This article embodies essential and fundamental principles to which the University and the DOE subscribe. The Principles of Operation are formally recognized in Article V, Clause 2, "Order of Precedence," of this contract in that any resolution of a disputed interpretation of clauses, other than those set forth in this Article VI, shall be consistent with the Principles of Operation set forth below.
(b) The DOE and the University agree that the government shall fund the operations under this contract by advance payments and that the University, by virtue of its public charter and the not for profit nature of its operation as an instrumentality of the State, is not obligated to advance any funds or to otherwise expend University funds in any operations under this contract.
(b) 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.
(c) 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 equivalent rights and obligations of University faculty with respect to the publication or other dissemination of research, and participation in open debate and in scientific, educational, or professional meetings or conferences, subject to the limitations included in technology transfer agreements and such other limitations as may be required by the terms of this contract.
(b) The enhanced management oversight will include formation of a President's Council on the National Laboratories which will be advisory to the President of the University on operational and programmatic aspects of the Laboratory. The University also will establish in the Office of the President of the University an administrative unit responsible for management oversight of the Laboratory.
(c) The enhanced University management role will permit the DOE to restructure its on-site oversight at the Laboratory to achieve greater cost efficiency in its operations and to avoid duplication of efforts. The University will cooperate with the DOE in facilitating this restructuring of DOE's oversight functions.
(b) The parties agree that the University will conduct an on-going self-assessment process, including self-assessments performed at the Laboratory, as the principal means by which to evaluate compliance with the performance measures which are contained in Appendix F against which the University's overall performance of obligations under the contract will be determined.
(c) Further, the University and the DOE agree that the parties will utilize a specially designated process described in Appendix F, Section B, to evaluate administrative, scientific, engineering, and technical work of the Laboratory. The performance evaluation process will be the basis for determining the University's Laboratory Executive Program salary increase authorization multiplier. DOE will determine the value of the multiplier to be applied to the Laboratory Executive Program salary increase authorization, from a range of not less than .75 to not more that 1.50, in accordance with Appendix A to this contract. The DOE and the University further agree that the evaluation process, described in Appendix F, Section B, will be reviewed annually and modified, if necessary, by agreement of the parties.
(d) DOE, as a part of its responsibility for oversight, evaluation and information exchange, is responsible for providing programmatic and administrative appraisals and reviews of the Laboratory's and the University's performance of authorized research and development programs in accordance with the terms and conditions of this contract.
(e) The DOE shall conduct a validation program to appraise and evaluate the performance of the work under this contract, based upon its inspection, as a means of fulfilling its public accountability role in assessing contract compliance. Annually, the Contracting Officer shall provide a written assessment of the Laboratory's performance hereunder to the University which shall be based upon the DOE appraisal program and the Contracting Officer's evaluation of the University's self-assessment.
(b) Consistent with these principles, the University and DOE will exercise diligent efforts to inform each other in advance of significant public affairs events or other major activities. When such advance exchange is not possible operationally, each party shall promptly furnish the released information to the other party concurrent with its release.
(c) The University shall not release information attributed directly to DOE or which purports to represent established DOE policy without the advance concurrence of DOE. Nothing in this clause shall be construed so as to limit the right of the University to publicize the results of its scientific research.
(d) In order to facilitate the timely exchange of information between the University and DOE related to media releases and public affairs, discussions among appropriate staff will occur on a regular basis.
(e) In all public releases of information related to the Laboratory, there shall be prominently displayed a statement that the Laboratory is a DOE facility which is operated by the University of California under a management and operating contract.
(b) The DOE shall, to the maximum extent practicable, furnish the University drafts of such directives for the purpose of seeking an assessment of potential financial or programmatic impact of the proposed draft directive as far as possible in advance of finalization of the directive.
(a) Government-owned Records. Except for those records owned by the University pursuant to paragraph (b) below, all records acquired or generated by the University's employees at the Laboratory or at the University's Laboratory Administrative Management Oversight Unit in the performance of this contract, shall be the property of the Government and shall be delivered to the Government or otherwise disposed of by the University in accordance with the terms of this contract or as directed by the Contracting Officer during the term of this contract or upon its termination or expiration.
(b) University-owned Records. Administrative and financial records (to the extent not listed and maintained as Privacy Act records pursuant to Article XI, Clause 4 of this contract), acquired or generated by the University's employees at the Laboratory or at the University's Laboratory Administrative Management Oversight Unit in performance of this contract, shall be owned by the University including but not limited to the following:
(2) Workers' Compensation files;
(3) Internal health and safety files;
(4) Employee Relations records and files, such as records and files pertaining to:
(ii) Employee and union grievances;
(iii) Arbitration proceedings pursuant to the provisions of any labor contract;
(iv) Allegations, investigations, and resolution of employee misconduct;
(v) Employee discipline;
(vi) Employee charges of discrimination; and,
(vii) Negotiations with any labor organization in connection with any labor contract.
(5) Records and files pertaining to wage, salary, compensation and benefits and their administration;
(6) Confidential University information and correspondence between the Laboratory and other segments of the University's organization located away from the Laboratory pertaining to the University's relationship with DOE and,
(7) Legal files and legally privileged documents.
(8) All records related to any procurement action by the Laboratory. In the event of completion or termination of this contract, copies of any or all procurement action records shall be, upon direction by Contracting Officer, delivered to DOE or its designees, unless prohibited by law.
(c) Inspection, Audit and Copying of Records. The University may reproduce and retain copies of the Government-owned records defined in paragraph (a). At all reasonable times and at the Laboratory facilities, the Government may inspect, audit and copy the University-owned records defined in paragraph (b) except for the following records:
(ii) Records that contain personal information, including personnel records, medical records, employee assistance records, other similar records, where it is determined under paragraph (e) below that they may not be provided; and
(iii) Records privileged under the law, arising from the University's provision of legal services to current or former officers agents or employees under the California Government Tort Claims Act.
(d) Legally Privileged University Records. The University and the Government acknowledge that this government facility management and operation contractual relationship is unique among government contracts, requiring a cooperative and close working relationship since the government furnishes all the funds utilized by the University in operating the Laboratory and provides the University a broad indemnity designed to protect the University from economic loss for the operation of the Laboratory. Accordingly, the University and the Government share a community of interest in the consequences in the conduct of the Laboratory's operation and the parties agree that the Government's right to inspect, audit and copy University-owned privileged records, as provided in paragraph (c) above, shall not be construed so as to waive or impair any privilege or other protected status of such records, or the information or data they contain.
(e) Records Covered by California Privacy Law. The parties acknowledge that some University-owned records could create obligations under California law which would impact upon the timing, scope, and availability for the Government's inspection, audit, and copying. The parties further recognize that the California Information Practices Act permits the release of certain personal information to federal agencies when required by federal law, and that DOE may need access to such information to carry out its federal statutory responsibilities. The University will honor DOE written requests for information concerning individuals which specify the records sought, provided the federal law requires such disclosure and DOE specifies the said federal law and the factual basis for the requested record access. The parties agree (i) that records relating to employee assistance programs, to alcohol and drug abuse programs, and to psychiatric evaluations will not be released by the University without a court order, and (ii) personal information obtained by DOE from the University-owned records, whether pursuant to this contract or otherwise, are to be protected under the Federal Privacy Act and other applicable federal law. The University agrees to promptly review DOE requests for access to University records and to reply within a reasonable time. If in the judgment of the University's General Counsel, the University cannot provide the requested records in a particular circumstance due to the state constitutional or statutory rights of privacy, notwithstanding DOE's cited federal law, the parties may pursue the request through the Issues Resolution Process provided in Article XVI, Clause 2, of this contract.
(f) Information required for the performance of epidemiological or other health and safety studies shall be provided by the University, subject to the limitations of this clause. The University shall respond promptly to all such requests. The parties shall determine the best means of providing the requested information on a case-by-case basis to assure privacy considerations.
(g) DOE agrees to indemnify and hold harmless the University for any and all costs, expenses, damages or judgments of any kind or nature associated with or arising from any release of records pursuant to the provisions of this contract, including any release of records by the University to DOE, any release of records by DOE, or any subsequent use of such released records subject to the availability of appropriated funds. The University may treat any such costs, expense, damage or judgment as an allowable cost under this contract subject to the availability of appropriated funds.
(2) DOE is responsible for providing oversight, evaluation and information exchange in administrative areas (such as environment, health and safety, personal property and business functions). DOE employees performing such administrative oversight shall not direct: (i) specific activities relating to research and development, (ii) the actual conduct of the work, or (iii) the decision-making processes associated with the conduct of the work in administrative areas.
(b) Administrative interaction between DOE and the Laboratory. Any proposed DOE administrative direction to the Laboratory which involves an administrative area and which is related to the conduct of research and development or program work will be provided by the Contracting Officer to the University's administrative unit described in Clause 5 of this Article.
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