.**FREQUENTLY ASKED QUESTIONS ABOUT WORK FOR OTHERS (WFO)**

FROM

U. S. COMMERCIAL COMPANIES, NON-PROFIT ORGANIZATIONS,

UNIVERSITIES AND STATE & LOCAL GOVERNMENTS

What is WFO? 1

What Does This Mean in Plain English? 1

Does DOE Do the WFO Work? 1

Can I Request Information About Your Research Capabilities or Areas of
Expertise? 2

Do I Have to Pay for this Information? 2

What is a DOE Management and Operating Contractor? 3

What Does DOE Charge to Do this Research or Technical Work? 3

Can You Team or Partner with Me on Responding to Competitive
Solicitations? 3

Can You do Classified National Security Information Work? 5

Do you have Commercial and Government Entity (CAGE) Codes? 5

Are you Registered in the DOD Central Contractor Registration (CCR)
Database? 5

What is Oak Ridge National Laboratory (ORNL)? 5

What is a National Laboratory? 6

What is a Federally Funded Research and Development Center (FFRDC)? 6

Can Someone Explain the Management of the DOE Government Facilities
Located in Oak Ridge and the Role of the Contractors? 7

What Type of Contractual or Legal Arrangement Is Involved If I Want to
Do Work with the DOE Contractors? 8

Can I ABorrow@ ORNL Employees to Work for My Organization? 10

Why Must I Pay in Advance For Any Research or Technical Work to Be Done?
10

How Do I Calculate a Partial Cash Advance Amount? 11

How Can the ORNL Principal Investigator Help their Customers in this
Advance Payment Process? 12

Can I Get an Invoice for this Advance Payment to Satisfy My Company
Finance Officers? 12

What if I Can=t Make Advance Payments on a Scheduled Basis? 12

Are There Any Exceptions to the DOE Advance Payment Policies? 13

How do I send funds to DOE? 13

What is Your Taxpayer Identification Number (TIN)? 14

Do You Do Research on Human Subjects? 14

Which Rules do You follow on Human Subjects Research? 14

Do You Have an U.S. Government Activity Address Code (AAC) or DOD
Activity Address Code (DODAAC)? 15

Can You Do Independent Certifications and Representations for Government
Contracts, Grants, etc? 15

Are You Authorized to Receive Military Critical Technical Data (DD Form
2345)? 16

# What is WFO?

The Department of Energy (DOE) sponsors a research and technical
assistance program, called the Work For Others (WFO) program. This DOE
program provides assistance for activities that are not associated with
the U.S. federal government. These organizations typically include U.S.
private sector companies, both commercial and non-profit; U.S.
institutes of higher learning; U.S. state and local governments; foreign
companies, foreign governments; international agencies; and
non-governmental organizations. This work activity includes
participating in joint or cooperative research, developmental, or
experimental projects. The authority for such activity comes from
statutes such as the Energy Reorganization Act of 1974 (Public Law
93-438) and the Department of Energy Organization Act (Public Law
95-91).

# What Does This Mean in Plain English?

Department of Energy can furnish cost reimbursable scientific services
in:

-   Basic Research

-   Applied Research

-   Applied Development

-   Technical Analyses or Specialized Scientific Studies

-   Data Sampling/confirmation

-   Prototype Development

-   Objective Consultation

-   Essential Engineering Design and Development

-   Model Fabrication

-   Manufacturing of Specialized Materials or Components

-   Engineering and Technical Services

The decision criteria on what work can be done is determined by DOE if
it is within the special scientific and technical capabilities of the
DOE Contractor.

# Does DOE Do the WFO Work?

In the vast majority of reimbursable work requirements, DOE furnishes
administrative oversight but does not do the detailed scientific or
technical work. A DOE performance-based contractor does the scientific
or technical work. These performance-based contractors, in most cases,
are a special type of contractor entity created to do DOE work only.
This special contract relationship comes under Federal Acquisition
Regulation 17.6 dealing with Management and Operating Contractors.

# Can I Request Information About Your Research Capabilities or Areas of Expertise?

Absolutely. We can furnish to you publicly available information,
subject to the provisions in the Freedom of Information Act, the Privacy
Act, and the Atomic Energy Act of 1954.

Generally speaking, we can supply your organization with White Papers,
Statements of Capabilities, Scientific Abstracts, or other similar types
of documents. These papers can discuss our in-depth research, scientific
background, unique facilities, or specialized scientific expertise in a
particular discipline or subfield.

However, in any requested document supplied to a sponsor, we can not
make any formal commitment to do work for the sponsor nor furnish
detailed cost information without specific DOE approval.

# Do I Have to Pay for this Information?

Generally speaking, ANo.@ Subject to internal ORNL cost limitations on
time and effort, the White papers, et al., normally are supplied
free-of-charge.

If there is an existing WFO Agreement already in place, the sponsor may
authorize the creation of these White papers, et al., at their cost.

If there is no WFO Agreement in place, and the proposed information
needed is of particular value to the sponsor, the sponsor may agree to
enter into an agreement to pay for the work

For information maintained at the DOE Office of Science and Technical
Information (OSTI), there may be a charge for these documents maintained
by them for public review and dissemination. Contact OSTI at
<http://www.osti.gov/> or

> [Mailing address:]{.underline} [Shipping address:]{.underline}
>
> P.O. Box 62 175 Oak Ridge Turnpike
>
> Oak Ridge, TN 37831 Oak Ridge, TN 37830

## OSTI Information:

Telephone: 865‑576‑1188 (general information)

Telephone: 865‑576‑8401 (documents)

Fax: 865‑576‑2865

# What is a DOE Management and Operating Contractor?

Under Subpart 17.6 of the Federal Acquisition Regulation dealing with
Management and Operating (M&O) Contractors, DOE uses M&O contractors to
perform the work. DOE competitively awards M&O contracts to manage and
operate DOE facilities. These M&O contractors are financially integrated
with DOE and operate under strict DOE controls and guidelines. The DOE
M&O contractors, including UT-Battelle, LLC, at Oak Ridge, Tennessee,
are distinct "arms-length" subsidiaries of their parent corporations and
are established exclusively to perform work assigned by DOE, including
work which DOE accepts from other federal agencies or non federal
entities (e.g., private companies).

A DOE M&O contractor performs a completely different role as a
financially-integrated contractor of DOE. This distinction is vital to
understanding the role that DOE plays in technology research and applied
development for both the U.S. government and the domestic commercial
sector.

DOE establishes the programmatic controls, oversight functions,
customary reporting information, and general categories and procedures
for the overhead cost structure for the M&O contractors. DOE approves
all overhead rate categories.

# What Does DOE Charge to Do this Research or Technical Work?

Consistent with U.S. government guidelines, DOE operates on a full cost
recovery basis. Costs are based on identical charges levied to DOE
programs. Additionally, there is a 3% surcharge levied to cover DOE
administrative and oversight costs. This surcharge is waived for:

-   Small businesses, non-profit organizations, and U.S. institutes of
    higher learning are statutorily exempt from the 3% surcharge.

-   State and local governments are statutorily exempt from the 3%
    surcharge.

-   Work performed for a DOE (Cost-type) contractor is exempt from this
    surcharge.

Private sector commercial companies (excluding small businesses and
non-profit organizations) and foreign entities are subject to the 3%
surcharge.

# Can You Team or Partner with Me on Responding to Competitive Solicitations?

The answer is both "Yes" and "No!" It depends on the situation and type
of solicitation. Contact the Work For Others (WFO) Program Office at
(865) 574-9798 for help in determining if we can partner together.

Some general restrictions:

We can not participate in responding to any U.S. federal agency request
for proposals (RFP) that are governed by the Competition in Contracting
Act (CICA) of 1984.

We can not be in direct competition with the U.S. private sector.

We must obtain a specific DOE approval for every partnership or teaming
arrangement.

[In the "Yes" category, we can be a partner (subcontractor arrangement)
to:]{.underline}

Federal Agency *Broad Agency Announcements* (BAA or BAA type, such as
NASA Research Announcements) where the federal sponsor permits this type
of arrangement and where there is no fixed statement of work to compete
against;

Federal Agency research, development or specialized technical services
type of *grant or cooperative agreements* where the federal sponsor
permits this type of arrangement and where there is no fixed statement
of work to compete against;

Federal Agency *Small Business Innovation Research (SBIR*) where the
federal sponsor permits this type of arrangement.

Federal Agency *Small Business Technology Transfer Research (STTR*)
where the federal sponsor permits this type of arrangement.

U.S. commercial company, university, or non-profit organization that
places out a private research and development or scientific assistance
announcement for competitive solicitation. *The private sector
announcement is similar in nature to a federal agency BAA, is open to
federal agencies or federal laboratories, and has some type of
peer-review process associated with the review and award process*. These
private solicitations may be labeled as a "Request for Proposals" but
are intrinsically different because they are not governed by CICA.

Foreign countries or foreign commercial solicitations of a research and
development or scientific assistance nature. The foreign entity must be
open to U.S. participation and must be willing to accept DOE
intellectual property provisions and a DOE WFO arrangement for the DOE
facility participating in the response. DOE Headquarters must also
approve each case individually.

An U.S. State Government (or a State Government legal entity)
solicitations of a research and development or scientific assistance
nature. *The State Government announcement is similar in nature to a
federal agency BAA, is open to federal agencies or federal laboratories,
and has some type of peer-review process associated with the review and
award process*. These State Government solicitations may be labeled as a
"Request for Proposals" but are intrinsically different because they are
not governed by CICA.

[In the "No" category, these partnering arrangements will not be
authorized]{.underline}:

U.S. federal agency Request For Proposals (RFP) that are governed by the
Competition in Contracting Act (CICA) of 1984.

State Government or a private sector solicitation with a fixed statement
of work for routine type of services, production, or services.

Foreign Government or a foreign private sector solicitation with a fixed
statement of work for routine type of services, production, or services

Any DOE solicitation that does not specifically include DOE national
laboratories.

# Can You do Classified National Security Information Work?

Absolutely. If an U.S. private sector entity has work under a federal
contract that is classified, then the DOE M&O contractors can also
participate in the work under a DOE-approved WFO relationship.

The Oak Ridge National Laboratory is dual certified by both the DOE and
the Department of Defense to handle National Security Information up to
Top Secret.

The Department of Energy Oak Ridge Office (DOE-ORO) Federal Office
Building also has the capability to handle information up to Top Secret
and Restricted Data. There is a DOE-ORO Sensitive Compartmented
Information Facility (SCIF). The SCIF meets the requirements of Director
of Central Intelligence Directive 1/21, Manual for Physical Security
Standards for SCIF, effective 30 January 1994.

# Do you have Commercial and Government Entity (CAGE) Codes?

Yes. The CAGE code for the Oak Ridge National Laboratory (managed and
operated by UT‑Battelle, LLC.) is 1PW69.

CAGE codes were known in the past as federal supply codes for
manufacturers (FSCM) and federal supply codes for nonmanufacturers
(FSCNM). CAGE code numbers are assigned or maintained by the Defense
Logistics Information Service (DLIS) to identify commercial and
government activities.

# Are you Registered in the DOD Central Contractor Registration (CCR) Database?

Yes. UT‑Battelle, LLC. (the manager and operator of Oak Ridge National
Laboratory), is registered in the CCR database.

# Are you Registered in the U.S. Government's Online Representations and Certifications (ORCA) Database?

Yes. UT‑Battelle, LLC. (the manager and operator of Oak Ridge National
Laboratory), is registered in ORCA.

# What is Oak Ridge National Laboratory (ORNL)?

ORNL is the largest multi-program DOE National Laboratory under the DOE
Office of Science. ORNL is a Federally Funded Research and Development
Center (FFRDC) established in accordance with the Federal Acquisition
Regulation Subpart 35. The Laboratory performs work for all DOE programs
including Science, Energy Efficiency and Renewable Energy, Nuclear
Energy Science and Technology, Nonproliferation and National Security,
Fossil Energy, Environmental Management, and Defense Programs.

The Laboratory mission is to conduct basic and applied research and
development (R&D) to advance scientific knowledge, the nation's energy
resources, and environmental quality and to strengthen educational
foundations and national economic competitiveness. DOE programs are
carried out in partnership with academia, the private sector, other DOE
national laboratories, the international scientific community, and other
government agencies. The Laboratory also performs work consistent with
the DOE mission for entities other than DOE when authorized by DOE. The
DOE Contractor will advance the frontiers of science and technology
through broad interdisciplinary research and development programs that
answer fundamental questions, solve technical problems (locally,
regionally, nationally, and internationally), and develop and apply
technologies to address societal needs.

# What is a National Laboratory?

The United States Government has established a national laboratory
system with the vast majority of the national laboratories under the
control of the Department of Defense, DOE, Nuclear Regulatory
Commission, and the National Aeronautics and Space Administration. DOE
manages a major part of the nation's federally funded civilian science,
technology development, and engineering resources through 9 major
multi-program laboratories, 10 single‑purpose laboratories, 11 smaller
special‑mission laboratories, and a wide range of special technology
centers critical to U.S. industry's global competitiveness.

# What is a Federally Funded Research and Development Center (FFRDC)?

FFRDCs were first established during World War II to meet specialized or
unique research and development needs that could not be readily
satisfied by government personnel, due to limits on federal salaries and
hiring, or by commercial contractors. Additional and expanded
requirements for specialized services led to increases in the size and
number of FFRDCs to a peak of 74 FFRDCs in 1969. In Fiscal Year 2007,
nine federal agencies fund thirty-six FFRDCs that are operated by
universities, nonprofit organizations, or industrial firms under
long-term contracts.

## From the Federal Acquisition Regulation Subpart 35.017:

An FFRDC meets some special long‑term research or development need which
cannot be met as effectively by existing in‑house or contractor
resources. FFRDCs enable agencies to use private sector resources to
accomplish tasks that are integral to the mission and operation of the
sponsoring agency. An FFRDC, in order to discharge its responsibilities
to the sponsoring agency, has access, beyond that which is common to the
normal contractual relationship, to Government and supplier data,
including sensitive and proprietary data, and to employees and
facilities. The FFRDC is required to conduct its business in a manner
befitting its special relationship with the Government, to operate in
the public interest with objectivity and independence, to be free from
organizational conflicts of interest, and to have full disclosure of its
affairs to the sponsoring agency. It is not the Government's intent that
an FFRDC use its privileged information or access to facilities to
compete with the private sector. However, an FFRDC may perform work for
other than the sponsoring agency under the Economy Act, or other
applicable legislation, when the work is not otherwise available from
the private sector.

Long‑term relationships between the Government and FFRDCs are encouraged
in order to provide the continuity that will attract high‑quality
personnel to the FFRDC. This relationship should be of a type to
encourage the FFRDC to maintain currency in its field(s) of expertise,
maintain its objectivity and independence, preserve its familiarity with
the needs of its sponsor(s), and provide a quick response capability.

# Can Someone Explain the Management of the DOE Government Facilities Located in Oak Ridge and the Role of the Contractors? 

The DOE Oak Ridge Reservation (ORR) complex contains DOE technology
centers and research facilities. These elements are divided into several
categories. The DOE Oak Ridge Office (DOE-ORO) has authority and
responsibility over the Oak Ridge National Laboratory (ORNL), the Oak
Ridge Institute for Science Education, and the East Tennessee Technology
Park within Oak Ridge and various other facilities outside the state.
The Y-12 National Security Complex comes under the jurisdiction of the
DOE National Nuclear Security Administration.

Within Oak Ridge, DOE-ORO has UT-Battelle, LLC, as a Managing and
Operating (M&O) contractor as defined in FAR 17.6. UT-Battelle is
charged with running the Oak Ridge National Laboratory (ORNL). ORNL is a
Federal Laboratory as defined in 15 USC 3710a(d)(2) and is also a
federally funded research and development center (FFRDC) as specified in
FAR 35.017. UT-Battelle, LLC, is a captive contractor to DOE and
operates as a stand-alone non-profit corporation that does not engage in
any normal commercial business.

The sole purpose of these contractors is to perform as M&O contractors
for DOE. The DOE includes clauses in its M&O contracts that allow DOE to
assign to the M&O contractor work from outside agencies. These contracts
have such clauses. DOE also assures in its M&O contracts that the M&O
contractors meet all of the provisions of the FAR, particularly with
regards to organizational conflicts of interest (OCI).

The facilities that the M&O contractors manage and operate under their
contracts are DOE facilities; no private facilities are involved. All of
the buildings, land, equipment, supplies, etc., are DOE owned (or
leased) and controlled with the exception that some non-DOE equipment
may be in those facilities on a limited basis but under DOE approval and
control. As the facilities involved are DOE's, this arrangement mandates
a close relationship between DOE and the supporting M&O contractors.

Thus, in terms of accomplishing its research and technical assistance
missions, DOE considers the UT-Battelle, LLC, and BWXT Y-12, L.L.C.,
contractors to be organic resources of DOE and does not consider work
assigned by DOE to be "contract offloading" or a "pass-through"
procurement.

# What Type of Contractual or Legal Arrangement Is Involved If I Want to Do Work with the DOE Contractors?

Here are some general parameters to set the stage.

Title to invention of WFO sponsor's requirement may go to sponsor under
class patent waiver.

1 Sponsor's proprietary data will be protected.

2 The U.S. government retains a nonexclusive royalty-free license to any
WFO invention.

Safeguards are in place to preclude organizational conflicts of interest
(e.g., disclosure to WFO sponsor regarding background intellectual
property).

Equipment and software funded by the sponsor belong to the sponsor, not
DOE nor the DOE contractor.

DOE establishes the contract language and basic contract formats that
permits ORNL to work for a non-DOE entity. Generally, our ORNL research
and technical assistance to a sponsor falls into two broad categories.
These are:

1\. [Material and Services Order Form (MSOF) for Non‑Research and
Development (R&D) services]{.underline}

\(1\) There is NO \$ Limit.

\(2\) There is NO research and development intellectual property
involved on the ORNL side.

\(3\) If only sponsor's proprietary information is involved, a
proprietary information disclaimer can be signed and attached to the
MSOF

2 [WFO Agreement for R&D Services Involving Intellectual
Property]{.underline}

There are eight (8) current distinct generic variants of the standard
agreement that have been approved by DOE-ORO.

\(1\) Standard

\(2\) Task Order

\(3\) Short form

\(4\) State and Educational Institution

\(5\) Off site

\(6\) Licensee

\(7\) Assignment of Intellectual Property (IP) rights by Sponsor
\[National Transportation Research Center\]

\(8\) Partial waiver \[incorporates waiver/no waiver of IP,
proprietary/non-proprietary rights in data, Federal/non-Federal funding
alternatives in a single agreement \[Raytheon\].

If you want to know more about the WFO agreement process, please contact
the ORNL Technology Transfer and Economic Development Directorate at
Toll Free (866) 221‑2527 or see URL:
<http://www.ornl.gov/tech_transfer/>

# Can I "Borrow" ORNL Employees to Work for My Organization?

Yes. This agreement is called a General Employee Loan Agreement (GELA).

Assuming that the ORNL employee(s) agrees to the arrangement, ORNL has a
formal agreement that authorizes a specific ORNL (UT-Battelle, LLC)
employee to work for a non-UT-Battelle, LLC, company or corporation.

The sponsor must agree to the terms and conditions of the GELA and pay
all costs on a full cost recovery basis for the ORNL employee. The ORNL
employee will work at a sponsor-designated location.

Proprietary information of both parties will be protected. All
appropriate conflict of interest rules are applicable for both parties
involved in the GELA.

# Why Must I Pay in Advance For Any Research or Technical Work to Be Done?

With few exceptions, the Department of Energy (DOE) requires advance
payments for work to be performed for sponsors who are not part of the
U.S. federal government. This is common U.S. Government policy
associated with, and derived from, U.S. appropriations law. Without
specific Congressional approval, a federal agency can not subsidize a
commercial firm, a non-profit organization, or a University, in their
research and development efforts.

When advance payments are required, the following amounts are needed
after final DOE approval and BEFORE start of any work.

> Full funding if the work is estimated to cost \$25,000 or less.
>
> Full funding if the work will be completed in 90 days or less
> (regardless of estimated total cost).

Partial monthly cash advance IF the work is estimated to cost over
\$25,000 AND take longer than 90 days to complete. After the initial
partial cash advance, the next partial cash advance should be scheduled
to be received so as to meet each month's financial plan schedule.

In order to determine the partial monthly cash advance payment required,
first review the following definitions:

1\. In‑house cost ‑ ORNL costs including labor, services (effort) such
as engineering, supplies, and associated overhead costs. These
transactions do not involve third parties.

2\. Outstanding commitments ‑ Transactions with third‑parties to acquire
materials and/or services outside ORNL such as purchase requisitions and
subcontracts. Funding must be available to cover uncosted (unpaid and
unaccrued) commitments.

3\. Month ‑ The month as determined by the business calendar associated
with the DOE‑approved, contractor‑implemented financial accounting
system.

# How Do I Calculate a Partial Cash Advance Amount?

The initial partial cash advance requirement for a project is the sum of
the following;

estimated total cost for the current month, and

estimated in‑house cost for the next month, and

estimated outstanding commitments at the end of the current month.

Second and subsequent partial cash advances will represent the sum of
the next month's estimated in‑house costs plus the change in outstanding
commitments for the current month.

In other words, at the end of each month, there should be:

sufficient financial plan funding for costs to date through the current
month,

the in‑house cost estimate for the next month, and

the outstanding commitments at the end of the current month. (In cases
where commitments will be processed after the first day of the calendar
month and before that month's cash advance has been received, it will
probably be necessary to budget that commitment amount a month earlier
than described above.)

A project's monthly cash advance requirement can be estimated up front
and included in the bilateral reimbursable agreement (contract).

# How Can the ORNL Principal Investigator Help their Customers in this Advance Payment Process?

In order to avoid overruns, ORNL Principal Investigators must accurately
calculate the cash advance requirements and financially manage each
project based upon the approved funds in the Financial Plan.

Project work, including subcontracted efforts and any termination costs,
must cease when existing Financial Plan funds are exhausted, unless a
pending cash advance has been received and approved by DOE‑ORO Budget. A
statement to this effect should be included in the Terms and Conditions
of each reimbursable agreement.

Reducing the cash advance requirement from 90 days to 30 days
theoretically would tend to increase the likelihood of a work stoppage;
however, current work stoppages are primarily caused by customers paying
invoices late. Under this proposal, our customers never receive invoices
based on costs incurred. They are only responsible for providing cash
advances on an agreed schedule that will cover actual costs incurred.

# Can I Get an Invoice for this Advance Payment to Satisfy My Company Finance Officers?

Yes. If the sponsor agrees to cash advances on a schedule but still
needs invoices, the ORNL Office of Technology Transfer and Economic
Development can provide an invoice to the sponsor but the sponsor must
not wait on that invoice before paying on the agreed schedule.

# What if I Can't Make Advance Payments on a Scheduled Basis?

If the sponsor is not agreeable to making cash advance payments on a
schedule, then the default is for the sponsor to provide an advance
payment equal to the highest 90-day cost and commitment period
anticipated in the project.

This advance payment is actually held, to cover costs, until the last 90
days of the project. The ORNL Accounts Receivable will invoice the
sponsor monthly for actual costs. The sponsor MUST pay that invoice,
even though the cash advance is here, in a timely manner (30 days or
less) so that there are always funds available to continue working on
the project.

# Are There Any Exceptions to the DOE Advance Payment Policies?

Yes. Advance payments are NOT required when:

> the work is for a U.S. state or U.S. local government whose laws
> prohibit the payment of advances. (Note: this must be a "law" as
> opposed to a "policy.")
>
> the work is provided to the sponsor to fill a verified requirement of
> work for a DOE‑funded cost‑type contract; i.e., the sponsor performs
> work and bills DOE for that work and the sponsor does not receive
> payments up‑front from DOE.
>
> the DOE management and operating contractor performing the work
> \[e.g., Oak Ridge National Laboratory (ORNL)\] provides the funding
> from their award or management fees, royalties, or other corporate
> funds. (Note: in practice meeting this requirement is difficult and
> rarely will ORNL senior management agree to fund someone else's work
> from corporate funds.)
>
> Emergency situations involving the protection of life; federal lands,
> buildings, or equipment; law enforcement; disaster assistance; and
> production and maintenance of the power distribution system. \[Note:
> DOE Oak Ridge (ORO) must still approve in advance this waiver for no
> advance payment prior to the beginning of any work.\]

# How do I send funds to DOE?

Advance and invoice payments should be sent by one of the following
methods:

1\. Remittance to: UT-Battelle, LLC.

> Post Office Box 281390
>
> Atlanta, Georgia 30384-1390

2\. Wire transfer to: Treasury - New York City

> ABA 021030004

Please include "Treas NYC (89185369" on the receiver-info-line, and list
all invoice numbers being paid on the sender-info-line.

3\. Remittance to: UT-Battelle, LLC.

> Bethel Valley Road

Attn: Treasury Services

1060 Commerce Park, Mail Stop 6437

Oak Ridge, Tennessee 37831-6437

Telephone inquiries should be addressed to Ms. Diane L. Ridge,
865-576-2895.

# What is Your Taxpayer Identification Number (TIN)?

The TIN/EIN for UT‑Battelle, LLC. (which manages and operates the Oak
Ridge National Laboratory) is 62‑1788235.

A Taxpayer Identification Number (TIN) code is also known as a Federal
Identification Number, or more commonly, Employer Identification Number
(EIN). An EIN is a nine‑digit number (for example, 12‑3456789) assigned
by the Internal Revenue Service to sole proprietors, corporations,
partnerships, estates, trusts, and other entities for tax filing and
reporting purposes.

# Do You Do Research on Human Subjects?

Yes, under very strict review and guideline procedures approved by DOE
and consistent with the U.S. government's overall most stringent
standards.

While many people typically view human subject research as biomedical
and clinical studies that involve humans, the definitions for human
subject research is much broader than this. Areas that must be
considered include:

1\. Use of humans to test a device or product developed through
research;

2\. Use of data collected through interaction with people via a variety
of communication styles (e.g., written or oral surveys) or intervention
activities such as collection of bodily fluid samples or manipulation of
the individual's environment;

3\. Use of private information readily associated with individuals (even
when the information was not collected for a specific study);

4\. Use of bodily materials even if collected by someone other than the
researcher; and,

5\. Use of humans to evaluate an environmental alteration such as
weatherization options.

It is DOE's policy that all research that falls under the above
categories must be reviewed and approved by both the researcher's
institution and the Institutional Review Board (IRB).

# Which Rules do You follow on Human Subjects Research?

The Federal policy for protection of human subjects is called the Common
Rule. In order to ensure uniform policies, this common rule was
promulgated. Signatory agencies have codified the Common Rule under
their own regulations. The 45 Code of Federal Regulation (CFR) 46 is
where the Rule is found for the Department of Health and Human Services
(DHHS) while 10 CFR 745 is where the Rule is found for the Department of
Energy. Subparts under the DHHS regulations, which are also recognized
by the DOE Order 443.1, Protection of Human Subjects, include
protections for vulnerable populations, pregnant women, fetuses,
prisoners, and children. The ORNL Institutional Review Board (IRB) is
authorized under a Multiple Protection Assurance from DHHS (M.1334). It
adheres to 45 CFR 46 and 10 CFR 745 in situations in which they are more
stringent.

# Do You Have an U.S. Government Activity Address Code (AAC) or DOD Activity Address Code (DODAAC)?

Yes. The AAC or DODAAC is a six-position code that uniquely identifies a
unit, activity or organization that has the authority to requisition
and/or receive U.S. government materiel. Effective April 1, 2000, the
DOE‑approved Oak Ridge National Laboratory (ORNL) Agency Activity Code
is 894777. For questions or assistance, please contact:

[Oak Ridge National Laboratory]{.underline}

Ms. Cheri Cross

Chief, Property Management

ORNL Asset Mgt & Small Business Programs

Phone: 865‑574‑6046

Fax: 865‑241‑4040

Email: crosscl@ornl.gov

# Can You Do Independent Certifications and Representations for Government Contracts, Grants, etc?

Generally, "Yes." Certification is subject the condition imposed in the
DOE management and operating contracts under Federal Acquisition
Regulation Subpart 17.6. The M&O contractors may do stand alone
representations and certifications to other federal agencies after
reviewing the FAR or federal agency provisions being requested. Based on
the DOE M&O contract, there may be some FAR provisions that can not be
certified to.

The M&O contractors are dedicated DOE contractors and are precluded from
entering into any other U.S. government contracts or doing any
independent commercial work. All work must be approved, authorized, and
funded through DOE. [To obtain the initial M&O contract, the contractor
made the certification of compliance with all applicable U.S. government
rules and standards]{.underline}.

If there are any questions on the actual Certifications and
Representations made to the federal government, contact the respective
DOE contracting official or the ORNL Prime Contract Administration
Division:

[For Oak Ridge National Laboratory]{.underline}

1\. DOE: (865) 576-9798

2\. UT-Battelle, LLC: (865) 576-0274

# Are You Authorized to Receive Military Critical Technical Data (DD Form 2345)?

Yes. The certification number for the ORNL is 0031217. The ORNL
certification was assigned March 2, 2000, by the Defense Logistics
Information Service. Mr. David R. Hamrin, ORNL Classification Officer,
is the designated data custodian and is the official responsible for all
actions involving DD 2345 certifications. He can be reached at:

Mr. David R. Hamrin

Office of Technical Information and Classification

Oak Ridge National Laboratory

P.O. Box 2008, Mail Stop 6254

Oak Ridge, Tennessee 37831‑6254

Phone: (865) 574‑6752

Facsimile: (865) 241-8033

Email: <hamrindr@ornl.gov>