ML18271A090

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Interagency Agreement No. 31310018N0011
ML18271A090
Person / Time
Issue date: 09/04/2018
From: Sandra Nesmith
Acquisition Management Division
To:
Sandia, US Dept of Energy (DOE)
References
31310018N0011
Download: ML18271A090 (30)
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Text

INTERAGENCY AGREEMENT

1. IAA NO.

PAGE OF

2. ORDER NO.
3. REQUISITION NO.
4. SOLICITATION NO.
5. EFFECTIVE DATE
6. AWARD DATE
7. PERIOD OF PERFORMANCE 31310018N0011 RES-18-0287 08/20/2018 08/15/2018 08/29/2018 TO 12/31/2020 30 1
8. SERVICING AGENCY
9. DELIVER TO POC TELEPHONE NO.

ALBUQUERQUESANDIA NATL LAB DOENNSASFO CONTRACTING OFFICER PO BOX 5400 ALBUQUERQUE NM 87185-5400 LAUREN NING US NUCLEAR REGULATORY COMMISSION OFFICE OF NUCLEAR REGULATORY RESEARCH 11555 ROCKVILLE PIKE ROCKVILLE MD 20852 ALC:

DUNS: 155505027 +4:

10. REQUESTING AGENCY POC TELEPHONE NO.
11. INVOICE OFFICE Sandra Nesmith ACQUISITION MANAGEMENT DIVISION US NUCLEAR REGULATORY COMMISSION ONE WHITE FLINT NORTH 11555 ROCKVILLE PIKE ROCKVILLE MD 20852-2738 US NUCLEAR REGULATORY COMMISSION ONE WHITE FLINT NORTH 11555 ROCKVILLE PIKE MAILSTOP O3-E17A ROCKVILLE MD 20852-2738 301-415-6836 ALC: 31000001 DUNS: 040535809 +4:
13. LEGISLATIVE AUTHORITY
12. ISSUING OFFICE
14. PROJECT ID
15. PROJECT TITLE US NRC - HQ ACQUISITION MANAGEMENT DIVISION MAIL STOP TWFN-07B20M WASHINGTON DC 20555-0001 Energy Reorganization Act of 1974 HRA SUPPORT FOR THE LEVEL 3 PRA PROJECT - II
16. ACCOUNTING DATA 2018-X0200-FEEBASED-60-60D002-60B205-1052-11-6-182-253D-11-6-182-1052 17.

ITEM NO.

22.

AMOUNT 21.

UNIT PRICE 20.

UNIT 19.

QUANTITY 18.

SUPPLIES/SERVICES Agreement No. 31310018N0011

Title:

Human Reliability Analysis Support for the level 3 PRA Project - II The NRC and Sandia National Laboratory (SNL) hereby enter into this Agreement for the project titled "Human Reliability Analysis Support for the level 3 PRA Project - II."

Period of Performance: August 29, 2018 -

Continued...

23. PAYMENT PROVISIONS
24. TOTAL AMOUNT 26a. SIGNATURE OF GOVERNMENT REPRESENTATIVE (REQUESTING) 26b. CONTRACTING OFFICER 26c. DATE 25a. SIGNATURE OF GOVERNMENT REPRESENTATIVE (SERVICING) 25b. NAME AND TITLE 25c. DATE SANDRA R. NESMITH

$41,636.00

2 IAA NO PAGE OF 30 ORDER NO 31310018N0011 December 31, 2020 Consideration and Obligations:

(a) Authorized Ceiling: $145,647.00 (b) The amount presently obligated with respect to this DOE Agreement is $41,636.00. When and if the amount(s) paid and payable to the DOE Laboratory hereunder shall equal the obligated amount, the DOE Laboratory shall not be obligated to continue performance of the work unless and until the NRC Contracting Officer shall increase the amount obligated with respect to this DOE Agreement. Any work undertaken by the DOE Laboratory in excess of the obligated amount specified above is done so at the DOE Laboratorys sole risk.

The following documents are hereby made a part of this Agreement:

Attachment No. 1: Statement of Work Attachment No. 2: DOE Standard Terms and Conditions This agreement is entered into pursuant to the authority of the Energy Reorganization Act of 1974, as amended (42 U.S.C 5801 et seq.). This work will be performed in accordance with the NRC/DOE Memorandum of Understanding dated November 24, 1998. To the best of our knowledge, the work requested will not place the DOE and its contractor in direct competition with the domestic private sector.

Notwithstanding the agreement effective dates and period of performance start dates stated elsewhere in the agreement, the effective date of the agreement and start date of the period of performance are the last date of signature by the parties.

Non-fee Recoverable Work Continued...

3 IAA NO PAGE OF 30 ORDER NO 31310018N0011 NRC COR:

Lauren Ning, 301-415-2439, lauren.ning@nrc.gov Alternate COR:

Anders Gilbertson, 301-415-1541, anders.gilbertson@nrc.gov DUNS: 040535809 TAS: 31X0200.320 ALC: 31000001 Master IAA: N/A

1 STATEMENT OF WORK (SOW)

NRC Agreement Number NRC Agreement Modification Number NRC Task Order Number (If Applicable)

NRC Task Order Modification Number (If Applicable) 31310018N0011 Project Title Human Reliability Analysis Support for the Level 3 Probabilistic Risk Assessment Project - II Job Code Number B&R Number Servicing Agency Sandia National Laboratories NRC Requisitioning Office Period of Performance RES Award - 12/31/2020 NRC Form 187, Contract Security and Classification Requirements Applicable Not Applicable Involves Proprietary Information Involves Sensitive Unclassified Non Fee-Recoverable Fee-Recoverable (If checked, complete all applicable sections below)

Docket Number (If Fee-Recoverable/Applicable)

Inspection Report Number (If Fee Recoverable/Applicable)

N/A N/A Technical Assignment Control Number (If Fee-Recoverable/Applicable)

Technical Assignment Control Number Description (If Fee-Recoverable/Applicable)

N/A N/A

2 CONTRACTING OFFICERS REPRESENTATIVE Contracting Officers Representative Name:

Lauren Ning Agency:

U.S. Nuclear Regulatory Commission Office:

RES Mail Stop:

T10-A12 Washington, DC 20555-0001 E-Mail:

Lauren.Ning@nrc.gov Phone:

301-415-2439 Alternate Contracting Officers Representative Name:

Anders Gilbertson Agency:

U.S. Nuclear Regulatory Commission Office:

RES Mail Stop:

T10-A12 Washington, DC 20555-0001 E-Mail:

Anders.Gilbertson@nrc.gov Phone:

301-415-1541 GOVERMENT-FURNISHED PROPERTY (GFP)

N/A

--- End of Executive Summary ---

3 DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

1.0 BACKGROUND

Regulatory Context A full-scope site Level 3 probabilistic risk assessment (PRA) for a nuclear power plant site can provide valuable insights into the relative importance of various risk contributors by assessing accidents involving the reactor core as well as other site radiological sources (i.e., spent fuel pools, dry storage casks, and multiple units). These insights can be used to further enhance regulatory decision-making and to help focus limited agency resources on issues most directly related to the agencys mission to protect public health and safety.

Although Level 3 PRAs have been performed to some extent within both the United States and international nuclear industries, the U.S. Nuclear Regulatory Commission (NRC) has not sponsored development of a Level 3 PRA for a nuclear power plant site since NUREG-11501. In the nearly three decades that have passed since the NUREG-1150 Level 3 PRAs were performed, numerous technical advances have been made that were not reflected in the NUREG-1150 PRA models. The NRC staff has also identified additional scope considerations not previously considered that could be addressed by performing a new full-scope site Level 3 PRA.

During the Annual Commission Meeting on Research Programs, Performance, and Future Plans on February 18, 2010, the staff proposed a scoping study to evaluate the feasibility of performing a new full-scope site Level 3 PRA for a nuclear power plant site. In a March 19, 2010 SRM2, the Commission expressed conditional support for Level 3 PRA related activities and directed the staff to provide the Commission with various options for proceeding with this work that included costs and perspectives on future regulatory uses for Level 3 PRAs. On July 7, 2011, the NRC staff responded3 to the SRM by providing three proposed options for proceeding with the Level 3 PRA development project. These three options consisted of; 1) maintaining the status quo (i.e., continuing with evolutionary development of PRA technology), 2) conducting 1 NUREG-1150, Severe Accident Risk: An Assessment for Five U.S. Nuclear Power Plants, December 1990.

2 SRM 100218, Staff RequirementsBriefing on Research Programs, Performance, and Future Plans, dated March 19, 2010 (ADAMS Accession ML100780578).

3 SECY-11-0089, Options for Proceeding with Future Level 3 Probabilistic Risk Assessment Activities, dated July 7, 2011 (ADAMS Accession ML11090A039).

4 focused research to address identified gaps in existing PRA technology before performing a full-scope site Level 3 PRA, and 3) conducting a full-scope site Level 3 PRA. On September 21, 2011, the Commission approved4 a modified version of the third option which extended the completion schedule.

Technical Context A full-scope site Level 3 PRA is a complex model that consists of many technical aspects. Each aspect of the PRA must be adequately developed so that the entire PRA may serve its intended function. Some of these technical aspects include, but are not limited to, initiating event analysis, event tree development and analysis, system reliability model (e.g., fault tree) development and analysis, human reliability analysis (HRA), data analysis, accident sequence quantification, and uncertainty analysis. A PRA is considered to be full-scope when the technical aspects are adequately developed for all major hazard groups (e.g., internal fire, internal flooding, seismic) and low-power and shutdown (LPSD) modes of reactor operation.

Additionally, a site PRA is considered to include the risk contributions from initiating events that impact more than one unit at the site; the impact of accidents at one unit on any other units at the site; and non-reactor sources of radiological material, such as spent fuel pools and dry storage casks.

A Level 3 PRA includes a Level 1 analysis portion (which focuses on the likelihood of core damage), a Level 2 analysis portion (which builds on the Level 1 work and focuses on severe accident progression and radiological release), and a Level 3 analysis portion (which builds on the Level 2 work and focuses on offsite consequence analysis).

To support the NRC staff in completing the Full-Scope Site Level 3 PRA Project (Level 3 PRA Project or L3PRA), HRA must be performed. While previous Level 3 PRA studies have been performed before, the scope of this particular study (e.g., analysis of spent fuel pool risks, multi-unit risk) and the depth of analysis (e.g., consideration of Technical Support Center [TSC] use of Severe Accident Management Guidelines [SAMGs]) are beyond that which has been addressed previously in much detail.

Consequently, there are a variety of previously unaddressed technical issues associated with providing HRA support to the Level 3 PRA Project. For at-power, internal events Level 1 PRA, HRA methods and guidance is mature and widely applied. Also, more recently, HRA guidance has been published to support at-power, fire PRA (i.e., NUREG-1921). For all other PRA hazards, operating modes (e.g., low power and shutdown), and levels (especially, Level 2 PRA),

4 SRM-SECY-11-0089, Staff RequirementsSECY-11-0089Options for Proceeding with Future Level 3 Probabilistic Risk Assessment (PRA) Activities, dated September, 21, 2011 (ADAMS Accession ML112640419).

5 HRA work (previous to the L3PRA project) is limited or non-existent with respect to the requirements of the NRC Level 3 PRA Project.

The NRC staff has been working to leverage existing HRA guidance and methods, where possible, to address HRA needs for the Level 3 PRA Project. For example, the fire HRA guidance is useful for other PRA hazards that involve spatial effects (e.g., damage) on the plant, resulting in a potential impact on any operator actions outside the main control room.

In some cases (e.g., operator and TSC responses to accidents sequences that occur after core melt, or Level 2 PRA), the relevant human performance issues are so novel that general psychological literature and a more general knowledge of human behavior in serious events is needed. In such cases, development of recommendations for this project is informed and, when appropriate and possible, consistent with existing HRA methods, guidance, applications, and research.

Sandia National Laboratories (SNL) began work on the L3PRA project March 29, 2013 under contract number NRC-HQ-60-13-D-0009 (Job Code Number: V6404) where they have supported the NRC in developing the HRA for the Level 3 site PRA model. This agreement will continue assistance to the NRC staff in the development of a full-scope site Level 3 PRA for the subject nuclear power plant, Units 1 and 2.

2.0 OBJECTIVE The objective of this project is to support NRC in addressing new or incompletely addressed issues for HRA in support of the Level 3 PRA Project. Overall, the intent is to develop strategies or approaches and associated technical support to address such new or incompletely addressed issues. These developments will be documented in draft reports which may be incorporated into larger NRC reports or documents. Also, the strategies or approaches will be used as the basis for HRA inputs to the various elements of the overall Level 3 PRA study.

3.0 SCOPE OF WORK/TASKS SNL must provide all resources necessary to accomplish the tasks and deliverables described in this Statement of Work (SOW). SNL must provide technical support to the NRC during the development of HRA for the L3PRA Project.

SNL must provide technical support. Services include support for HRA issues associated with site-wide accident sequences and supporting the overall implementation and integration of HRA in the L3PRA Project. SNL must provide the support and document it in the Monthly Letter Status Reports.

6 The following tasks will support the development of strategies, approaches, or basic knowledge that can assist NRC staff in performing the necessary HRAs. However, the recommendations for each task should be consistent with an overall strategy or approach for HRA and provide a defensible basis for the HRA approaches and strategies expected to be used by NRC staff in supporting the Level 3 PRA project.

The timing of the tasks described below are intended to correspond with when different HRA support will be needed. In addition, the timing of draft reports has been determined such that deadlines for the different PRA levels, hazards, and operational modes can be met by NRC staff responsible for performing the supporting HRA. However, it is recognized that some clarifications or updates regarding the approaches may need to occur as the Level 3 PRA Project continues its development and later review. For this reason, support for review activities has been identified to capture any clarifications or updates to recommendations for relevant HRA approaches to be implemented by NRC staff.

Task 1 HRA issues associated with site-wide accident sequences SNL must support RES staff on HRA issues associated with site-wide accident sequences. A previously unaddressed HRA issue for the NRC site-wide L3PRA Project is the assessment of multiple, potential sources of radiological hazards. In particular, there are two nuclear power plants (NPPs) on the specific site being addressed by this NRC project. In addition, both units have a spent fuel pool and storage of spent fuel in dry casks commenced in 2013.

Consequently, main control room staff, auxiliary or local operators, and the TSC staff could be trying to address accident sequences for various combinations of reactors, spent fuel pools, and dry cask storage simultaneously. Recommendations in this task should include relevant contextual elements and performance influencing factors, as well as explanatory behavior models. Additionally, support associated with site-wide HRA issues shall be provided for Level 3 PRA Project review activities.

Estimated staff months:

1.5 staff-months (240 staff-hours)

Deliverables:

Draft report input:

6 months after work start Final report input:

2 weeks following receipt of NRC comments on draft input

7 Task 2 Overall implementation and integration of HRA SNL shall serve as the lead for the implementation and integration of the human reliability analysis in the Level 3 PRA project, including HRA, as related to reactors, for internal fires, external hazards, post-core-damage (i.e., Level 2 PRA), low-power and shutdown modes of operation; dry cask storage; and spent fuel pools. To the extent practical, this work will rely on the state-of-the-practice. As part of the integration activities, SNL shall ensure consistency in the implementation of HRA across the full scope of the Level 3 PRA project, including a focus on the appropriate treatment of dependencies between various portions of the study.

Estimated staff months:

2 staff-months (328 staff-hours)

Deliverables:

Draft report input:

6 months after work start Final report input:

2 weeks following receipt of NRC comments on draft input 4.0 LIST OF DELIVERABLES In order to meet the various needs of the HRA supporting the Level 3 PRA Project, a series of deliverables have been defined, as stated above. Also, in recognition of the time-phasing of various parts of the overall Level 3 PRA project, completion dates for these deliverables will be distributed over time. In addition, draft reports have been identified as deliverables so that initial results of the Tasks defined above can be more quickly provided to NRC staff responsible for performing the HRA in support of the Level 3 PRA study.

The table below summarizes the deliverables, by task, with milestone due dates included.

Because considerable interaction between NRC staff and laboratory staff is expected and the schedule for the Level 3 PRA Project is aggressive, formal NRC reviews will not be performed.

Task Number Deliverable and Acceptance Criteria Deliverable Format Due Date 1, 2 Per SOW Section 8.1, Monthly Letter Status Reports (MLSRs)

Acceptance Criteria: Report contains all Microsoft Word or Adobe PDF No later than 20th of the following month

8 required information (include on distribution: COR at Lauren.Ning@nrc.gov and Alternate COR: Anders.Gilbertson@nrc.gov) 1, 2 Report Input - For those project elements where SNL is assigned a supporting role, provide report input. These projects elements may include HRA related to:

reactors, for internal fires, external hazards, post-core-damage (i.e.,

Level 2 PRA), low-power and shutdown modes of operation; dry cask storage; and spent fuel pools.

Acceptance Criteria: Report Input contains all required information (include assumptions and decisions, with their technical bases).

(include on distribution: COR at Lauren.Ning@nrc.gov and Alternate COR: Anders.Gilbertson@nrc.gov)

Microsoft Word For Report Inputs -

participate in selected portions of the below process, as directed by COR SNL submits Draft Input to NRC: 6 months after work start*

NRC technical review comments provided to SNL: 3 weeks after draft input submitted SNL submits Revised Draft Input:

2 weeks after NRC technical review comments received SNL supports review of Final Report as needed (6 months after revised Draft Input)

  • Work start is the date the COR authorizes the work to begin after the initial award is in place.

5.0 KEY PERSONNEL 6.0 CERTIFICATION AND LICENSE REQUIREMENTS N/A

9 7.0 MEETINGS AND TRAVEL Travel associated with this Statement of Work is expected to be minimal, since attendance at most meetings will be via teleconference or video teleconference. Any travel needed for the performance of this project is expected to only be domestic travel. No foreign travel will be necessary.

A total of two (2) trips are anticipated in support of the work as described above. It is anticipated that one SNL staff member will attend and that the trips will each last three days. The meetings are expected to be held with NRC staff at NRC headquarters in Rockville, MD and support Advisory Committee on Reactor Safeguards meetings (one meeting related to Task 1 and one related to Task 2).

All travel requires written Government approval from the CO, unless otherwise delegated to the COR.

SNL personnel will be authorized travel expenses consistent with the Federal Travel Regulation (FTR) and the limitation of funds specified for the travel within this agreement/order.

8.0 REPORTING REQUIREMENTS The SNL is responsible for structuring the deliverables to current agency standards. The SNL must submit deliverables free of spelling and grammatical errors and shall conform to requirements stated in this section.

8.1 Monthly Letter Status Report (MLSR)

The SNL must provide a Monthly Letter Status Report which consists of a technical progress report and financial status report. This report will be used by the sponsoring agency to assess the adequacy of the resources utilized by the servicing agency to accomplish the work contained in this SOW and to provide status of the servicing agency progress in achieving tasks and producing deliverables. The report shall include agreement/order summary information, work completed during the specified period, milestone schedule information, problem identification and resolution, travel plans, and staff hour summary. Copies must be sent to the COR and AMD at ContractsPOT.Resource@nrc.gov.

The MLSR must include the following: agreement number; task order number, if applicable; job code number; title of the project; project period of performance; task order period of performance, if applicable; CORs name, telephone number, and e-mail address; full name and address of the performing organization; principal investigator's name, telephone number, and e-mail address; and reporting period. At a minimum, the MLSR must include the information discussed in the NRCs [preferred] MSLR template.

10 8.2 Report Inputs The key deliverables for this contact consist of documentation associated with the development of HRA for the L3PRA Project PRA. SNL must provide report input for those project elements where SNL is assigned a supporting role. See SOW section 4.0 for details regarding timing and directions for submitting report inputs.

For report inputs, SNL must adhere to the documentation requirements of the applicable ASME/ANS PRA Standards to the extent practicable and include all assumptions and decisions, with their technical bases.

9.0 REQUIRED MATERIALS, FACILITIES, HARDWARE/SOFTWARE The NRC COR will provide SNL with any applicable documents associated with the licensees documented PRA model after the licensee provides them to the NRC.

10.0 APPLICABLE PUBLICATIONS (CURRENT EDITIONS)

N/A 11.0 DATA RIGHTS The NRC shall have unlimited rights to and ownership of all deliverables provided under this agreement/order, including reports, recommendations, briefings, work plans and all other deliverables. All documents and materials, to include the source codes of any software, produced under this agreement/order are the property of the NRC with all rights and privileges of ownership/copyright belonging exclusively to the NRC. These documents and materials may not be used or sold by the servicing agency without prior written authorization from the CO. All materials supplied to the NRC shall be the sole property of the NRC and may not be used for any other purpose. This right does not abrogate any other Government rights.

Classification and Sensitivity This project in itself is unclassified. However, the L3PRA project model includes proprietary or company confidential information. If proprietary or company confidential information is involved in completing the work under this agreement, SNL agrees to safeguard such information in accordance with 10 Code of Federal Regulations (CFR) 2.790. SNL agrees to not release such information to any person not directly involved in the performance of work under this agreement, unless such release is authorized in writing by the NRC COR. Upon completion or termination of the contract, all data and information (hardcopy or electronic media) classified as proprietary or company confidential will be returned to the NRC.

11 Publication of Research Results RES encourages the publication of scientific results from RES-sponsored programs in refereed scientific and engineering journals as appropriate. If SNL proposes to publish in the open literature or present the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation shall be obtained from the NRC COR.

The NRC COR shall approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, the NRC COR may disapprove or delay presentation or publication of papers on information that is subject to Commission approval that has not been ruled upon or which has been disapproved.

If the presentation or paper is in addition to the required technical reports, and the NRC COR determines that it will benefit the RES project, the NRC COR may authorize payment of travel and publishing costs, if any, from the project funds. If the NRC COR determines that the article or presentation would not benefit the RES project, the costs associated with the preparation, presentation, or publication will be borne SNL. For any publications or presentations falling into this category, the NRC reserves the right to require that such presentation or publication not identify the NRCs sponsorship of the work

STANDARD TERMS AND CONDITIONS TO BE ATTACHED TO ALL NRC INTERAGENCY AGREEMENTS AWARDED TO DEPARTMENT OF ENERGY (DOE) NATIONAL LABORATORIES All work performed for NRC at a DOE laboratory is conducted under the terms and conditions of the DOE contract in place to manage and operate that laboratory. The below set of terms and conditions provide additional guidance in specific areas that are particular to work performed for NRC and supplement the DOE contract provisions.

1. Technical Direction The NRC Contracting Officers Representative (COR), as named in the NRC Statement of Work (SOW), is responsible for ensuring that the services required under this project are delivered in accordance with the terms of the SOW. All technical direction instructions to the DOE Laboratory must be issued through the COR.

Technical direction includes interpreting technical specifications, providing needed details, and suggesting possible lines of inquiry. Technical direction must not constitute new work or affect overall project cost or period of performance. Technical direction must be confirmed in writing to the DOE Laboratory, a copy provided to the DOE Site Office or the DOE Field Office, and a copy placed in the NRC Program Office project file.

2. Key Personnel The individual(s) identified as key personnel in the Technical Proposal, is (are) considered essential to the successful performance of the work. The DOE Laboratory agrees that these personnel shall not be removed from the project or replaced without complying with the following:

If one or more of the key personnel, for whatever reason, becomes or is expected to become unavailable for work under this contract for a continuous period exceeding 30 workdays, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the DOE Laboratory shall immediately notify the Contracting Officer (CO) in NRCs Acquisition Management Division of its intent to make key personnel replacements.

All requests for approval of substitutions on a project shall be in writing and shall provide detailed explanation of the circumstances necessitating the proposed substitutions. The request shall contain a complete résumé for the proposed substitute and other information requested by the NRC office to approve or disapprove the proposed substitution. The NRC will evaluate such requests and promptly notify the DOE Laboratory of its approval or disapproval thereof in writing.

The project may be terminated if the office determines that:

Suitable and timely replacements of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the project is not reasonably forthcoming.

The resultant reduction of effort or expertise would be so substantial as to impair the successful completion of the project or work order.

3. Billing Requirements DOE shall bill NRC monthly for costs paid in support of NRC projects by the agreement number and task order number (if applicable). The DOE shall bill and collect from NRC by an electronic transfer of funds through the U.S. Treasury Intergovernmental Payment and Collection System (IPAC).

The DOE voucher shall identify the NRC Agreement Number and the NRC Task Order number (if applicable). The DOE voucher, as a minimum, shall indicate the month that costs were incurred and the dollar amount of these costs. In some instances because of accrual accounting and other adjustments, the amounts may differ slightly from the original accrual amount.

When monthly letter status report (MLSR) costs differ from the amount billed, DOE shall provide an explanation of the difference on the voucher.

The DOE voucher shall be sent to support the IPAC funds transfer. The instructions must identify the billable activities as specified by 10 CFR Part 170. The DOE voucher and other required documentation shall be submitted to NRC Payments U.S. Nuclear Regulatory Commission One White Flint North 11555 Rockville Pike Mailstop O3-E17A Rockville, MD 20852-2738 Electronic Commercial Vendor and IPAC Payments:

Effective immediately, commercial vendors and Federal entities should use the new electronic mailing addresses shown below:

Invoice and training billing Email address - NRCPayments@NRC.gov IPAC billing Email address - NRCIPAC.Resource@NRC.gov

4. Monthly Letter Status Reports (MLSR)

In accordance with MD 11.7, the DOE laboratory shall submit a Monthly Letter Status Report (MLSR) by the 20th day of each month to:

NRC Contracting Officers Representative With copies to the following:

Office of Administration/Acquisition Management Division (electronic copy only) to ContractsPOT.Resource@nrc.gov The MLSR should contain at a minimum all of the information required in the instructions for completing Monthly Letter Status Reports as defined in Attachment 1 of the NRC SOW.

5. Limitation of Funds NRC is not obligated to reimburse DOE for costs incurred by its contractors in excess of the total amount obligated by an appropriately executed interagency agreement form. The NRC CO in NRCs Acquisition Management Division will formally notify the appropriate DOE Site Office or the DOE Field Office of any projects that are intended to be phased out or terminated as soon as such intent is known, preferably at least 30 days before the proposed termination date.

For work orders with fixed performance periods, the DOE Site Office or the DOE Field Office should assume that the program will terminate on the last day of the period specified in the award form unless notified otherwise.

If at any time the Laboratory has reason to believe that the costs will exceed the total amount authorized, the Laboratory must notify NRC and the DOE Site Office or the DOE Field Office. In the absence of formal NRC instructions to continue or to terminate a work order, the DOE Site Office or the DOE Field Office contract officer or his or her designee will notify NRC by e-mail or other suitable written means when the accrued costs of any NRC work order approaches 75 percent of the authorized funding level for a project or task order (TO).

The notification should include the estimated date when the accrued costs will equal the authorized funds, and may, if appropriate, recommend or request the NRC action desired. The notification should be sent to the appropriate NRC CO and COR with a copy to DOE. After this notification, the NRC will evaluate costs incurred against technical progress and, if necessary, will:

Increase funding authorization Change the scope of the work Change the period of performance Terminate the project The performance of work shall be completed within the period stated in the most current authorization document. When the DOE Laboratory anticipates that the work cannot be completed within the fixed time period, it shall notify the NRC CO and COR in writing and send a copy of the notice to the DOE Site Office or the DOE Field Office. Notification shall be made in sufficient time to allow for the issuance of a modification to the agreement, authorizing an extension of the work period to the date necessary to complete the authorized work. If the period of performance is not extended, the office shall notify DOE and the DOE Laboratory via issuance of a modification which should contain closeout instructions, including the reconciliation of any excess funds.

6. Organizational Conflict of Interest Upon submitting a proposal to the NRC, each DOE Laboratory would continue to acknowledge the disclosure requirements of: 1) MD 11.7, Organizational Conflict of Interest; and 2) the provisions of the Memorandum of Understanding (MOU) between DOE and NRC, dated 1998 (which states, in part, that DOE recognizes that Section 170A of the Atomic Energy Act of 1954, as amended, requires that NRC be provided with disclosures on potential conflicts when NRC obtains technical, consulting, research and other supporting services). DOE further recognizes that the assignment of NRC work to DOE laboratories must satisfy NRCs organizational conflict of interest (OCOI) standards.

Therefore, each DOE Laboratory, in its proposal to NRC (which will be incorporated into an interagency agreement between NRC and DOE), is required to make an assertion per #1 or #2 of Part A below for themselves and all subcontractors proposed prior to their award. If the Laboratory selects #1, then, it must also fill out the accompanying Part B - whereby the Laboratory must, again, make an assertion by answering each of the five (5) NRC OCOI provisions per the NRC Acquisition Regulation (NRCAR).

PART A:

"In accordance with [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] role in, and responsibility for, disclosing its relationships with organizations which conduct business in the same and/or similar technical area as described by the present and/or ongoing NRC project's scope of work, and in accordance with the NRC clause as stated herein, [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby asserts that it has examined its relationships with all such organizations, and has also examined its current and future/planned work, and where appropriate, its past work (generally for the previous five years),

for DOE and other organizations, and [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] states the following:

1) [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby discloses the following relationships _______ [state the name of persons, organizations, and business relationships, etc. **] ________ that may give rise to a potential OCOI. (DOE Laboratory or subcontractor must answer the questions in Part B below);

Or

2) [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] to the best of its knowledge and belief, asserts that it has no current work, planned work, and where appropriate, past work for DOE and others (to mean - organizations in the same and/or similar technical area as the present and/or ongoing NRC project scope of work); and [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby asserts that it is not aware of any same/similar technical work that would give rise to any potential OCOI as defined in the Atomic Energy Act of 1954, as amended, and in the NRC/DOE MOU.

Signed: _________________________________________________________________

PART B:

In accordance with [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR]

role/responsibility regarding OCOI disclosure, as stated in Part A, above [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] further discloses, to the best of its knowledge and belief, that:

1) [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] and/or any of its organizational affiliates* as defined in Part A above [does/does not] provide advice and recommendations to the NRC in the same technical area (e.g., fire protection, PRA, seismic, vulnerability analysis, fracture mechanics) where it is also providing consulting assistance to any organization regulated by NRC. If [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] "does" - then [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby discloses such organization(s) in Part A above;
2) [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] and/or any of its organizational affiliates as defined in Part A above [does/does not] provide advice and recommendations to the NRC on the same or similar matter (e.g., particular licensing amendment, particular EIS, particular high level waste repository site) on which it is also providing assistance to any organization regulated by NRC. If [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] "does" - then [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby discloses such organization(s) in Part A above;
3) [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] and/or any of its organizational affiliates as defined in Part A above [will/will not] be required to evaluate its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity. If [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] "will" - the [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby discloses such organization(s) in Part A above;
4) [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] and/or any of its organizational affiliates as defined in Part A above [does/does not] have a conflicting role, given the award of the present and/or ongoing NRC project, in which its judgment or the judgment of any of its organizations may be biased in relation to its work for NRC. If [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] "does" - then [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby discloses such conflicting role(s) with organization(s) in Part A above;
5) [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] and/or any of its organizational affiliates as defined in Part A above [are/are not] soliciting or performing concurrent work at an applicant or licensee site, while performing work in the same/similar technical area for NRC at the same site. If [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] "are" - then the [INSERT NAME OF DOE LABORATORY OR SUBCONTRACTOR] hereby discloses such organization(s) in Part A above."

Signed: __________________________________________________________________

  • Organization affiliate - Business concerns which are affiliates (related) to each other when either directly or indirectly, one concern or individual controls or has the power to control another, or when a third party (i.e. parent firm) has the power to control both.
    • The Atomic Energy Act of 1952 uses the term person to mean any entity - e.g., sole proprietorship, partnership, joint venture, corporation; university; limited partnership, subchapter S corporation; limited liability company, etc.
7. Incompatibility Between Regular Duties and Private Interests (a) Employees of a management and operating contractor shall not be permitted to make or influence any decision on behalf of the contractor which directly or indirectly affects the interest of the Government, if the employees personal concern in the matter may be incompatible with the interest of the Government. For example: An employee of a contractor will not negotiate, or influence the award of, a subcontract with a company in which the individual has employment relationship or significant financial interest; and an employee of a contractor will not be assigned the preparation of an evaluation for DOE or for any DOE contractor of some technical aspect of the work of another organization with which the individual has an employment relationship, or

significant financial interest, or which is a competitor of an organization (other than the contractor who is the individuals regular employer) in which the individual has an employment relationship or significant financial interest.

(b) The contractor shall be responsible for informing employees that they are expected to disclose any incompatibilities between duties performed for the contractor and their private interests and to refer undecided questions to the contractor.

8. Intellectual Property Rights The statutory, regulatory, and procedural intellectual property policies of DOE will be applicable to the work falling under this work order Provided that information concerning disclosures of inventions identified as having been conceived or first actually reduced to practice under Commission-funded work will be reported to the Commission, and the Commission will be kept advised as to their status.

Except that the Commission reserves the right to control title to inventions as to any rights that vest in the Commission under statute. If DOE and DOE's contractor, where the contractor has such rights, should determine not to protect these inventions either domestically or abroad, the Commission will have the right to protect these inventions.

Provided that if the technology covered by an invention disclosure upon which DOE intends to file a patent application on behalf of the U.S. Government is deemed by the Commission to fall within the Commissions mission, that is, when the technology relates to nuclear facilities and materials safety, safeguards, and environmental protection in support of the Commissions licensing and regulatory functions, the Commission may so notify DOE and a determination will be made by the parties as to which party will file the patent application or applications.

Provided that neither party shall grant an exclusive patent license on an agency owned invention without the approval of the other party.

9. Acquired Material, Equipment, or Software (Property)

In accordance with Management Directive 11.7, the Laboratory proposal must include a description of the property required for project performance that has an estimated acquisition cost of $500 or more. The proposal must also identify the potential development of NRC-funded software during the project. NRC-funded software is software specifically developed for NRC by the Laboratory and is generally the deliverable for the project.

After the NRC reviews the list of property and NRC-funded software included in the Laboratory proposal, any questions regarding the acquisition of property or the development of NRC-funded software will be addressed with the Laboratory during negotiations. After negotiating project terms and conditions, NRC shall issue an agreement authorizing the work and approving acquisition of property or development of NRC-funded software.

Laboratories shall submit a written request to the NRC project manager for approval to develop additional NRC-funded software or purchase additional property with an estimated acquisition cost of $500 or more after work initiation. The project manager shall approve or disapprove the acquisition or development of any additional items in writing.

DOE Laboratories shall report property, including software, with an acquisition cost of $500 or more in the monthly letter status report in the month the property or software was acquired.

DOE laboratories shall forward an electronic copy of all monthly letter status reports to the NRC Office of Administration, Acquisition Management Division: ContractsPOT.Resource@nrc.gov, in addition to the NRC COR. DOE Laboratories shall provide the information listed in the Monthly Letter Status Report instructions for each item reported as appropriate, in the monthly letter status report.

10. Dissemination of Project Information/Publication Requirements (a) Prior to any dissemination, display, publication, presentation, or release of papers, articles, reports, summaries, or abstracts developed under the NRC/DOE Agreement, the DOE Laboratory shall submit them to the NRC for review and comment. NRC shall have a review and comment period of at least [60] days, after which both an NRC and DOE Laboratory representative at the lowest management level, shall attempt to resolve any differing viewpoints or statements which are the subject of NRC objection. If the matter cannot be resolved at that level, the issue shall be brought up to the next management level in both organizations until an agreement can be reached or it reaches the Office Director level. Matters which cannot be resolved at this level shall be submitted for resolution to the Laboratorys Technology Partnership Ombudsman (as set forth in the Laboratorys Management and Operating contract with DOE or NNSA pursuant to § (p) of Department of Energy Acquisition Regulation (DEAR) 970.5227-3 Technology Transfer Mission (Aug 2002)). In the event resolution cannot be achieved by the Ombudsman, the NRC may direct the Laboratory/DOE to not publish the work as a NUREG/CR, but publish as a Laboratory report without the NRC office name or Project Managers name listed on the report, and with a Disclaimer conspicuously noted on the report, article, summary, abstract or related document that the Laboratory/DOE intends to release, display, disseminate or publish to other persons, the public or any other entities:

The views expressed in this [paper, journal article, report, summary, or abstract] do not represent those of the U.S. Nuclear Regulatory Commission.

(b) The NRC and DOE agree to handle all classified information provided or developed during the course of this project in accordance with all applicable laws and regulations governing the handling of such information. In the event NRC determines during its review and comment period that a draft Laboratory paper, article, report, summary, or abstract contains classified information regarding the work performed for NRC, NRC, in addition to commenting on the subject matter, shall also direct the Laboratory/DOE to direct an authorized classification authority to appropriately review, classify and mark the product, pursuant to nationally acceptable standards/guidelines. Under these circumstances, the Laboratory will either publish the work solely as a classified product pursuant to NRC direction, or not publish the work in any format. In cases where classification of the product is in dispute, NRC may consult with DOEs Office of Classification; however NRC retains the ultimate authority over the classification of the product.

(c) In addition, travel costs to present papers or reports developed under the NRC/DOE Agreement may not be authorized if the NRC program manager determines that presentation of the paper does not support the NRC program or project. Such determination will not affect payment of the contract work costs.

(d) The DOE Laboratory contractor, to the extent it is permitted to and asserts copyright therein, grants a royalty-free, nonexclusive, irrevocable worldwide license to the Government to use,

reproduce, modify, distribute, prepare derivative works, release, display or disclose the articles, reports, summaries, abstracts, and related documents developed under the Agreement, for any governmental purposes and to have or authorize others to do so.

11. Review and Approval of Reports The Laboratory/DOE shall comply with the terms and conditions of the agreement regarding the contents of the draft and final reports, summaries, data and related documents, to include correcting, deleting, editing, revising, modifying, formatting and supplementing and of the information contained therein. Corrective actions shall not be undertaken unless sufficient funding from NRC is available to cover the costs of the corrective actions. Performance under the agreement shall not be deemed accepted or completed until it complies with NRCs directions.

Identification/Marking of Sensitive Unclassified and Safeguards Information. DOE shall comply with the requirements stated MDs 12.7 NRC Safeguards Information Security Program as follows:

a) Classification Clause To the extent that the performance of work under this work order involves classified information, the following clause is applicable:

In the performance of work under this work order, DOE shall ensure that a DOE authorized classifier shall assign classification levels to all documents, material, and equipment originated or generated by the performing organization in accordance with classification guidance furnished by the Commission. Each subcontract and purchase order issued hereunder involving the generation of classified documents, material, or equipment shall include a provision to the effect that in the performance of such subcontract or purchase order, a DOE authorized classifier shall assign classification levels to all such documents, material, and equipment in accordance with classification guidance furnished by the NRC.

When appropriate, the attached NRC Form 187, Contract Security and/or Classification Requirements," is a part of this work order. It is the responsibility of the NRC office originating the work order to review the classification assigned and to refer any problems to the NRC Division of Security Operations (DSO), NSIR, for resolution.

b) Safeguards Information, Unclassified Controlled Nuclear Information, or Unescorted Access to Protected and Vital Areas of Nuclear Power Plants To the extent that the performance of work under this work order involves Safeguards Information (SGI), the following clause is applicable:

In the performance of the work under this project, DOE shall assure that the DOE laboratory shall mark and protect all documents, material, and equipment originated, generated, or received by the performing organization in accordance with the provisions of Section 147 of the Atomic Energy Act of 1954, as amended, its implementing regulations (10 CFR 73.21),

Protection of Safeguards Information: Performance Requirements. Further guidance on the protection of Safeguards Information and examples of proper marking of cover; title page, and back cover are contained in NRC Management Directive (MD) 12.7, "NRC

Safeguards Information Security Program and the NRC Guide to Marking Safeguards Information.

To the extent that performance of work under this work order involves unclassified controlled nuclear information (UNCI), the following clause is applicable:

In the performance of the work under this project, DOE shall assure that the DOE laboratory shall mark and protect all documents, material, and equipment originated, generated, or received by the performing organization in accordance with the provisions of Section 148 of the Atomic Energy Act of 1954, as amended, is implementing DOE regulations, and DOE orders and guidance.

It is the responsibility of the NRC office originating the work to indicate whether the work will involve SGI or unescorted access to protected and vital areas of nuclear power plants. An NRC Form 187, Contract Security and/or Classification Requirements, shall be completed to indicate such access.

c) Proprietary Information In connection with the performance of work under this work order, NRC may furnish for DOE review, evaluation, or other use certain trade secrets or confidential or privileged commercial or financial information determined by the office to be exempt from public inspection or disclosure. A synopsis of such information must be submitted in writing to the DOE contracting officer for reaching agreement with the office on the acceptance and use of the information. Up-to-date guidance on the protection of proprietary information used in reports prepared by the DOE laboratory on proper marking of cover, title page, and back cover may be obtained from the NRC COR.

Proprietary or other privileged information may be provided by the office on an individual basis to DOE laboratory employees working as NRC consultants with the understanding that it shall be protected from disclosure and shall be returned to the office upon completion of the work.

Any such claimed proprietary data will be appropriately identified and marked as such. The use of proprietary information in reports prepared by consultants requires protection. Further information may be obtained from the NRC COR.

d) Other Sensitive Unclassified Non-Safeguards Information (SUNSI)

Information other than safeguards, unclassified controlled nuclear, proprietary information, and pre-decisional information may at times be determined to be sensitive. The use of such information in reports requires the specific NRC designation and protection as prescribed by the NRC SUNSI policy. Further information may be obtained from the NRC COR.

12. Sensitive Information Work Efforts To the extent that the performance under this work order involves classified information, the following clauses are applicable:

Responsibilities. DOE and the DOE contractor (performing organization) shall be responsible for safeguarding Restricted Data, Formerly Restricted Data, and other National Security Information and for protecting it against sabotage, espionage, loss, and theft in accordance with applicable NRC and DOE security regulations and requirements.

Transmission of Classified Matter. Except as otherwise expressly provided, DOE or the DOE contractor shall, upon completion or termination of the work order, transmit to the NRC program office all classified matter in its possession or in the possession of any person under its control in connection with performance of this project or work order. If retention of any classified matter is required by DOE or the DOE contractor, DOE must obtain the approval of the NRC program office and complete a certificate of possession specifying the classified matter to be retained.

Regulations. DOE and the DOE contractors shall be responsible for compliance with all applicable NRC and DOE security regulations and requirements.

Definition of Restricted Data. The term Restricted Data, as used in this clause, means all data concerning (1) the design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but does not include data declassified or removed from the Restricted Data category pursuant to Section 142 of the Atomic Energy Act of 1954, as amended.

Definition of Formerly Restricted Data. The term Formerly Restricted Data, as used in this clause, means classified information related primarily to the military utilization of atomic weapons that can be adequately safeguarded as National Security Information, subject to the restrictions on transmission to other countries and regional defense organizations that apply to Restricted Data.

Definition of National Security Information. National Security Information is information that has been determined pursuant to Executive Order 13526 or any predecessor order to require protection against unauthorized disclosure and is so designated.

Security Clearance of Personnel. DOE and DOE laboratories shall not permit any individual to have access to Restricted Data, Formerly Restricted Data, or National Security Information, except in accordance with the Atomic Energy Act of 1954, as amended, Executive Orders 12968 and 10865, and DOE regulations or requirements applicable to the particular type or category of classified information to which access is required.

Safeguards Information Access. DOE and DOE laboratories shall not permit any individual to have access to Safeguards Information, except in accordance with 10 Code of Federal Regulations Part 73.22 and NRC Management Directive 12.7.

Liability. It is understood that the unauthorized disclosure or the failure to properly safeguard Restricted Data, Formerly Restricted Data, or National Security Information that may come to the DOE or to any person under an NRC/DOE work order in connection with work under the work order may subject the performing organization, and its agents, employees, or subcontractors, to administrative sanctions and criminal liability under the laws of the United States. (See the Atomic Energy Act of 1954, as amended [42 U.S.C. 2011et seq.], 18 U.S.C. 793 and 794; and Executive Orders 13526 and 12968.)

Subcontracts and Purchase Orders. Except as otherwise authorized in writing by the Commission, DOE shall insert provisions similar to the foregoing in all subcontracts and purchase orders under this project or work order.

13. Software Development Systems development efforts shall comply with applicable Government-wide Federal Information Processing Standards developed by the National Institute of Standards and Technology, applicable public laws, Office of Management and Budget circulars, and NRC policies and procedures. Particular attention is necessary to incorporate security features in the design of systems that process sensitive data. The format of software deliverables is specified in NRC Bulletin 0904-4. If any deliverable is provided on diskette, the diskette shall be scanned for viruses by the contractor and verified to be free of viruses before delivery to NRC. All software development, modification, or maintenance tasks shall follow general guidance provided in NUREG/BR-0167, Software Quality Assurance Program and Guidelines. NRC shall advise the DOE Patent Counsel with respect to any rights in the software that NRC desires under any particular project, which rights include NRC imposing restrictions on use, and distribution of the software by DOE or the Laboratory.
14. Copyright in Computer Software and Codes In the event that a DOE Laboratory desires to assert a copyright of any computer software or computer code funded in whole or in part by NRC, the Laboratory shall request, in writing, the written approval of the cognizant NRC division director or designee before advising DOE's patent counsel of the Laboratorys desire to seek the copyright.

If NRC determines that public health and safety or other programmatic considerations dictate that the DOE Laboratory contractor should not be given permission to copyright the computer software or code, the NRC CO, after consultation with the NRC Office of the General Counsel (OGC) and the division director or designee, shall so advise the Laboratory in writing.

Alternatively, if permission to copyright computer software or a computer code is granted, the cognizant NRC CO, after consultation with OGC and division director or designee, shall provide the Laboratory with written notice of that decision. In those cases in which the cognizant NRC CO determines that the rights retained by the Government pursuant to the copyright provisions of the Laboratory contract should be modified to protect NRC's interests, NRC will advise DOE's patent counsel of NRC's desire to modify DOE's standard policy with respect to permission for a contractor to assert copyright in that code. DOE and NRC will then jointly determine the appropriate provisions for the code. The DOE patent counsel shall provide the Laboratory with written notice, with a copy to the cognizant NRC division director or designee, of that joint determination. The Laboratory may then proceed to assert copyright.

In no case shall the DOE Laboratory take action relating to assertion of copyright until the NRC CO provides written approval to the Laboratorys request to assert copyright. Further, DOE shall not permit a contractor to assert copyright of an NRC-funded computer code or computer software without the written approval of the cognizant NRC division director or designee. Where NRC has not granted permission to copyright, NRC recognizes that once a Laboratory has delivered to NRC a developed version of a particular code, the Laboratory may exercise the existing right that both the Laboratory and other parties have to further develop, without NRC funds, software codes that are in the public domain and to copyright the new, non-NRC-funded versions of these codes without NRC approval.

15. Appropriate Use of Government Furnished Information Technology (IT) Equipment and/or its Services/Access When the NRC work at a DOE site requires electronic processing of information, DOE will follow NIST Special Publication (SP) 800-37 Rev. 1 or later, and SP 800-53 Rev. 3 or later (which are based on FIPS-199 and FIPS-200). For those specific projects with electronic processing of Safeguards Information (SGI), Restricted Data (RD) and/or Unclassified Nuclear Information (UCNI), the NRC shall provide DOE with the appropriate requirements that must be met on a project by project basis. In addition, for those specific projects that require classified electronic information processing, DOE will follow the CNSS policy, directives, instructions, and guidance.
16. NRC Information Technology Security Training Agencies/Contractors shall ensure that their employees, consultants, and subcontractors with access to the NRCs information technology (IT) equipment and/or IT services complete NRCs online initial and refresher IT security training requirements to ensure that their knowledge of IT threats, vulnerabilities, and associated countermeasures remains current. Both the initial and refresher IT security training courses generally last an hour or less and can be taken during the employees regularly scheduled work day. Agency/Contractor shall ensure that their employees, consultants, and subcontractors, with access to the NRCs IT equipment, complete the Information Security (INFOSEC) Awareness Training annually; no later than December 31st.

Agency/Contractor employees, consultants, and subcontractors shall complete the NRCs online, Computer Security Awareness course on the same day that they receive access to the NRCs IT equipment and/or services, as their first action using the equipment/service. For those Agency/Contractor employees, consultants, and subcontractors who are already working under an existing agreement/contract, the online training must be completed in accordance with agency Network Announcements issued throughout the year.

Agency/Contractor employees, consultants, and subcontractors who have been granted access to NRC information technology equipment and/or IT services must continue to take IT security refresher training offered online by the NRC throughout the term of the agreement/contract.

Agency/Contractor employees will receive notice of NRCs online IT security refresher training requirements through agency-wide notices.

The NRC reserves the right to deny or withdraw Agency/Contractor use or access to NRC IT equipment and/or services should the Agency/Contractor violate the Agency/Contractors responsibility under this clause.

17. Contract Security Requirements for Unescorted Access to Nuclear Power Plants If performance under this work order involves unescorted access to protected and vital areas of nuclear power plants or access to nuclear power reactor SGI, individual contractors requiring access to protected and vital areas of nuclear power plants or access to nuclear power reactor SGI shall be approved for unescorted access in accordance with the following procedures:

17.1 Temporary Approval The contractor (DOE laboratory employees and laboratory contractors) does not need a temporary approval if he or she has a valid Government clearance, for example, a DOE Q or

L clearance. If the contractor employee does not have such a clearance, the contractor shall submit the information discussed below within 30 calendar days following contract award, modification, or proposal of new personnel for contract tasks. This information shall be provided for each person proposed to perform tasks requiring unescorted access to nuclear power plants or access to nuclear power reactor SGI. If access to SGI is needed, and unescorted access is not required, the provisions of 10 CFR 73.22 must be followed as a condition for access to SGI.

The information shall be provided to the NRC Division of Facilities and Security (DFS) through the NRC COR and consists of the following:

A completed Personnel Security Forms Packet, including an SF 86, "Questionnaire for National Security Positions, and copies of the individuals 5-year employment and education history checks, including verification of the highest degree obtained A reference from at least one additional person not provided by the individual Results of a psychological evaluation (This is not a requirement of the background check that is required for access to SGI.)

Form FD-258, ORIMDNRC000Z (Fingerprint Card)

A certification that the contractor has found all checks acceptable The results of a psychological examination that uses a reliable written personality test or any other professionally accepted clinical evaluation procedure shall be used to evaluate a subjects trustworthiness, reliability, and stability. The contractor shall review all required information for accuracy, completeness, and legibility, except Part 2 of the SF 86, which must be completed in private and submitted, along with the Form FD-258 by the individual to the contractor in a sealed envelope, or the individual shall be fingerprinted by the subject utility, and the contractor shall be subject to the utilitys access authorization program. As described in this section, DFS shall conduct criminal history and credit checks and a security assurance interview with the individual. On the basis of the results of these checks, DFS shall determine the individuals eligibility for temporary access and indicate an objection or no objection to NRC pending completion of the required background investigation.

17.2 Final Approval Final approval shall be granted if:

The individual has completed processing (by the Office of Personnel Management) of the required investigation resulting in NRC endorsement for unescorted access at all nuclear facilities for the life of the contract.

The contractor has obtained unescorted access authorization (other than temporary access) at the specific utility through that utilitys access authorization program, resulting in unescorted access at a specific facility.

The individual possesses a valid Government-issued clearance as verified by DFS.

A valid Government-issued clearance is defined as a U.S. Government-issued security clearance equivalent to or higher than an NRC "L" clearance (i.e., Secret) based on a comparable investigation not more than 10 years old. The investigation specified in MD

11.7, Section 11.12.2 may involve an National Agency Check and Inquiries (NACI) or other investigation as deemed necessary by DFS in accordance with 10 CFR Part 10, 10 CFR 73.22, NRC MDs 12.3, NRC Personnel Security Program and 12.7 NRC Safeguards Information Security Program. Any question regarding the individuals eligibility for unescorted access to protected or vital areas of nuclear power facilities will be resolved in accordance with the provisions set forth in MD 12.3, which are incorporated into the work order by reference as though fully set forth therein. The contractor shall, for each contractor individual approved for access under the provisions of this section, submit to DFS through NRC a signed statement from the individual that he or she understands his or her responsibility to report information bearing on his or her continued eligibility for access authorization as specified in MD 12.3. Access to SGI not also involving unescorted access to protected and vital areas of nuclear power plants shall require the submission of a completed Personnel Security Forms Packet to DFS through NRC and will require a Background Check in accordance with 10 CFR Part 73.22 and MD 12.7. Any questions regarding the individuals eligibility for access to nuclear power reactor SGI shall be resolved in accordance with the provisions set forth in MD 12.7, which is incorporated into this contract by reference as though fully set forth herein. On the basis of the review of the applicants security forms by DFS and/or the receipt of adverse information by NRC, the individual may be denied access to nuclear power reactor SGI until a final determination of his or her eligibility for access is made under the provisions of MD 12.7.

17.3 Fitness for Duty Pursuant to NRC policy, all individuals proposed for work under this contract who require unescorted access to nuclear power plants shall be subject to the requirements of the licensees fitness-for-duty program (10 CFR Part 26).

17.4 Basic Exposure Control and Personnel Dosimetry Training Requirements The contractor shall certify that personnel working under the scope of this contract have completed basic exposure control and personnel dosimetry training sufficient to meet the requirements of commercial nuclear power plants for unescorted access. Site specific training obtained at each site shall still be required during the performance of work under this contract in addition to the basic training.

17.5 Subcontractor InformationSubcontracting The DOE organization shall notify the issuing NRC CO in writing reasonably in advance of entering into any major or significant technical service subcontract not contained in the original proposal. Major or significant must be used with judgment and related to the total value of the project and/or impact on the results. This advance notification shall include the following:

A description of services to be called for by the subcontract Identification of the proposed subcontractor The proposed subcontract costs (in total)

A signed conflict of interest statement

The NRC CO may require additional specific subcontractor information or limitations. The NRC CO will issue a modification to the agreement upon approval of the subcontracting effort.

18. Information on NRC Cooperative Programs with Foreign Governments and Organizations and With U.S. Industry DOE facilities, contractors, and subcontractors working on NRC cooperative programs with foreign governments and organizations and with U.S. industry perform this work with the understanding that draft or formal reports on this work are to be available only to participants in the program until public availability is authorized by the NRC office. Reports or codes (including data) on this work shall be issued as Draft Preliminary Reports (Codes) until the office authorizes issuance of the report as a formal report with the designation NUREG/IA-XXXX for international agreement reports or NUREG/CR-XXXX for contractor reports. Details of the handling of reports may be obtained from the NRC COR.
19. Stop-Work Order The NRC CO may, at any time, by modification to the agreement to the DOE CO, require the DOE Laboratory to stop all or any part of the work called for by this work order for a period of up to 90 days after the order is delivered to the DOE Laboratory, and for any further period to which the parties may agree. Any such order will be specifically identified as a stop-work order issued pursuant to this clause. Upon receipt of such an order, the DOE Laboratory shall forthwith comply with its terms and take all reasonable steps to minimize the incurrence of cost allocable to the work covered by the order during the period of work stoppage.

Within a period of 90 days after a stop-work order is delivered to DOE or within any extension of that period to which the parties shall have agreed the office shall either:

Cancel the stop-work order Terminate the work covered by this work order If a stop-work order issued under this clause is cancelled or the period of the stop-work order or any extension thereof expires, DOE will authorize its contractor to resume work. An adjustment will be made in the delivery schedule or cost, or both, and the work order must be modified in writing accordingly. If a stop-work order is not cancelled and the work covered by the order is terminated in accordance with the terms of this work order, costs resulting from the stop-work order will be allowed in arriving at the termination settlement.

20. Termination Circumstances may arise in which either NRC or DOE wishes to terminate performance of a project in whole or in part. If both parties agree, the work order may be terminated. If DOE wishes to terminate the project, it shall advise the cognizant NRC CO. If NRC wishes to terminate the project, the cognizant NRC CO will advise the cognizant DOE Site Office or the DOE Field Office and send a copy of the termination agreement to the DOE Laboratory.

Within 60 days after the effective date of the termination of the work order, the DOE Laboratory shall submit a termination settlement proposal to the cognizant NRC CO, through the cognizant DOE Site Office or the DOE Field Office. When additional time is required to compile all outstanding costs, such as subcontractor costs, the DOE Site Office or the DOE Field Office

shall provide a written notification to the NRC CO that includes a proposed due date for the final settlement proposal. In the event of disagreement between the parties, the cognizant NRC CO will make the final decision. The DOE Laboratory shall not incur new obligations for the terminated portion of the project after the effective date and must cancel as many outstanding obligations as possible. NRC will allow full credit to the DOE Laboratory for obligations properly incurred by the recipient before termination.

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