10 C.F.R. Subpart B—Legal Management Plan
Title 10 - Energy
The legal management plan must include the following items: (a) A description of the legal matters that may necessitate handling by retained legal counsel. (b) A discussion of the factors the contractor must consider in determining whether to handle a particular matter utilizing retained legal counsel. (c) An outline of the factors the contractor must consider in selecting retained legal counsel, including: (1) Competition; (2) Past performance and proficiency shown by previously retained counsel; (3) Particular expertise in a specific area of the law; (4) Familiarity with the Department's activity at the particular site and the prevalent issues associated with facility history and current operations; (5) Location of retained legal counsel relative to: (i) The site involved in the matter, (ii) Any forum in which the matter will be processed, and (iii) Where a significant portion of the work will be performed; (6) Experience as an advocate in alternative dispute resolution procedures such as mediation; (7) Actual or potential conflicts of interest; and (8) The means and rate of compensation (e.g., hourly billing, fixed fee, blended fees, etc.). (d) A description of: (1) The system that the contractor will use to review each case to determine whether and when alternative dispute resolution is appropriate; (2) The role of in house counsel in cost management; (3) The contractor's process for review and approval of invoices from outside law firms or consultants; (4) The contractor's strategy for interaction with, and supervision of, retained legal counsel; (5) How appropriate interaction with the contracting officer and Department counsel will be ensured; and, (6) The contractor's corporate approach to legal decision making. Contractors identified under paragraphs (a) and (b) in §719.3 must submit a legal management plan. Contractors identified under paragraphs (a) and (b) in §719.3 must submit a legal management plan within 60 days following the execution of a contract with the Department. The contractors identified under paragraphs (a) and (b) in §719.3 must file a legal management plan with Department counsel. (a) The Department will notify the contractor within 30 days of the contractor's submission of the plan of any deficiencies relating to requirements in §719.10. (b) The contractor must either correct identified deficiencies within 30 days of notice of the deficiency or file a letter with the General Counsel disputing the determination of a deficiency. (a) For significant matters, the contractor must require retained legal counsel providing legal services to prepare a staffing and resource plan as provided in this section. The contractor must then forward the staffing and resource plan to Department counsel. Department retained counsel subject to this part must prepare a staffing and resource plan and forward it to Department counsel. (b) A staffing and resource plan is a plan describing: (1) Major phases likely to be involved in the handling of the matter; (2) Timing and sequence of such phases; (3) Projected cost for each phase of the representation; and (4) Numbers and mix of resources, when applicable, that the retained legal counsel intends to devote to the representation. (c) For significant matters in litigation, in addition to the generalized annual budget required by §719.17 a staffing and resource plan must include a budget, broken down by phases, including at a minimum: (1) Matter assessment, development and administration; (2) Pretrial pleadings and motions; (3) Discovery; (4) Trial preparation and trial; and (5) Appeal. (a) For significant matters in litigation, the contractor or Department retained counsel must submit the staffing and resource within 30 days after the filing of an answer or a dispositive motion in lieu of an answer, or 30 days after a determination that the cost is expected to exceed $100,000. (b) For significant legal services matters, the contractor or Department retained counsel must submit the staffing and resource plan within 30 days following execution of an engagement letter. (c) Contractors and Department retained counsel must submit updates to staffing and resource plans annually or sooner if significant changes occur in the matter. (d) When it is unclear whether a matter is significant, the contractor must consult with Department counsel on the question. (e) The purpose of the staffing and resource plan is primarily informational, but Department counsel may state objections within 30 days of the submission of a staffing and resource plan. When an objection is stated, the contractor has 30 days to satisfy the objection or dispute the objection in a letter to the General Counsel. (a) Contractors required to submit a legal management plan must also submit an annual legal budget covering then pending matters to Department counsel. (b) The annual legal budget must include cost projections for known or existing matters for which reimbursable legal costs are expected to exceed $100,000, at a level of detail reflective of the types of billable activities and the stage of each such matter. (c) For informational purposes for both the contractor and Department counsel, the contractor must report on its success on staying within budget at the conclusion of the period covered by each annual legal budget. The Department recognizes, however, that there will be departures from the annual budget beyond the control of the contractor.
Title 10: Energy
PART 719—CONTRACTOR LEGAL MANAGEMENT REQUIREMENTS
Subpart B—Legal Management Plan
§ 719.10 What information must be included in the legal management plan?
§ 719.11 Who must submit a legal management plan?
§ 719.12 When must the plan be submitted?
§ 719.13 Who at the Department must receive and review the plan?
§ 719.14 Will the Department notify the contractor concerning the adequacy or inadequacy of the submitted plan?
§ 719.15 What are the requirements for a staffing and resource plan?
§ 719.16 When must the staffing and resource plan be submitted?
§ 719.17 Are there any budgetary requirements?
