rfp for logistics project

January 31, 2015 • Version 1.0

1

Request for Proposal (RFP) Information Technology

Developed By: Levi Williams (CIO)

March 31, 2012 • Version 1.0 2

TABLE OF CONTENTS

1 Aspects of the Company

1.1 COMPANY INFORMATION

1.2 STATEMENT OF PURPOSE

1.3 SCOPE OF WORK

1.4 OUTCOME AND PEFORMANCE STANDARDS

2.0 RFP STANDARDS AND PROCESS

2.1 SLECTION PROCESS

2.2 TIME TO RESPOND

. RFP Letter

3.0 RFP Product request description for solution

3.1 Letter of Intent to Respond

3.2 Inquiries

3.3 Deadline for Response

3.4 Submission Process and Requirements

3.5 General Conditions

4.0 Vender Profile

Appendix I Internet usage Policy

Appendix II Background check Information

Appendix III Vendor/contractor Handbook

Appendix IV Forms


Aspects of the Company

1.1 COMPANY INFORMATION

JK AIR is a logistics freight forwarding company with offices around the world with approximately

27,000 employees, with approximately 15,000 work stations and approximately 12,000 mobile devices

not including GPS tracking systems on our fleet of delivery vehicles to include 100 freight airplanes,

14,000 delivery trucks that range from Semi-tractor trailers, box trucks, and bobtail trucks.

We have our Headquarters located in Miami Florida United States with an additional branch of

operations located in Los Angeles California United states. Our other Facilities which are distribution hubs

are located in Puerto Rico, Bolivia, France, Finland, London, China, Turkey, Israel, Japan, and Spain. We

also have distribution hubs across the United States in Los Angeles California, Miami Florida United

States, Fort Worth Texas United States, Montgomery Alabama United Sates, Salt Lake City Utah United

States, Benton Kentucky United States, Georgetown Massachusetts United States, Saint Paul Minnesota

United States, Fairbanks Alaska United States, Honolulu Hawaii United States. We also Have many Kiosk

locations as pick up and drop off customer service sites around the United States and our other countries

of operations.

We do 12.2 Million in biasness in the last fascial year as reported to the public via the Securities

Exchange Act of 1934 (codified at 15 U.S.C. § 78a). We handle billions of dollars in freight a year with our

fleet of transport planes, trucks, and delivery vehicles. We provide freight capacity from a few Oz to 10

metric tons.

Our unique position is we are able move fright around the world and provide exact locations on

their package and report any delays that may occur in a finite amount of time within a few minuets to half

an hour.

1.2 STATEMENT OF PURPOSE

JK AIR has been around since 1995 reliably forwarding fright around the world with a low rate of

loss of our fright due to our GPS tracking system. This system has been having some troubles

due to vendors no longer supporting software and hardware. We have decided to overhaul our

current system that will allow a more customer friendly tracking system allowing customers to view

where their package is anywhere in the world at any time. The main project goals are to acquire a

solution that can reliably track, monitor, and update package, and vehicle location anywhere in the

world. We have a need for this solution to interact with different business needs in order to meet

customer satisfaction.

1. This solution needs to update package location weather on a trunk, delivery vehicle, or aircraft

for our customers using unique identifiers that only our customers will know such as customer

first and last name, package tracking number, customer phone number, .etc. This solution

should interact with local traffic reports in order to give an estimated time of delivery.

2. This solution should interface with a customer service much in the same way it does with the

customer interface. Customer service should be able to look up package information with


unique identifiers provided by the customer plus have a security feature that does not allow

the rep to look up these packages without asking at least three questions about the sender,

the time of delivery, the tracking number, customer name, customer delivery location, sender

location, ect.

3. This solution should include a local dispatch center application for different regions, in

different languages. This solution should be handicapped friendly such as color blindness.

The application should only track packages on local delivery vehicles once they have been

scanned in to the distribution center for delivery.

4. We also want a solution that can run reports. This should include but not limited to vehicle

stops and duration of stops, fuel gage monitor, and route tracking reports.

5. This solution must create QR codes, and bar codes for scanning t our remote customer

service sites in order to properly track customer products.

6. This solution must update databases around the world without redundancy in order to keep

track of a single package quickly.

7. This solution must interact with current GPS technology that is installed in our vehicles and

aircraft.

8. We are looking for a long-term contract for this solution for updates, bug fixes, product

training, customer service that can handle 24/7 support of our business. We also want product

equipment recommendations that work well with the solution such as hardware, scanning

devices, printers, label makers, ect.

1.3 SCOPE OF WORK

JK Air needs a reliable source for this solution that puts us and our customers first. We are looking

for a service contract on top of the solution for at least a 10 year contract for support. The scope of work

should include hardware and software to include but not limited to 12 servers which sync with the solution

and databases, a software solution, instillation of devices, instillation of software, training on how to use

solution, and service. Any third party contractors that will be used by you company must be vetted by our

company in order to insure safety and security of current data and devices which we possess. The

contract should include any security patches, bug fixes, and customer support on the solution, and

devices provided by your company. Any member of a work force to do work onsite or that needs remote

access to company assets will need to undergo a background check to insure our security standards are

met. We require randomized drug testing and screening of all onsite personnel due to heavy equipment in

operation at many of our sites.

1.4 OUTCOME AND PEFORMANCE STANDARDS

JK Air is looking to have a comparable system in place that will require little maintenance, and

security flaws. We are looking for a company that will treat our customers and our staff with the highest

regard when customer service issues arise. We wish to have a solution in place within three months’ time

to award of contract. All companies should read our policies which are stated in the appendix.


2.0 RFP STANDARDS AND PROCESS

This RFP is a proposal from JK Air in order to gain solutions that wil l fulfill our goals as a company in

order to accomplish our mission.

2.1 SLECTION PROCESS

All proposal submittals must be based on the attached scope of work. The selection team (a technology stakeholders group from JK Air’s Technology Oversight Board) intends to evaluate all submittals through the review of work proposed, qualifications, experience, references, expertise, and cost. The evaluation

process may be followed by an interview process, if necessary, to determine finalists and to enable the formulation of a selection recommendation. Product demonstrat ions may be required for final decision. Said recommendation will then be presented to the JK Air Board of Supervisors for direction and action.

We anticipate final selection and execution of contract with the successful firm around March 2, 2015. All decisions and selections of the JK Air Board of Supervisors and the selection team are final and are not subject to appeal.

Please do not attempt to contact any staff or officials of JK Air Technology Oversight Board outside of the RFP selection process and defined project managers. Due to the large number of potentially interested firms for this project, we are unable to grant individual meetings or telephone interviews at this point in the

selection process.

Direct specific questions concerning the RFP or the project to project managers:

Levi Williams, CIO

123 Metropolitan Ave.

Maim, Fl 33101

Phone: (714) 642-3102

Fax: (714) 842-3102

Email: [email protected]

2.2 TIME TO RESPOND

Vendors will have 6 weeks to respond to the initial RFP so that they have adequate time to prepare an

appropriate response, vendor questions and a letter of intent. Responses to vendor inquiries will happen

in 1 to 2 weeks after the deadline in order to allow JK AIR time to compile general questions provided by

vendors and respond to unique questions that where brought up by specific vendors.


RFP

JK Air

Request for Proposal:

Electronic Package tracking System, customer access and

Integrated GPS vehicle tracking system

1/20/2015

JK AIR

JK AIR

123 Metropolitan Ave

Maim, Fl

Levi Williams

(714) 642-3102

(714) 842-3102

[email protected]


JK AIR

Request for Proposal

1/20/2015

To Whom It May Concern:

About JK AIR

We are a logistics freight forwarding company with offices around the world with approximately

27,000 employees, with approximately 15,000 work stations and approximately 12,000 mobile devices

not including GPS tracking systems on our fleet of delivery vehicles to include 100 freight airplanes,

14,000 delivery trucks that range from Semi-tractor trailers, box trucks, and bobtail trucks.

We have our Headquarters located in Miami Florida United States with an additional branch of

operations located in Los Angeles California United states. Our other Facilities which are distribution hubs

are located in Puerto Rico, Bolivia, France, Finland, London, China, Turkey, Israel, Japan, and Spain. We

also have distribution hubs across the United States in Los Angeles California, Miami Florida United

States, Fort Worth Texas United States, Montgomery Alabama United Sates, Salt Lake City Utah United

States, Benton Kentucky United States, Georgetown Massachusetts United States, Saint Paul Minnesota

United States, Fairbanks Alaska United States, Honolulu Hawaii United States. We also Have many Kiosk

locations as pick up and drop off customer service sites around the United states and our other countries

of operations.

JK AIR has been around since 1995 reliably forwarding fright around the world with a low rate of

loss of our fright due to our GPS tracking system. This system has been having some troubles due to

vendors no longer supporting software and hardware. We have decided to overhaul our current system

that will allow a more customer friendly tracking system allowing customers to view where their package

is anywhere in the world at any time.

To meet the deadline for the initial approval, all responses to this RFP must be received electronically

by 5:00 PM (EDT) on 2/9/2015. All vendors intending to submit a response are requested to submit a

letter of intent along with any questions they may have by 2/16/2015. All questions from all vendors will

be consolidated and answered in writing by 5:00 PM (EDT) on 03/03/2015 Vendors will review the

information posted and communicate any requested changes or updates in writing. Questions and

completed responses should be sent to:

Levi Williams

CIO


3.0 RFP Product request description for solution .

JK AIR is looking for a system that allows us to

1. Dispatch vehicles that are tracked by current GPS technology

2. Allow our customers to track Ground vehicle delivery routes and ETA of package

delivery

3. Allow our support team to track, manage package delivery, and to create new tickets for

delivery.

For the RFP portion We are requesting a company to build a program that interacts with

GPS tracking devices that are attached to the vehicles in our fleet. It must update

customer databases with

1. The location of the package on a customer profile with a QR code and or tracking

number.

2. Update a dispatch database with the location of all vehicles assigned to different

areas, update a customer service database with the location of vehicle and package.

This program must also collate customer profiles by unique identifiers, produce unique

QR codes attached to a unique tracking number and add it to the customer profile. We

need our customer service reps to be able to access a customer profile in many different

ways from the tracking number, customer first and last name along with security

questions such as identifiers that only the customer would know. There are three ways

to access this data,

1. First is through the customer internet portal which provides the customer with a easy

access to their information with a secure user name and login passphrase,

2. Second Should be a dispatch program that will be provided by the company who

builds the tracking program,

3. Third is through an intranet portal that our remote users and customer service

personnel may access the program features for the remote users must be able to

print unique labels with a tracking number, QR code, a from address, a to address,

shippers name, receivers name, and general package information such as

dimensions and weight.


Terms and Instructions:

Timeline

Process Deadline

Issue RFP 1/20/2015

Intent to Respond Due 2/9/2015 Written Questions Due 2/16/2015

Responses Posted 3/3/2015

RFP Responses Due 3/10/2015

Vendor of Choice Selected

3/17/2015

3.1 Letter of Intent to Respond

JK AIR asks that all vendors email a letter of intent declaring their intention to respond to this RFP by the

given deadline. The e-mail should be sent to [email protected] and received no later than 2/9/2015.

Please include the words "RFP: Intent to Respond" in the subject line.

3.2 Inquiries

We encourage inquiries regarding this RFP and welcome the opportunity to answer questions from

potential applicants. Please direct your questions to [email protected]. Please include the words

"RFP: Inquiry" in the subject line.

3.3 Deadline for Response

Interested vendors must submit an electronic copy of their proposed solution to [email protected] by

2/16/2015. Submissions will be confirmed by reply email. Late proposals will not be evaluated.

3.4 Submission Process and Requirements

Responses shall be submitted in PDF format and sent using electronic mail. Send your response to:

[email protected] by the date and time specified above. Receipt will be acknowledged via email.

Please include the words "RFP: Vendor Response" in the subject line.

Vendors should organize their proposals as defined below to ensure consistency and to facilitate the

evaluation of all responses. All the sections listed below must be included in the proposal, in the order

presented, with the Section Number listed. The responses shall be submitted in the following format:

Section 1 – Executive Summary (provide a concise summary of the products and services proposed)

Section 2 – Vendor Profile (provide answers using the template and instructions below)

Section 3 – Specifications (provide answers using the template and instructions below)

Section 4 – Implementation Plan (provide a high level implementation plan with estimated timeline)

Section 5 – Hardware and Configuration Specifications (provide a list of hardware requirements and

configuration options [client/server, SaaS, etc.])

Section 6 – Cost Estimate (provide answers using the template and instructions below)

3.5 General Conditions

March 31, 2012 • Version 1.0 10

JK AIR is not obligated to any course of action as the result of this RFP. Issuance of this RFP does not

constitute a commitment by JK AIR to award any contract.

JK AIR is not responsible for any costs incurred by any vendor or their partners in the RFP response

preparation or presentation.

Information submitted in response to this RFP will become the property of JK AIR

All responses will be kept private from other vendors.

JK AIR reserves the right to modify this RFP at any time and reserves the right to reject any and all

responses to this RFP, in whole or in part, at any time.

4.0 Vendor Profile

Using the template below, please provide the requested information on your organization. Your response

to a specific item may be attached to this section as an additional page if necessary.

General

Name Click here to enter text.

Address (Headquarters) Click here to enter text. Address Continued Click here to enter text.

Main Telephone Number Click here to enter text.

Website Click here to enter text.

Publicly Traded or Privately Held Click here to enter text.

Parent Company (if applicable)


Address Click here to enter text.

Address Continued Click here to enter text.

Telephone Number Click here to enter text.

Main Contact


Title Click here to enter text.

Address Click here to enter text.

Address Continued Click here to enter text.

Telephone Number Click here to enter text.

Fax Number Click here to enter text.

Email Address Click here to enter text.

Market Data

Number of years as Programming vendor Click here to enter text.

Number of live or hosted sites Click here to enter text.

Breakdown of sites by provider # (1-5, 6-9, >10) Click here to enter text.

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Number of new consumer installations over the last 3 years? Click here to enter text.

What is the percentage of vendor-provided installs vs. outsourced to 3rd party companies?

Click here to enter text.

Breakdown of sites by specialty Click here to enter text.

Size of existing user base Click here to enter text.

Does the product have a United States presence? If so, # of install sites by specialty and size; list of state reference sites.


What is the current implementation timeframe when using only

vendor-supplied resources?


Number and percentage of practices in 2014 that did not get installed four (4) months after signing contract?


How many organizations have de-installed any vendor systems over the past two (2) years? Please specify which systems and why?


What is your customer retention for the years 2012, 2013, and 2014?


Total FTEs Last Year Click here to enter text.

Total FTEs This Year Click here to enter text.

Explain how your company is planning to meet the increase in demand for your product (including implementation, customization,

training, and support) over the next five (5) years.


Product Information

Product name and version# Click here to enter text.

When is your next version release? Click here to enter text.

Multiple Database queries, updating, and refresh rate? Click here to enter text.

Is it a Client Server, ASP or Hosted model? Click here to enter text.

Does product include a Customer portal? Click here to enter text.

Was the product (or any of its significant functionality) acquired from another company?

If yes, please answer the following:

What was the original company’s name that developed the product or functionality?

What was the original product’s name?

What version did you purchase?


Does the product include a Customer portal and/or does it allow integration with 3rd party Customer portals (e.g., Google, Microsoft,

etc)?


Is the product comprehensive or modular? Click here to enter text.

Modular

List all modules available, their current version, and provide additional documents with all technical

specifications, requirements, and dependencies for each module to operate fully with the "core" product.


Which modules are necessary in order to meet meaningful use criteria?


Are additional or multiple modules required to meet post-2011 meaningful use guidelines?


Comprehensive

Does the product meet meaningful use guidelines?


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Will the product continue to meet meaningful use guidelines through 2015 without significant changes?


Will there ever be a charge to copy, move, or retrieve Customer data from the product should a customer decide to delete, or change customer values in information?


List all ways that a practitioner could import a customers data into

the product:

CD/DVD

Flash Drive

PDF Format

Paper Copies

Exchange Document


Reporting Capabilities

Does the product allow custom reports to be created? Click here to enter text.

Ad hoc reporting by users an option? Click here to enter text.

Provide a list of standard reports (no customization) which the customer may run on customer portial.


Can this report information be exported to CD/DVD in CSV or comma text delimited format?


Certification

Dose the product meet any security certifications? Click here to enter text.

Version and Year of Certification Click here to enter text.

Certified as Comprehensive or Modular? Click here to enter text.

Meaningful Use

Are the modules necessary to meet each of the menu set

objectives included in the attached pricing, or are they sold separately at an additional cost?


Do you have a guarantee the product will meet the current standards and future standards?


Additional Information

Timeframe to receive demonstration of product Click here to enter text.

Is a demo copy available prior to purchasing? Click here to enter text.

Onsite implementation or remote? Click here to enter text.

Training sites Click here to enter text.

Training options (train-the-trainer, # hours all staff) Click here to enter text.

Has your company acquired, been acquired, merged with other organizations, or had any "change in control" events within the last five (5) years? (If yes, please provide details.)


Is your company planning to acquire, be acquired, merge with other organizations, or have any "change in control" events within the next five (5) years? (If yes, please provide details.)


Does your company use resellers to distribute your product(s)? If yes, please answer the following:

What is your reseller structure?

Who are your resellers who are authorized to sell

internationally? If no, please answer the following:

What is your distribution and sales structure?


March 31, 2012 • Version 1.0 13

Please provide information on any outstanding lawsuits or judgments within the last five (5) years. Please indicate any cases

that you cannot respond to as they were settled with a non-disclosure clause, and your BBB license number (if Applicable)


Security and Security Features

Describe how the product meets ISO 2700, PCI-DSS and other security requirements.


Does the product provide different levels of security based on User Role, Site, and/or Enterprise settings?


Does the product provide different levels of security based on type

of Customer (Employee vs. VIP)?


Describe the audit process within the product. Click here to enter text.

List the security reports the product provides Click here to enter text.

Describe any remote tools you offer the provider to access customer data (e.g. iPhone) and how these devices/data may be

secured if the provider loses their device or a breach is suspected.


Describe the product's ability to terminate user connections/sessions by an administrator (remotely) if a breach is suspected.


Describe the product's ability to lockout users (for upgrades, security breaches, employee terminations, etc).


Describe the product's ability to create new security rights/roles

based on new workflows or enhancements (e.g., customer-developed content such as customer notes or vehicle routes).


Data Protection

Describe how the customers data is secured at all times and in all

modules of the product (e.g., strong password protection or other user authentication, data encrypted at rest, data encrypted in motion).


Describe how the customers data is secured when accessed via

handheld devices (e.g., secured through SSL web sites, iPhone apps, etc).


Licensing

How is the product licensed? Click here to enter text.

Are licenses purchased per user? Click here to enter text.

Define ‘user’ if it relates to the licensing model (i.e., FTE, Part time

employees all customers, etc).


How does the system licensing account for Customer service center, Dispatching centers, multiple users single sign on?


Can user licenses be reassigned when a workforce member leaves?


If licensing is determined per workstation, do handheld devices

count towards this licensing?


Is system access based on individual licensing, concurrent, or both?


What does each license actually provide? Click here to enter text.

For modular systems, does each module require a unique license? Click here to enter text.

In concurrent licensing systems, when are licenses released by the system (i.e., when the workstation is idle, locked, or only when user logs off)?


March 31, 2012 • Version 1.0 14

Computerized Order Entry (COE)

Is COE part of the core product or a separate module? Click here to enter text.

Is COE customizable per site or are templates available? Click here to enter text.

Does the system allow for custom Order Sets to be built? Click here to enter text.

Does the system allow multiple Resultable Items to be mapped to a single Orderable Item? (e.g., customer

tracking number, unique identifiers like CC number, have multiple antigens (resultables) which must map to a single Orderable item code).


Does the system allow free text ordering? Click here to enter text.

Does the system provide the end user the ability to cancel pending

orders?


If so, does an outbound interface message result, sending the cancellation message to 3rd party systems?


Does the system utilize QR coding, Bar coding or both? Click here to enter text.

Can the codes be printable, and or viewed on a monitor? Click here to enter text.

Are future code unique for customer reffrence on their account??


Does the system allow custom questions per order to be developed?


If so, please describe how these items are built and managed by the customer.


Can these items be classified as "required" or "optional" to complete?


Does the product support recurring orders? Click here to enter text.

If so, please describe how the system accommodates this workflow.


Does the product support Orderable Favorites per user and/or per specialty?


How does the product support ordering for off-site (non-integrated/interfaced) orders?


Are there Reporting tools available to monitor all COE steps? (e.g.,

unsigned orders, overdue orders, etc.)


Which vendors currently interface "out of the box" with COE? Click here to enter text.

Which systems interface "out of the box" with COE? Click here to enter text.

E-Sign

Is E-Sign part of the core product or a separate module? Click here to enter text.

Is E-Sign customizable per site and/or at the enterprise level? Click here to enter text.

What are the E-Signature Requirements? Click here to enter text.

What is required of the customer in order to set this up? Click here to enter text.

Which hardware interface with the E-sign? Click here to enter text.

How are these updated and with what frequency? Click here to enter text.

Is there an extra expense required for customers to be set up for E-signing?


Rate per transmission? Click here to enter text.

What form of transmission is required? Click here to enter text.

Is there a fax server incorporated in the product? Click here to enter text.

If so, does it require a separate server? Click here to enter text.

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If not, are 3rd party vendor fax servers supported? Click here to enter text.

Which vendors are supported? Click here to enter text.

Can E-signatures be faxes and scanned within the system? Click here to enter text.

Is there a functional limit to the number of fax lines supported by the system?


Can active faxes be cancelled during transmission by user or by system administrators?


What security settings are available in the product to govern who can E-sign?


Are updates performed regularly? Click here to enter text.

Which vendor(s) does the product support? Click here to enter text.

Are reporting tools for E-signing available? Click here to enter text.

Infrastructure and Technology Click here to enter text.

If product is a client/server model, please respond to questions below:


What type of hardware is required? Click here to enter text.

What are the recommended workstation requirements?

What are the recommended server specifications?

Recommended Manufacturer/Model? Click here to enter text.

How many servers and server roles? Click here to enter text.

Application Server Click here to enter text.

Web Server

IIS (version) Apache (version)


Other Click here to enter text.

Database Server Click here to enter text.

MS SQL (version) Click here to enter text.

Oracle (version) Click here to enter text.


HL7 Interface System Click here to enter text.

Test Server Click here to enter text.

E-mail Server Click here to enter text.

Others (Fax, Print, Dictation, etc) Click here to enter text.

Operating system (Windows, Unix/Linux, Other) Click here to enter text.

Processor (number of processors and processor speed)? Click here to enter text.

Memory/RAM requirements? Click here to enter text.

Storage Space Requirements? Click here to enter text.

SANs Connectivity (Yes/No) Click here to enter text.

If yes, SANs requirements? Click here to enter text.

Network Card Speeds Click here to enter text.

Dual NICs required? Click here to enter text.

Other Components Required? Click here to enter text.

What other applications are required for server? Click here to enter text.

Server Management Tools Click here to enter text.

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Bandwidth Monitors Click here to enter text.

Database Management Suite Click here to enter text.

Can systems be virtualized? Click here to enter text.

Will the product run on virtualized servers? Click here to enter text.

If yes, what virtualization and remote access software is required on server?


Citrix Click here to enter text.

BMC Click here to enter text.


If no, are you moving toward certifying virtualized environments?


Are we required to purchase hardware from your company?


Do you have a recommended vendor with discount pricing to purchase equipment?


What type of support is available if equipment purchased from your company?


What are the recommended printer manufacturers/models? Click here to enter text.

What type(s) of printers are recommended? (Laser, Inkjet, Thermal)


What are the recommended scanner manufacturers/models? Click here to enter text.

Do you require Internet access for your product? Click here to enter text.

For remote connection/maintenance? Click here to enter text.

If so, please detail security setup required for this access. If Delta processes are initiated and data is downloaded into the system

automatically, detail that information here.


Remote Support? Click here to enter text.

If so, please detail security setup and access rules governing when connections are created and what type

of work can be performed on the live system during normal business hours.


Access System/Application Remotely? Click here to enter text.

Are there any Delta processes that run nightly/weekly/etc. and if so, what data is collected and how is it used?


What are the minimum network infrastructure requirements?


Firewall/VPN Appliance? Click here to enter text.

Switches/Routers Click here to enter text.

Other Devices Click here to enter text.

Will your product operate on Windows Terminal Services or Citrix?


If no, are there plans to certify in these environments? Click here to enter text.

What are the backup requirements? Click here to enter text.

Do you require a separate server for backup services? (Tape, SANs)


Are 3rd party backup solutions supported? Click here to enter text.

Does product provide database software (Yes/No)? Click here to enter text.

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If no, what database application is required? (MS SQL, Oracle, MySQL, Other)


Can data be exported? Click here to enter text.

What format? (CSV, Text/Comma delimited, Other) Click here to enter text.

Does product allow for ad hoc reporting against the database by customer using standard reporting software (Crystal Reports) or standard database queries?



If product is an ASP model, please respond to questions

below:


Do you provide ASP solutions or require 3rd party vendor participation?

What is the 3rd party vendor’s involvement?

How are support issues handled?

Does the ASP model require a server at the customer location? Click here to enter text.

If yes, what are the system requirements? Click here to enter text.

Number of Server(s)? Click here to enter text.

Processor Click here to enter text.

Storage and Fault Tolerance Requirements? Click here to enter text.

Memory?

<25 concurrent users

>25 concurrent users


Bandwidth Requirements? Click here to enter text.

System Backup Requirements? Click here to enter text.

Types of Server(s) Click here to enter text.

Database Servers Click here to enter text.

Web Servers Click here to enter text.

Interface Servers Click here to enter text.

Scanning Servers Click here to enter text.

Messaging (Fax, E-Prescribing, Print) Servers

If fax from server, what fax cards are supported?

Is separate fax software needed?


Is virtualization supported or required (VMWare, XenApp, etc.)?


If so, on which servers and in what configuration? Click here to enter text.

Are Citrix and/or Terminal Services supported? Click here to enter text.

If so, are there any application modules not supported or

recommended for use in a virtualized environment?


Does your product require or recommend a firewall? Click here to enter text.

If yes, what is the recommended manufacturer/model? Click here to enter text.

Do you recommend VPN access? Click here to enter text.

Do you provide all CALs (client access licenses) for database and system access or does the customer purchase these?


If customer must purchase, how many need to be

purchased based on expected number of users on the product?


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List all security enhancements which must be accommodated on workstations (e.g., Internet sites

trusted, active x controls enabled, Dot Net versions supported, registry modifications, etc).


Does the product support any of the following external devices:

USB devices

Scanners (manufacturer/model)

Flatbed

Handheld (i.e., Barcode, PDA, BlackBerry Devices, etc.)

Card Readers (i.e. smart card, security Other Input Devices


What are the bandwidth requirements per user? Click here to enter text.

What are the workstation requirements? Click here to enter text.

Manufacturer/Model

Processor

Storage

Memory

Operating System


Does the product require any type of client (i.e. Citrix, clientware, Cisco VPN, etc.)?


What applications are supported and/or need to be installed on the workstation?

Java

Flash

Adobe Reader

Microsoft Office (i.e., Word, Excel, etc.)

Antivirus

Which folders/files must be excluded from active scanning?

Crystal Reports

Open Office Remote Access Software (WinVNC, RDP, GoToMyPC, etc.) for support


Require ODBC driver or SQL application on workstations?


Any other applications required? Click here to enter text.

Can the product be securely accessed from any location with an Internet/broadband connection?


How is data saved at the ASP location? Click here to enter text.

How often is routine maintenance performed on remote system?

Backups?

Updates? Performance Monitoring and Enhancements


Since we would be dependent on Internet connection, what is our strategy if the Internet connection goes down and cannot use your system?


How will the customer be able to download and distribute the patient’s health record to meet meaningful use?


How will the customer be able to upload patient-provided records (either paper or electronic format (radiology,

medical records, lab data, etc.))?



March 31, 2012 • Version 1.0 19

If product is a SaaS model, please respond to questions below: Click here to enter text.

Do you provide direct SaaS solutions or require 3rd party vendor participation?


How are support issues handled?

Does a 3rd party vendor host any part of your product and/or data?

Does your product require or recommend a firewall on the client side?


If yes, what is the recommended manufacturer/model? Click here to enter text.

Can the product be securely accessed from any location with an Internet/broadband connection?


What are the security requirements for remote users (non-office users)?


What are the minimum bandwidth requirements? Click here to enter text.

List all security enhancements which must be accommodated on

client workstations (e.g., Internet sites trusted, active x controls enabled, Dot Net versions supported, registry modifications, etc.).


Does the product support any of the following external devices:

USB Devices

Scanners (Manufacturer/Model)

Flatbed

Handheld (i.e., Barcode, PDA, BlackBerry Devices, etc.)

Card Readers (i.e., Smart Card, Security)

Other Input Devices


What are the workstation requirements? Click here to enter text.

Manufacturer/Model

Processor

Storage

Memory Operating System


Does the product require any type of client (i.e. Citrix, clientware, Cisco VPN, etc.)?


What applications are supported and/or need to be installed on the workstations?

Java

Flash

Adobe Reader

Microsoft Office (i.e., Word, Excel, etc.)

Antivirus

Which folders/files must be excluded from active scanning?

Crystal Reports

Open Office Remote Access Software (WinVNC, RDP, GoToMyPC, etc.) for support


Require ODBC driver or SQL application on workstations?


Any other applications required? Click here to enter text.

How is data saved and stored? Click here to enter text.

How will the customer be able to download and distribute the

patient’s health record to meet meaningful use?


March 31, 2012 • Version 1.0 20

How will the customer be able to upload patient-provided records (either paper or electronic format (radiology, medical records, lab

data, etc.))?


Can information be exported to CD/DVD in CSV or comma text delimited format?


Does product allow reports be created? Click here to enter text.

Ad hoc reporting option? Click here to enter text.

Provide a list of standard reports (no customization) which the

customer may run to meet meaningful use requirements.


How often is routine maintenance performed on remote system?

Backups?

Updates? Performance Monitoring and Enhancements


Can you provide a contingency strategy or disaster recovery plan in the event Internet service is lost and

customer is unable to access your system and application?


Do you have normal ‘downtime’ windows for system backup and maintenance?


Does this affect access to the product? Click here to enter text.

How is data gathered during Internet outages? Click here to enter text.

Is it uploaded into the system when Internet restored?

Is this process done manually or automatically? How do we verify information has been uploaded?


In the event access to your site is unavailable, what steps will you take to notify the customer of progress towards resolving the issue?


What steps should the customer take during this time? Click here to enter text.

In the past two (2) years, how many outages have you

experienced due to your own infrastructure problems?


Do you have redundant Internet providers? Click here to enter text.

Is there a patient portal? Click here to enter text.

Is there a test environment for the customer to use? Click here to enter text.

What are the network infrastructure requirements? Click here to enter text.

What are your security requirements and recommendations for client workstations?


Is your site secured with encryption and antivirus? Click here to enter text.

How often is access audited and by whom? Click here to enter text.

Is there an off-site disaster recovery location for your server farm? Click here to enter text.

How often is this tested? Click here to enter text.

Vendor Support Click here to enter text.

Do you offer multiple support programs? Please provide

a detailed list of each with your standard SLA for each support program.


What are your support statistics (# of Support Calls to the % of resolutions at each severity level)?


Define the Support Structure (Tiered Approach, Client assigned 1 point of contact, etc.)

What is your availability to the practice for meetings to discuss EHR issues and concerns?


March 31, 2012 • Version 1.0 21

When is customer support available?

Preferred method of contact (Phone call, e-mail, etc.)?

Where is your customer support staff located? Are they ‘off-shore’?

What are your normal hours of support?

How is after hours support handled? Will someone be on-call at all times?


Problem/Resolution Process

Response time expectations for all levels of severity

Average time to close tickets by severity level

Escalation Process

Severity Level System

Issue/Resolution Tracking System Test System vs. Live System


Who has ownership of the following:

Data

Software

Enhancements or Customizations Paid for by Customer

Hardware

Servers Workstations


What are your additional fee based services? Click here to enter text.

Do you have online support (Knowledgebase, InfoCenter, etc.)?


Is your support staff certified (i.e., HDI, SCP)? Click here to enter text.

Is remote assistance an option for workstation and server issues? Click here to enter text.

Describe Enhancement Request Model Click here to enter text.

Do you have a user forum for practices to seek help from peers and share ideas?


Do you have regional and national user conferences? Click here to enter text.

On-going Maintenance Click here to enter text.

Upgrade Process

Will customer get to choose which upgrades they want?

Frequency of Upgrades?

How long can a customer delay an upgrade without losing support?

Will training be provided for new functionality?


Testing

Will customer get a chance to test the product in a test environment?

Will customer get access to test scripts from vendor?

Will customer have an opportunity to parallel test with vendor or conduct Acceptance Testing?

End to End Testing?


March 31, 2012 • Version 1.0 22

Product Enhancement Requests

If customer wants to add an enhancement, what is the

process?

Are there additional costs for an enhancement?

How soon will customer be able to view, test, and use enhancement?

How will upgrades work with new enhancement?

Will all other customers get the enhancement one company has paid for?

How will the company stay up-to-date on required meaningful use

definition changes?


Training/Testing – All Phases (Selection through Post Go-Live)


Development/Training Environment Click here to enter text.

Specify if this will be provided before or after a contract is

signed.


Will access be granted to development/training environment for testing during upgrades and during training processes?

What types of online training are available? Click here to enter text.

Videos

Recorded Modules/Workflow Training Courses

Recorded Interactive "Many-to-One" Training Sessions

Quick Reference or Tips & Tricks Videos Trial Demonstration of EHR


Web Based Training Interactive training activity with screenshots & instructions to

give clinic exposure of EHR selected before core training


Facilitator/Consultant Led Training Sessions

Module Training Sessions

Workflow Training Sessions (Nurse, Provider, Front Office, etc.)

One-on-One Training Sessions with Consultant

Describe your training personnel (i.e., background,

position, medical credentials). Vendor-Directed Demo (i.e., Web Ex Training, On-Site, etc.)


Training Documents (Identify format of documentation)

Training Manuals

Quick reference guides that focus on specific tasks

On-line Printable Training Documentation

Upgraded Training Guide

Describe when these documents are modified and how quickly they are made available to the customer after

product changes occur.


Is Practice/Specialty Specific Training Offered? Click here to enter text.

What is created by vendor vs. customer?

Creating specialized templates for efficient

documentation

Creating favorites/shortcuts within the product

Does the product have customizable preferences?


Will a workflow assessment be completed by the vendor?

Will a document be sent to be completed by clinic?

Will vendor complete on-site workflow assessment?

Is there an additional cost for workflow assessment?


March 31, 2012 • Version 1.0 23

Will recommendations be provided for abstracting or bulk loading data from paper charts into the EHR?


Contractually, can users access the live EMR system prior to Go-Live for build or ‘pilot’ purposes?


Super User Training

Will super users be trained by vendor?

Remote or on-site training provided?


Cost of Training

Describe training options included in contract agreement. Will additional costs be incurred on clinic for training?


On-Site Training

How many days does EHR vendor provide for on-site training?

Will Go-Live be scheduled shortly after initial staff

training?

What is the consultant/provider ratio during training?

Will trainers complete a readiness assessment before Go-Live?

Will vendor provide clinic with on-site demos before and after contract is signed?

Will office be trained on hardware if purchased through the vendor before Go-Live training?


Go-Live Click here to enter text.

Will vendor staff be on-site during ‘Go Live’ timeframe? Click here to enter text.

What will be their role during ‘Go Live’?

Trainer

Technical


Post Go-Live Training and Support Click here to enter text.

After ‘Go-Live’, who (i.e., support team, implementation manager, etc.) will be available to answer questions, issues, and/or training requests? If original implementation team, how long before this level of

service is transferred to "normal" support team?


Will a post Go-Live assessment be completed after a specified amount of time by the vendor?


How will clinic be notified of upgrades when they are released and who is responsible for installing these updates (dates, training, documentation, etc.)?


Contract Terms and Vendor Guarantees Click here to enter text.

Will the customer be allowed to perform acceptance testing of this

product prior to "Go-Live"?


Will the customer be allowed to make payments based upon milestones with a significant portion of the fees not payable until

"Go-Live"?


March 31, 2012 • Version 1.0 24

What is the vendor’s responsibility when:

Problem resolution is not met by a certain time based on severity level of the problem or issue?

Meaningful use criteria are not met as promised?

Upgrades cause problems (causes meaningful use criteria to no longer be met or critical workflows to break)?

Training is not conducted in agreed upon timeframe and/or the training materials are not adequate or delivered per contract deliverables?

Implementation is not completed by vendor in the agreed upon timeframe due to issues related to the vendor (staffing

conflicts, software problems, etc.)?

Incompatibility issues arise between hardware (which meets agreed upon specifications) and approved software?

Promised product functionality does not exist at time of Implementation?

Damages to hardware during transport if purchased through vendor or while vendor is on-site during installation?

Data is corrupted during the course of normal use and operation of the product?

SLAs are not met?

Will you allow the representations made in your response to this RFI to be incorporated into the contract?


Will you agree to a cap on price increases? For how long? Click here to enter text.

How long will you guarantee to provide maintenance (or other support) on this product?


What is the process that you will follow when "sunsetting" this

product?


Will you escrow the source code for this product? Click here to enter text.

Will you agree to the contract being governed by [STATE] law (including the applicable provisions of the UCC)?


Will you agree to negotiate a standard form contract for use by

[REC] clients?


Other Vendor Services Offered Click here to enter text.

What other companies have you partnered with to provide services on your behalf and what are their contact information?


If their work is done on your behalf (implementation, upgrades, etc.), do you warranty their work as if it was your own?




Specifications

When responding to each item in the specifications section, place an “X” under one of the following

columns:

“Yes, Included” = the function is available in the system and it is part of the basic system

“Yes, Additional Cost” = the function is available but it requires system customization at an additional

cost

“No” = the function is not available

Use the column labeled “Comments / Clarifications” to include additional information you wish to include

as part of your response. This column can also be used to indicate if a function is not currently available

but will be available in a future release by indicating the version number and approximate month/year

March 31, 2012 • Version 1.0 25

when the function will be available (e.g. Version 8.2/August 2012). No comment or clarification should

exceed half a page in length. Comments and Clarifications may be provided on a separate attachment.

Specifications Yes,

Included Yes,

Addtl.

Cost

No Comments / Clarifications

1. General

1.1 The system supports both a total paperless function and a hybrid function, where the contents of the

electronic record can be printed for inclusion in the paper chart.

☐ ☐ ☐ Click here to enter text.

1.2 The system includes automatic translation of codes to

data. ☐ ☐ ☐ Click here to enter text.

1.3 The system includes support and updates for the above vocabularies.


1.4 The system include integration with existing GPS equipment?


1.5 Your company provides after-hours call center support for the system.


2. Customer Data

2.1 The system has the capability to record demographics including:

2.2 Preferred language, Country of origin, gender, race,

ethnicity, and date of birth.


2.3 The system supports the Continuity of public business practices?


2.4 The system has the capability of importing, exporting customer data existing Management System, via CSV?


2.5 The system provides a flexible, user modifiable,

search mechanism for retrieval of information captured during encounter documentation.


2.6 The system provides a mechanism to capture, review,

or amend history of current customer. ☐ ☐ ☐ Click here to enter text.

2.7 The system enables the origination, documentation, and tracking of packages between transit points


2.8 The system tracks customer changes to package information.


3. Confidentiality and Security

3.1 The system provides privacy and security components that follow national standards such as SOX.


3.2 The system provides privacy and security components that follow International specific laws and regulations.


3.3 The system hardware recommendations meet

national, internatonial security guidelines. ☐ ☐ ☐ Click here to enter text.

3.4 The system has hardware recommendations for disaster recovery and backup.


4. Technical Underpinnings

4.1 The system incorporates extensive, secure telecommunications capabilities that link staff and customers from remote locations to the central site.


4.2 Do you provide hardware or have a relationship with a

hardware vendor? ☐ ☐ ☐ Click here to enter text.

March 31, 2012 • Version 1.0 26

Specifications Yes,

Included Yes,

Addtl.

Cost


4.3 If working with a hardware vendor do you have negotiated pricing with them?


5. Technical Support

5.1 What hours is technical phone support available? ☐ ☐ ☐ Click here to enter text.

5.2 What is the average amount of time for issue

resolution? ☐ ☐ ☐ Click here to enter text.

5.3 If a problem persists what is the escalation process? ☐ ☐ ☐ Click here to enter text.

5.4 Do you have electronic ticketing for non-emergent technical support?


5.5 Do you have a user forum for practices to seek help from peers and share ideas?


Specialty Specific Requirements

Specifications Yes,

Included Yes,

Addtl.

Cost


1. Specialty Specific Requirements –

1.1 Click here to enter text. ☐ ☐ ☐ Click here to enter text.







March 31, 2012 • Version 1.0 27

Cost Estimate Template

For each proposed product, please provide cost estimates based upon a typical installation. To allow us

to be able to compare responses, please assume that the product is going to be used at number of

site(s). Also, any additional details regarding cost or pricing that may be helpful in our analysis s hould be

included as well.

Please use the following template, if possible—or attach a cost estimate proposal that includes answers

to each question below — and provide it as a separate, sealed document within the RFP response.

One time fees

One time implementation fees: Click here to enter text.

Training fees: Click here to enter text. Consulting fees: Click here to enter text.

Initial year costs (include all fees for license, use, access, etc.)

For x providers: Click here to enter text. For each additional provider: Click here to enter text.

Please provide the pricing algorithm used to calculate this cost. Click here to enter text.

Ongoing annual costs (include all fees for maintenance, support, use, access, etc.)

For 10 sites: Click here to enter text.

For each additional site: Click here to enter text.

Please provide the pricing algorithm used to calculate this cost.

Also, please provide your policy regarding price increases.


Five (5) year cost of ownership

Please indicate the estimated TCO ("total cost of ownership") for the product over a 5 year period.


Training fees: Click here to enter text.

JK Air Original: April 1, 2013

Contractor Standards Revised: October 31, 2014

Page 1

APPENDIX I

An internet usage policy provides employees with rules and guidelines about the appropriate use of company equipment, network and Internet access. Having such a policy in place helps to protect both the business

and the employee; the employee will be aware that browsing certain sites or downloading files is prohibited and that the policy must be adhered to or there could be serious repercussions, thus leading to fewer security risks for the business as a result of employee negligence. The Internet Usage Policy is an important document that must be

signed by all employees, and vendors upon starting work. Below is the Internet Usage Policy for JK Air that covers the main points of contention dealing with Internet and computer usage. Please print below document for any person or persons who will have access to JK Air Network assets.



Page 2

Internet usage policy This Internet Usage Policy applies to all employees, contractors, and vendors of JK Air who have access to

computers and the Internet to be used in the performance of their work. Use of the Internet by employees, contractors, and vendors of JK Air is permitted and encouraged where such use supports the goals and objectives of the business. However, access to the Internet through JK Air is a privilege and all employees, contractors, and

vendors must adhere to the policies concerning Computer, Email and Internet usage. Violation of these policies could result in disciplinary and/or legal action leading up to and including termination of employment, loss of contract, and legal action. Employees, contractors, and vendors may also be held personally liable for damages

caused by any violations of this policy. All employees, contractors, and vendors are required to acknowledge receipt and confirm that they have understood and agree to abide by the rules hereunder.

Computer, email and internet usage

Company employees, contractors, and vendors are expected to use the Internet responsibly and productively. Internet access is limited to job-related activities only and personal use is not permitted Job-related activities include research and educational tasks that may be found via the Internet that would help in

an employee's, contractors, and vendors role. All Internet data that is composed, transmitted and/or received by JK Air’s computer systems is considered to belong to JK Air and is recognized as part of its official data. It is therefore subject to disclosure for legal reasons or to other appropriate third parties

The equipment, services and technology used to access the Internet are the property of JK Air and the company reserves the right to monitor Internet traffic and monitor and access data that is composed, sent or received through its online connections. Emails sent via the company email system should not contain content that is

deemed to be offensive. This includes, though is not restricted to, the use of vulgar or harassing language/images. All sites and downloads may be monitored and/or blocked by JK Air if they are deemed to be harmful and/or not productive to business. The installation of software such as instant messaging technology is strictly prohibited.

Unacceptable use of the internet by employees includes, but is not limited to:

1. Sending or posting discriminatory, harassing, or threatening messages or images on the Internet or via JK

Air’s email service.

2. Using computers to perpetrate any form of fraud, and/or software, film or music piracy.

3. Stealing, using, or disclosing someone else's password without authorization.

4. Downloading, copying or pirating software and electronic files that are copyrighted or without

authorization.

5. Sharing confidential material, trade secrets, or proprietary information outside of the organization.

6. Hacking into unauthorized websites.

7. Sending or posting information that is defamatory to the company, its products/services, colleagues

and/or customers.

8. Introducing malicious software onto the company network and/or jeopardizing the security of the

organization's electronic communications systems.

9. Sending or posting chain letters, solicitations, or advertisements not related to business purposes or

activities.

10. Passing off personal views as representing those of the organization.



Page 3

If an employee, contractors, and vendor is unsure about what constituted acceptable Internet usage, then he/she should ask his/her supervisor or company HR/IT rep for further guidance and clarification.

All terms and conditions as stated in this document are applicable to all users of JK Air’s network and Internet connection. All terms and conditions as stated in this document reflect an agreement of all parties and should be

governed and interpreted in accordance with the policies and procedures mentioned above. Any user violating these policies is subject to disciplinary actions deemed appropriate by JK Air.

User compliance

I understand and will abide by this Internet Usage Policy. I further understand that should I commit any violation of this policy, my access privileges may be revoked, disciplinary action and/or appropriate legal action may be taken.

_________________ ______________

Signature Date



Page 4

Appendix II

Background checks must be authorized and completed before any work on JK Air’s property, and or

network systems by any individual that may access any part of the property, remote login to the system, or access any part of the network systems. JK Air reserves the right to refuse access to and persons who may be convicted

of any crime that may be deemed as a safety hazard to our systems, or work place environment. Below is the background release form which must be filled out and returned with a copy of proper identification which is listed in our company policies for each country and state.

General ID for United States include

1. Driver license

2. Passport

3. Birth Certificate w/valid picture ID

4. DD214 w/valid picture ID

Required information:

1. SSN

2. Green Card ID Number

3. Worker ID Number

Depend on the country of origin we will have different documentation required by each site for our background checks.



Page 5

Appendix III

TABLE OF CONTENTS

SECTIO N PAGE

PURPO SE

1

FLO W CHART 1

PHASE 1 - PRIO R TO SELECTING A CONTRACTO R 2

1.1 Scope of Work 2

1.2 Approved Contractors List 2

1.3 Contractor Safety Performance 3

PHASE 2 - PRIO R TO THE START O F WORK

2.1 Signing the Contract

4 4

2.2 Scheduling 4

2.3 Site Access Requirements 4

Category 1 Requirements 5



General Guidelines 6

2.4 Fitness for Duty 7

2.5 Safety Management 8

Safety Work Permits 8

Safety Record 8

Safety Performance 8

2.6 Environmental Management 9

Modifications to Structures & Surface Disturbance 10

Waste Handling 10

Material and Chemical Management 11

Environmental Performance 11

PHASE 3 – WHILE WORK IS BEING CONDUCTED

3.1 Work Hours

12 12

3.2 Safety Performance 12

3.3 Environmental Performance 13

3.4 Security Performance 14

3.5 Community Relations Performance 14

3.6 Change Order/Management of Change 15

3.7 Incident Reporting 16

PHASE 4 – COMPLETIO N OF WORK

4.1 Final Inspection

18 18

4.2 Performance Evaluation 18



Page 6

PURPOSE

The intent of this handbook is to provide overall guidance to contractors to assure there is a clear understanding of performance requirements during engagement at JK Air’s operations. These

requirements are in part due to JK Air’s commitment to provide our employees, contractors, vendors and visitors a safe, secure and healthy workplace.

To achieve this goal, JK Air expects its contractors to work within the scope of these guidelines. Contractors are responsible to understand the content of this guideline. There may be occasions on

a site-specific basis when a contractor or prospective contractor might seek exemptions from these guidelines. Such exemptions may be granted only by the site’s HR rep, or Project manager and shall be in writing. Note that these guidelines do not create any enforcement right in any person

against JK Air or any of its affiliates and JK Air and its affiliates reserves the right to modify, suspend or terminate this guideline at any time, with or without notice. Additionally, nothing in this

guideline supersedes any legal requirement of any statutes, laws, regulations, ordinance, or other applicable requirements.

FLOW CHART

The flow chart below provides a general overview of the process for becoming a contractor at a JK Air operation and the performance requirements while a JK Air contractor. As indicated there are four phases to being a JK Air contractor:

(1) “Prior to Selecting a Contractor”

(2) “Prior to Start of Work”

(3) “While Work is Being Conducted”

(4) “Completion of Work”. This guidance reviews each of these phases and their overall intent.



Page 7



Page 8

PHASE 1 - PRIOR TO SELECTING A CONTRACTOR

1.1 Scope of Work

The scope of work (SOW) is the foundation for any contract and is the key to crafting a good

agreement. In general, it establishes the expectations for the project so that all parties understand the purpose of the work, outlines the requirements (what is to be included or excluded), defines who is

responsible and accountable, and states the final deliverables.

Overall, the scope of work helps to address a number of common questions, including:

• Who, What, Where, When, Why, and sometimes What if?

• What are the risk factors in performing this project?

• What are the environmental, safety and health considerations?

• What material or services are to be provided by the contractor and Barrick?

1.2 Approved Contractors List

JK Air has several alternatives for selecting contractors:

• Browz

• Oracle Vendor Management files

Please note there are specialized contractors who may not be on the list such as outside counsel, legal consultants, human resources advisors, or those that may be associated with closure site

activities, etc. Such entities are outside the scope of this guideline.

The contractors included on this list are those who have met the “Safety Pre-qualification Requirements” in Browz. “Browz” is an independent, 3rd party company who provides supply chain verification services primarily for safety, environmental and insurance compliance.

To be successful, a contractor or supplier must demonstrate the ability to perform work in a safe, healthy, and environmentally responsible manner. The “Safety Pre-Qualification Requirements” are

briefly presented below:

Pre-Qualification Requirements – The contractor meets the following requirements:

1. Subscribe to Browz (www.browz.com)

2. Meet the minimum requirements as outlined in Browz, specifically;

• Safety statistics

• Workers compensation

• Insurance requirements

• Licensing

3. Satisfactorily Meet Prior JK Air Job Performance Evaluations;

• Knowledge and experience

• Completion on time

• Completion at or under budget

• Financial ability or capability

• Environmental performance

• Community relations performance

http://www.browz.com/

Barrick Gold of North America Original: April 1, 2011


Page 3

New contractors may be added under the following circumstances. This includes:

1. Meets the pre-qualification status in Browz;

2. An external party has non-compliance status in Browz, however, the justification exists for an override condition allowing the contractor to be added to the list;

3. An external party does not subscribe with Browz however their services are deemed necessary.

It each case, the entity may be added to the list with the completion and submission of “Contractor Request” (see Form CH-1, Appendix A) for approval to the Supply Chain Supervisor or Leader or

their designee.

1.3 Contractor Safety Performance

All contractors must to be able to perform work in a safe, healthy, and environmentally responsible manner. To be added to the “North America Contractor List”, JK Air will evaluate each prospective contractor’s historical safety performance to document this capability prior to being

added to the list. Entities who are “Browz” subscribers are required to submit their safety lagging indicators for the previous four (4) work years. Those entities who are not “Browz” subscribers

need to submit the pertinent safety information on the “Contractor Request” (see Form CH-1, Appendix A). The information submitted will be used in JK Air’s evaluation and is used to determine the following safety Key Performance Indicators (KPI).

TABLE 1 – BROWZ SAFETY KPI

KPI Calculation

Total Recordable Rate (TRR)

# of total recordable cases × 200,000

# of hours worked during period

Lost Workday Rate (LWR)

# of lost workday cases × 200,000


Severity Rate

# of lost workdays × 200,000


Days Away, Restrictions, and

Transfer Rate (DART)

# of days away, restrictions, and transfers × 200,000


Fatality Cases

Total number of fatalities during period.

Regulatory Citations

(Environmental, OSHA, MSHA)

Total number of regulatory citations during period.

Browz denotes contractors as “non-compliant” if they have a TRR, LWR, or DART rate higher than

the predetermined value established for the current year.

Note, however, JK Air may establish pre-qualification criteria that supersede Browz requirements as it strides for continuous improvement at its operations. Contractors who are unable to

demonstrate an acceptable and continuously improving safety and health performance may not be awarded a contract without prior approval by the appropriate JK Air personnel.



Page 4

PHASE 2 - PRIOR TO THE START OF WORK

2.1 Signing the Contract

In the event that JK Air requires the services of a contractor, it is imperative that a signed Service Agreement (contract) be in place prior to commencing work. A signed contract helps to assure business is conducted in a fair, open, and ethical manner and provides legal protection to the

Company and the contractor.

There are multiple types of contract agreements including “On-going services”, “Specific services”,

“Consulting” and “Supply”. The type of agreement utilized largely depends upon the risk, dollar value, and nature of the work to be provided. Those entities working to draft an agreement are encouraged to work with their JK Air Contracts Team who can provide guidance on this process

and the type of agreement to be used. Under some circumstances it might be mandatory that internal legal counsel review and approve of contracts prior to their consummation.

The authorization to sign an agreement on behalf of JK Air is defined in the Delegation of Authority Limits section of the Non-Routine Spending and Capital Management

Policy. Only those Contractors and JK Air entities so authorized may enter into an agreement.

Please refer to the following sources for more detailed information. These Supply Chain policies are incorporated by reference into this standard.

• Supply Chain Policy SC1—Relations with Suppliers

• Supply Chain Policy SC2—Sourcing

• Supply Chain Policy SC3—Contracts

• Supply Chain Policy SC5—Contractor Safety

Please note that all documents referenced in this handbook can be found and/or downloaded for contractor use at http://www.jkair.com/suppliers.

2.2 Scheduling

The contracted work shall be executed on the schedule provided in the contract. Any proposed changes to the work schedule prior to implementation, must first be approved in writing by the JK

Air Representative and contractor; and will become a part of the contract. Fatigue management principles will be applied to minimize risks due to increased inattention and fatigue. A contractor will not be allowed to work schedules that JK Air deems to cause excessive fatigue.

2.3 Site Access Requirements

Each contract company shall submit a roster list with the names of individuals (including subcontractors) requesting site access as part of the contract. The roster list to be submitted to JK Air

per the site form or that contained within Appendix A (see Form CH-2). The roster list will be subject to screening, background checks, and drug testing.

As part of this overall screening process, all non- JK Air personnel including contractors, subcontractors, vendors, and consultants will be classified into one of the following categories for

training and security purposes. These categories are shown on Table 2.

http://www.jkair.com/suppliers.



Page 5

TABLE 2 – SITE ACCESS CATEGORIES

Category Definition

Category 1

Unescorted non- JK Air personnel who are exposed to hazard or processing

hazards martials while performing their normal duties [see 30 CFR 48.2(a) (1)

or 48.22 (a) (1)]. Examples include but are not limited to the following:

• Construction workers

• Maintenance workers

• Service workers

• Bulk commodities delivery drivers

• Unescorted consultants or vendors exposed to heavy equipment, traffic

or processing hazards while working or traveling on site, for example, a

soda/candy vendor, bin service providers, etc.

Category 2

Warehouse or postal deliveries only. Examples include, but are not limited to the following:

• UPS, FedEx, Airborne, and USPS

• Warehouse deliveries

Category 3

Escorted non- JK Air personnel exposed to production hazards or secu ri ty “at

risk” areas that have not been provided Category 1 or 2 clearance and training.

These include but are not limited to the following examples:

• Untrained Category 1 or 2 personnel

• Visitors

• Untrained consultants or vendors

• Emergency maintenance or service workers. (An emergency is an

unexpected, unplanned situation or occurrence that demands immediate

attention.)

The minimum training requirements based on an individual’s categorization review are described below. Please note that additional training may be necessary dependent on the nature of the contract,

and regulatory requirements, as required by the task and/or length of contract service. This will include all legally required training and may include as appropriate and at Barrick’s sole discretion “Courageous Safety Leadership”, “Security Awareness”, “Environmental Awareness”, “Community

Relations Orientation” or other appropriate training.

Category 1 Requirements

An identification badge will be issued to Category 1 personnel at sites fully utilizing approved

security system. Contractors must wear the identification badge in a conspicuous location to gain access and while on the JK Air site. Training requirements for this category may include at a minimum the following items:



Page 6

• JK Air Site General Hazard training provided by the Safety/Health Department or designees.

• Site-specific hazard field training which covers the Introduction to the Work Environment,

Emergency Escape and Evacuation, and the Health and Safety Aspects of Tasks Assigned


An identification badge will be issued to Category 2 personnel by sites utilizing the approved

security system employed by the Company. Contractors will wear the identification badge in a conspicuous location while on the JK Air site.

Training requirements may include, but are not limited to the following:

• Hazard recognition training;

• Site-specific hazard field training which covers the Introduction to the Work Environment,

Emergency Escape and Evacuation, and the Health and Safety Aspects of Tasks Assigned Separate site-specific training may be required for different areas. This training must be

documented on a site-specific checklist.


Category 3 classified individuals must be accompanied at all times by an experienced JK Air employee or an experienced Category 1 trained person. To be accompanied means to be within

sight or sound at all times. Training requirements may include, but are not limited to the following:

• Hazard recognition training;

• Any Category 3 personnel performing work on property will be required to have site-

specific hazard field training prior to commencing work activities.

General Guidelines Access to the site is at the sole discretion of JK Air. Non- JK Air personnel may be granted access only after having successfully completed the requirements listed under the respective

categories, and have passed a background check, and drug test. In addition, JK Air reserves the right to require non- JK Air personnel to submit to a drug/alcohol screen or search at any time while

working on site pursuant to “JK Air Regional Unit, Drug and Alcohol – Fit For Duty Policy” and “JK Air Regional Business Unit, Search Policy”. Both policies are hereby incorporated into this guidance by reference.

JK Air reserves the right to take additional steps to monitor and ensure compliance with these two policies including:

• Non- JK Air personnel arriving at the site without proper identification may be denied access to the site. Inspection to verify identification and training may be conducted by JK

Air personnel.



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• JK Air reserves the right to ask non- JK Air personnel for identification badges while on

JK Air property. Personnel found without proper identification are subject to removal from the site.

• Upon completion of the contract, all non- JK Air personnel must return their issued identification badges to their respective JK Air contractor representative. This is the

responsibility of the contractor and non-compliance may result in potential future access to the property being denied.

• Non- JK Air personnel identification badge expires one year from the date of the hazard training, site training, or contract conclusion, whichever expires first. Training must be

renewed annually and the identification badge re-authorized for facility access.

2.4 Fitness for Duty

All contractors and vendors are expected to have their own Drug and Alcohol Policy that includes a program to conduct their own drug and alcohol testing. Contractor drug and alcohol testing program

will at a minimum be consistent with the Department of Transportation 49 CFR §40 “Workplace Drug and Alcohol Testing Program”. Further, contractor policies shall ensure workplace safety is

consistent with “JK Air Regional Unit, Drug and Alcohol – Fit For Duty Policy”. This JK Air policy is hereby referenced and included into this manual and is subject to change without notice.

To help assure all individuals are “fit for duty”, as part of the initial roster list screening process, the contractor will provide a written affirmation that the individuals on the roster list have satisfactorily passed a drug screen and alcohol test within the last six (1) months to the JK Air contract

representative. The tested substances are noted below and are consistent with DOT 49 CFR §40.85;

• Amphetamines(1) • Opiates Metabolites(2)

• Phencyclidines (PCP)

• Marijuana Metabolites(3)

• Cocaine Metabolites

(1) Includes amphetamines and methamphetamines; (2) Includes codeine, morphine, acetyl morphine (heroine);

(3) Includes delta-9-tetrahydrocannibinol-9-carboxylic acid (THC)

Periodically, a contractor may need to add staffing to the work at a JK Air site. The contractor will provide an addendum roster list listing the additional personnel to the JK Air contract representative

whenever new contractor personnel (includes sub-contractors) are added. The contractor needs to provide an affirmation that additional individuals placed on the roster list have satisfactorily passed

the drug screening and an alcohol test within the last six (1) months.

Thereafter, annually, from the effective date of the contract, the contractor will provide an affirmation to the JK Air contract representative that at a minimum, 60% of the individuals on the

roster list have successfully passed a “random” nine panel drug screen and alcohol test (See Form CH-3 in Appendix A). It is incumbent upon the contractor to immediately notify JK Air upon

confirmation of any drug and/or alcohol testing failure by any of its employees. Any contractor employee who has not passed the “Fitness for Duty” testing will be denied facility access privileges. JK Air reserves the right to perform audits on the testing results and analysis.



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2.5 Safety Management

Equipment Pre-Inspection and Maintenance

All equipment that is being brought onto a JK Air site shall be inspected by a JK Air representative prior to entry for safe and satisfactory use. Inspections must be documented and tracked for any

maintenance concerns affecting safety, health, and environmental regulations. All items noted as being unsatisfactory will not be allowed on-site until such items are satisfactorily mitigated. This JK

Air inspection shall not relieve the contractor from their independent obligation to have conducted their own inspection and to have corrected any condition raising health, safety or environmental concerns.

Safety Work Permits

JK Air has identified a number of tasks/conditions where the hazard and control identification must be acknowledged each and every time the work is performed. These assessments are required due to

the potential hazard(s), the variation of hazard(s), requirements of controls that must be in place to assure a safe work environment, and/or it might be a task that is performed on an irregular basis. For these recognized situations, safety work permits have been established and are required for all

personnel involved with that particular job/task.

It is the responsibility of the contractor to ensure that training and compliance is maintained by its

staff. JK Air will review with the contractor its policies related to such work permits as applicable. Safety work permits may include but are not limited to:

• Safe Work Permit

• Heavy equipment Permit

• Lockout/Tagout (LOTO)

• Scaffolding

• Trenching/Shoring

• Burn Permit

• Dig Permits (safety permit and/or disturbance in archeological areas)

Safety Records

Creating records and keeping them available for review is an essential component to the success or progress of any project. Whether the intent is to identify and control risks, to track performance, or

evaluate compliance, it is imperative that such information is recorded and maintained by the contractor. This information can be critical in successful completion of the work and for regulatory compliance purposes. Recordkeeping may pertain to any of the following, but is not limited to:

• Risk assessments

• Audits

• Training

• Incidents

• Progress reports

• Change orders

• Management of Change (MoC)

• Project handover/closure



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Safety Performance

The contractor’s performance shall be monitored by the JK Air Representative throughout the work project. Performance monitoring will include safety and health performance. The safety KPIs developed prior to selecting the contractor will be used as initial guidelines for health and safety

performance. Continuous improvement of performance while at JK Air is expected and may be reflected in subsequent KPIs.

Performance monitoring includes review, evaluation, and appropriate corrective actions as may be necessary to improve performance. Performance monitoring needs to be documented at regular interval throughout the project by the JK Air Representative so the information can be easily

referenced for the final evaluation and closeout by the JK Air Representative.

2.6 Environmental Management

JK Air maintains and implements an Environmental Management System (EMS). This system is

used to develop and implement the JK Air Environmental Policy and to manage its environmental aspects. JK Air’s Environmental Policy provides the overall objectives of the Company towards

environmental performance, for continual improvement, and to manage those activities or products that may interact with the environment.

Accordingly, the policy needs to be communicated to all parties working on behalf of JK Air. This policy is shown below



Page 10

Each contractor has a defined responsibility, role, and authority to prevent pollution and to assure proper utilization of available resources. These will be communicated to contractors within your JK

Air contract agreement, as part of the on-boarding process and periodically during your tenure with JK Air. This will include Environmental Awareness Training, specific environmental tasks and

protection mechanisms, and review of applicable significant environmental aspects (SEA). As part of a contractor’s overall responsibilities, contractors will be provided information pertaining to:

• The importance of conformity with the Environmental Policy coupled with the requirements of the EMS;

• SEA and how the contractor’s work may impact the environment;

• The environmental benefits of improved personal performance;

• Contractor roles and responsibilities to achieve and comply with the EMS; and

• The potential consequences of departure from the Environmental Policy and specific practices and/or procedures.

Modifications to Physical Structures and Surface Disturbance

Any proposed modification to; (1) an existing structure, containment, piping, tank, liner, spill control or other features; or (2) any proposed surface disturbance in non-active areas and undisturbed areas;

must be reviewed and approved by site’s environmental department prior to commencement of such work. This is necessary to assure that such modification continue to be compliant with the sites permit and licenses and with any Federal, state or provincial regulation.

Waste Management

Contractor-generated waste shall stay segregated from JK Air facility waste unless otherwise authorized specifically in the contract agreement. All such waste materials shall be characterized by

the contractor to determine if they are classified as hazardous according to all applicable Federal, state, provincial regulations and/or local requirements. Any material characterized as a “hazardous waste” will remain the sole responsibility of the contractor. The contractor is responsible for its

appropriate handling and required disposal. At a minimum:

• Hazardous wastes shall be handled in properly marked containers that are certified under

applicable regulations (DOT, provincial, etc.) as appropriate, and are, in good non-leaking condition;

• Hazardous waste containers in the U.S. shall be handled and stored in compliance with Resource Conservation and Recovery Act (RCRA) satellite accumulation requirements as

approved by the site’s environmental department or otherwise prescribed in the contract;

• All containers of hazardous wastes shall be closed and secured except when adding wastes;

• It is the responsibility of the contractor and subcontractor to provide the appropriate training on hazardous waste handling and storage;

• All leaking containers or spills of hazardous waste shall be immediately reported to the site’s environmental department;

Materials that are not classified as being hazardous waste, consistent with contractual terms may be disposed in the JK Air’s on-site waste containers. Waste disposal activities at JK Air’s on-site waste containers shall comply with all requirements indicated on posted signs and established by the site’s

waste containers. However, the following wastes are not allowed to be disposed within a site’s on-site waste containers:



Page 11

• Liquid waste of any kind;

• Non-alkaline batteries;

• Hazardous wastes;

• Aerosol cans that have not been punctured and drained;

• Drums that have not been drained and crushed;

• Petroleum wastes or petroleum-contaminated soils;

• Putrescible materials (i.e., animal carcasses).

Prior to disposal as solid waste, such materials shall be properly collected and temporarily stored in appropriate trash cans, bins, or dumpsters. All trash containers shall be properly labeled, identifying

the contents. Such waste will not be incinerated on JK Air’s property. Contractors and subcontractors are responsible for cleaning up litter and trash around their work area.

Material and Chemical Management

Prior to bringing any chemical products onto the JK Air sites, the contractor shall provide to the JK Air’s contractor representative a completed “New Product Procurement Approval Form” that lists all the chemical products to be used on the JK Air site. A copy of the product’s Safety Data Sheets

(SDS) must be submitted with the form. The list shall be reviewed and approved by the site’s environmental and safety departments prior to bringing such materials on-site.

To ensure proper reporting under the Emergency Planning and Community Right-To Know Act (EPCRA), contractors must track the type and quantity of chemicals, products, and consumed on site. Contractors must provide this data to JK Air at the end of their job or the calendar year,

whichever comes first.

The contractor will also be required as appropriate, to establish a Petroleum Management Plan or similar plan that conforms to the following criteria:

• All petroleum tanks shall be above-ground tanks;

• All tanks shall have an approved secondary containment sufficient to contain 110% of the largest tank capacity in the containment and a 25-year/24-hour precipitation event unless

otherwise specified;

• Lined berms are for horizontal tank containment only;

• An inventory of spill containment booms, solvent materials, hand tools and protective clothing to provide safe containment of spills and clean up of spills;

• Fueling procedures and equipment that minimizes spillage during fueling operations;

• Minimize gasoline storage to the greatest extent possible by having light vehicles and other

mobile equipment using gasoline-engine fuel at off-site fueling stations;

• Appropriate fire extinguishers are available;

• Prepare a disposal plan for all spilled fuels and any soil and water contaminated by spilled fuels as required by applicable permits and/or regulations.

Environmental Performance

The contractor’s performance shall be monitored by the JK Air’s Representative throughout the project relative to any environmental aspects. Performance monitoring may include actual



Page 12

environmental monitoring/sampling, work place reviews, and record review. This should be documented at regular intervals throughout the project so the information can be easily referenced

for the final evaluation and closeout by the JK Air’s representative.

PHASE 3 - WHILE WORK IS BEING CONDUCTED

3.1 Work Hours

All contract companies are required to submit work hours to the JK Air contract representative at a minimum frequency of at least monthly. The purpose for the data is to determine safety statistics for monitoring purposes. The monthly hours to be submitted should be calculated from the 26th of each month to the 25th of the following month and submitted to the site’s safety department by the 1st day of the month following. For example, hours from January 26 through February 25 need to be submitted by March 1.

Attached in Appendix A is the JK Air “Monthly Contractor Hour Form” (Form CH-4) to be used in

submitting your monthly work hours. This form or site forms may be used.

3.2 Safety Performance

Contractors shall permit inspections of their work areas by regulatory agency representatives. Contractors are accountable for violations notices that are issued as a result of the Contractor’s

activities as well as any fines or mitigation actions required.

Periodically, JK Air may also perform reviews at any time to evaluate whether safety, health,

security, environmental and community relations performance is continued to be met by the contractor. These assessments may be conducted by performing:

• Federal or State Safety/Health mock inspections;

• Federal or State Environmental mock inspections;

• Planned general inspections;

• Formal documented audits;

• Daily informal audits;

• Work area inspections;

• Preoperational inspections;

• Discussions with contractor’s management and staff.

The contractor should use the reviews to assure the proper controls and preventative measures are identified, in place and working appropriately. These measures may include but not limited to;

• Risk assessments;

• Environmental, health and safety (EHS) regulations;

• Training;

• Supplies and materials;

• Proper tools for the job;

• Permits/polices;

• Personal Protective Equipment (PPE);

• Housekeeping.



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3.3 Environmental Performance

Storm Water, Erosion, and Sediment

All work will be conducted in accordance with applicable permits and regulations, including, but not limited to, following best management practices for drainage and sediment control including site

specific guidance regarding storm water management.

Wildlife

JK Air is committed to protecting all wildlife on JK Air sites. All contractors shall cooperate with

this effort by complying with the following requirements:

• No firearms are allowed within JK Air facilities;

• Wildlife shall not be purposely harassed or harmed within the JK Air facility;

• All wildlife mortalities shall be immediately reported to the site’s environmental department;

• All contractors will adhere to site specific guidance regarding wildlife.

Air Quality

• JK Air is committed to the protection of air quality. All contractors and subcontractors shall comply with the following requirements: Appropriate dust control measures must be

implemented for all activities that have the potential to generate dust;



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• All equipment and machinery should be maintained according to manufactures specifications to minimize excessive exhaust;

• To assure compliance with site permits and licenses, all contractors must adhere to site- specific guidance regarding air quality.

3.4 Security Performance

• Integral to JK Air’s success is the management of its people, products, assets and reputation. As a valued partner in JK Air’s success, our contractors play an important role. All contractors must conform to each site’s policies and practices including those relating to security. This includes obtaining the appropriate badging for each contractor person approved to enter the JK Air site. Without such badging, you will not be allowed entrance into the JK Air site.

• As independent contractors, you have the obligation to maintain the security of your

equipment. To assist you in this endeavor, it is important and your obligation to inform JK Air security at your site of any suspicious activities or security items. By doing so, this

will help JK Air manage the site to assure a safe and secure place of work while also assisting the Contractor to maintain security for their assets while on-site at JK Air.

3.5 Community Relations Performance

The long-term viability of JK Air’s business depends heavily upon maintaining the support of our host communities. The actions of our contractors and suppliers can affect relations with these communities because these business partners form a significant part of JK Air’s social,

environmental and ethical footprint. To manage its community relations, JK Air maintains a Community Relations Management System (CRMS) which was developed to implement its

Community Relations Policy. A copy of the policy is available at:

www.jkair.com/files/community-relations/jkair-Community-Relations-Policy.pdf.

Specific aspects of the CRMS are designed to ensure that contractors and suppliers contribute to

good community relations. Key community relations performance areas for contractors include:

• Community Relations Orientation Training- Contractors’ employees and management staff

must complete Community Relations orientation training where required in their contract

Scope of Work at the inception of the contract covering JK Air’s requirements for community relations performance.

• Local Employment – contractors should diligently attempt to utilize the local workforce from the communities around JK Air’s operations for staffing for projects and service contracts,

including where applicable Native groups who reside in the area of JK Air’s sites and with whom JK Air maintains a regular program of engagement. Contractors are required to meet the requirements of JK Air’s Local Employment Plan where such a plan exists.

• Local Procurement – contractors should utilize local vendors and businesses from the

communities around JK Air’s operations for their materials, supplies, and business needs during projects to the extent practicable, including the Native groups mentioned

http://www.jkair.com/files/community-relations/jkair-Community-Relations-Policy.pdf.



Page 15

previously. Contractors are required to meet the requirements of JK Air’s Local Procurement and Contracting Plan where such a plan exists.

• Cultural Sensitivity – The communities around JK Air’s operations include many stakeholders from many cultures. Contractors are required to follow JK Air’s project

guidelines on cultural sensitivity including protection of cultural resources and respect for cultural practices. JK Air will provide contractors with cultural sensitivity training on a

project-specific basis and other relevant information regarding Native groups as part of Community Relations induction training.

• Supplier and Employee Conduct – Contractors must adhere to JK Air’s “Supplier Code of

Ethics” in the conduct of their business with JK Air. A copy of the Code is available at


• The behavior of employees at work and off the job contributes to positive or negative

relations with communities. Examples of specific behaviors that affect community relations include driving practices (e.g., speeding), noise, interactions with visitors to work areas and business exchanges. Contractor employees should adhere to their employer’s code of

conduct.

• Social Obligations – JK Air enters into social obligations with its local communities that are

managed by company staff through the CRMS. Contractors are not permitted to make commitments that create obligations (e.g., donation commitments, monitoring plans, service

agreements, public reports, etc.) on behalf of JK Air.

• Complaints or Grievances – JK Air addresses community complaints or grievances through

a formal grievance procedure. Contractors should not attempt to address complaints or grievances associated with their work for JK Air, but should report them immediately to

appropriate JK Air representative. Contractors may refer any person making a complaint or grievance to JK Air’s Community Hotline (800-555-0600) or [email protected].

• General – Contractors should contact the appropriate JK Air representative if engagement

with local community members regarding activities being undertaken for Barrick is

necessary. The Project Administrator may coordinate with JK Air’s Corporate Social Responsibility Department to undertake these types of interactions.

• Further Information: Contact JK Air’s Corporate Social Responsibility Department for

additional information on any of the requirements described above at:

Manager Corporate Social Responsibility JK Air 1-305-555-3900

[email protected]

3.6 Change Order/Management of Change

Periodically, it may become necessary to modify the scope of work to accomplish the task at a JK Air site. When such changes become necessary, the changes shall be in writing and

appropriately approved to assure payment for the service rendered. An integral part of a change order may be to perform the “Management of Change” (MOC) process. This process is a systematic approach to assure potential risks have been addressed by providing a continuity of appropriate

controls to sustain the work process.

Once the MOC has been completed, such changes need to be appropriately implemented with the proper controls instituted with the actions communicated to assure JK Air, contractor and subcontractor and others understand the change and any new controls.


mailto:[email protected].

mailto:[email protected]



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3.7 Incident Reporting

Safety Incidents

All safety incidents, regardless how minor, must be reported to the appropriate JK Air

Representative. Failure to report could lead to being removed from the site and could be contrary to provision(s) in the contract. Contractor entities needing safety and health assistance can contact the site’s safety/health department.

The contractor is responsible for conducting an investigation of all safety and health incidents involving their employees. All incidents and significant near misses must be verbally reported to JK

Air no later than the end of the shift on which the incident occurred. An incident investigation report must be submitted within three (3) days to JK Air.

The contractor is responsible to report as necessary to their workers’ compensation carrier, the Federal government, or state government within the time frames mandated by these agencies.

Copies of all Federal and state reports are required to be forwarded to JK Air’s Safety/Health department at that site.

Environmental Incidents

All environmental incidents must immediately be reported to the appropriate JK Air representative.

Failure to report could lead to being removed from the site and could be contrary to provision(s) in the contract. Contractor entities needing environmental assistance can contact the site’s environmental department.

Environmental incidents required to be reported include but are not limited to spills associated with

petroleum products, chemical products, hydraulic oil, anti-freeze, process solutions, and dewatering solutions. Any spill should be addressed immediately to prevent additional potential degradation. At a minimum, the following steps shall be followed:

• All spills shall be immediately reported to the JK Air Contract Representative;

• To the extent practicable without endangering personnel, the contractor shall immediately

mitigate the spread of the spill to prevent potential continued degradation. Spills related to process solutions, chemicals and/or dewatering should be contained to prevent material from entering any natural or man-made drainage or waterway;

• All spills outside of containment shall be responded to immediately. Response actions shall, at a minimum, include the following:

- Controlling the spread of the spill to the smallest area possible with emphasis on preventing it from reaching any drainage ways.

- Stopping the leakage from the container or tank as soon as it is safe to do so, including careful consideration for personnel safety. Always use the appropriate personal protective equipment.

- Contacting the contract supervisor if earthmoving equipment is necessary to respond to the spill.

- Cleaning up the spill and contaminated materials as soon as practical using the appropriate personal protective equipment.



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- Submitting a written Spill Report to JK Air within 24 hours following the spill using the appropriate form provided by the JK Air site.

Security Incidents

All security incidents must immediately be reported to the appropriate JK Air representative. This

may include theft, fraud, or other inappropriate activities that are contrary to law and/or JK Air policy and practice. This will help JK Air assure we maintain a safe and secure work place for all.

Contractor entities needing security assistance or information can contact the site’s security group.

Social Incidents

Any complaints or grievances from community members or other parties or organizations must be

immediately reported to the appropriate JK Air representative. Other types of social incidents must immediately be reported to the appropriate JK Air representative; these include events such as livestock injury or death, fence damage, other private property damage, altercations or arguments

with members of the public, or other negative interactions with community members.



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PHASE 4 - COMPLETION OF WORK

4.1 Final Inspection

Upon completion of work within the contract, a final inspection shall be conducted and approved to

assure that all reports or requested items of the contract have been completed or provided. These deliverables may consist of requirements addressed in the contract’s scope of work, any associated

regulatory standards, or drawing specifications. Upon the final inspection, each deliverable will be reviewed and tested for acceptance and compliance. Examples of identified deliverables may consist of, but are not limited to the following:

• SOX, SEC, ISO27001, Federal, state, international standards met

• Proper environmental waste management demonstrated

• Successful completion of final product

• Scheduling and closure date deadlines met

• Budgeting and cost control maintained

A final inspection walk-through should also take place with the appropriate personnel. This may

include representatives from operations, maintenance, safety & health, and environmental. All open issues identified during the walk-through will be assigned to the contractor as action items for resolution before the project is finalized and final payment is released.

4.2 Performance Evaluation

Upon the completion of each project or scope of work, the contract company will be evaluated for overall performance by JK Air. The contractor will be rated in the different categories of interest.

An overall performance rating (total score) will be determined and documented. In addition, information collected from a final inspection may be used to provide a more accurate rating. This information will be available for review during future occurrences, such as awarding bids and

overrides. Evaluation categories may include, but are not limited to, the following:

• Safety and health performance.

• Environmental performance.

• Community relations performance.

• Effective use of equipment, tools, and materials.

• Overall project management.

A closure meeting may take place to discuss both the strengths and opportunities for improvement identified in a performance evaluation.



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Appendix IV

CONTRACTOR REQUEST

JK Air

This form is used to request contractor additions

to the

“JK Air’s Contractor List”

Form CH- 1

Originator: Date:

Department/Division:

Justification for Adding Contractor (include last 4 years of safety performance including # incidents, total hours, lost

workday cases, lost workday, restricted duty workdays, citations [MSHA, OSHA, EPA, other])

Originator Signature: Date:

Approval Signatures

Division Manager/Supervisor Date:

General Manager Date:

Manager, Contracting & Procurement Date:

Form CH-2

Initial Roster List

Company Name:

Date:

Name

Category

(Barrick Use Only)

Name

Category

(Barrick Use Only)

Affirmation of Fitness For Duty – Successful Pass

All individuals above have successfully passed within the last six (6) months a drug and alcohol test that is consistent with “JK Air’s Regional Unit Drug & Alcohol – Fit for Duty Policy”.

Attest _

Title _ _

Date _ _

Form CH-3

Annual Roster List and Affirmation

Company Name:

Date:

Name

Category

(Barrick Use Only)

Name

Category

(Barrick Use Only)

Annual Affirmation of Fitness For Duty – Successful Pass

The list above denotes individuals at JK Air’s and this attests that 60% of the individuals on this roster list have successfully passed a “random” drug and alcohol

test that is consistent with “JK Air’s Regional Unit Drug & Alcohol – Fit for Duty Policy”.

Attest _

Title _ _

Date _ _

Form CH-4

MONTHLY CONTRACTOR HOURS FORM

Company Name:

Month/Year:

Please enter hours worked at the JK Air’s site in the areas below. It is critical that

hours worked on the mine site are collect each month for safety tracking. This form must be completed and forwarded to the JK Air’s representative by the 1st business day of the following month. Hours are tracked from the 26th to 25th of each month.

The “JK Air’s Monthly Contractor Hour Form” is to be email or faxed to the entities noted in the section below.

Email distribution:

Fax Number:

Site Work

Area

Total Hours Worked Commen ts

Process Areas Total Hours Worked Commen ts

Total Hours

rfp for logistics project

Documents

miami florida united

fairbanks alaska united

benton kentucky united

honolulu hawaii united

fort worth texas united

delivery trucks

rfp standards

rfp letter