C.1 – Statement of Work


The Contractor is to manage and operate the U. S. Department of Energy's (DOE) Fermi National Accelerator Laboratory (Fermilab) as a national laboratory for high-energy physics (HEP) science research.  Fermilab is the United States' premier HEP science research laboratory operating for the benefit of the nation.


In the performance of the work under this contract, the Contractor shall provide the personnel, facilities, equipment, materials, supplies, and services, (except such facilities, equipment, materials, supplies and services as are furnished by the Government), and shall perform in a quality, timely, and cost-effective manner the research, development, training, technology transfer, science education, and other activities in accordance with the various programs, plans and budgets provided by the DOE including those proposed by the Contractor and approved by DOE.  The Contractor shall perform all work in a manner that complies with applicable Federal, State, and Local health, safety and environmental regulations, laws, and any Federal Facility Agreements or consent orders.


The Contractor further agrees to establish and use to the maximum extent practicable, a performance-based management program in the management and operation of the Laboratory.  Performance-based management is a systematic approach to performance improvement through an ongoing process of establishing strategic performance objectives; measuring performance; collecting, analyzing, reviewing, and reporting performance data; and using the data to drive performance improvement. 


The programs at the Laboratory may include the following work, in accordance with the programmatic interests and policies of DOE, and subject to the provisions of this contract:


 (a)      Basic Research Work.


            (1)       Conduct of basic research in the field of high energy physics and related disciplines involving fundamental studies and theoretical and experimental investigations which are of interest to DOE's programs; and


            (2)       Operation, maintenance, and upgrade of existing Laboratory facilities (including the accelerator complex, ancillary support facilities, and experimental areas) for basic research.  This may also include the development of new experimental techniques, and the design, development, and fabrication of instruments, equipment, and facilities for carrying out such studies and investigations.


(b)       Cooperation with Research and Educational Institutions.  The undertaking of a broad program of cooperation with the U.S. and international academic community, and with nonprofit research institutions for the purpose of promoting research and education in the Laboratory's programs and fields of interest to DOE's program and for facilitating interrelationships in these fields between the Contractor and other research and educational institutions.  This cooperation may include, but is not limited to, such activities as joint experimental programs with colleges, universities and nonprofit research institutions; interchange of college and university faculty and Laboratory staff; student residence and training programs; postdoctoral programs; arrangement of regional, national or international professional meetings or symposia; college, university, and nonprofit research institution use of special Laboratory facilities; the loan of equipment; and the supply of unique experimental materials to colleges, universities or nonprofit research institutions or to qualified members of their staffs.


(c)        General Assistance and Services.  The furnishing of technical and scientific assistance, including training, and other services, materials, and equipment by the Contractor, both within and outside the United States to DOE and its installations, contractors, and interested organizations and individuals.  The Parties further agree to consult on all technical matters pertaining to the effective provision by the Contractor of such services; including, but not limited to, the Contractor providing prompt notification to DOE regarding its proposed efforts in furtherance of the work hereunder.


(d)       Dissemination of Information.  The undertaking of activities pertaining to the dissemination of information relating to the programs conducted at the Laboratory and the stimulation and encouragement of such work by employees of the Contractor and users of the Laboratory, subject to the patent provisions and other limitations of this contract.


(e)       Engineering and Construction Services.  The performance directly or by subcontract of engineering and construction activities relative to buildings, facilities and utilities on the Laboratory site subject to the provisions set forth in Clause I. 110, Government Facility Subcontract Approval.


(f)         Maintenance and Operation of the Laboratory Facilities.  The providing of all physical maintenance and operations at the site of the Laboratory, except particular functions reserved by DOE, in accordance with applicable DOE standards and with general programs and policies approved by the Contracting Officer, or, in the absence of such standards, programs, or policies, in accordance with sound practices designed to assure continuity of operation, fulfillment of program requirements, and protection of life and property from potential hazards.  Any maintenance or operational practice of the Contractor shall be subject to review and approval by the Contracting Officer upon DOE's request.


(g)       Use of the Laboratory.


            (1)       The Contractor will participate substantially and directly in the actual carrying out of the research program.


            (2)       The Contractor shall exercise its responsibility subject to its scientific judgment and to the other provisions of this contract.


            (3)       It is recognized, however, that DOE in connection with its mission and that of the Government, may from time to time, request the Contractor to include certain additional programs in the schedule for use of the Laboratory research facilities.  If DOE decides that a proposed research program is more in the national interest than those research programs which would be displaced from the schedule established by the Contractor, the Contracting Officer will so notify the Contractor, in writing.  On receipt of this notification, the Contractor shall promptly advise the DOE of the technical and budgetary impacts, if any, of the change to the previously scheduled research program and the Parties shall consult thereon.  Notwithstanding the foregoing, the Contractor will use its best efforts to carry out the program requested by DOE.


            (4)       Except as the Parties may otherwise mutually agree, the Contractor shall program the research use of the Laboratory in accordance with written procedures satisfactory to DOE which will be designed to accomplish the purposes and objectives stated in this Section C. 1.  These written procedures may be amended from time to time by mutual agreement.


            (5)       The Contractor understands that DOE may, from time to time, use the expert or consultative services of individuals or groups to review and evaluate the scientific, technical, or other aspects of the contract work; the Contractor shall cooperate with such individuals or groups in every reasonable way.


            (6)       The Contractor shall endeavor, to the best of its ability and to the extent practical; to keep DOE fully and currently informed of all significant matters.  In addition, the Contractor shall make such reports to DOE respecting the activities under this contract as the Contracting Officer may reasonably request.


            (7)       It is anticipated that third parties may, during the course of this contract, request the use of facilities or land at the site for purposes not directly connected with the primary objectives of the contract.  In such event, prior to and as a condition of granting any such request, the Contractor shall consult with and obtain the approval of the Contracting Officer.


(h)        The Contractor may undertake a program of international cooperation for the purpose of promoting and conducting research in the Laboratory's programs and in related fields of interest to DOE's programs.


(i)         The Contractor shall perform such other work, including research and development, or services under this contract, as the Parties may mutually agree, and that requires the special knowledge of the Contractor or the special capabilities unique and integral to the Laboratory, and which is related to the scope of work described in the above sections of this Clause.


(j)         The Contractor shall when directed by the Contracting Officer and may, but only when authorized by the Contracting Officer, enter into subcontracts for the performance of any part of the work under this clause.  Such authorization may be given by the Contracting Officer for defined classes of subcontracts.


(k)        The Contractor and the Contracting Officer shall agree upon a procedure under which DOE will determine when work to be undertaken at the Laboratory is covered by the Davis-Bacon Act.  When it is determined by DOE that the Davis-Bacon Act does cover a particular work project, the Contractor shall procure by subcontract the covered work.  Any subcontract for construction entered into under this section shall contain the provisions relative to labor and wages required by law to be included in contracts for the construction, alteration, and/or repair, including painting and decorating, of a public building or public work.


(l)         The Contractor shall take all reasonable measures to improve the energy efficiency at the Laboratory sites in accordance with paragraph (c) of Clause  I.111, Facilities Management.


(m)      In recognition that the safety and health of workers and the public and the protection and restoration of the environment are fundamental responsibilities which the Contractor assumes for work performed under this contract, the Contractor shall:


            (1)       Use its best efforts to prevent serious injuries and/or fatalities and prevent worker exposures and environmental releases in excess of established limits.


            (2)       Establish specific environmental, safety, and health performance indicators for activities, which are the basis for measuring progress toward continuous improvement.


            (3)       Establish clear environmental, safety, and health priorities and commitments and manage activities in proactive ways that effectively increase protection to the environment and to public and worker safety and health.


            (4)       Reduce ES&H risks by identifying, prioritizing, and eliminating hazards from site activities.


            (5)       Carry out all activities in a manner that complies with applicable human health, safety, and environmental laws and regulations; minimizes wastes; and complies with applicable regulatory requirements and the approved set of ES&H Work Smart standards.


            (6)       Conduct Integrated Safety Management and adhere to the Department's Integrated Safety Management Guiding Principles as included in Clause I. 86, Integration of Environment, Safety, and Health into Work Planning and Execution.


(n)        In accordance with the provisions of the contract, the Contractor shall conduct its business and administrative operations in a highly cost effective and efficient manner with a particular emphasis on value-added systems that promote sound, prudent and economical policies, programs and practices.


(o)       The Contractor shall seek out opportunities to enhance technology transfer applications to support the nation’s technological competitiveness.  Consistent with the technology transfer provisions of this contract, the Contractor shall develop and implement initiatives, compatible with the Laboratory's mission, in concert with private industry, universities, other federal agencies and laboratories, that apply the Laboratory's scientific and technical capabilities towards meeting national needs.


(p)       The Contractor shall promote economy, efficiency, and effectiveness throughout all operations by undertaking a vigorous program of self-assessment, quality assurance, and continuous improvement.  Techniques such as the use of peer review and performance metrics may be used to achieve these goals.


(q)       Diversity.


            The Contractor will create and maintain at the Laboratory an environment that promotes diversity and fully utilizes the talents and capabilities of a diverse workforce.  The Contractor will seek to recruit a diverse workforce by promoting and implementing DOE and Laboratory goals.  The Contractor will also strive to promote diversity in all of the Laboratory's subcontracting efforts with emphasis on the use of small businesses in accordance with the applicable provisions of this contract.


(r)        Work Authorization.


            (1)       To carry out DOE's program of work, the Contractor shall, in good faith and to the best of its ability and judgement, submit, in writing, to the DOE, work program documents covering work it believes it can and should pursue hereunder in the best interests of scientific progress.


            (2)       Work programs shall be developed and approved in accordance with DOE's system for preparing, budgeting, and authorizing work, and shall constitute work to be performed under this contract during the pertinent periods involved.  Such work programs may include program and project performance objectives and milestones.  During the process of developing work programs, the Contractor agrees to give good faith consideration to the DOE suggestions for modifications of, or additions to or deletions from, the work programs.  Subject to the other provisions of this contract, and except as the Parties may otherwise agree as part of an agreed work program for basic research, additions to, deletions from, and other changes in the agreed work program for basic research, within the general scope thereof and not constituting major changes in the agreed work program, may be made by the Contractor as and when it appears to the Contractor, in good faith and to the best of its ability and judgement, to be in the best interest of the scientific and technical objectives of the agreed work program to do so.


(s)               Performance-based Self Assessment Management System


A performance-based self-assessment management program refers to a formalized framework within an organization for the implementation, conduct, and maintenance of a performance-based management approach to business operations.   In accordance with Clause H. 14, the contractor will establish a performance-based self assessment management program that is a systematic approach to performance improvement through an ongoing process of establishing strategic performance objectives; measuring performance; collecting, analyzing, reviewing, and reporting performance data; and using that data to drive performance improvement.

(t)         General Responsibilities of the Parties.


            (1)       Basic Considerations


                        It is the primary aim of DOE and the Contractor in executing this contract to provide an instrument under which the Laboratory will continue to be strengthened as a resource of DOE so that the work outlined in this Clause will be carried on most effectively.  The Parties agree that the following principles are important to the realization of this goal:


                        (i)                     The benefits of Contractor operation of Government-owned research installations are most fully attained when the Contractor, within the terms of the contract, effectively brings its management experience and capabilities to bear on the contract activities.


                        (ii)                                The research capability of the Laboratory will benefit by a greater degree of participation by highly qualified university staff in programs at the Laboratory.


                        (iii)                   The direction of the Laboratory must be in the hands of highly competent managerial and professional personnel, capable of attracting, retaining and managing a highly skilled and respected workforce of scientific, administrative and support personnel, possessing skills to manage and operate in a cost-effective manner, a Laboratory with extensive unique research facilities.


                        (iv)                   The competence and quality of any research organization is based upon and flows from the competence and quality of those individuals who are actively engaged in the creative scientific and engineering work carried on by the organization.


                        (v)                    The Parties agree that safety of operations and equipment, protection of the environment, and worker and public safety will be given the highest priority in the conduct of Laboratory activities; provided, however, that whenever decommissioning, decontamination or other major environmental, safety or health projects necessitate substantial funding, DOE will cooperate to the extent feasible with the Contractor to permit the projects to be scheduled and funded in such a way as to minimize interference with ongoing research programs.


                        (vi)                   Experience has indicated that high quality basic research work can best be carried on and maintained by permitting the individual investigators to pursue work with the freedom essential for effective creative effort.


                        (vii)                  DOE recognizes the importance of reasonable programmatic and institutional stability to the success of its laboratories, especially in the basic research areas.  However, DOE must be able to justify the proposed work with respect to many competing requests for funding and, in order to have adequate funds to support high priority work, DOE must choose among the requests and sometimes cease to fund existing work.  It is the intent of DOE, subject to the availability of appropriated funds, to provide the funding necessary to adequately provide for the orderly cessation of work, including but not limited to, decommissioning costs and severance payments.  It is recognized by the Parties that such program changes, as well as possible constraints on overall growth, will require staffing adjustments in the Laboratory from time to time.  It is important that such staffing adjustments be made promptly and in a manner to retain the most productive Laboratory personnel.  Also, it is vital that the Laboratory has an effective program for the recruitment and advancement of competent scientific and engineering talent.


                        (viii)                 Research work at the forefront of the scientific and technical fields which lie within the scope of the Contractor's responsibility requires the most suitable equipment and facilities available.


                        (ix)                   The management of the business and administrative aspects of the Laboratory must be supportive of a creative and dynamic Laboratory.


(x)                    The Parties recognize the importance of fostering an atmosphere at the Laboratory conducive to scientific inquiry and the development of new knowledge and creative and innovative ideas related to important national interests.  The Parties further recognize that the free exchange of ideas among scientists and engineers at the Laboratory and colleagues at universities, colleges, and other laboratories or scientific facilities is vital to the success of the scientific, engineering, and technical work performed by Laboratory personnel.


(xi)                   In order to further the goals of the Laboratory and the national interest, it is agreed by the Parties that the scientific and engineering personnel at the Laboratory shall be accorded the rights of publication or other dissemination of research, and participation in open debate and in scientific, educational or professional meetings or conferences.  Any publication or dissemination must comply with applicable laws, regulations, DOE policies regarding protection and dissemination of information, applicable security provisions, technology transfer agreements and such other limitations as may be required by the terms of the contract.  It is agreed by all Parties that it is desirable in public releases to acknowledge fully the contributions of all Parties to work thus reported.


                        In furtherance of the performance of the work under this contract and in light of the foregoing basic considerations, the Parties have agreed upon the statements of their responsibilities as set forth in the following sections, which shall be carried out in a cooperative spirit of partnership toward achieving their common objectives.


            (2)       DOE's Responsibilities


                        The proper discharge of DOE's responsibilities requires that it shall have the power to exercise general cognizance over the contract work to adequately fulfill these responsibilities, and to have full access to information concerning performance of such work.  In order to discharge its responsibilities under this contract, DOE shall, subject to other provisions of this contract:


                        (i)                     Review and approve the Contractor's major policies and procedures affecting administrative and operating areas of the Laboratory.  Once these Contractor policies and systems are approved, the DOE will perform oversight by performance based outcome evaluation and by using its business system review process.  It is the intent of DOE not to duplicate oversight responsibilities of another Government agency.


                        (ii)                                Formulate a coordinated scientific program, taking into consideration proposals submitted by the Contractor, which it can support with funds appropriated by the Congress. 


                        (iii)                   Recognize the need, in planning its budgetary and program actions, to consider the role, mission and long-range objectives of the Laboratory as expressed in the approved Institutional Plan.


                        (iv)                   Plan its budgetary and program actions in consultation with the Contractor, with due recognition of the fact that sharp increases and decreases in funding may affect overall Laboratory effectiveness.


                        (v)                    Recognize the need to provide the Laboratory with the facilities and equipment necessary for the effective execution of approved work.


                        (vi)                   Keep the Laboratory and the Contractor advised, where pertinent, of DOE's scientific and technological activities, of information developed within DOE's programs, and of its current long-range objectives. 


                        (vii)                  Conduct reviews of scientific program objectives and accomplishments and effectiveness of Laboratory management and consult with the Contractor regarding matters of mutual interest.


            (3)       Contractor's Responsibilities


                        The Contractor agrees that the performance of work and services pursuant to the requirements of this contract shall conform to high professional standards.  The Contractor shall use its best efforts to efficiently manage the Laboratory in carrying out DOE-approved programs, in accordance with policies established by DOE and as specifically set forth in other provisions of this contract.  The Contractor recognizes DOE is responsible for the conduct of all programs and for assuring that the Government funds are properly and effectively utilized.


                        In order to discharge its responsibilities under this contract, the Contractor shall, subject to other provision of this contract:


                        (i)                     Provide technically competent, productive and efficient scientific, engineering, professional, managerial and support personnel capable of performing outstanding, high quality work.


                        (ii)                                Create and maintain at the Laboratory an intellectual environment conducive to the stimulation of imaginative research and development work for carrying out DOE's program.


                        (iii)                   Formulate, review, and approve Laboratory policies and programs.


                        (iv)                   Develop long-range objectives for the Laboratory; formulate and revise an annual Institutional Plan covering the proposed work to be conducted at the Laboratory, together with master plans for staff and facilities required to carry out the recommended work; evaluate the programmatic accomplishments at the Laboratory on a continuing basis; and assure that the efforts at the Laboratory are consistent with the Institutional Plan and are directed toward programs that show the most promise and away from less promising programs which in the judgment of the Contractor should be reduced or eliminated.


                        (v)                    Require that the results of the scientific and engineering work performed at the Laboratory and funded by DOE, other Federal agencies, or other sponsors for which an exception from full cost recovery has been made are fully and currently reported to DOE and/or the other sponsors, to the scientific and engineering community, to industry, and to the general public following internal review for quality and accuracy by:


                                                (A)       Following normal scientific and technical practices in the reporting of results through the recognized technical journals and consistent with guidance provided by DOE, through DOE's reporting system; and


                                                (B)       Furnishing such additional scientific or technical reports as are requested by DOE.  The DOE agrees to collaborate with the Laboratory in determining the necessity, form, and frequency of such additional reports.


                             (vi)              Require that the Laboratory staff keep itself abreast of worldwide scientific and technological developments in areas relevant to work under this contract.


                             (vii)             Recognize the need in developing, formulating and carrying out the policies, programs and contract activities to give due regard to the guidance, which DOE may furnish from time to time relating to programs at the Laboratory.


                             (viii)                        Provide for a wide range of advice from other universities and from high technology industry in determining policies for the operation of the Laboratory.


                             (ix)              Continue, except as otherwise agreed, to maintain the Laboratory as nearly, as may be practicable, consistent with adequate direction and control by the Contractor, as a self-contained administrative unit.


                             (x)               Establish policies and objectives for cooperative research and educational programs between the scientific and technological community and the Laboratory.


                             (xi)              Operate the Laboratory's facilities and carry on its programs in a manner designed to protect the health and safety of its employees and the general public and to protect the environment.


                             (xii)             Provide for the safety, operability, and functional adequacy of all Laboratory facilities and systems and comply with applicable quality assurance, health, safety and environmental standards.


                             (xiii)                        Provide for the safeguards and security of all Laboratory facilities and systems.


                             (xiv)            Manage the Laboratory with prudent business judgment to support a creative and dynamic Laboratory.


                             (xv)             Keep DOE informed on its major activities under this contract.


                             (xvi)            Recognize that reviews and appraisals are an integral part of DOE administration and be appropriately responsive to such reports and functional and programmatic appraisals conducted by DOE.


                             (xvii)           Cooperate in every reasonable way with individuals or groups whose expert or consultative services DOE may choose to use to review and evaluate the scientific, technical, or other aspects of the contract work.


                             (xviii)          Establish and maintain clear and effective operational, environmental, safety and health, and administrative policies and procedures covering the operation of the Laboratory.


                             (xix)            Review and approve all Laboratory budget proposals, staffing plans, plans for modifying existing facilities and programs, and plans for establishing new facilities and programs.


                             (xx)             Establish policies regarding the extent to which Laboratory scientific facilities may be made available for use by persons other than the Laboratory staff and to establish criteria and means for deciding priorities among the users of Laboratory facilities. 


                             (xxi)            Encourage the training of students, teachers and other research personnel, including university-level students and faculty, at the Laboratory (for example through such means as the operation of the U.S. Particle Accelerator School) as a means of broadening the training capabilities of educational institutions throughout the country for the purpose of increasing the total capability of the Nation for the training of research personnel.


                             (xxii)           Secure vigorous participation in the Laboratory’s programs by staff from other research institutions and industrial organizations, as appropriate, in a substantial and mutually beneficial manner.


                             (xxiii)          Select, manage and direct the employees at the Laboratory and provide the scientific, technical and managerial personnel necessary to maintain a comprehensive scientific laboratory and to perform the work under this contract. 


                             (xxiv)           Regularly assess the performance benefits of contracting out vs. in-house performance and report the results of these assessments to DOE.


(xxv)                       Perform all activities necessary to complete the following work resulting from the termination of Superconducting Super Collider Laboratory (SSCL) Contract No. DE-AC35-89ER40486:


(1)               Administration of retiree benefits for eligible retired URA-SSCL employees;


(2)               Intellectual property administration; and


(3)               Records management.


            (4)       Administration of Responsibilities of the Parties


                        Unless DOE otherwise notifies the Contractor, in writing, DOE's responsibilities under this contract shall be administered by the Manager, Fermi Area Office, Chicago Operations Office or designated representative.  The Contractor shall keep the Contracting Officer advised of the names of persons authorized to represent it with regard to various matters.



C.2 - PLANS AND reports


The Contractor shall submit periodic plans and reports, in such form and substance as required by the Contracting Officer.  These periodic plans and reports shall be submitted at the interval, and to the addresses and in the quantities as specified by the Contracting Officer.  Where specific forms are required for individual plans and reports, the Contracting Officer shall provide such forms to the Contractor.  The Contractor shall require subcontractors to provide reports that correspond to data requirements the Contractor is responsible for submitting to DOE.  Plans and reports which may be submitted in compliance with this provision are in addition to any other reporting requirements found elsewhere in other clauses of this contract.   It is the intention of DOE to consult with the Contractor in determining the necessity, form and frequency of any reports required to be submitted by the Contractor to DOE under this contract.