy issue is involved, the Report shall be provided by the Senior Procurement Executive.e .. --- ----- --- ---- -- -- -- --- S7 (3) R3 R3 (5)n BOP 540.6 5-11-17 Appendix I Exhibit 1

APIEl-15 ACTION CODES: A-Approvnln C - Conc111Tcnccn N - Nolificntionn P- Prcpnrnlionn R - Review & Comment S - Signntm·c PA-Post Awnrd Review Numbers reflect order in which to accomplish actions. Aggrcgnte amount of modification, other thnn Funding & Administrntivc <J Ii: 0 s f bD 0,. % s ·! ·a - ci:: 0.. s e bD e 0.. V, � ·;;; :I� = <'I E C/l ,... b.. C '" ?-: " .... l:I 0 >.,, < C � .::., C. E 0u Modifications (7)(8) §: ,,; C/l ,. ,... 0-� <J '; " s ·;:; ·;:; .;.. 0 V, 'il V,C. l>O Ii: C C/l 0 = C 0 =... ·S 0 <J <J s u... uf f f... .... C bO C C " 0 ... 0 0 ,. .. Iu u 0.. 0.. � R2/ R4Pl R3S5 (2) ., u Ii: 0 .,, 'il �.. bO.. = .. � � �.. !... C.."" C., C... .,, C - bD C ·.a u J; C 0u " -;l 'o .f ]f r:i:: <l .... C.. E.,,. = <J lJ ,. -:-� i f � c,, � .:;! ,\': <J 0 • � j 0 ., t] � < < C/l � s f... V, ·a ·a.,,< � 0 e, .. ::i:: t> = ., l>O< :5$1M - -- ---· -----R2T R4 (2) R5 PA6Pl>SIM but:5$6Mn -- --··£tr -· R5 R4R3 R6Pl S7>$6M (2)(I) -----· ----- -···- Or when a Modificntion will incrcnsc the totnl R2/ S7 R5 R4R6Plvnluc lo nn nmount (2)(I) >$6M Tncrcmcntnl Funding or Administrntivc Pl S2Modificntions (rcgnrdlcss ofdolla1· vnluc) (6) (I)n Ifthe Substantial Preparer ofthe document is the Contract Specialist, the Contrncting Officer's coordination and review willn suffice. However, ifthe Contracting Officer is the Substantial Preparer ofthe document, coordination and review must ben accomplished at least one level above the Contracting Officer.n (2)n Ifrelevant issues warrnnt such review as determined by the Contracting Officer.n (3)n For nctions :5$6M, ifrelevant issues warrnnt such review as determined by the Contracting Otlicer. Exception: For actions>n $IM but :5 $6M, a post award legal review is mandatory ifthe action is selected for post award independent review.n (4)n Independent Review required only ifsclected based on random sampling, the frequency ofsampling being determined based onn an HCA approvedsampling plan which takes into account the prior track record ofthe Section or Branch. Architect-Engineeringn and Construction for C11pital Asset Projects are excluded from random sampling.n Program concurrence is not required but may be requested at the discretion ofthe CO.n (6)n Incremental Funding actions are executed by the CO, but exempt from formal Coordination ·and Approval Document (referencen paragraph 3.b.(7)).n (7)n Issuance ofa Stop Work Order shall be approved at least one level above the Contrncting Officer (FAR42.I303(b)).n (8)n Undefinitizcd modifications and their definitization (e.g., Pre-Negotiation Plans, etc.) are subject to the same review and approvaln requirements ns Letter Contracts. See footnote (6) under Contract Awards.)n Appendix I Exhibit I BOP 540.6 APlEl-16 5-11-17 Terminations (3) ACTION CODES: A-Approval C - Co11c111·1·encc N - Nolificnlion P - Prepnrntion R - Review & Comment S- Signnh1re PA-Post Awnrd lleview Numbers reflect order in which to nccomplish actions. 0 E f on e t .s "' ·.c ·c .... �� E f on e �"' � C 'jg � ,xi 0 = � ]� :l :3 0 ;>"Cl < C 0 :E .. "' E 0 u .. • l!? <ii ·.; ., Q, VJ ... <.> f i: 0 u ... .. <.> E 0 on C·.c <.> � C 0 u ..r, Cll .. 0 -; ·.; Ii: 0 8 "" .. on 0 ..� "il"' C ::I 0 u .... C .. � /1., "il"' C ::I 0 u <ii on (,I ,.J ., <.> �I:: 0 '> .. "Cl p:: "il i: ..� "Cl .. Con .. ... C. C .. .. "Cl .... C� .... on= ,:: <.> ..= f .. ....= E 0 tu ::I .. .... .s e • 'c .f � ·{ .. ::n ., jf

..r, :l Cll "' ·.; � .s �t .. � ,l!?a] C ::I . "' ·e .. "Cl A• < � 0 8 "Cl 11 ::n ;>,<.> C �n ..r, Tcnninnlions (complete or pnrtinl) & Settlement Review Donrds (SRIJs) (FAR 49, DEAR 949) Notificntion to the Senior Procurement Executive (2) -- Pl R2/ S9 R3 N4 R5 N6 N7 NS -- --- ---,_ --- Terminations Rcgimllcss of Dollnr Pl R2/ S7 R3 R5(1) R6 R4 Vnlue (I) Coordination required when patent issues exist. Termination of prime contracts fo1· the operation of Government-owned facilities requires 'the transfer of intcllcctunl properly to the successor contractor and clearance through Pntent Counsel. (2) IA W DEAR 949.101, the Senior Procurement Executive shall be notified prior lo Inking nny net ion to tcrminntc (11) cont mets for the operation of Government owned facilities, (b) nny prime contract or subcontract in excess of$10 million, mul (c) any conlrnct the termination of which is likely to provoke unusual interest. (3) IA W DEAR 949.111 Review of proposed settlements, The Heads of Contracting Activities shall establish settlement review boards for the review of each termination settlement or determination of mnount due under the termination clause of a contract 01· approval or ratification ofa subcontract settlement when the action involves $50,000 or more. � .. ---- -- � --- -� ... .. ... � ... --- -- -- --- ----- � BOP 540.6 Appendix l Exhibit 1 5-11-17 APIEl-17 Extraordinary Contractual Actions, and Waiver for Submission of Cost or Pricing Data ACTION CODES: A • A1lprovnl C • Concurrence e0 N- Notificntiono e en c:,P- Prc1rnrntiono e .. e il-<R • Review & Commento bO .,,S- Signntm·co t .sPA-Post Awnrd Review El .,, C1 = � ..b= C1Numbers reflect order in '.:: ....·a C1 C e C1which to nccomplish � Cl)�il-<actions. Other Conll'nclnnl Actions Extrnol'(linnry .Contrncltrnl Actions lndemniticntion 111ule1· PL 85-804 (FAR Purl 50) <$SOK >$SOK Waiver Required for Submission ofCost or Pricing Dntn in Exceptionnl Cnscs (FAR 15.403-l(c)(4)) All dolhu· thresholds C1 u -6 0 < C c:, '.:: '.::.. C. e 0u ·--· < bO Cl) Cl) .. '.:: C " u ....... .c:, -� .; 0 IE t Il " ..u 'O 'f C ..E] IE u .,, .;.. 0 .; .... 0 = IS C .,,C. bO = 0 c:, r:: = � 'O ..C u ,s .. e u .. e Cll ... = u � u C e u c:, .. s:I I). ·E e c u bO .. 'o -� C1 "'Il C ... 'O > .2 ebO c:, !! £0 C1 'O C :1 � " .. c:, c:, .. C1 .. I', Cl)u u ::; ..., :::C:< lol� ,:,.. ,-l A7R3 R4 R5Pl P2 (2) ---· --- -- -- -- -- -- --- R2 R3 R4 RSPl R2 R3 MR4Pl p>3) .!:! u .,,c:, .. <�.. e c:, ... a·a= ·-c.E ... 'O i::i<: R6 R6 < Cl) w z 0 �.. e, e -� c:, C :1 = t· 'O .... C'ii .. 'O bO< < (2) (2) R7 AB (I)o If the Substnntinl Preparer of the document is the Contract Specialist, the Coi1trncting Officer's coordination and review will suffice. However, ifthe Contracting Officer is the Substantial Preparer ofthe document, coordination and review must beo nccomplished ut lenst one level above the Contracting Officer.o (2)o IAW rAR 50.102-1 (d), regardless ofdollur nmount, nuthority to indemnify ngninst unusually hazardous or nuclenr risks,o including extension ofsuch indemnification to subcontracts, slmll be exercised only by the Secrctmy or Achninistrntor of the ngency concerned, the Public Printer, or the Clminnan of the Board of Directors ofthe Tennessee Valley Authority. Also, IAW Acquisition Guide Chnptcr 50.1, only the Secretary of Energy mny grnnt request for ex1rnordinary contmctual relief undero Public Low No. 85-804 where reliefis for indemnificntion ofnny vnlue ugninst unusually hazardous or nuclenr risks or anyo approval ofthe retroactive application of Pub. L. No. 85-804 1111d would be limited to the circumstances explicitly identified ino such Secretarial approval.o

(3)o Coordination with the Pricing/Cost Estimating Branch, NA-APM-144 is required.o Appendix I Exhibit I BOP 540.6 APIEl-18 5-11-17 Purchasing System Approvals, Precontract Costs and Ratifications ACTION CODES: A-Approval .. C - Concurrence N- Notification P- Prepnrntion R - Review & Comment S- Signature PA-Post Award Review Nulllbcrs reflect order in which to accomplish actions. 0 E I:: co 0... � g.. '.: 'i:.... � p.. E E co e p.. .,,.,,.. = 'ul ::, t� b = �.. -� �;;; e i:l 0 t < C 0 '.: '.:., C. E 0 u ...-� .. ·.:;.. C. VJ ... u I:: 'i: 0 u ..... c., IS 0 co 'B I:: ... C 0 u <. VJ VJ ... 0 ] c., IE 0 E I': bO 0... p.. -.: <I) = ::, 0 u ... C.. .... «I� 1l.,, .c ::, 0 u .. 'i,� ,.J .. c., IS 0 '0 1l �.. co.. C.. � � ·;;:.. � ... C.. '0 C.. C... '0 C - co C ·� c., i ,::: 0 u �6 '; l ... '0 f.. =: ... .... ., E f! ::, u �! 'i:� f�� e.. ·.:; 0 <I) <I) <. ... 0 �· ::, . Q.. ci � < Cl) � g i: ,; C ·e '0 < � 0 e, '0 l:l= C· C b� < Ptll'chnsing Sl•stcm Aunrovnls (Non M&O) P l A2 Prccontrncl Costs Precontrnct Costs- period greater thnn 15 days (FAR 31.205-32 nnd DEAR 931.205-32) Pl R2 (1) R3 A4 (3) N5 (3) All dollnr thresholds ll.ntificntions (FAR 1.602-3) Pl R2 R4 (2) R5(4) R3 A6 <$251( -- ·-- --- --· -·--- ------ ·-- -·- -- --- -- -- >$251( P l R2 R4 (2) C5(4) R3 R6 A7 (I) If the Substantial Prepnrer of the document is the Contract Specialist, the Contrncting Olliccr's coordination und review will suffice. However, if the Contrneting Officer is the Substantial Preparer of the doculllent, coordination and review must be accomplished at least one level above the Contraeling omcer. (2) If relevant issues wurrnnt such review ns determined by the Conlrncting Officer. (3) IA W DEAR 93 I .205-32(b)(I) Pre-contract cost authorizations shall not be used lo cover a period in excess of 15 days, unless n longer period is npproved by the HCA based upon a wrillcn finding that such un ullowunce is reasonable, and shall not be . extended or renewed. A copy ol'lhe findings shnll be forwarded to the Senior Procurement Executive at the time of approval. If prolonged coverage is necessary, n letter contract shall be issued. (4) IA W FAR 1.602-3 The Contracting Officer recommends payment nnd legnl counsel concurs in the recommcndntion. � .. .. � � �� .. .. � � � � � �µ; ·- u 0 RI/ R2 R3 nml BOP 540.6 5-11-17 Subcontract Consents A endix I Exhibit I ACTION CODES: A-Approvnl u IEC - Concurrence 0 N-Notificntion Cb OS uP -Prepnrntion E 0 .. ... 0 .la R - Review & Comment �b � "O -;f "' > < ·.;S-Signnlln·e ti .,� C C "'- OS C .-:: tl PA-Post Awnrd Review .:. 0 � ·;;; � .!2 � VJ Numbers reflect order in :::; OS "'- 8 i; C:s Of C: OSwhich to accomplish C � 0.. �Of0 0 0 .. u IE 0 "O .; .. Cb Of C pp bb C i -� 'i: .,e E"f i: i:i: 0 �u Ci: .. u .. "O ,s f .. j:l., ...C .,"'- 0 ::, · ., "O f� :l - APIEl-19 ::, C"'- E ·e .. e, J "O ... " u !:::.... 0 bb C·.:: i; u C <· VJ VJ ... 0 .; ·.; IE 0 e E Cb ., .U u -( �.. .. o 0 ·s ·- .,. E .;"' .c C 0u .... C ., ... OS .;"' C C 0u .; �b VJ < 0 .... i; .la C "O..C II:� A< "O< <l>b ..JVJ� {.) {.) {.) j:l.,actions. j:l., �nbcontract Consents {FAR44.2} Subcontract Consents, when required (Non- M&O) R2 Pl S3 :5$10M >$!OM Subcontmct Consents {DEAR 970.4401 -2} R2 Pl -·11 Jr --· S6 (I) R5 - R4 -- --- -- -- --·· --· -- Subcontmct Consents for M&O Architect & S5 A4 Engineering or Capital Construction Related Actions (2) (3)

(I) Ifthe Substantial Preparer ofthe document is the Contract Specialist, the Contracting Officer's coordination and review will suffice. However, ifthe Contracting Officer is the Substantial Preparer ofthe document, coordination and review must be accomplished at least one level above the Contracting Officer. (2) For M&O subcontract consents, Contracting Officer means Field Administrative Contracting Officer (ACO) and Legal Counsel means Field Counsel or General Counsel. (3) A subcontract that exceeds ihe ACO approval shall be reviewed by the Construction and Specialty Acquisition Drnnch (NA-Al'M- 123) and approved by the HCA. .. ... ·.: " > � � .. � � � -- --- ---- --- -- --�- --- --- --- -- --- --- -- --- ----- ----- -- -- i -� 0 Appendix I Exhibit I BOP 540.6 APIEJ-20 5-11-17 I Financial Assistance Instruments (2 CFR 910) ACTION CODES: .. A-Appl'ovnlt C - Concnl'rcncct 000 e .. ·= N-Notilicntiont f ..e 00 0 " .; .... P- Pl'cpnrntiont e e 5 0 - .... � .. .. u !B :I=.. £ C., .� !! 00 .. "" '0 > .a s .. 0 > � ·t 0 e " R - Review & Co111111ent 0 0 C S-Signnture � "' rl < ·;;., .,Q I:: " .... C .."' .. � u e= < � "' 0 � .. PA-Post Awnrd Review ·= 0 C C. 0 C 00 .. < 0 = C '0 c.. ., " .. .. :g., ., 8 .. ... e C3Restrictccl Eligibility P l R2 A5 C4 2 CFR 910.126(b) (10) Rcgnnllcss of dollnr vnlne Dctcl'111inntio11 of Non- Co111petitivc Finnncinl A4 C5 R3 interest used Solicitations and Awards S5 R3 R2/Pl R3(I)>$6M S6t R4 R5(2)t (4)(I) (I) If the Substnntinl Preparer ofthe document is the Contract Specinlist, the Contrncting Officer's coordination nnd review will suffice. However, ifthe Contracting Officer is the SubstantialPreparer oflhe document, coordination nnd review must be accomplished nl leosl one level nbcive the Contracting Oflicer. (2) Pricing/Cost Estimating Branch, NA-APM-144, assistance is required for nil new nwnrds exceeding the threshold set forth in CSG 15.4. (3) For actions$ $GM, if relevant issues warrant such review as determined by the Contracting Officer. Exception: For actions> $1M but$ $GM, n post award legal review is mandatory ifthe action is selected for post awnnt independent review. (4) Independent Review required only ifselected based on random sampling, the frequency ofsampling being determined based on an HCA approved sampling plan which takes into account the prior track record ofthe Section or Brimch. (5) Concurred in by the responsible program tcchnicnl official. (6) Ifthe authority being used is 2 CFR 910.126 (c) (8), public interest, that determination mnsl be made by the responsible Program Assistant Secretary, Deputy Administrator, or other official ofequivalent authority. Signature can be on Coordination and Approval Process ,CAP, or separate determination kept in file. The determination authority should be referenced in the DNFA. (7) Ifthe basic instrument was reviewed in accordance with this CAP, a review ofany renewal is not required unless the new value causes the instrument to be greater thnn the original CAP review threshold, then that new CAP threshold would apply. (8) Project periods for both grnnls nnd cooperative agreements should generally be no longer than five (5) years in length, unless n longer project period is approved one level above the Contracting Officer. A determination and findings should be included in the award file that provides justification that the longer project period is necessary for the success of the project ifthe original or extended project period is longer tlum 5 years (n one-time no-cost extension does not require approval above the Contracting Officer).

(9) The Personal Properly Branch must be consulted with for those actions that might involve personal properly. (IO) CO concurs with Determinnlion ofRestricted Eligibility prior to award; CO approves DNFA prior lo award; both require approval one level above the CO. < IJ) � e,.. .s .,£Cl) " = ,s0 .. ti:: '2 " .. 0 0'0OS c'E t;;= 0uu ... tC.,.:I · - j!Q £ e 00 0 .....= 0·- "Numbers renect order in ,-J .. f! OS C. ·s0.. .. "" C OS.. .a C... = C.., = ·-c. E C.,00 "" a "" ;;8OS C C I.J iowhich to nccomplish OSe .. ::E '0C < "O0 0 0u u A< '0 < 00 Cl},-J ;:,; ::r:-<( .. -=0uactions. Cl} Dclcl'minntion of A6P l C2R3Assistnncc (2) (6) 2 CFR (10)910.126(d) Rcgnrdlcss of Dollnr Vnluc C2 S8lft9I0.126(c)(8) public A4 cs R6 N7Pl A9 (6)(5)(10) R2/ R4 PA6(I)(2) (7) (8) (9)t P l (3) (4) (I) $$6M BOP 540.6 Appendix I Exhibit 1 5-11-17 API El-19 lnteragency Agreements (IAs) and IA Modifications (5)(7) ACTION CODES: A-Approvnl C - Concurrence N -Notification P - Preparntion R- Review & Comment S-Signntnrc PA-Post Award Review Numbers reflect order in which to accomplish nctions. lnterngcncy Agrccmcnls (FAR 17.5, 41.206) Funds-Out Only .... 0 E �o 0.. t s OS.:: ·.; - �� E f 00 e�-"' � Q 'iii = ..... p:i 0 = OS OS C E OI v:,� a ll 0> -0 < C .g·.:::... C. a 0 (.) ... .� -; ·.:;.. C. v:, t: I: 0 (.) Pl .. .. u I;: 0 00 C -� I: C 0 (.) R2/ S3 (I) < v:, v:, .. 0 -; ·.:; IS 0 E f 00 e� .;"' C = 0 (.)... = a <'l� .; C = 0 (.) -; 'l,0 � .. u IS 0 ',:I .; �.. Ol, OS C OS ::E � ::: .!! t�... C... -0 = ... C... ',:I C..... 00 C .:: u f i= 0 (.) ... -5 'o i ��.. .. Ill< (2) ... C.. E ·f = .. e ., � .e: ..... 0 = ·c t .. >< v:, w (6) ., OS ·.:; 5: .. �E � 't a·., = ·-c.E .. ',:I i:i-ci: rll z �.. s f... .la C ·a ',:I < � 0 e, ',:I � = >, u �o < :5$1M ----- --- --- ---- -- --- -- >$1M Pl R2/ S4 R3 (3) J>/\5 (2) (6) (I) If the Substantial Preparer of the document is the Contract Specialist, the Contrncting Officer's coordination nnd review will suffice. However, if the Contracting Officer is the Substantial Preparer of the document, coordination and review must be accomplished at least one level nbove the Contracting Officer. (2) Conditioned upon Contracting Oflicer determination that no contracting or subcoi1trncting opportunities exist. If contracting or subcontracting opportunities do exist, coordination through the Deputy Director ofOAM must be accomplished. (3) For actions :5 $1 M, if relevant issues warrant such review as determined by the Contracting Officer. Exception: For actions> $IM, n post nwnrd legal review is mandatory if the action is sclectcd for post award independent review. (4) Independent Review required only if selected based on random sampling, the frequency of sampling being determined based on an HCA approved samplir)g plan which hikes into account the prior trnck record of the Section or Brnnch. Architect-Engineering and Construction for Capital Asset Projects are excluded from random sampling. (5) If the original intcrngency agreement was reviewed in accordance with this CAP, review of individual modifications is not required unless the modification adds new work not contemplated in the original award. If the basic award was not reviewed in accordance with this CAP, or the period of performance is being extended past five years, a review of the individual modification, to include the basic award, w/11 serve as the required review of the entire award.

(6) The supporting Determination and Findings (17.502-2) approval may not be delegated below the Senior Procurement Executive of the requesting agency if the servicing agency is not covered by the Federal Acquisition Regulation. (7) For interngency agreement actions associated with NE and construction projects,::: $SOM, compliance with DOE Order 413.3B or successoi· order is required. (8) The Personal Property Branch m�st be consulted with for those actions that might involve personal property. THIS PAGE INTENTIONALLY LEFT BLANK BOP 540.6 Appendix I Exhibit 2 5-11-17 AP1E2-1 APPENDIX 1, EXHIBIT 2: COORDINATION AND APPROVAL DOCUMENT • SAMPLE /HA I,W �c,il /Ill V ._, �Y-t N1tlon1I Hue/tu St<ur/ty Mmtnf,tr,Uon COORDINATION & APPROVAL DOCUMENT TITLE OF DOCUMENT: Document No. (Document should be titled to reflect the particular CAP Action requiring review e.g., "Acquisition Plan" or "Pre-Negotiation Plan", to include the Total Estimated Dollar Value of the action, as applicable.) Modification/Amendment Number Contract Type Estimated Value $ DESCRIPTION: Office: (The description should adequately describe the specific requirement and ultimate Program Office) Section/Branch: POC Name and Telephone Number: Program Office: You are requested to review the attached document and indicate your coordination/approval in the space provided. Comments/Non-concurring statements should be attached on a separate sheet. C_heck appropriate box for comments. COORDINATING/APPROVING OFFICE ORDER SIGNATURE COMMENTS DATE · (Note: A sample solicitation action is (Note: comments below. You must include the appropriate must be order required by each specific action.) attached.) Contract Specialist P1 Contracting Officer C2{S6 Yes □ No □ 1 level above the Contracting Officer * Yes □ No □ Patent Counsel (NA-GC) C3 Yes □ No □ Legal Counsel (NA-GC) C4 Yes □ No □ Independent Review C5 Yes □ No□ LEGEND FOR ORDER: The numbers reflect the 01·d�1· in which to nccomplish the review, coordinntion nnd or npprnvnl. P- Prcpnrntion: prcpures the document N- Notification: proper notification provided C - Concurrence: agreement with document S - Signnture: signs/executes the document A- Approvnl: npproves the document R •· Review: reviews the document * • Adjust consecutive order numbering, as applicable THIS PAGE INTENTIONALLY LEFT BLANI< BOP 540.6 Appendix 2 5-11-17 AP2-l APPENDIX 2: COORDINATION AND APPROVAL PROCESS FOR MANAGEMENT AND OPERATING ACTIONS I. PURPOSE. a. Ensure compliance with laws, executive orders, regulations, policy issuances and procedures, and sound business practices. The areas covered by this policy include, but are not limited to, the following: (1) Extend/Compete Decisions (2) Market Research/Requests for Information (3) Federally Funded Research & Development Center (FFRDC) Designation Approval (4) M&O Contract Type Approval (5) Acquisition Plans (6) Request for Proposals (7) Synopsis/Pre-Solicitation Wavier/Review (8) Small Business Wavier/Review (9) Amendments and Modifications (10) Source Evaluation Plans (11) Negotiation Memorandum (12) Awards (13) Protests (14) Option/Award Term (15) Buy American Act (16) Contractor Performance Assessment Reports (CPARs) (17) Ratifications ( 18) Indemnifications (19) Congressional Notification (311) (Contract Award and/or Contract Modifications) Appendix 2 AP2-2 ' BOP 540.6 5-11-17 (20) Subcontract Consents (21) Statement of Cost Incurred Claimed (SCIC)

(22) Contrnct Closeouts b. Provide appropriate checks and balances and reasonable assurances against fraud, waste, ahd abuse; c. Ensure acquisitions are properly planned, based upon clear, performance-based requirements, and are acquired using sound business practices and judgment, considering the advice from subject matter experts, as appropriate; d. Keep decision making and accountability to lowest coordination and approval; and e. Promote streamlined acquisition processes consistent with mission, quality, and regulatory requirements. 2. APPLICABILITY: a. This Appendix applies to all NNSA personnel that award M&O contracts, administer the resulting contracts, or otherwise obligate NNSA or non-NNSA funds, and other personnel involved in processing M&O related contract actions. b. The dollar amounts specified in this BOP are the aggregate amount of the dollars related to the basic contract or agreement as well as changes made to that underlying contract or agreement to date (including all options). This is often called the potential value of the contract. This definition is consistent with the threshold definitions in FAR 6.304. c. For the pmpose of this Appendix, the term "contract actions" includes procurement related actions detailed in Exhibit 1, Management and Operating contract Coordination and Approval Process Table. d. Any waiver to the overall policy and procedmes in this Appendix must be requested, in writing, and be specifically approved, in writing, by the Senior Procurement Executive (SPE). As appropriate, specific actions may be waived by the Head of the Contracting Activity (HCA). Any waivers not explicitly identified in the CAP Table at Exhibit 1 of this appendix must be coordinated through the PCO prior to submittal to the SPE or HCA. 3. REQUIREMENTS: a. All organizational elements within NNSA responsible for M&O contract actions and activities (for example, Work For Others, Work Authorization, InterAgency, InterEntity transactions, etc.), to include personnel administel'ing the M&O Contract, must comply with the NNSA CAP Table at Exhibit I unless they have BOP 540.6 Appendix 2 5-11-17 AP2-3 obtained a specific written waiver from the SPE or the HCA, in accordance with paragraph 2.d. above. b. Contract actions shall not be executed until all the appropriate coordination and approval steps in this Appendix have been accomplished and the documentation is filed in the official contract file. Where review from a particular element is conducted on a random basis, the frequency of sampling will be determined through a sampling plan, developed by the reviewing office, and approved by the HCA. The review will take into account the contract and its terms and condJtions, the Contractor and their associated performance history, Procurement System, historical subcontract reviews, Inspector General Reports, Unallowable Cost History/Issues, Statement of Costs Incul'l'ed Issues, repeat issues addressed in any of the referenced reports or Contracting Officer letters, and/or risk issues. c. All contracting professionals must comply with all DOE and NNSA orders/dire ct i ves. d. HCA Coordination and Approval Actions/Activities: (I) Unless otherwise delegated, the Director, Office of Acquisition Management, is the HCA for all M&O Contract actions/activities. Exception: The Deputy Director, Office of Acquisition Management, is the HCA for all M&O architect and engineering (A&E), constrnction capital asset projects, and these actions will coordinated and approved in accordance with appendix 1 "non-M&O CAP.

(2) The HCA reserves the right to require coordination and approval of actions at their sole discretion, regardless of the estimated dollar value. (3) Those involved in a review of contract actions may va1·y depending on the action. Participation may include Office of General Counsel, small business, finance, and/or program office representation and other members as may be appropriate. (4) HCA approval of M&O Contract actions and subcontracts may be based on review of documentation as well as strategies, approaches, methodologies, evaluations, assessments, decisions, and/or formal briefings received from the Contracting Officer at the HCA's discretion. (5) The HCA will provide an approval decision within five working days aHer receipt of required supporting documentation. In the event that additional time is required to review complex or unique requirements, the Contracting Officer will be notified of the· delay, the rationale, and the expected length of delay. (6) Contract actions shall not be executed until the appropl'iate approvals in this BOP have. been received. A record ofreviews and approvals shall be ' Appendix 2 BOP 540.6 AP2-4 5-11-17 included in every acquisition file. (7) For the review and approval process, copies of all documentation supporting the contract action must be submitted to the appropriate office. M&O documentation and M&O subcontract documentation shall be submitted to the M&O Contracting Branch. Documents to be submitted should be supportive of the particular action and the particular acquisition phase. Actions for which a Contracting Officer from the M&O Contracting Branch is the action officer, documentation shall be submitted to the M&O Policy and Oversight Branch for independent review. 4. RESPONSIBILITIES. a. Head of the Contracting Activity: (1) Establish policies, processes and procedures for NNSA M&O Contract actions. (2) Ensure M&O Contract actions represent sound business decisions for the NNSA and are supported by quality documentation. (3) '- Oversee contracting practices used by organizational elements within NNSA to ensure compliance with laws, regulations, sound business practices, and policy. b. Director, M&O Contracting Division ( l) Coordinate or approve M&O Contract actions identified in Exhibit I, or waive approval for specific actions on a case-by-case basis. Approve actions as delegated by the HCA. (2) Ensure M&O Contract actions represent sound business decisions for the NNSA and are supported by quality documentation. (3) Oversee contracting practices used by organizational elements within NNSA to ensure compliance with laws, regulations, sound business practices, and policy. c. M&O Contracting Branch, M&O Contracting Division (PCO): (I) Perform the duties as the Procuring Contracting Officer for all M&O contract awards. (2) Delegate Administrative Contracting Officer authority to other Contracting Officers in accordance with FAR subpart 42.3, Contract Administration Office Functions, and delegate other administrative functions required by the terms and conditions of the M&O contract in addition to authority, or limitations, to execute bi-lateral modifications. BOP 540.6 Appendix 2 5-11-17 AP2-5 (3) Perform independent review/coordination of M&O initiated actions, provided through the Field Office Contracting Officers, for HCA or SPE approval. Perform independent review and provide approval of ACO initiated M&O actions that exceed the M&O Contractor's and/or Field Office Contracting Officer approval thresholds as outlined in the latest Contractor's Purchasing System Approval Letter and/or the ACO Letter of Delegation.

(4) Ensure M&O Contract actions represent sound business decisions for NNSA and reflect high quality work products. (5) Forward relevant M&O documents to the HCA or SPE for coordination or approval in accordance with this BOP. Resolve any conflicts between ACOs as it relates to the term and conditions, contractor purchasing system approvals, or other actions under an M&O contract. If such actions cannot be resolved to the satisfaction of either ACO, the ACOs may request a final determination by the M&O HCA. (6). The Office of Acquisition Management, M&O Contracting Branch, is the "Contracting Office" as defined at FAR Part 2.101 and its Contracting Officers have responsibility for entering into, administering, and/or terininating contracts and for making related determination and findings. d. M&O Policy and Oversight Branch will perform independent review/coordination of PCO initiated M&O contract actions requiring HCA or SPE approval. e. The Office of General Counsel (NA-GC) will provide a single set of coordinated comments regarding legal, fiscal and patent input (subject to the Contracting Officer duties in paragraph 4.g.(6) below). f. Contracting Officers, whether assigned under the Office of Acquisition Management, APM, or the field Office: (1) Perform all duties as delegated by the PCO within the limits of their warrant authority. (2) Ensure Contract actions are reviewed and receive the level of coordination and approval as required in Exhibit 1 of this Appendix. (3) Ensure costs incuned under the M&O contract are allocable, allowable, and reasonable in accordance with Contract requirements, the FAR and DOE FAR Supplement. (4) Ensure complete file copies of file documentation are submitted to the M&O Contracting Branch or M&O Policy and Oversight Branch, for review by the HCA or SPE, as required in Exhibit 1 of this Appendix. (5) Execute, to the maximum extent possible, Contract actions in a manner Appendix 2 AP2-6 BOP 540.6 5-11-17 that precludes the need for expedited review under this CAP. (6) Notify the reviewing attorney prior to isstiance of the action, of substantive or fundamental changes that are made to the package after legal review occurs. The reviewing attorney will ensure the legal sufficiency of the action is not impacted. Resolve comments received, unless approval at a higher level is required in Exhibit 1 of this Appendix. The CO has the authority to resolve comments t:mless approval at a higher level is required, in which case the approval authority musl agree with the disposition of comments. (7) Ensure the timely processing/closing out of the M&O Contractor's yearly Statement of Cost Incurred Claimed (SCIC). (8) Ensure contract actions requiring approval have been fully coordinated thcough appropriate functional experts prior to submission to the HCA or SPE for approval. (9) Contracting Officers at the Field Offices or other locations are ACOs as defined in FAR 2. I 01 and are limited by both their warrants and delegations from the Procming Contracting Officer (PCO). 5. CONTACT. Manager, M&O Operations Division, 202-586-8838. Exhibit 1: Management and Operating Contract Coordination and Approval Process Table BOP 540.6 Appendix 2 Exhibit 1 5-11-17 AP2El-1 APPENDIX 2, EXHIBIT 1: MANAGEMENT AND OPERATING CONTRACT COORDINATION AND APPROVAL PROCESS TABLE IAC a lUN CUUJ.o;:;: A-Approvale 0 §: ... s0 iC - Concurrencee 0 � !/ �� '> N - Notlficnllone " 'D ·2 t ii- � a: � ·e"' ·c1'- l'repnrntlone � u C 0

i 0 "' all � I � 'fl 1i 0 C t?... n- Review & Commente I Jl§: � t l; 'fl c � t iii i,1i "' < "' iS - Signnluree C !i,:;' C 1 .. :a I 'll �� 'i 'D 0 C C 1 u o- .. 8- ;;< Jl 'fl C :E .. 'ti Numbers beside the letters (e.g., C l, A2) reflect c- C �8 � il " c .,ti � ·e 11 �·�:c.. 0 1/) C u .. -Se:, .. "' tl 8 Eo.. 0 � 'ti l; 'ti X Jiorder in which lo nccompiish nctions. Numbers m" 'D �i .. 'l! 8. 'o ii- ... < � if 8. Jl -� cl: e �� -� � � < within pnrenthesis, e.g. (I) indicate notes which are E � ¥i .. 'ti {I C !!,!C: :, ii .; § 8, 8 8 'ti - tl c'l z locnted nl the end of the lnble. Ill:! <� ... 0 (!) Ii: .s :c < z < z I. EXTEND/COMPETE (2)(3)e Mnrkel Resenreh or Request for infonnation Pl P2 NJ C4 N5 N7 N8 N6 R,r fAR 5.2 &: 5.2ol(,), UOE Acq 011idc Ch IU) A7 ( 18) Extend Determination Pl P2 R3 R4 R5 C6 C7 C8 C9 A/Siel NI0 R,r DEAR 970.1706,1) Compete Determination Pl P2 R3 R4 R5 C6 C7 C8 A9 N9 N9 Federnlly Funded R&D Center Designation (6) RcrFARll.017&: DEAR 970.)lOI) Pl P2 R3 R5 C7 A/S8 M&O Contract Type. Ref. DEAR ?70.llOH4)(17) Pl P2 R3 R4 R5 C7 A/S8 II.ePRESOLICITATION (2)(3)(6)e Acquisition Pinn R4 R3 Pl P2 C7 R5 R611s> A8 Rd� FAR 7.I0J, D013. AcqG11idc 7.1) SI0 C9 Juslificnlion of Other Ihm) Full & Open RS Pl P2 R6 R4 R3 C7 AS C9 S10 Competition (Ref: FAR 6.302 onil DOE Ata Gulde $.2) (20) (20) Synopsis/Prc-solicilalion Notice Pl P2 C5 N4 R3 N4 N7 N7 N7 (Rcr:t'AR'-201)(1?) A/S6 � = � !) � � <( � � "' � � � � � � � .. � :, � �� -�.. � " � -� � � � R3 Appendix 2 Exhibit I AP2El-2 ACTJUl''j \.-UlJl'.11: A-Approvnl C-Concurrence N- Nol ilicntlon P - Prepnrntlon R- Review & Comm ent S -Slgnntnre Numbers beside the letters (e.g., Cl, A2) renect order in which lo accomplish actions. Numbers within parenthesis, e.g. ( I) indicate notes which nre located nl the end ofthe tnble. Source Selection Authority kcf: IJOE Acq Gulde IS.I; ToptC II) Source Selection Board Designation (Ref. DOE Aco Guide IJ.1; Topic Ill) Smnll Business Review(!) Draft Request for Proposnl (Rcr. DOEAcq Gulde U.I: Topic XJ IH. SOLlCJTATION(2)(J)(6) Finni Request for Proposnl Amcndmcnt(s) Org Conflict or lnterest(7) Ref: DEAR 970.0J7I, DEAR 970JJ9,& DOE Acq Ouidc 9.1) 0. :; §: !!?.0 lu ·s > i.. 0:: 1J C '"' ., 0 i E C "' i C.. tl8 I tl.. "' .flJ:: §: "'e:!. il 1C C 'ii�0 C'" t! 8g ..<( 8 -:E .. il ·2 J:: C coC I e l 0 Q. 6"0'c- iii� Ill 'ii .,u0"' -f;e, C� 't> .. Q. E o. Ill ..8"' t,m " 'oil'e! 0. il'8.- g> :,.. "'·seJ:: � 8 C 0.,ggC :, 'ii 'D -8"� ii 11 tl 0 0 u: .Eu Ill C�E 0. 8 Ill (!) X <(Ill :E SSPl R2 C3 CJR3P2 SSPl R4 ASC2C3 Pl N7A6C3 RS R4Pl P2 S12 (5) R4 N7A6P2 C3 RS (5) Pl S8 C6R4P2 C3 RSPl S7 C4 R3 NSP2Pl i\6 R4Pl P2 A6Selection and Evaluation Pinn cs Re(: DOE AcqGuldc Cf1 IS.I) Competitive Rnnge Determinntion Pre nnd Post Negotiation Plnns Final Source Selection Evnluation Report (R,r, 0011 Acq GuiJc Ch I.� & IS.I) Source Selection Decision Document Pl Pl Pl Pl S7 P2 S1 P2 S7 P2 P2 C6 R4 R3 C5 C6 R4 R3 cs A6 R4 R3 cs P3 R4 R5 C6 BOP 540.6 5-11-17 iii i iii.I 't>C ....'ll X't> <( ii' C <( Ill" zz "' zz <( N4 N4 N9 N8N& NI0N9 https://UlJl'.11 BOP 540.6 Appendix 2 Exhibit I 5-11-17 AP2El-3 A.Ct IUJ'( l.,UU.I'.�: A-Approvalt C - Concurrencet N - Notlfkntiont I'- Prepnrntiont R- Review & Commentt S - Slguntm·e Numbers beside the lellers (e.g., CI, A2) reflect order in which to accomplish actions. Numbers within parenthesis, e.g. (I) indicnte notes which arc located at the end of the tnble. IV. A WARD(2)(J)(6)

Contract Award Leller Contrnct (Approval for Use) Protest (8) (Rer. D06 Aeo Guklo Ch 33.1 I I GAO level Protest Agency Report Decision to Continue with Awnrd/Performnnce Decision not to Comply with GAO Rccom,ncndation V ADi\'11NISTRA1'10N Purchasing System Approval(9) Rt'I': DEAR 970.4-IU 1-1, 970.HUI .3, 97U.,U02, & OOE Acq Guide 7U.7 (Ch IO) �70.4�) 85-804 Indemnificationt (Re[: FAR SO.JOl·lld))t I .. � c- -�12 �ili. i 0 0 !5- ;:, 8 "'' '!iC 8 tl = irn: ::, .!l "' < C �a:i iii i 5 l< �o tl C: C: ., 0 II) "O .;;:8 H·tl 8. fl .e- :, ., �E 5 � ;!: li0 0 0 <!:!. II) Pl P2 C3 SI0 Pl S4 P2 P3 NI Pl R2 Pl R2 Pl R2. Pl A3 Pl S9 §: i ·s: � ., 0: 'i 0 "' 0 C Z' .. t tl::!. 01 l; fl" 'ii.; C C !! .. C 8 < :; " g .. ii .. o 0 " = e. 8 11 e 'o;:,.. � l '0 ·s: C �tl.. 'ti (!) Ii: .s :c < R5 NS R4 C6 R2 A3 C4 NI, N5 C3 R4 C3 A6 C3 A6 R2 P2 C3 R4 RS (18) .. ., 1 ill l:" � l l; '5 II) N7 N5 C4 C4 g i ! < I'.! s I w t 1 � iii '0 E·e l; :c ,lj< �g' � C < il- !l, II) z z t:l z < z NS N9 N7 NI NI NS NS C5 N9 N7 N7 C5 NS N9 C6 C7 A8 � � .. ACTIUN COl)F.S: Appendix 2 Exhibit I AP2El-4 A• Approvnl C • Concnrrcncc N- Notilicntiono P - Prcpnrntlon R - Review & Comrncnl S - Signnturc Numbers beside the letters (e.g., C l , A2) reflect order in which to accomplish actions. Numbers within purenthcsis, e.g. (I) indicate notes which are located nt the end of the table. Contrnct Modilicntion(S)(l2) (Rcr:DOEAcqOuidc U.-1·1 &Cll-13) Subcontrnct Consent(S)( 10)( 16) Subcontract Consent grcntcr than Administrative Threshold ( I 0) (Rcr: DEAR 970.HUl·l & DOEAcq O11idc 70.7Ch I0J Determination of Allowablc/Unallowable Costs- (11)(4)(22) Nolificnlion/Communicalion lo Conlrnclor by CO of DOE 10 Report nnd questioned cosls review Determine Allowable/ Unnllownble Costs for Year Covered under SClC Close oul SCIC Report with DOEIG (R,f. DEAR 970.31, DEAR 970.4207,& DOE i\cnOuhk Ch31, 70.7(Ch 71) E f 0.. Ii c- 'ij.!:.� �m" if "':i; g <( C 0 ..,,.,, 8. 0 0 .ii " a."' tl g C 0 0 0 0� ..u 8"' C.,, ll 8 C .5 M ,I;::: <( !:!. Pl S5 Pl Pl S3 Pl A2 Pi S2 Pl S3 "' C 'i a: �E il 0 E� .. -l; Ii 8 u 0: 8 P2 �� � 'C 0 = � <( C 0 g 'ii"' .. I!� 0"' � 'ii', Z' e 'ii l!! 8 0 � .. ii \!) R2 (3) §: -� ! "' 0 0 0.. t"' .. C � .. Ii :i; t: 3 .. 'll8 8.!!.. ...., Ii: .5 R3 "' C"' u g C 8<" .. o = e.. 'ti � ii :c <( A4 S/A3 iii 0.. !!!. ., > l ,lj il E !!� e 0.. 5 'c.."' � s i ·c ·e.., <( .. ·u !� 0 � a. .. C 5 .i ·e.., <( <("' z z BOP 540.6 5-11-17 t! iii 0 �e. iii.., .. .. X sii' C .. "' "' z <( z Pi R2 S/A3 R2 R2 A4usi BOP 540.6 Appendix 2 Exhibit I 5-11-17 AP2El-5 IACllUN CODES: A - Approvnl C - Concurrence N - Notilicntion I'- Prcpnrntion R - Review & Comment s. Signnhll'C Numbers beside the letters (e.g., CI, A2) reflect order in which to nccomplish nctions. Numbers within parenthesis, e.g. (I) indicnte notes which nre located at the end of the table. Option Exercise Ref: UEAR ?70.1706,l(b) ond DOE A,q Oulde 7o.7(Ch l)) Award Term Rel': DOE Acq Gulde Ct, 1U.15) (•Appf0\ina: Official for Aword Tctm h FOO) Buy America1i Act< SIM Buy American Act> $ IM CPARs M&O Personal Property Actions: (See Appendix 4) Ratification ( <$25 K) Ratification ($25K and above) (ftcr: OF.AR 901.601-J} Contract Tcnnination (Ref: DEAR 970.2)06& DEAR 94?) E I! � I i i � < lc- !i-�c 1/)� tlal t �f 8. i � 81/l:I: 08� !8. L �" "' ·cu C 0 8 ., �u Il E "' <( C

8E C.,, 0u i!Il �88 ��e:. " ·�§: !; 8 e .h :, -o..- 0 <- 1/) Pl S9 P l S4 RI/A2 RI R2 PI/S4 Pl R2 S6 Pl S10 Pl P2 S10 §: � > � cl! 0 i Clu C L Q. tl" 8, �::!, Il 'il " C C ll " f,j 8-::e s " c .. � u .. =�II: 'O � C 'o � 0 8. 'O '>'OC 'il " l'l 'fl" 'O (!) Ii: .5 :c < R4 C2 R3 cs C2 A3 R2 C3(5) N2 C4 AS C3 N2 C4 cs RS(S) C3 C4 R6 Q. !/ � i ill il E � u e Q. -� � A7 C3 C6 R7 .I C ·e 'O <( t?" I iii ! 1 e. ;; 'i! 'O E·e i,'l s!; � i7� < <(C 2- 1/) ., �z 0 z <( z C6 AS NI0 A3 C7 cs A9 RS A9 NII Appendix 2 Exhibit I BOP 540.6 AP2El-6 5-11-17 IAC11uN \.,UlmlS: A -Approvnl C - Concurrence N - Notlficntion P- Prcpnrntlon R- Review & Comment S - Signn tnrc Numbers beside the letters (e.g., Cl, i\2) reflect order in which lo nccomplish nctions. Numbers within pnrcnlhesis, e.g. ( I) indicn te notes which are located at the end of the table. VI. CLOSEOUT(2)(3)(Mny be dclcgnlcd to Field CO) Pension Pinn( 13) (Rcr. Appcndl'< 3) Personnl Property( 14) rinnncinl Reporting( 15) OTHER: Potential Procurement Integrity Act Violnlion {Rer: DOE Aco Ouida 3:1) E � e l'.I. il jE t !f 11)::1: 0 � t '" u C B 5 'fl l'! �ti: � '" > -li ,3§:'tl u ,( l I: ii 8C 0 1/) C.,, ti c'.l ��.,, X. £: -� ff � tE C 0 .,,_ l'.I. 50 ,( t:!. Pl R2 A/S4 Pl R2 AIS3 Pl R2 A/S3 Pl ill i i ·;: � " i:, °' ·c 00 'ii '" s 0 C 2' l'.I. tl:, t �,( :::!. '" �C .; .. 0 C Ii C 'tl !! .. o- :E 0 ,( ., i: " ii .. u .; u s =-1/) 0 !E 'tl f C 'o i:, � 0 X... 'tl -,,·;: :, i .; ., l'l'fl0 'tl 1/) Cl Ii: .5 :,:: ,( R3 C2 C3 . LU �l'.I. 0!!l. .i., § 1ll ,:i ,( ii .j .I� 0 ! J ·e 6 �l'.I. 6 � ;,lj·a D.., ., z V) 0 z -� �0 e, 'il 'tl I'! � :,:: .ll il' C ;,lj'" z ,( z ·(3) BOP 540.6 Appendix 2 Exhibit l 5-11-17 AP2Et-7 (1) The Small Business Program Manager will coordinate with OSDBU as required. (2) The Contracting Officer (CO) will ensure authorized actions are executed. The Contracting Officer shall consult with appropriate Subject Matter Expert (SM) ME such as OFFM, legal and any other expert as part of their determination and local process (4) Actions originating at the Field Office level shall be reviewed by Field Office Counsel. General Counsel will coordinate with Patent Counsel. The Field CO may coordinate directly with Patent Counsel. (5) Independent Review will be conducted by the M&O contracting Branch. In the case of actions executed by the M&O Contracting Branch, independent review will be conducted by the M&O Policy and Oversight Branch. In reference to subcontract consent packages: when a subcontract consent package is reviewed by the M&O Contracting Branch, the Manager of the M&O Contracting Branch shall approve the package before the file leaves the office. Where other modifications follow a different coordination and approval process, those modifications will follow that process (I.e. key personnel changes and award term modifications would be exempt from independent review and HCA review) (6) For laboratory procurements only. FFRDC must be done every 5 years. (7) If Organization Conflicts of Interests cannot be resolved by the CO, then it must be elevated to the Head of Contracting Activity (HCA). (8) Will be worked in conjunction with General Counsel. (9) The Contractor's purchasing system may be reviewed by the PCO by random sampling of various subcontracts types, subcontract actions, and/or subcontract file documentation.

(10) A subcontract that exceeds the Administrative Contracting Officer (ACO) approval shall be approved by the M&O Contracting Branch PCO. (11) Legal review Is discretionary. An Independent review will be completed when requested by the HCA. (12) Funding Modifications do not required Independent and legal review. Terms and Condition Modifications based on FAR and DEAR published changes; and Departmental Directives Modifications require field peer review only. All other modifications that are beyond the Administrative Authorities granted under FAR 42.302 must have a field peer review and must be reviewed and coordinated with the M&O Contracting Branch PCO. (13) Must be reviewed and coordinated with the Contractor Human Resource Branch. (14) Must be reviewed and coordinated with the Personal Property Branch. (15) Must be reviewed and coordinated with the Chief Financial Officer (CFO) office. (16) All Architect-Engineering, Construction/Capital Asset Project actions conducted under M&O contracts must be reviewed and approved in accordance with Appendix 1,(Non-M&O CAP Policy) Exhibit 1 of this BOP. (17) Must be done at appropriate intervals, but not less than once every five years. (18) HCA delegated to Director, NA-APM-13. (19) Notification must take place before issuance. (20) If rationale is 6.302-Public Interest (21) Award Term Approved by Fee Determining Official (FOO). If FOO delegated to NA-2, then NA-2 is A3. (22) The determination of allowable/unallowable costs includes those costs under Statement of Cost Incurred Claimed (SCIC), as well as any other cost allowability determinations that may arise outside of the SCIC. Appendix 2 Exhibit I BOP 540.6 AP2El-8 5-11-17 • SAMPLE '" ._,_s�� ========::::::iiiCZI__________ N,1JonllHr1t111,s,,urltyAdmlnl1tnUon COORDINATION & APPROVAL DOCUMENT TITLE OF DOCUMENT: Document No. (Document should be titled to reflect the particular CAP Action to Include the Total Estimated Dollar Value) Modification/Amendment Number Estimated Value$ DESCRIPTION: Office: (The description should adequately describe the specific requirement and ultimate Program Office) Section/Branch: l'OC Nnme 111111 Telephone Number: Program Office: You are requested to review the attached document and Indicate your coordination/approval In the space provided. Comments/Non-concurring statements should be attached on a separate sheet. Check appropriate box for comments. COORDINATING/APPROVING OFFICE (Note: A sample solicitation action is below. You must include the appropriate order required bv each specific action.) ORDER SIGNATURE COMMENTS ATTACHED? DATE Contract Specialist P1 Contracting Officer C2/S6 Yes □ No □ *1 level above the Contracting Officer (If Yes □ No □ CO Is the substantial preparer) Independent Review C3 Yes □ No □ □ No □Patent Counsel (OGC) C4 Yes Legal Counsel (OGC) C5 Yes □ No □ Head of the Contracting Activity A6 LEGEND FOR ORDER: The numbers reflect the order In which to accomplish the review, coordination and approval. P - Preparation: prepares the document N - Notification: proper notification provided C - Coordination: coordinates & reviews s - Signature: signs/executes the document A- Approval: approves the document BOP 540.6 Appendix 3 5-11-17 AP3-1 APPENDIX 3: COORDINATION AND APPROVAL PROCESS FOR CONTRACTOR HUMAN RESOURCES POLICY ACTIONS I. PURPOSE.

a. Provide business and operating guidance relative to oversight and administration of contractor human resources (CI-IR) activities. Consistent with the National Nuclear Secul'ity Administration (NNSA) Functional Matrix, Headquarters NNSA through the Senior Procurem�nt Executive (SPE), issues guidance to facilitate consistent CHR administration and oversight by NNSA Site Offices and for the effective/efficient support of CHR activities by the NNSA Service Center. This policy supplements other Department of Energy (DOE) policy related to CHR. If the requirements in this BOP conflict with a specific DOE or NNSA topical directive, the topical directive requirements will govern. The CHR areas covered by'this policy include, but are not limited to the following: • Labor Relations • Labor Standards • Contractor Workforce Restructuring- Reductions and Increases in Contractor Employment • Compensation, including Variable Pay, Executive Compensation and Incentive Programs • Employee Benefits • Retiree Benefits/Pensions • Critical Skills • Severance • Workforce Planning • Insurance and Risk Management • Formation of CI-IR Provisions in M&O Contracts • Headquarter (HQ) Assignments • Review Contractors' Equal Employment Opportunity Plans b. Ensure compliance with laws, Executive orders, regulations, policy issuances and procedures, and sound business practices; a. Appendix 3 BOP 540.6 AP3-2 5-11-17 C. Provide appropriate checks and balances, and reasonable assmances against fraud, waste, and abuse; d. Facilitate the exercise of sound business judgment; e. Drive down decision-making by using risk based coordination and approvals; and, f. Promote expeditious completion of CHR actions consistent with quality and regulatory requirements. 2. APPLICABILITY. NNSA Personnel. Except for the Office of Naval Reactors this Business Operating Process (BOP) applies to all NNSA personnel that administer, oversee, or support the oversight of NNSA management and operating (M&O) contracts or other contracts in which the DOE/NNSA is the only reimbursement source for contractor employee benefits. For the purpose of this BOP, the term "CHR actions" includes procurement and CHR related actions detailed in the Appendix 3 Exhibit l, Approval of Contractor Human Resomces Actions Table. 3. REQUIREMENTS. All organizational elements within NNSA, responsible for contract and CHR actions, must comply with the Attachment. b. Contract actions and notifications to contractors shall not be executed until the appropriate approvals in this Policy Letter have been accomplished. A record of Reviews and Approvals shall be included with ev�ry action and maintained in the official contract file. 4. RESPONSIBILITIES. a. Director, Office of Acquisition Management (NA-APM-10) will: (!) Establish policy for approval of contract and �HR actions within NNSA. (2) Facilitate consistent oversight and administration of contractor human resources activities throughout the National Secmity Enterprise. (3) Approve contract and CHR actions identified for HQ approval in the Attachment, or waive approval. b. Office of Acquisition Management, Contractor Human Resomces Branch (CHRB) will: (l) Implement this BOP throughout the NNSA. (2) Provide effective, professional, technical advice and assistance to NNSA BOP 540.6 Appendix 3 5-11-17 AP3-3 Leadership and Field Offices in support of this policy, and oversight and administration of NNSA CHR activities.

c. Field Office Managers/Deputy Field Managers/Business Managers will: (1) Implement this BOP for contract and CHR actions under their cognizance. (2) Submit requests for deviations from this policy to NA-APM-10 through CHRB. d. NNSA Office of General Counsel will coordinate all legal input, to ensure a comprehensive set of advisory comments. e. NNSA Deputy Administrators and Associate Administrators for Headquarters' Program Offices will coordinate all programmatic input to ensure a comprehensive set of advisory comments. f. Contracting Officers will: (1) Ensure that contract and CHR actions are reviewed, coordinated, and apprnved in accordance with this BOP. (2) Communicate with NNSA contractors decisions regarding CHR activities. (3) Memorialize CHR decisions through contract modifications or other Contracting Officer signed documents as appropriate. 5. REFERENCES. a. 5 C.F.R. Part 334- Temporary Assignment of Employees Between Federal Agencies and State, Local, and Indian Tribal Governments, Institutions of Higher Education, and Other Eligible Organizations b. DOE Order 31 1. I B, Equal Opportunity and Diversity Program c. DOE Order 350.2B, Use of Management and Operating or Other Facility Management Contractor Employees for Services to DOE in the Washington, D.C., Area d. NNSA SD O 350. l, Management and Operating Contractor Service Credit Recognition e. NNSA SD 350.2, Use of Management and Operating Contractor Employees for Services to NNSA in the Washington D.C. Area f. Acquisition Letter 2013-01 -:-- Contractor Domestic Extended Personnel Assignments Appendix 3 AP3-4 BOP 540.6 5-11-17 g. Acquisition Letter 2013-04_ Contractor Executive Compensation h. Daniel B. Poneman Letter on New Policies for Department of Energy Contractor Defined-Benefit Pension Plans i. May 5,2011 Secretary Chu Guidance on Workforce Restructuring Policy and Subsequent Delegations 6. CONTACT. Manager, Contractor Human Resources Branch, at (505) 845-6274. Exhibit I: Approval of Contractor Human Resources Actions Table BOP 540.6 Appendix 3 Exhibit 1 5-11-17 AP3El-1 APPENDIX 3 EXHIBIT 1: APPROVAL OF CONTRACTOR HUMAN RESOURCES ACTIONS TABLE A�IIQr:I �QllES; (/) cA-Approval OJ 6 e ·s: ;g R - Review & Comment ;:3 ·a Q) CJ) § 0 0 (/) 0 .C - Concurrence (/) � � -� •.p ff� � b/J � ::l .... .... Gil � OJ SME -Responsible party 0 OJ § ·B i:: 0.u § � 0 OJ .... 0 S - Signature 18 � 0 E OJ «i� :::E o · i OJ &j OJ OJ N - Notification 1 0 5 .... E 0 0 OJ OJ :: � ::r: 0 ..... !E 18C bO 0 ; <I)0 g .... 0 s 00OJ !E <I) r/. ·B 0 u 0 <I) Numbers beside the letters (e.g., 0 0 OJ -� 0 u ..c: ..... � ·E ·a i �o �o� "' :g .§.r/. i i 0 0 6 ;:3CI, A2) reflect order in which to �� C @ 'O ·- 0 '§ .... C/) C (';I C C!J 0 � ££ <I) (/) � 0 0 .... OJ OJ :><! 'O OJaccomplish actions. iZ � & u u Ct'.l ::r: 1/J µ.i � C/) 1. LABOR RELATIONS 3 a. Contractor collective bargaining C2 AS/ SMEl N3 N3 agreements and deten11ination of S4 allowable parameters pi'ior to commencement of negotiations where no precedence setting issues are present. b. Contractor collective bargaining R4 C2 S6 SMEI AS C3'1 agreements and determination of allowable parameters prior to commencement of negotiations where precedence setting issues are present. c. Where changes to employee R3 C2 S6 SMEI A4 > C2 benefits to increase costs are contemplated 2. LABOR STANDARDS a. Determination of appropriate Al labor standards. b. Wage determinations under the Al Construction Wage Rate Requirements statute (formerly known as the Davis-Bacon Act) and Service Contract Labor Standards (formerly known as the Service Contract Act of 1965) c. Investigate complaints SMEI C2

/S3 3, REDUCTIONS IN CONTRACTOR EMPLOYMENT 5 ' a. General Workforce cs SMEI C2 C3 C4 C7 A8 N9 C6 Restructuring Plan b. Voluntary Separations :S 499 C3 C2 C2 SMEI A4 N6 N7 N7 RS c. Voluntary Separations� 500 C3 C2 C2 SMEl C4 N6 A7 6 N7 cs � �� � �· � § � � � � �� � � � � � �� Appendix 3 Exhibit 1 BOP 540.6 AP3El-2 5-11-17 ACIIQ� CQUES; A-Approval R - Review & Comment C - Concurrence SME - Responsible party S - Signature N - Notification 1 Numbers beside the letters (e.g., Cl, A2) reflect order in which to accomplish actions. d. Involuntary Separations< I 00 employees 7 e. Involuntary Separations� I 00 < 200 employees f. Involuntary Separations� 200 < 500 employees g. Involuntary Separations� 500 employees 4. COMPENSATION a. Initial Compensation program design b. Annual Compensation Increase Packages c. Individual compensation of top contract official and key personnel upon initial contract award and top contractor official annually and key personnel when replaced - within 6/ I 0% parameters d. Individual compensation of top contract official and key personnel upon initial contract award and top contractor official annually and key personnel when replaced - outside 6/ I 0% parameters e. Incentive Plan f. Changes to the compensation program design 5. BENEFITS a. Contractor Benefit Plans (initial and revisions) b. Contractor Benefit Plans (to include revisions) which establish precedence 01; increase long-term liabilities c. Ben/Val - Comparator Companies d) Vl § 0 4) i:: 4) C) <I'."' N2 C2 C3 C3 R2 R2 .... .... 4)i� 0 fa � 0 l6 4) ....::E -38 j 0 4) </.J bl) !S 0 4) .§ 00 «I "Cl sn. ti d) "ti) i i:: ii: � a u0 NI SMEI A3 S5 Cl Cl Cl Cl S/A3 C2 S/A5 C2 S/A3 C2 S4 R3 S5 C3 S/A4 N4 S/A5 C3 S6 A/S3 Vl 4) O · Vl � 4) .... 0.... � -5 Utri .NI SMEI SMEI SMEl SMEl C2 SMEI SMEl SMEl SMEl /C2 SMEI /C2 SMEl SMEl SMEl ·s: ·.p 0 <( bl) i:: ·.p:'1 u0 ..... 0 "Cl «I ::r:4) N2• c2· AS C4 N4 C3' N4 A3' A4' C3' A4 N2' .... i:: 4) E 0 � 0 .:::: 4) ·-5 :50 4)i:: N4 N4 NS NS ... 0 ·s Vl ·s "Cl <I'. N48 . N4 9 A7 IO NS i::: JJ:i ..... 0 i.... 0 4) (/1 NS <I'. ti! E Jj 4) <I'. N2 N4 N4 NS v," i::: ·� 0 4) <I) 4) 0 0 l6 !S 00 �I) �I) 0 0 N2 N4 N2 C2 C4 '' N3 N3 BOP 540.6 Appendix 3 Exhibit 1 5-11-17 AP3El-3 ACIIQr:l: CQllES; A-Approval R- Review & Comment C - Concurrence SME- Responsible party S - Signature N -Notification 1 Numbers beside the letters (e.g., CI, A2) reflect order in which to accomplish actions. d. Corrective Action Plans e. Determination to allow reimbursement above the I 05% 12 f. Adoption of corporate benefit programs g. Approval of contractor's methodology for evaluating welfare benefits programs h. Initial proposals for self- insurance of health and welfareplans and worker's compensation plans. j. Contract insurance and other benefits program clauses k. Severance Plans and conh'actor specified notification & payment in- lieu-of notification 6. CONTRACTOR PENSION PLANS (6) a. Changes in contractor pension plans b. Reimbursement of contractor pension plan costs (including contributions in excess of minimum required contribution) c. Final settlement of assets and liabilities for closed plans d. Settlements when plans are modified or terminated, fully or oartiallv e. Contract provisions regarding oension olans f. Consign assets when contractors are replaced, portion of existing plan is spun off, or plan terminates fully or partially

.... 0 0 • !ii V) �I) -B i:: ;:I .... 0 ro t; <I} (.) la � 0 !S ] :::E ..9 0 <I} 0 !i:: bl)0 Q<I} IE o � i:: 0 ·.i::0 <("' 0 <I} Cl) ro �� :9 .fill-� .b § <I) U) J·- <I} (.)� "O C2 S5 C2 S6 R3 C2 S5 C2 S4 S/A3 R2 A4 C3 N2 S6 C3 C2 $5 S/A7 C3 C2 S7 C3 C2 S9 C3 C2/S6 c2· N4 S5 V) 0<I} � ·;; ·.i::0 � <� bl) ..... !ii i:: 5'B § Ero ��::r:: 0 0.... 0 (.) 0 <I} ..... ..... &:: -� 0 ...c: 0 l5 ;:iEl u "O ·- 0 i:: ta ro � �0 .... <I} (.) i'.l'.l ::r:: V) w SMEI A3 SMEI A4 SMEI A4 SMEI A3 SMEI N3 /C2 SMEl C3 /C'l, SMEI AS /C3 SMEI A4 SMEI C2 SMEI AS N6 SMEI A8 N4 SMEI A4 NS SMEI A3 N4 Cl) Q V) 0 -� ·.i:: � � !f:l <I} < 0 Q <il <I} <I} .... Ul E 0 0 0 ..... IE IE � 0 � 00 i �I) 1'i:l ·s V) "O 0 � ££<( <I} V) N3 R3 N4 cs 13 N6 N4 N6 N7 NS Appendix 3 Exhibit I AP3Et-4 ACTION CODES; A-Approval R-Review & Comment C -Concunence SME- Responsible party S - Signature N - Notification 1 Numbers beside the letters (e.g., C 1, A2) reflect order in which to accomplish actions. g. Contract treatment of separate and commingled pension plans where DOE/NNSA has co)ltinued long-term involvement 7. RISK MANAGEMENT & LIABILITY PROGRAMS a. Contractor liability insurance programs 8. CONTRACTOR WORKPLACE SUBSTANCE ABUSE PROGRAMS 9. EMPLOYEE ASSISTANCE PROGRAMS 10. MISCELLANEOUS a. Identification of critical skills 11. M&O Contractor Offsitc ASSIGNMENTS a. M&O Contractor Employee Assignments to DC b. M&O Contractor Employee Assignments to DC Exceptions c. Domestic Extended Personnel Assignment Waiver d. IPA Assignments 15 12. EEO a. Review AA and Diversity Plans .... 0 i laC/) § �I) -s0 ro �u @ � «i � _g � .... <I) <I) .... 0 g<I) 0 !El <I) <I 0 <I) �< "' �� '"O sn ·- 4) 'U) � ·- <I) a.µ. '"O C3 C2. R2 A3 R2 R2 c311 C/) .£0 9 > ·.p 0 0 C/) <<I) � � bl) .... @ ·E r:::: 0 <I) !El § 0 Ero <I) 0 ti ....5::r: r:::: 0 bO 6 0 0. gr:::: u 0 <I) .fl .... 'H .... > C/)0 ..r:: 11-. •.p ·ag g 0 0 .... ::s '"O .� i '§C C @ ro C X0 0 .... <I) '"O u ua:i ::r: � Ul < S6 SMEl A4 NS SIA3 SMEI SMEl C2 ISi A3 SMEl C2 A3 S4 R2 Ns• AIS3 R31S7 R4 cs A6· R21S4 SMEI A3 SMEI R2 AS A41S6 16 * § <I) r:::: Ul 0 i.... 0 <I) r.n � C/) 0 .... ·�;§ <I) < 0 «i <I) <I) 5 0 0 !El !El x 00 Ul � n � o < Cl) � ££ SMEI SMEI 14 SMEI c3 11 BOP 540.6 5-11-17 SIA2 SMEI Action has been delegated from HCA to Director, M&O Cohtracting Operations Division, APM-13 Notifications to Headquarters components will be accomplished by NA-APM-10. Notifications to Field Office components and Contrnctors will be accomplished by CHR in conjunction with the Field Contrncting Officer. In the event substantive changes arc made after NNSA GC (HQ) hns reviewed a document, the document must be rerouted through GC (HQ) for additional review prior to final approval. NNSA GC and Field Office GC should coordinate on actions as appropriate BOP 540.6 Appendix 3 Exhibit I 5-11-17 AP3El-5 The HCA and SPE shall be notified regarding significant labor relations developments al any time. If controversial issues arise, particulnrly those that involve security, potential work stoppage, and significant increase in progrnmmatie resources (beyond those expected due lo inflnlion) the a fleeted Program Offices shall be engaged in the prneess of determining final nllowable costs under the contract. The number of separations is evaluated based on a rolling 12-monlh period. The Administrnlor has delegated authority to the Principal Deputy Administrator.

Contractors must provide a specific ,vorkforce restrncturing plan if restructuring involves 50 or more employees in a rolling 12-month period. In addition, contractor must perform n diversity analysis when the involuntmy separation action nflects 50 or more contractor employees and provide the analysis to NNSA Field counsel. The Administrntor has delegated authority to the Principal Deputy Achninislrntor. The Aclministrntor has delegated authority to the l'rincipnl Deputy Administrator. 10 The Administrator hns delegated authority to the Principal Deputy Administrator. II A briefing will be provided to the appropriate program office on nil Field requests by CHR forconcurrencc. 12 Determinations for approval to reimburse benefits greater than I 05% will he accomplished in accordance with Ben/Vol analysis and approved corrective action plans. 13 Reimbursement of Defined Benefit contributions beyond the minimum required by ERISA must be approved by the Administrator or his designee. NA-APM will provide the Administrator n totnl picture of expected reimbursements for the NNSA eneh year regardless of whether permission is required or not. 14 The customer orgnnizntion will define the task assignment, perform the business nnalysis and nfter review will gel the concurrcnce of the Program Office Deputy or Associate Administrator. This is applicable only on contracts thnt require CO approval for IPA assignments. JG HCA approval of the IPA assignment is required ifNNSA is expected lo bear greater than 50% of the costs ancVor if exceptions to the IPA policy nrc requested. 17 If direct funded, Program Office concurrence required. If indirect or unspecified program office funded, Field Office Manager concurrence required. THIS PAGE INTENTIONALLY LEFT BLANI< BOP 540.6 Appendix 4 5-11-17 AP4-I APPENDIX 4: COORDINATION AND APPROVAL PROCESS FOR M&O AND MAJOR FAR CONTRACTORS ON PERSONAL PROPERTY ACTIONS I. PURPOSE. a. Provide business and operating guidance relative to oversight and administration of Personal Property Branch (PPB) activities. This policy supplements other Department of Energy (DOE) policy related to the PPB. The PPB areas covered by this policy include, but are not limited to the following Personal Property Transactions: (I) Domestic Loans (2) Foreign Loans (3) Donations (4) Abandonments (5) Negotiated Sales (6) Waivers/Deviations (7) Title Transfers (8) Report of Lost, Damaged, Destroyed or Stolen Property (9) System Approval Letters (10) Contractors' Personal Property Po.licies and Procedures (Manual/Plan) (11) External Reviews of Government Personal Property Programs (12) Contractor's Annual Assessment Report (13) Personal Property Management System Review (14) Personal Property Management Validations (15) Validations Reports (16) Inventory Plans (17) Sensitive Items List (18) Performance Measures and Objective Matrices (19) SF 1428 Inventory Disposal Schedule 4. Appendix 4 BOP 540.6 AP4-2 5-11-17 (20) Inventory Write-Offs (21) Gifts (22) SF I 22 Transfer Order b. Ensure compliance with laws, Executive Orders, regulations, policies, procedUl'es and sound business practices; c. Provide appropriate checks and balances, and reasonable assurances against fraud, waste, and abuse; d. Drive down decision making by using risk-based coordination; e. Convey performance expectations to Personal Property Branch Industrial Property Management Specialists (IPMS) relative to consultation and coordination/approval of their work; and,

f. Provide guidance for the development of local procedUl'es, e.g. desktop procedUl'es. 2. APPLICABILITY. This applies to all organizations and elements of the National Nuclear Security Administration (NNSA), except for the Office of Naval Reactors, having personal property authority and to personal property actions taken by NNSA property officials. For the purpose of this policy letter, the term "personal property actions" includes actions relating to system approvals, inventory management, disposals, sales, reports, transfers (foreign and domestic), and loan agreements (foreign and domestic). Aspects of this policy implement coordination and approval by other NNSA policies. Those other policies may exempt certain NNSA organizations or elements. Organizations and elements that believe they are exempt from some aspects of this policy shall request exemption from the Head of the Contracting Activity (HCA). Exemptions will be granted in writing only. 3. REQUIREMENTS. All organizational elements within NNSA are responsible for personal property actions and must comply with the Coordination and Approval (CAP) Table for Personal Property Actions attached. RESPONSIBILITIES. a. Director and Deputy Director, Office of Acquisition Management will: (I) Establish policies, standards, and guidance in accordance with applicable laws, regulations, and sound personal property management practices and standards. (2) Coordinate NNSA personal property actions as applicable. c. BOP 540.6 Appendix 4 5-11-17 AP4�3 b. Personal Property Branch (PPB) will: (1) Implement this CAP in accordance with the Table for Personal Property Actions for NNSA contracts, and Direct Operations. (2) Provide effective, professional, technical advice and assistance to NNSA Headquarters and Field Offices in support of this policy. (3) Evaluate Federal and contractor personal property management systems, functions, operations, procedures, and self-assessment programs. The Organizational Property Management Officer (OPMO) is responsible for: (1) Conducting the responsibilities of the Plant Clearance Officers (PCO) as described in FAR Part 45. (2) Executing actions depicted in the CAP Table for Personal Property Actions. (3) Providing oversight of the control, management, and disposition of personal property in the custody of NNSA. (4) Negotiating· performance-based personal property management objectives, measures, and expectations. (5) Notifying the appropriate HCA of all pe1:sonal property actions requiring approval above NNSA OPMO. (6) Conducting oversight and periodic reviews of major NNSA personal. property management activities at least every tlm,e years to ensure: (a) Personal property management program expectations are met and; (b) Applicable policies, procedures, practices, and stan_dards are followed. d. Field Office Managers/Deputy Field Office Managers/Business Managers will: (I) Implement this CAP for contract actions under their cognizance. (2) Submit requests for deviations from this policy to NA-APM-10 through the PPB. e. NNSA General Counsel will coordinate all legal input, to ensure a comprehensive set of advisory comments for personal property at all the M&O sites. Appendix 4 AP4-4 BOP 540.6 5-11-17 f. Contracting Officers will: (I) Ensure that contract actions are reviewed, coordinated, and approved in accordance with this CAP. (2) Consult with PPB prior to awarding contracts, grants and cooperative agreements that will involve personal property.

(3) Document OPMO decisions through contract modifications or other Contracting Officer signed documents, as appropriate. 5. REFERENCES. a. 10 CFR 200 Federal Financial Assistance Regulation b. 41 CFR Chapter 101, Federal Property Management Regulations (FPMR) c. 41 CFR Chapter 102, Federal Management Regulation (FMR) d. 41 CFR Chapter 109, Department of Energy Properly Management Regulations e. 48 CFR Part 45 and 52, Federal Acquisition Regulations f. 48 CFR Part 945 Govemment Property g. 48 CFR Chapter 9, Subchapter I, DEAR 970.5245-1,. Property h. DOE Financial Management Handbook i. Executive Order 12999 Educational Technology: Ensuring Opportunity f9r All Children in the Next Century j. Stevenson-Wydler Technology Innovation Act of 1980 6. CONTACT. Manager, Personal Prnperty Branch (PPB), at (505) 845-5950. Exhibit I: Personal Property Branch Coordination and Approval Process Table for M&O and Major FAR Contractor's personal property actions. BOP 540.6 Appendix 4 Exhibit 1 5-11-17 AP4El-l APPENDIX 4, EXHIBIT 1: PERSONAL PROPERTY BRANCH COORDINATION AND APPROVAL PROCESS TABLE FOR M&O AND MAJOR FAR CONTRACTOR'S PERSONAL PROPERTY ACTION CODES: A-Approval ... <Cl) R - Review & Comment 0 !E Cl) P - Preparation 0 < Q. Cl C: S - Signature C: Cl) .E.:: 0 f 2:.. 'C N - Notification � < ... £ ai VJ C - Concurrence C: VJ Cl) 0 < C: 0 iii ::, -� Cl) 0... 0 C: (.) !E 0 Cl) Numbers reflect order in which to ... .:: � iiiVJ 0 Ill ca Cl) 0 C: accomplish actions ::, Ill � 'C � ... Cl) Cl) ai <l: � C: Cl) Cl. Cl. Cl) Cl) Cl. 0 u:: z -= (!) (!) Write-Offs (Accountability) P l /N7 R2/PJ A4 NS N6 Summaiy of Invent01y Results Pl R2 RJ N4 Property System Approvals NS Pl/R2 CJ A4 Donations/Gifts Pl/ R2/PJ A4 Abandonments Pl R2/PJ A4 Destructions Pl R2/PJ A4 Negotiated Sales Pl R2/PJ AS C4 Waiver/Deviations Pl/NS R2 AJ N4 Foreign Title Transfer Pl/N6 R2/PJ A4 AS Foreign Loan Pl/N6 R2/PJ AS A4 Contractor's Personal Property Policies Pl/NS R2 CJ N4 and Procedures Inventory Disposal Schedule (SF 1428) Pl/NS R2/AJ N4 Regular (2) Invent01y Disposal Schedule (SF 1428) Pl/N4 R2 AJ High Risk (2) Annual Property Reports Pl R2/PJ N4 (Exchange/Sales; Non- Federal Recipients) Transfer Order Excess Personal P l /A2 Property (SF 122) (M&O) Transfer Order Excess Personal Pl/N4 R2/AJ Property (SF 122) (FAR) Transfer Order Excess Personal Pl/N4 R2 AJ Property (SF 122) High Risk Transfers (M&O and FAR) ( other than firearms) Transfer Order Excess Personal Pl/NS R2 AJ A4 Property (SF 122) High Risk Transfers (Firearms) (M&O and FAR) Loans Pl/ R2 AJ N4 Appendix 4 Exhibit 1 BOP 540.6 AP4El-2 5-11-17 ACTION CODES: A-Approval R - Review & Comment P -Preparation S -Signature N - Notification C - Concurrence Numbers reflect order in which to accomplish actions .... 1/) Q) ::, Q) IO 0.. 0.. 0 � 0.. 0 ... Q) 0 :E 0 Cl C: :;::; 0 � .... C: 0 Q) 0 :E 0 'C ai u::: IO � < z l!! £ < iii C: 0 :;::; co C: ... 2 .!: <( Cl) z � ai 1/) C: ::, 0 (.) � Q) C: Q) (.!) <( Cl) !:2, C: ·e 'C < 1/) Q) 0 -� Q) � Q) Q) (.!) Quarterly Contractor Self Assessment Repo1ts Pl R2 N3 N4 Validation Reports NS Pl/S3 R2 N4 Year End Contractor Appraisal Repott NS PI/R2 A3 N4 Inventory Plans Pl R2 A3 Sensitive Items List Pl R2 A3 N4 Performance Measures and Objective Matrices Pl R2 A3 N4 BOP 540.6 Appendix 5 5-11-17 AP5-l APPENDIX 5: COORDINATION AND APPROVAL PROCESS FLOWCHART Coordination and Coordination and Approval Process

(CAP) NoApproval Policy Organization exemption to issued by determines if NA-APM-10 all elements policy. of policy Yes Check for Acquisition Follow No NA-APM-Management implementation coordination and 10instrnctions that augment review processes determinatiopolicy. outlined in matrix. Encl Prepare and forward to NA-APM-10 request for overall elements of n nf Yes Those elements of policy not applicable Administrative Change to BOP 540.6, Acquisition Coordination and Approva! Process 1. PURPOSE 2. CANCELLATION. 3. APPLICABILITY 4. SUMMARY OF CHANGES 5. REQUIREMENTS 6. RESPONSJBILlTlES 7. REFERENCES 8. DEFINITIONS 9. CONTACT. Appendix 1: Coordination and APproval Process for Non-Managment and Operating Actions and All Architect-Engineering and Construction Related Actions APPENDIX 1, EXHIBIT 1: NON-M&O (INCLUDING ALL ARCHITECT AND ENGINEERING AND CONSTRUCTION-RELATED ACTIONS) COORDINATION AND APPROVAL PROCESS TABLE Synopses, Pre-solicitation Notice Requirements and Source SelectionAuthority (SSA) Simplified Acquisitions, Commercial Buys, and GSA Schedule(Solicitation, Amendment and Selection) (7) Acquisition Plans (All Non-FFP Contracts (1) Including Master, FederalSupply Schedules, Blanket Purchase Agreements, GWACs, UtilityContracts and Energy Savings Performance Contracts including UtilityEnergy Services Contracts (UESCs) and Power Purchase Agreements(PPAs)) (7)(10) 11)(12) 13) Justification for Other Thari Full and Open Competition, Limited Sources Justification, Sole-Source (including Brand Name)Justification for an Exception to Fair Opportunity (FAR 6.304, 8.405-6, 13.501, 16.505) (3) Small Business Waivers and Small Business Reviews (4) Solicitations and Amendments(e.g., Non-Competitive/Competitive FAR 12, 15, 16.505, 35, 36)(5) (6) (7) (8) (10) (11) (12) Mistakes in Bid Cancellation of Invitation for Bids/Solicitations, Rejection of allProposals Organizational Conflicts of Interest Selection/Evaluation Documents(Applicable to FAR 12, 15, 16.5, 35, 36) (Excludes Supplies) (5) Pre-Negotiation Plans (5) (6) Contract Awards(Including Task & Delivery Orders, Letter Contracts & Options)(5 {6)(7) Protests Modifications (7)(8) Terminations (3) Extraordinary Contractual Actions, and Waiver for Submission of Cost or Pricing Data Purchasing System Approvals, Precontract Costs and Ratifications Subcontract Consents Financial Assistance Instruments (2 CFR 910) lnteragency Agreements (IAs) and IA Modifications (5)(7) APPENDIX 1, EXHIBIT 2: COORDINATION AND APPROVAL DOCUMENT Sample I. PURPOSE. 2. APPLICABILITY 3. REQUIREMENTS 4. RESPONSIBILITIES 5. REFERENCES 6. CONTACT APPENDIX 2: COORDINATION AND APPROVAL PROCESS FOR MANAGEMENT AND OPERATING ACTIONS APPENDIX 2, EXHIBIT 1: MANAGEMENT AND OPERATING CONTRACT COORDINATION AND APPROVAL PROCESS TABLE I. PURPOSE 2. APPLICABILITY 3. REQUIREMENTS 4. RESPONSIBILITIES 5. CONTACT APPENDIX 3: COORDINATION AND APPROVAL PROCESS FOR CONTRACTOR HUMAN RESOURCES POLICY ACTIONS 1. PURPOSE. 2.APPLICABILITY 3.REQUIREMENTS 4. RESPONSIBILITIES 5. REFERENCES 6. CONTACT APPENDIX 3 EXHIBIT 1: APPROVAL OF CONTRACTOR HUMAN RESOURCES ACTIONS TABLE APPENDIX 4: COORDINATION AND APPROVAL PROCESS FOR M&O AND MAJOR FAR CONTRACTORS ON PERSONAL PROPERTY ACTIONS I. PURPOSE 2.APPLICABILITY 3. REQUIREMENTS 4. RESPONSIBILITIES. 5. REFERENCES 6. CONTACT APPENDIX 4, EXHIBIT 1: PERSONAL PROPERTY BRANCHCOORDINATION AND APPROVAL PROCESS TABLE FOR M&O AND MAJOR FAR CONTRACTOR'S PERSONAL PROPERTY APPENDIX 5: COORDINATION AND APPROVAL PROCESS FLOWCHART