ML20044B681
| ML20044B681 | |
| Person / Time | |
|---|---|
| Issue date: | 01/19/1993 |
| From: | Pannell J, Wiggins E NRC OFFICE OF ADMINISTRATION (ADM), OPERATIONS RESEARCH TECHNOLOGY, INC., SMALL BUSINESS ADMINISTRATION |
| To: | |
| References | |
| CON-FIN-L-26343, CON-NRC-26-93-291 NUDOCS 9303010396 | |
| Download: ML20044B681 (89) | |
Text
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c.
s AWARD /CCNTRACT Page 1 of 2
- 1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 350) l RATING l
- 2. CCNTRACT NO.
l3. EFFECTIVE DATE l4 REQUISITICN/ PROJECT NO.
l AED-92-270 NRC-26-93-291
{
January 13. 1993
- 5. ISSUED BY Code:
l6. ADMINISTERED BY Code-l (If other than Item 5)
U.S. Nuclear Regulatory Cc= mission l U.S. Nuclear Regulatory Commission Div. of Contracts & Property Mgmt.
l Div. of Contracts & Property Mgmt.
Contract Neg. Br. No. 1: P-1020 l Contract Adm. Br. No.2 Washington, DC 20555 l Washington, DC 20555 l
l I
- 7. NAME AND ADDRESS OF CONTRACTCR l 8. DELIVERY U.S. Small Business Administration l
[X ]
FOB ORIGIN Wasnington District Office l
[]
OTHER (See below) 1111 ISth Street. N.W., 6th Floor l
l P.O. Box 19993 l 9. DISCOUNT FOR PROMPT PAYMENT l
l Wasnington, D.C.
20036-9993 N/A Subcontract-0:erations Research Tecnnology, Inc.
l 4712 Rosedale Avenue l
Eetnesca. Maryland 20814-3730 l
- 10. SUBMIT INVOICES (4 copies unless otherwise specifiea) TO THE ADDRESS SHOWN IN ITEM: 6
- 11. SHIP T0/ MARK FOR CODE l12. PAYMENT WILL BE MADE BY CODE l
l U. S. Nuclear Regulatory Commission l
Division of Accounting and Finance g/A l
GOV /COM ficcounting Section l
Washington, DC 20555 l
- 13. AUTHORITY FOR USING OTHER THAN FULL AND CPEN COMPETITION _
- [ d
[ ] 10 U.S.C. 2304(c)( ) [X] 41 U.S.C. 253(c) ( 5)
]
- 14. ACCE NTING AND APPROPRIATION DATA B&R 382-19-301-500
$58,797.12 FIN L26343 APPN No. 31X0200.823 ISA. ITEM ISB. SUPPLIES /
15C. QUANTITY 15D. UNIT 15E. UNIT 15F. AMOUNT NO.
SERVICES PRICE
.nerform a review and evaluation of the operation and maintenance of the Sequence Coding and Search System Database in accordance with NRC solicitation RS-AED-92-270 dated October 23, 1992 and Operations Research Technology's proposal dated November 3,1992, both of which are hereby incorporated by reference.
15G. TOTAL AMOUNT OF CONTRACT $58,797.12
(
EXCEPTION TO STANDARD FORM SF26 (REV.4-85)
Prescribea oy GSA I
FAR(48 CFR) 53.714(a)
' n
,d 9303010L96 930119 PDR CONTR h'- '
NRC-26-93-291 pop C___--____-.
4 AWARD /CCNTRACT Page 2 of 2 Pages 16.
TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S)
PART I - THE SCHEDULE A
SOLICITATION / CONTRACT FORM B
SUPPLIES OR SERVICES AND PRICES / COSTS C
DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D
PACKAGING AND MARKING E
INSPECTION AND ACCEPTANCE F
DELIVERIES CR PERFORMANCE G
CONTRACT ADMINISTRATION DATA H
SPECIAL CONTRACT REQUIREMENTS PART 11 - CONTRACT CLAUSES I
CONTRACT CL\\USES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J
LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K
REPRESENTATICNS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS L
INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0RS M
EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETE ITEM 17 CR 18 AS APPLICABLE 17.
[X] CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 1
copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein.
The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein.
(Attachments are listed herein.)
18.
'[ AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Numoer AED-92-270, including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items lis' d above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your offer, and (b) this award / contract. No further contractual document is necessary.
19A. NAME AND TITLE OF SIGNER
- 20A. NAME OF CONTRACTING OFFICER (Type or print) l JESSIE D. PANNELL l
Elois J. Wiggins CONTP. ACTING OFFICEB, l
$h, Y
$$N?
( Si gna tf e'o.F pebson huttiorized to sign)'
(SignatureofContrgingOfficer) l20C.DATESIGNED 19C. day SIGNED
.g 9 g ggg
/
/
EXCEPTION TO STANDARD FORM 26 (REV.4-85)
-s 3
AWARO/CCNTRACT hge 1 ci :
- . THIS C NTRACT IS A RATED CRCER UNDER CFAS (15 CFR 550)
. RATING
- . ;^NTRACT
'0.
- 3. i.r
- CT!7E CATE
,;. iEOUISIT!CN/ PROJECT NO.
C3 55-9 3-l- C Ol70 :
Me" n :Y C:ce:
- 5. ACMINI54:a:e cY ::ce:
( M :tne :.zg Item O
,J.5. Nuc{ rear segulatery C:=missten U.S. Small Business Acministraticn 11;; 18th Street, N.W., 6th Floor
- Div. ci C:ntracts & Fre:erty Me=t.
P.O. Box 19993 Wasnincten. D.C.
20036-9993
- ntrac: Acmin. 3r. No. ::?-902 easningt:n.
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TX1 F03 CRIGIN 0; erat 10ns Researcn Tecnnology, Inc.'
[j OTHER (See ceicwe 4712 Rosedale Avenue Betr.esca. '<arylano 20814-3730
' 9. JIS-~JNT :0R F:iCMPT ; AYMENT N/A I
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10.5UEMIT :NVOICES (a cc les uniess : nennse s:ecifiec) TOTHEA0dRt.15 SHOWN IN ITE'4: 5 i
1;. 5HIF TD/ MARK FOR C".CE
- 12. PAYMENT WILL SE MADE EY CCCE
'l U. 5. Nuclear Regulatory Ccmmission N/ "
l Divisien of Acc:unting ana Finance l
GCV/CCM Acccunting Sec:1:n Wasningten, DC 20555 l
1
- 12. AUTHORITf FOR USING OTHER THAN FULL AND CPEN CCMPETITICN
" *. " 7 ' "' -
u
[ ] 10 U.S.C. 2304(c)( ) [X] al U.S.C. 253(c) ( 5)
- 14. ACC~'.;NTING AND APPROFRIATICN CA1 A B&R 382-19-301-500
$5.,797.12 FIN L26343 APPN No. 31X0200.823 15A.! TEM 155.5UPPLIE5/
15C.CUANTITI ISD. UNIT 15E. UNIT IEF. AMOUNT NO.
SERVICE 3 FRICE Perform a review and evaluation of the operation and maintenance of the Sequence Coding and Search System Database in accordance with NRC solicitation RS-AED-92-270 dated October 23, 1992 and Operations Research Tecnnology's proposal dated November 3,1992, both of which are hereby incorporated by reference.
TOTAL AMOUNT OF CONTRACT $58,797.12
...__...m
i s
AWARD /CCNTRACT
? ace 2 of 2 Pages t
15.
TABLE CF CCNTENTS x 5EC CESCRIPTICN PAGE(5) l PART I - THE SCHEDULE A
SCLICITATICN/CCNTRACT FORM l
3 SUPPLIES OR SERVICES AND PRICES /CCSTS CESCRIPTICN/SPECIFICATICNS/'*'ORK STATEMENT i
C PACKAGING AND MARKING E
INSPECTION AND ACCEPTANCE CELIVERIES OR PERFORMANCE 3
CCNTRACT ADMINISTRATICN DATA 4
SPECIAL CCNTRACT REQUIREMENTS PART II - CCNTRACT CLAUSES CONTRACT CLAUSES PART III - LIST CF CCCUMENTS, EXHIBITS AND OTHER ATTACHMENTS j
LIST OF ATTACHMENTS PART IV
- iEPRESENTATIONS AND INSTRUCTICNS
- EPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERGRS INSTRUCTICNS, CONDITICNS, AND NOTICES TO OFFERORS M
EVALUATICN FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 13 AS APPLICABLE i
I 17.
M] CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is reouireo to sign this ::cument anc return copies to issuing office.) Contractor agrees i
to furnish and deliver all items or perform all the services set fortn or otherwise identified above anc on any continuation sheets for the j
consiceration stated herein. The rights and obligations of the parties to this contract shall be subject to anc governed by the following documents: (a) j this awarc/ contract, (b) the solicitation, if any, ano (c) sucn provisions, reoresentations, certifications, ano specifications, as are attachea or
(
incerocrated by reference herein.
(Attachments are listed herein.)
l 18.
[ ] AWARD (Contractor is not reouirea to sign tnis document.) Your offer on Solicitation Numcer
, including the additions or changes made by you wnicn additions or cnanges are set forth in full above, is herecy acceptec l
as to the items listed above and on any continuation sheets. This award consummates the contract whicn consists of the following documents: (a) the No Government's solicitation ana your offer, and (b) this award / contract.
furtner contractual document is necessary.
19A. NAME AND TITLE OF SIGNER
' 20A. NAME OF CONTRACTING OFFICER (Type or print)
{
JEssm D. PAMELT, s T U
G WA-TMt6 (M4/
l "0%~
(Sipdaturp p4rsgatilinornec to sign)'
(Sign! ureofConteagtingOfficer; ZDC. DATE SIGNE0 19C. CATE SIGNED
/ g JAN I 91993 EXCEPTICN TO STANDARD FORM 25 ( REV.4-25) 1
5 Pace 3 TABLE OF CONTENTS PAGE AWARD /CCNTRACT.
1 6
PART I - THE SCHEDULE.....
SECTICN B - SUPPLIES OR SERVICES AND PRICES / COSTS.
6 B.1 PROJECT TITLE..........
6 B.2 BRIEF DESCRIPTION OF WORK (MAR 1987).
6 8.3 CONSIDERATION AND OBLIGATION--FIRM FIXED PRICE.....
6 (JUN 1988)
SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT.
7 7
C.1 STATEMENT OF WORK C.2 TRAVEL APPROVALS (MAR 1987) 9 SECTION D - PACKAGING AND MARKING....
10 D.1 PACKAGING AND MARKING (MAR 1987)..
10 SECTION E - INSPECTION AND ACCEPTANCE.
11 E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 11 E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)...
11 SECTION F - DELIVERIES OR PERFORMANCE.....
12 F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)...
12 F.2 PREPARATION OF TECHNICAL REPORTS (JUN 1991)........
12 F.3 TECHNICAL PROGRESS REPORT (OMB CLEARANCE NUMBER 3150-0112).
12 (JUN 1988)
F.4 PLACE OF DELIVERY--REPORTS (JUN 1988).........
13 F.5 DURATION OF CONTRACT PERIOD (MAR 1987)...
13 14 SECTION G - CONTRACT ADMINISTRATION DATA.........
G.1 PROJECT OFFICER AUTHORITY (MAR 1987)............
14 ALTERNATE II (MAR 1987)
G.2 TRAVEL REIMBURSEMENT (JUN 1988) ALTERNATE I (JUN 1988) 14 SECTION H - SPECIAL CONTRACT REQUIREMENTS..............
16 H.1 KEY PERSONNEL (JUN 1988)....
16 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987).......
17 H.3 DISSEMINATION OF CONTRACT INFORMATION (JUN 1991)......
17 H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUN 1988)..
17 H.5 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST......
17 (DEC 1991)
H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY (JUNE 1988)....
21 PART II - CONTRACT CLAUSES 22 SECTION I - CONTRACT CLAUSES.....
22 1.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988).
22 I.2 52.203-10 PRICE OR FEE ADJUSTHENT FOR ILLEGAL.......
23 OR IMPROPER ACTIVITY (SEP 1990) 1.3 52.219-11 SPECIAL 8( A) CONTRACT CONDITIONS.........
24 (FEB 1990)
I.4 52.222-18 NOTIFICATION OF EMPLOYEE RIGHTS CONCERNING....
25 PAYMENT OF UNION DUES OR FEES (MAY 1992) 1.5 52.246-2C WARRANTY OF SERVICES (APR 1984).........
26
s Pace a TABLE OF CONTENTS PAGE PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS.
28 SECTICN J - LIST OF ATTACHMENTS.
28 J.1 ATTACHMENTS (MAR 1987).
28 1
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Page 6 Section B i
PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS l
l 1
B.I PROJECT TITLE l
4 i
The title of this project is as follows:
i i
i Evaluation of the Operation and Maintenance j
of the Sequence Coding and Search System Database i
[End of Clause]
4 B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) l i
The contractor shall perform a review and evaluation of the operation and maintenance of the Sequence Coding and l
Search System for Oak Ridge National Laboratory's (CRNL) j proposed operation within a workstation environment. The contractor shall evaluate costs considering timeliness and quality of coding for SCSS operation by a commercial private i
sector contractor on a cost effective hardware / software platform.
j i
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[End of Clause]
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B.3 CONSIDERATION AND C3 LIGATION--FIRM FIXED PRICE (JUN 1988) a The firm fixed price of this contract is $58,797.12.
i 4
[End of Clause]
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Section C SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT I
i C.1 STATEMENT OF WORK C.1 BACKGROUND The Nuclear Operations Analysis Center (NOAC) of Oak Ridge National Laboratory (ORNL) has been assisting the Nuclear Regulatory Commission's Office for Analysis and Evaluation of Operational Data (AEOD) with the maintenance and operation of the Sequence Coding and 7
Search System (SCSS).
This program involves a system for reducing the descriptive text contained in License Event Reports (LERs) to coded sequences that are both computer readable and computer j
searchable.
This system provides a structured format for detailed l
coding of LER information that can later be utilized to support the l
NRC's analysis of industry trends in addition to establishing a data J,
source for measuring industry performance.
C.I.1 CONTRACT OBJECTIVE The contractor shall perform a review and evaluation of the i
operation and maintenance of the Sequence Coding and Search System
[
(SCSS) for ORNL's proposed operation within a workstation environment. The contractor shall evaluate costs considering timeliness and quality of coding for SCSS operation by a commercial l
Private Sector Contractor (PSC) on a cost effective hardware / software platform.
l 1
C.1.2 REQUIREMENTS l
The contractor shall perform the following tasks:
1 j
Task 1 - Recommend SCSS hardware / software platform j
4 The contractor shall review the function and capabilities of 4
the Sequence Coding and Search System (SCSS) and Oak Ridge National Lab's proposal for the movement of its operation to a wurkstation environment. This proposal is titled "(Draft)
Feasibility Assessment of a Workstation-Based Database l
Management System for the Sequence Coding and Search System Database," June 1992. The contractor shall evaluate this 1
proposal and recommend a comparative cost effective hardware / software platform.
The contractor shall relate the ability of the proposed platform to store new data fields as the agency's informational requirements change to consolidate existing databases in addition to supporting requirements of future studies.
Review existing databases via travel to Idaho National Engineering Laboratory, (INEL) as for the type of data information systems the new platform should be capable of consolidating.
t
i Page 8 Section C Task 2 - Five Year SCSS Cost Estimate The contractor shall perform a two column five year estimated agency SCSS cost projection beginning with fiscal year 1994.
The first column shall identify ORNL's current operations and transition to their proposed workstation environment. The second column shall identify ORNL's current operation with transition to a commercial Private Sector Contractor (PSC) operating the database on the contractor's recommended hardware / software platform.
The receipt of 1800 License Event Reports (LERs) is projected for the next five years.
The contractor shall assume ORNL's current labor charges for the coding of LERs will be similar to future costs for coding on the workstation.
The implementation of data input via the electronic transfer of LERs should be considered as a cost saving method for both the existing system and operation on new platforms.
The contractor shall justify and include a basis for all estimates.
The contractor shall consider as a minimum the following elements during the five year period for both estimates:
a)
Existing activities at ORNL 1)
Hardware charges 2)
Coding labor charges l
3)
Utilization labor charges l
b)
Procurement of new platform hardware and software c)
Transition costs to the new platform j
1)
Software development 2)
Data Transfer 3)
Training of new coders (PSC only) 4)
Training of agency users 5)
Testing / validation, dual operation of both systems 6)
Documentation development d)
Operation on the new platform 1)
Hardware charges 2)
Coding labor charges 3
Utilization labor charges C.I.3 CONTRACT DELIVERABLE In addition to the reporting requirements contained in section F, the contractor shall deliver a letter report identifying a cost effective hardware / software platform to operate the SCSS database including a five year agency cost projection to operate the database as described above.
[EndofClause]
Page 9 d
Section C C.2 TRAVEL APPROVALS (MAR 1987) a.
All domestic travel requires the prior approval of the Project Officer.
l b.
All foreign travel must be approved in advance by the NRC on l
NRC Form 445 and shall be in compliance with 52.247-63, Preference For U.S. Flag Air Carriers.
Such approvai will be communicated in writing through the Contracting Officer.
[End of Clause]
4
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Section D i
i SECTION D - PACKAGING AND MARKING t
D.1 PACKAGING AND MARKING (MAR 1987) l The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and safe delivery at destination. Containers and closures shall i
comply with the Interstata Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other 4
carriers as applicable to the mode of transportation. On the i
front of the package, the Contractor shall clearly identify the
[
contract number under which the product is being provided.
.(
[End of Clause]
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s P3.ge 11 Section E i
i SECTION E - INSPECTION AND ACCEPTANCE
]
E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) l l
This contract incorporates one or more clauses by reference, i
j-with the same force and effect as if they were given in full text.
l Upon request, the Contracting Officer will make their full text available.
l NUMBER TITLE DATE I
52.246-4 INSPECTION OF SERVICES FEB 1992 I
- FIXED-PRICE l
l l
[End of Clause]
E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)
)'
Inspection and acceptance of the deliverable items to be l
furnishea hereuncer shall be made by the Project Officer at the destination.
i 5
[End of Clause]
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o Pace 12 Section F i
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i SECTION F - DELIVERIES CR PERFORMANCE F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
NUMBER TITLE DATE 52.212-13 STOP-WORK ORDER AUG 1989 i
[End of Clause]
d F.2 PREPARATION OF TECHNICAL REPORTS (JUN 1991) j All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Hanobook 3.8.
NRC Hancbook 3.8 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract.
(See Section J for List of Attachments).
[EndofClause)
F. 3 TECHNICAL PROGRESS REPORT
)
1 1.
The contractor shall prepare a monthly business letter status report. The report will be received by AEOD by the 15th day of the following month.
l This report will include the following items:
I a)
A description of the progress on this project during the reporting period.
i b)
Plans for the next reporting period will be identified. A discussion of the work to be performed and milestones which will be completed during the period will be described.
2.
The contractor will notify AEOD of any schedule concerns immediately, independent of the monthly status reports, and provide AEOD with a recommended solution to the problem.
3.
The contractor shall prepare a final letter report issued to AE00 for comment. A final report will be issued upon incorporation of AE00's comments.
Paqs 13 1
Section F
[End of Clause]
F.4 PLACE OF DELIVERY-REPORTS (JUN 1988)
)
The items to be furnished hereunder shall be delivereo, with all charges paid by the Contractor, to:
(a) Project Officer (3 copies) 1 Dale Yeiiding U.S. Nuclear Regulatory Ccmmission 7735 Old Georgetown Road. Room 9606 Betnesda, Marylana 20814 i
(b)
Contracting Officer (1 ccay) 1 s
[End of Clause]
F. 5 CURATION OF CCNTRACT PERIOD (MAR 1987)
This contract shall commence on 1/13/93 and will expire on 5/12/93.
[End of Clause]
F. 6 TIME OF DELIVERY (APR 1984)
(a) 'he Government requires delivery to be made according to the following schedule:
REQUIRED DELIVERY SCHEDULE ITEM WITHIN DAYS AFTER DATE OF CONTRACT
- 1. Monthly Letter Status Due by 15th day of the Report (in accordance following month with Article F.3.1)
- 2. Letter Report (Draft) 90 (in accordance with Article C.I.3 and F.3.3)
- 3. Letter Report (Final) 105 (in accordance with Article C.I.3 and F.3.3)
(b) Attention is directed to the Contract Award provision of the solicitation that provides that a written award or acceptance of offer mailed, or othenrise furnished to the successful offeror, results in a binding contract.
The Government will mail or otherwise furnish to the offeror an award or notice of award not later than the day a ard is dated.
o Page 14 Section G 3
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SECTION G - CONTRACT ADMINISTRATICN DATA L
G.1 PROJECT OFFICER AUTHORITY (MAR 1987) f ALTERNATE II (MAR 1987)
(a) The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract i
is:
l Name:
Dale Yeilding Address: U.S. Nuclear Regulatory Commission 7735 Old Georgetown Rd., Rm. 9605 Dethesda, Maryland 20814 i
1 l
l
.i Telephone Number: (301) 492-4864 i
i (b) The Project Officer is responsible for:
i (1) Monitoring Contractor performance and recommending to the Contracting Officer changes in requirements.
i (2) Inspecting and accepting products / services provided under the contract.
(3) Reviewing all Centractor invoices / vouchers requesting j
payment for products / services provided under the contract and i
l making recommendations for approval, disapproval, or suspension.
j (c) The Project Officer is not authorized to make changes to l
the express terms and conditions of this contract.
i
[EndofClause]
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Page 16 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (JUN 1988) a.
The following individuals are considered to be essential to the successful performance of the work hereunder:
James Nock Fred Olmstead The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.
b.
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 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications, i
c.
All requests for approval of substitutions hereunder must be 1
in writing and provide a detailed explanation of the circumstances j
necessitating the proposed substitutions.
They contain a complete resume for the proposed substitute, and other infomation requested by the Contracting Officer to approve or disapprove the proposed substitution.
The Contracting Officer will evaluate such i
recuests and promptly notify the Contractor of his/her approval or disapproval thereof in writing, d.
If the Contracting Officer determines that:
(1) Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable I
for the contract work is not reasonably forthcoming; or (2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.
[End of Clause]
Page 17 Section H H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)
The Contractor shall take all reasonable precautions'in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor.
In the event that the Contractor fails to comply with these regulations or requirements, the Contracting Officer, may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereaf ter, a start order for resumotion of work may be issued at the discretion of the Contracting Officer.
The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
[End of Clause]
H.3 DISSEMINATION OF CONTRACT INFORMATION (JUN 1991)
The Contractor shall comply with the requirements of the attached NRC Handbook 3.8 and, if applicable, NRC Manual Chapter 3206 (See Section J for List of Attachments) regarding publications or dissemination to the public of any information, oral or written, concerning the work performed under this contract.
Failure to comply with this clause shall be grounds for termination of this contract.
[EndofClause]
H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUN 1988)
Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished to the Contractor in the performance of this contract shall be used only in connection with the work under this contract.
[End of Clause]
H.S CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (DEC 1991)
(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor:
P (1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
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Section H
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i (b) Scope..The restrictions described apply to performance i
or participation by the contractor as defined in Section I, " Scope i
of Policy," paragraph C, of document entitled "NRC Organizational Conflicts of Interest" (see Section J, List of Attachments).
I (c) Work for others.
l (1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees i
to forego entering into consulting or other contractual j
arrangements with any firm or organization, the result of which i
may give rise to a conflict of interest with respect to the work i
being performed under this contract. The contractor shall ensure j
that all employees under this contract abide by the provision of l
this clause. If the contractor has reason to believe, with respect i
to itself or any employee, that any proposed consultant or other i
contractual arrangement with any firm or organization may involve l
a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of i
such contractual arrangement.
i (2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC audit, inspection, or review where the activities that are the subject of the audit, inspection, or review are the same as or substantially similar to the services within the scope of this j
contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's support to explain 6
or defend the contractor's prior work for the utility or other entity which NRC questions.
l (3) When the contractor performs work for the NRC l
under this contract at any NRC licensee or applicant site, the i
contractor shall neither solicit nor perform work at the site or work in the same technical area for that licensee or applicant organization for a period commencing 'with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task l
ordercontract).
(d) Disclosure after award.
(1) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest as defined in Section II, " Definitions," paragraph F, of the document entitled "NRC Organizational Conflicts of Interest" (see Section J, List of Attachments).
(2) The contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement must include a
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description of the action which the contractor has taken or l
proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract if termination is in the best interest of the Government.
j (3)
It is recognized that the scope of work of a j
task-orcer-type contract necessarily encompasses a broad spectrum
]
of activities. Consequently, if this is a task-order-type j
contract, the contractor agrees that it will disclose all proposed
[
4 new work involving NRC licensees or applicants that comes within i
j the scope of work of the underlying contract. Such disclosure must j
j be made before the submission of a bid or proposal to the utility j
or other regulated entity whenever possible, and must be receivec l
by the NRC at least 15 days before the proposed award date in any event.
The disclosure must include the statement of work and any other documents that are neeaed to fully describe the proposed f
I work for the regulated utility cr other regulated entity.
NRC may i
deny approval of the disclosed work only when the NRC has issued a i
i task order which includes the technical area and, if site-t j
specific, the site, or has plans to issue a task order which l
includes the technical area and, if site-specific, the site, or l
when such work violates (c)(3), above.
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(e) Access to and use of information.
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1 l
(1) If in the performance of this contract the l
l contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data j
q protected by the Privacy Act of 1974 (5 U.S.C. Section 552a j
j (1988)) or the Freedom of Information Act (5 U.S.C. Section 552 i
(1986)), the contractor agrees not to-I j
j (1) Use this information for any private purpose
]
until the information has been released to the public, i
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(ii) Compete for work for the Commission based on
.he information for a period of six months after either the 2
i l
completion of this contract or the reiease of the information to l
the public, whichever is first; 1
(iii) Submit an unsolicited proposal te the l
Government based on the information until one year after the release of the information to the public; or a
f (iv) Release the information without prior written approval by the contracting officer unless the information has previously been released to the public by the NRC.
(2)
In addition, the contractor agrees that, to the i
extent it receives or is given access to proprietary data, data
]
protected by the Privacy Act of 1974 (5 U.S.C. Section 552a (1988)) or the Freedom of Information Act (5 U.S.C. Section 552 (1986)), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall j
treat the information in accordance with restrictions placed on 1'
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Page 20 i
Section H
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use of the information.
(3)
Subject to patent and security provisions of l
J this contract, the contractor shall have,the right to use j
technical data it produces under this contract for private 4-purposes provided that all requirements of this contract have been
{
met.
I (f) Subcontracts.
Except as provided in Sectica II,
" Definitions," paragraph I, of the document entitled "l,RC l
Organizational Conflicts of Interest" (see Section J, List of Attachments), the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms contract.
1 contractor, and contracting officer, must be appropriately l
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modified to preserve the Government's rights.
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(g) Remedies.
For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract, or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for i
i default, disqualify the contractor from subsequent contractual i
efforts, and pursue other remedies permitted by law or this contract.
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(h) Waiver. A request for waiver under this clause must be l
directed in writing to the contracting officer in accordance with j
i the procedures' outlined in Section VII, " Waiver," paragraph A, of
)
j the document entitled "NRC Organizational Conflicts of Interest" l
(see Section J, List of Attachments).
j i;
j (1) Follow-on effort.
The contractor shall be ineligible l
1 to participate in NRC contracts, subcontracts, or proposals l
therefore (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract.
j i
Furthermore, unless so directed in writing by the contracting i
officer, the contractor may not perform any technical consulting, l
j management support services work, or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of the l
l products or services.
1 i
4 (1) If the contractor, under this contract, prepares i
j a complete or essentially complete statement of work or specifications, the contractor is not eligible to perform or participate in the initial contractual effort which is based on i
the statement of work or specifications. The contractor may not incorporate its products or services in the statement of work or l
specifications unless so directed in writing by the contracting l
i officer, in which case the restrictions in this paragraph do not I
j apply.
1
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(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items
page 21 Section H to the Government.
[EndofClause]
l H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY The following materials and documents will be made available for review by the contractor relating to SCSS Operation, LER Utilization, SCSS Development, Operational Event Analysis for i
Programmatic Performance Indicators ( Task 1, " Routine Processing of Performance Indicator Data"):
a)
ORNL monthly letter status reports from June, 1988.
b)
Fiscal Year (FY) 1988 - FY92 Project and Budget Prooosal for NRC Work, NRC Form 189.
c)
AEOD SCSS Statements of Work for FY93.
d)
FY93 SCSS Project and Budget Proposals for NRC Work, NRC Form 189.
e)
SCSS Documentation:
1.
Coder's Manual 2.
Programmer's Manual 3.
User's Manual 4.
QA Program Manual 5.
Front End Processor Manual f)
Draft Feasibility Assessment of a Workstation-Based Database Management System for the SCSS Database, ORNL/NOAC-270, June 1992.
g)
Log-on Identification and password for use of the SCSS from a remote terminal.
i h)
Copy of the SCSS Front End Processor (FEP) on 5-1/4" floppy disk, (Procomm, Version 2.0 communication software supplied by contractor) 1)
NRC Manual Chapter 1102, Procedures for placement of Work with the Department of Energy with associated amendments and bulletins.
j)
AEOD files as necessary.
H.7 FOLLOW-ON EFFORT PROHIBITION In accordance with Article H.5 of this contract entitled CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST, paragraph (1), the contractor shall be ineligible to bid or participate in NRC contracts or subcontracts which are associated with the operation of the Sequence Coding and Search System Database.
(End of Clause)
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Section I l
PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES
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I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
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Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES i
NUMBER TITLE DATE i
52.202-1 DEFINITIONS SEP 1991 52.203-1 0FFICIALS NOT TO BENEFIT APR 1984 52.203-3 GRATUITIES APR 1984 52.203-5 COVENANT AGAINST CONTINGENT FEES APR 1984 52.203-6 RESTRICTIONS ON SUBCONTRACTOR JUL 1985 i
SALES TO THE GOVERNMENT 52.203-7 ANTI-KICKBACK PROCEOURES OCT 1988 i
52.209-6 PROTECTING THE GOVERNMENT'S NOV 1992 l
INTEREST WHEN SUBCONTRACTING WITH i
CONTRACTORS DEEARRED, SUSPENDED.
OR PROPOSED FOR DEBARMENT l
52.215-1 EXAMINATION OF RECORDS BY APR 1984 COMPTROLLER GENERAL 52.215-2 AUDIT - NEGOTIATION DEC 1989 52.215-31 WAIVER OF FACILITIES CAPITAL SEP 1987 COST OF MONEY 52.215-33 ORDER OF PRECEDENCE JAN 1986 l
52.219-8 UTILIZATION OF SMALL BUSINESS FEB 1990 i
CONCERNS AND SMALL i
DISADVANTAGED BUSINESS CONCERNS 52.2I9-13 UTILIZATION OF WOMEN-0WNED AUG 1986 SMALL BUSINESSES 52.219-I4 LIMITATIONS ON SUBCONTRACTING JAN 1991 52.220-3 UTILIZATION OF LABOR SURPLUS APR 1984 AREA CONCERNS 52.222-3 CONVICT LABOR APR 1984 52.222-26 EQUAL OPPORTUNITY APR 1984
)
52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 l
DISABLED AND VIETNAM ERA VETERANS 52.222-36 AFFIRMATIVE ACTION FOR APR 1984 HANDICAPPED WORKERS 52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223 DRUG-FREE WORKPLACE JUL 1990 52.225-11 RESTRICTIONS ON CERTAIN FOREIGN MAY 1992 j
Page 23 5ection I PURCHASES 52.227-1 AUTHORIZATICN AND CONSENT APR 1984 52.227-2 NOTICE AND ASSISTANCE REGARDING APR 1984 l
PATENT AND COPYRIGHT INFRINGEMENT l
52.229-4 FEDERAL, STATE, AND LOCAL JAN 1991 j
TAXES (NONCOMPETITIVE CONTRACT) 52.232-1 PAYMENTS APR 1984 52.232-8 DISCOUNTS FOR PROMPT PAYMENT APR 1989 52.232-11 EXTRAS APR 1984 52.232-17 INTEREST JAN 1991 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT SEP 1992 I
52.232-28 ELECTRONIC FUNDS TRANSFER APR 1989 PAYMENT METHODS 52.233-1 DISPUTES DEC 1991 52.233-3 PROTEST AFTER AWARD AUG 1989 52.242-13 BANKRUPTCY APR 1991 52.243-1 CHANGES - FIXED-PRICE AUG 1987 Alternate I (APR 1984) 52.244-5 COMPETITION IN SUBCCNTRACTING APR 1984 52.245-4 GOVERNMENT-FURNISHED PROPERTY APR 1984 (SHORT FORM) 52.249-1 TERMINATION FOR CCNVENIENCE OF APR 1984 THE GOVERNMENT (FIXED-PRICE) (SHORT FORM) 52.249-8 DEFAULT (FIXED-PRICE SUPPLY APR 1984 AND SERVICE)
[End of Clause]
I.2 52.203-10 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR IMPROPER ACTIVITY (SEP 1990)
(a) The Government, at its election, may reduce the price of a fixed price type contract or contract modification and the total cost and fee under a cost-type contract or contract modification by the amount of profit or fee determined as set forth in paragraph (b) of this clause if the head of the contracting activity or his or her designee determines that there was a violation of subsection 27(a) of the Office of Federal Procurement Policy Act, as amended (41 U.S.C. 423), as implemented in the FAR.
In the case of a contract modification, the fee subject to reduction is the fee specified in the particular contract modification at the time of execution, except as provided in subparagraph (b)(5) of this clause.
(b) The price or fee reduction referred to in paragraph (a) of this clause shall be--
(1) For cost-plus-fixed-fee contracts, the amount of the fee specified in the contract at the time of award; (2) For cost plus-incentive-fee contracts, the target fee specified in the contract at the time of award, notwithstanding any minimum fee or " fee floor" specified in the contract;
s I
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(3) For cost plus-award-fee contracts--
l (i) The base fee established in the contract at the time l
of contract award-(ii) If no base fee is specified in the contract, 30 l
percent of the amount of each award fee otherwise payable to the Contractor for each award fee evaluation period or at each award fee determination point.
(4) For fixed price-incentive contracts, the Government may--
l l
(i) Reduce the contract target price and contract target I
profit both by an amount equal to the initial target profit l
l specified in the contract at the time of contract award; or l
c (ii)
If an immediate adjustment to the contract target f
price and contract target profit would have a significant adverse l
impact on the incentive price revision relationship under the contract, or adversely affect the contract financing provisions, the Contracting Officer may defer such adjustment until
(
establishment of the total final price of the contract. The total final price established in accordance with the incentive price i
revision provisions of the contract shall be reduced by an amount
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equal to the initiai target profit specified in the contract at j
the time of contract award and such reduced price shall be the total final contract price.
(5) For firm-fixed price contracts or contract modifications, j
by 10 percent of the initial contract price; 10 percent of the contract modification price; or a profit amount determined by the Contracting Officer from records or documents in existence prior to the date of the contract award or modification.
(c) The Government may, at its election, reduce a prime contractor's price or fee in accordance with the procedures of i
paragraph (b) of this clause for violations of the Act by its i
subcontractors by an amount not to exceed the amount of profit or fee reflected in the subcontract at the time the subcontract was j
first definitively priced.
I (d) In addition to the remedies in paragraphs (a) and (c) of.
j this clause, the Government may terminate this contract for i
default. The rights and remedies of the Government specified j
herein are not exclusive, and' are in addition to any other rights and remedies provided by law or under this contract.
i
[End of Clause]
l r
3 I.3 52.219-11 SPECIAL 8(A) CONTRACT CONDITIONS i
(FEB 1990)
The Small Business Administration (SBA) agrees to the following:
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Section I i
(a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and l
conditions hereof by subcontracting with an eligible concern i
pursuant to the provisions of section 8(a) of the Small Business
~
Act, as amended (15 U.S.C. 637(a)).
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(b) That in the event SBA does not award a subcontract for all 3
or a part of the work hereunder, this contract may be terminated either in whole or in part without cost to'either party.
(c) Except for novation agreements and advance payments, delegates to the Nuclear Regulatory Commission the responsibility for administering the subcontract to be awarded hereunder with j
complete authority to take any action on behalf of the Government l
under the terms and conditions of the subcontract; provided, however, that the Nuclear Regulatory Commission shall give advance i
notice to the SBA before it issues a final notice terminating the j
right of a subcontractor to proceed with further performance, i
either in whole or in part, under the subcontract for default or l
l for the convenience of the Government.
'I (d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the Nuclear Regulatory Commission.
'l (e) That the subcontractor awarded a subcontract hr.reunder shall l
have the right of appeal from decisions of the' Contracting Officer cognizable under the " Disputes" clause of said subcontract.
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(f) To notify the Nuclear Regulatory Commission Contracting i
Officer immediately upon notification by the subcontractor that the owner or owners upon whom 8(a) eligibility was based plan to i
relinquish ownership or control of the concern.
f
[End of Clause]
4 1
I.4 52.222-18 NOTIFICATION OF EMPLOYEE RIGHTS CONCERNING PAYMENT OF UNION DUES OR FEES (MAY 1992) i (a) During the term of this contract, the Contractor agrees to post a notice, of such size and in such form as the Secretary of Labor may prescribe, in conspicuous places in and about its plants and offices, including all places where notices to employees are customarily posted. The notice shall include the following i
information (except that the last sentence shall not be included
[
in notices posted in the plants or offices of carriers subject to i
the Railway Labor Act, as amended (45 U.S.C.151-188)):
Notice to Employees l'
Under Federal law, employees cannot be required to join a union 1
or maintain membership in a union in order to retain their jobs.
Under certain conditions, the law permits a union and an employer-I to enter into a union-security agreement requiring employees to
-pay uniform periodic dues and initiation fees.
P wever, employees i;
I Page 26 l
Section I
[
who are not union members can object to the use of their payments for certain purposes and can only be required to pay their share l
of union costs relating to collective bargaining, contract administration, and grievance adjustment.
l If you believe that you have been required to pay dues or fees i
used in part to support activities not related to collective i
bargaining, contract administration, or grievance adjustment, you may be entitled to a refund and to an appropriate reduction in future payments.
{
For further information concerning your rights, you may wish to contact either a Regional Office of the National Labor Relations i
Board or: National Labor Relations Board, Division of Information, 1717 Pennsylvania Avenue, N.W., Washington, DC 20570.
e (b) The Contractor will comply with all provisions of Executive i
Order 12800 of April 13, 1992, and related rules, regulations, and orders of the Secretary of Labor.
(c) In the event that the Contractor does not comply with any of the requirements set forth in paragraphs (a) or (b) of this clause, this contract may be cancelled, terminated, or suspended in whole or in part, and the Contractor may be declared ineligible for further Government contracts in accordance with erocedures authorized in or adopted pursuant to Executive Order 12800 of l
April 13, 1992.
Such other sanctions or remedies may be imposed as are provided in Executive Order 12800 of April 13, 1992, or by rule, regulation, or order of the Secretary of Labor, or as are otherwise provided by law.
(d) The Contractor will include the provisions of paragraphs (a) through (c) in every subcontract or purchase order entered into in connection with this contract unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 3 of Executive Order 12800 of April 13, 1992, so that such provisions will be binding upon each subcontractor or vendor.
The Contractor will take such action with respect to any such j
subcontract or purchase order as may be directed by the Secretary
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of Labor as a means of enforcing such provisions, including the j
imposition of sanctions for noncompliance; provided, however, that if the Contractor becomes involved in litigation with a subcontractor or vendor, or is threatened with such involvement, as a result of such direction, the Contractor may request the United States to enter into such' litigation to protect the interests of the United States.
[End of Clause]
1.5 52.246-20 WARRANTY OF SERVICES (APR 1984)
(a) Definitions.
" Acceptance," as used in this clause, means the act of an authorized representative of the Government by which the Government assumes for itself, or as an agent of another, j
ownership of existing and identified supplies, or' approves l
t
r Page 27 Section I specific services, as partial or complete performance of the contrac-l
" Correction," as used in this clause, means the elimination of a defect.
(b) Notwithstanding inspection and acceptance by the Government l
or any provision concerning the conclusiveness thereof, the Contractor warrants that all services performed under this contract will, at the time of acceptance, be free from defects in i
workmanship and conform to the requirements of this contract.
The Contracting Officer shall give written netice of any defect or i
nonconformance to the Contractor This notice shall state either (1) that the Contractor shall correc: or reperform any defective or nonconforming services, or (2) that the Government does not require correction or reperformance.
(c) If the Contractor is required to correct or reperform, it shall be at no cost to the Government, and any services corrected or reperformed by the Contractor shall be subject to this clause to the same extent as work initially performed.
If the Contractor fails or refuses to correct or reperform, the Contracting Officer may, by contract or otherwise, correct or replace with similar i
services and charge to the Contractor the cost occasioned to the Government thereby, or make an equitable adjustment in the contract price.
(d) If the Government does not require correction or reperformance, the Contracting Officer shall make an equitable
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adjustment in the contract price.
[End of Clause]
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'I Page 28 Section J f
i' PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS j
SECTION J - LIST OF ATTACHMENTS l
I l
J.1 ATTACHMENTS (MAR 1987)
Attachment Number Title 4 -
.I 1
-Billing Instructions
'f 2
NRC Contractor Organizational Conflicts of Interest j
3 NRC Hancbook 3.8 i
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l ATTACHMENT i l
12/17/91 BILLING INSTRUCTICNS FOR f
FIXED PRICE CONTRACTS I
The contractor shall prepare voucners or invoices as prescribea i
General: JAILURE TO SUBMIT VOUCHERS / INVOICES IN ACCORDANCE WIT INSTRUCTIONS WILL RESULT IN REJECTICN OF THE VOUCHER / I herein.
Claims shall be sucmitted on the payee's letterhead, Form:
voucner/ invoices, or on the Government's Standard Form 1034, "Public Voucner for Durchases anc Services Other than Personai," and Standard Form 1035, "Public Voucher for Purchases Other than Personal--Continuation Sheet."
710 North These forms are available from the US Government Printing Office, l
Capitoi Street, Washington, DC 20401.
An original and three copies shall be sucmitted.
Numoer of Cocies:
Failure to suomit all the recuired copies will result in rejection of the voucr.er/ invoice as improper.
i Vouchers / invoices snall be submitted to Desienated Acency Billino Office:
the following aedress:
US Nuclear Regulatory Commission Division of Contracts ana Property Management Contract Administration Branch, P-902 Washington, DC 20555 1
HAND-DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AN However, should you choose to deliver vouchers /
PROCESSING BY THE NRC.
invoices by hand, including delivery by any express mail service or special delivery service which uses a courier or other person to deliver the voucners/ invoices in person to the NRC, such vouchers / invoices must be adcressed to the above Designated Agency Billing Office and will only be j
accepted at the following location.
l US Nuclear Regulatory Commission l
One White Flint North - Mail Room 11555 Rockville Pike Rockville, MD 20852 l
HAND-CARRIED SUEMISSIONS WILL NOT BE ACCEPTED AT OT
+
l l
Note that the official receipt date for hand-delivered vouchers / invoices j
will be the date it is received by the official agency billing office in the 1
Division of Contracts and Property Management.
Payment will continue to be made by the office l
Acency Payment Office:
designatea in the contract in Block 13 of the Stancard Form 26 or Block 25 i
of the Stanaard Form 33, whichever is applicable.
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)
b Frecuency:
The contractor shall suomit a voucher or invoice only af ter the NRC's final acceptance of services renaereo or products delivered in pericrmance of the contract unless otherwise specified in the contract.
Preparation and Itemization of the Voucher / Invoice:
The voucher / invoice snall be prepared in ink or by typewriter (without strikeovers).
l Corrections or erasures must be initialec.
To be considered a proper l
voucner/ invoice, all of the following elements must be included:
j 1.
Contract numoer 2.
Seouential voucher / invoice numcer 3.
Date of voucner/ invoice 1
Oroject Officer's name and mail stop as designated in the contract.
i 5.
Oayee's name and address.
(Show the name of the contractor and its correct address.
In addition, when an assignment of funos has been ace by the contractor, or a different payee has been designated, 1
include the name ano aadress of the payee.)
Indicate the name and telephone numcer of the individual responsible for answering questions j
which the NRC may have regarding the voucher / invoice.
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6.
Cescription of articles or services, quantity, unit price, and total i
amount.
7.
Weight and rene of shipment, if shipped by parcel post.
1 8.
Charges for freight or express shipments.
Attached prepaid bill if shipped by freight or express.
9.
Instructions to consignee to notify the Contracting Officer of receipt of shipment.
10.
For Indefinite Delivery contracts or contracts under which progress i
payments are authori:ed, the final voucher / invoice shall be marked
" FINAL VOUCHER" or " FINAL INVOICE."
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Currency: Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be mace l
in that currency. However, the U.S. dollar equivalent for all vouchers / invoices paid under the contractor may not exceed the total US l
i dollars authorized in the contract.
l Supersession:
These instructions supersede any previous billing instructions.
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J ATTACHMENT 2 l
l NRC Organizational Conflicts of Interest l
l I.
Scope of policy.
A.
It is the policy of NRC to avoid, eliminate, or neutralize l
contractor organizational conflicts of interest.
The NRC achieves this l
objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by the NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.
B.
Contractor conflict of interest determinations cannot be made automatically or routinely. The application or sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied to satisfy the overall public interest.
It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve I
I all of the contractor conflict of interest situations which might arise.
However, examples are provided in these regulations to guide application of this policy ouidance. The ultimate test is as follows: Hight the contractor, if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?
C.
The conflict of interest rule contained in this subpart applies to contractors and offerors only.
Individuals or firms who have other relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of l
consulting services through the personnel appointment process, NRC agreements with other government agencies, international organizations, or state, local, or foreign governments. Separate procedures for avoiding conflicts of interest will be employed in these agreements, as appropriate.
II. Definitions.
A.
Affiliates metas business concerns which are affiliates of each other when either directl or indirectly one concern or individual controls or has the power to control inother, or when a third party controls or has the power to control both.
B.
Contract means any contractual agreement or other arrangement with the NRC except as provided in the section, " Scope of Policy," paragraph C.
C.
Contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants, or subcontractors,.which are a party to a contract with the NRC.
D.
Evaluation activities means any effort involving the appraisal of a technology, process, product, or policy.
t E.
Offeror or crosoective contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, or their affiliates or successors in interest, including their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.
F.
Oroanizational conflicts of interest means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which:
1.
Hay diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwise result in a biased work product; or 2.
Hay result in its being given an unfair competitive advantage.
G.
Potential conflict of interest means that a factual situation suggests that an actual conflict of interest may arise from award of a proposed contract. The tem ootential conflict of interest is used to signify those situations that (1) merit investigation before contract award to ascertain whether award would give rise to an actual conflict, or (2) must be reportad to the contracting officer for investigation if they arise during contract perfomance.
H.
Research means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
1.
Subcontractor means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for supplies and i
subcontracts in amounts not exceeding the small purchase threshold.
J.
Technical consultino and manacement succort services means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require that the contractor be given access to proprietary information or information that has not been made available to the public. These services-typically include assistance in the preparation of program plans, preliminary designs, j
specifications, or statements of work.
III. Criteria for recognizing contractor organizational conflicts of interest.
A.
General.
1.
Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:
a.
Are there conflicting roles which might bias an offeror's or contractor's judgment in relation to its work for the NRC7 2
~
i i
b.
May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?
2.
NRC's ultimate determination that organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships that might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering of advice, consultation or evaluation activities, or similar activities that directly lay the groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.
B.
Situations or relationships. The following situations or rel'ationships may give rise to organizational conflicts of interest:
1 The offeror or contractor shall disclose information that may give rise to organizational conflicts of interest under the following circumstances. The information may include the scope of work or specification for the requirement being performed, the period of performance, and the name and telephone numoer for a point of contact at the organization knowledgeable about the commercial contract.
a.
Where the offeror or contractor provides advice and reco::rnendation to the NRC in the same technical area where it is also providing consulting assistance to any organization regulated by the NRC.
b.
Where the offeror or contractor provides advice to the NRC on the same or similar matter on which it is also providing assistance to I
any organization regulated by the NRC.
4 1
c.
Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity.
)
d.
Where the award of a contract would result in placing the offeror or contractor in a conflicting role in which its judgment may be i
biased in relation to its work for the NRC, or would result in an unfair competitive advantage for the offeror or contractor.
2.
The contracting officer may request specific information from an offeror or contractor or may require special contract clauses in the following circumstances-a.
Where the offeror or contractor prepares specifications that are to be used in competitive procurements of products or services i
covered by the specifications.
b.
Wherk the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using the approaches or methodologies.
3 i
c.
Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs that could form the basis for a later procurement action.
d.
Where the offeror or contractor is granted access to proprietary information of its competitors.
e.
Where the award of a contract might result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or might result in an unfair competitive advantage for the offeror or contractor.
C.
Policy application cuidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
1.
The ABC Corp., in response to a Request For Proposal (RFP),
proposes to undertake certain analyses of a reactor component as called for in the RFP. The ABC Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the ABC Corp. advises that it is currently perfoming similar analyses for the reactor manufacturer.
Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp. because the company would be placed in a position in which its judgment could be biased in relationship to its work for the NRC.
Becaese there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
2.
The ABC Corp., in response to an RFP, proposes to perform certain analyses of a reactor component that is unique to one type of advanced reactor. As is the case with other technically qualified companies responding i
to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
Guidance. An NRC contract normally could be awarded to the ABC Corp.
because no conflict of interest exists which could motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work with the private sector that could create a conflict during the perfomance of the NRC contract.
For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
3.
The ABC Corp., in response to a competitive RFP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 10 CFR Part 20. ABC Corp. is the only firm determined to be technically acceptable. ABC Corp. has performed substantial work for regulated utilities in the past and is expected to 4
i
i continue similar efforts in the future. The work has and will cover the writing, implementation, and administration of compliance respiratory protection programs for nuclear power plants.
Guidance. This situation would place the firm in a role where its judgment could be biased in relationship to its work for the NRC. Because the nature of the required work is vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy in accordance with the section " Waiver" may be warranted. Any waiver must be fully documented in accordance with the waiver provisions of this policy, with particular attention to the establishment of protective mechanisms to guard against bias.
4.
The ABC Corp. submits a proposal for a new system to evaluate a specific reactor component's perfomance for the purpose of developing standards that are important to the NRC program. The ABC Corp. has advised the NRC that it intends to sell the new system to industry once its i
practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.
Guidance. A contract could be awarded to the ABC Corp. if the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless this infomation has been reported to the NRC. Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC to others to preclude an unfair competitive advantage. When the NRC furnishes information about the reactor component to the contractor for the performance of contracted work, the information may not be used in the contractor's private activities unless the information is generally available to others.
- Further, the contract will stipulate that the contractor will infom the NRC contracting officer of all situations in which the information, developed about the performance of the reactor component under the contract, is proposed to be used.
5.
The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features of the Appalachian fold belt.
In accordance with the rept esentation in the RFP and the section, " Criteria for Recognizing Organizational Conflicts of Interest," paragraph B.1 above, ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC study.
Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased.
Paragraph (c), " Work for Others," of the clause in Section I entitled " Contractor Organizational Conflicts of Interest" would preclude ABC Corp. froz. accepting work which could create a conflict of interest during the term of the NRC contract.
6.
AD Division of ABC Corp., in response to a RFP, submits a proposal to assist the NRC in the safety and environmental-review of applications for licenses for the construction, operation, and decommissioning of fuel cycle 5
facilities. ABC Corp. is divided into two separate and distinct divisions, AD and BC. The BC Division performs the same or similar services for industry.
The BC Division is currently providing the same or similar services, required under the NRC's contract, for an applicant or licensee.
Guidance. An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be placed in a position to pass judgment on work performed by the BC Division, which could bias its work for NRC. Further, the Conflict of Interest provisions apply to ABC Corp. and not to separate or distinct divisions within the company.
If no reasonable alternative exists, a waiver of the policy could be sought in accordance with section VII, " Waiver," below.
D.
Other considerations.
I.
The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant to a determination of the existence of conflicts prior to the award of a contract.
2.
It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
IV. Evaluation, findings, and contract award.
A.
The contracting officer shall evaluate all relevant facts submitted by an offeror, and other relevant information. After evaluating this information against the criteria in section III, " Criteria for Recognizing Contractor Organizational Conflicts of Interest," the contracting officer shall make a finding of whether organizational conflicts of interest exist with respect to a particular offeror.
If it has been determined that real or potential conflicts of interest exist, the contracting officer shall:
I.
Disqualify the offeror from award; 2.
Avoid or eliminate such conflicts by appropriate measures; or 3.
Award the contract in accordance with the section VII, the Waiver.
V.
Conflicts identified after award.
If potential organizational conflicts of interest are identified alter l
award with respect to a particular contractor, and the contracting officer determines that conflicts do exist and that it would not be in the best interest of the government to terminate the contract, the contracting officer shall take every reasonable action to avoid, eliminate, or after obtaining a waiver in accordance with section VII, " Waiver" below, neutralize the effects of the identified conflict.
6
VI. Subcontracts.
The contracting officer shall require offerors and contractors to submit a representation statement from all subcontractors (other than a supply subcontractor) and consultants performing services in excess of $10,000. The contracting officer shall require the contractor to include contract clauses in consultant agreements or subcontracts involving performance of work under a prime contract.
VII. Waiver.
A.
The contracting officer determines the need to seek a waiver for specific contract awards, with the advice and concurrence of the program office director and legal counsel. Upon the recommendation of the contracting officer, and after consultation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
B.
Waiver action is strictly limited to those situations in which:
1.
The work to be performed under contract is vital to the NRC program.
2.
The work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest.
t 3.
Contractual and/or technical review and supervision methods can be employed by the NRC to neutralize the conflict.
C..
For any waivers, the justification and approval documents must be placed in the NRC Public Document Room, 2120 L Street, NW. (Lower Level),
Washington, DC.
VIII. Remedies.
In addition to other remedies permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
7
9 lO Unciassified Contractor and Grantee Publications in the NUREG Series Directive (Formerly Q
MC 3202) mU
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Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8 i
1 l
Contents Policy................................................................
1 O bj ec t i ves............................................................
1 Organizational Responsibilities and Delegations of Authority..
2 Executive Director for Operations (EDO)................................
2 Deputy Executive Director for Nuclear Reactor Regulation.
Regional Operations and Research......................................
2 Deputy Executive Director for Nuclear Materials Safety, Safeguards.
a n d Op e ra tions S uppo rt...............................................
3 Direct ors of O ffi ces...................................................
3 Director, Office of Administration (ADM)................................
4 3
Director, Division of Freedom of Information and Publications y
Se rvi ces, AD M.....................................................
4 Director, Division of Contracts and Property Management, ADM............
5 A p p l i ca b ili ty..........................................................
5 E mpl oye e s........................................................
5 O t h er Publica t ions.................................................
5 i
Handbook...........................................................
5 R e fe ren ces.........................................................
5
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I i
1 c
Approved: April 23,1991 (Revised 6/17/91) i
/
U. S. Nuclear Regulatory Commission-
^
E E Volume: 3 Information Management i
/
Part 1:
Publications, Mail, and Information
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Disclosure ADM s
r d
Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 e
L Policy (3.8-01)
This directive and handbook govern the publishing of(1) unclassified l
NRC contractor, consultant or grantee formal reports, books, and j
international agreement reports, in the NUREG/CR, NUREG/GR, j
and NUREG/IA series; (2) reports and books by contractors of the l
U.S. Department of Energy (DOE); and (3) publications prepared for NRC under memoranda of understanding and interagency agreements.
Objectives i
(3.8-02)
To ensure the production and dissemination of information and publications as required by the Energy Reorganization Act of 1974 and the Freedom ofInformation Act. (a) t To ensure the technical and management reviews of formal reports and books prior to publication. (b)
To ensure that national security, patent rights, copyrights, proprietary rights, and rights in other sensitive unclassified -
)
information, including those specified in interagency and international agreements and memoranda of understanding, are not compromised by the release or publication ofinformation by NRC. (c)
To ensure that all unclassified NRC contractor or grantee publications in the NUREG series carry the' registered Govern-ment identification NUREG/CR-0000, NUREG/GR-0000, or NUREG/IA-0000, with the exception of some publications Approved: April 23.1991-(Revised 6/17/91) 1 i
i i
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8 Objectives (3.8-02) (continued) prepared by grantees, and indicate the availability of source material used in these publications. (d)
To ensure that NRC-sponsored book manuscripts receive proper peer review from experts within and outside NRC. (e)
To provide uniform procedures for publishing formal reports and e
books prepared by NRC contractors or grantees. (f)
Organizational Responsibilities and Delegations of Authority (3.8-03)
Executive Director for Operations (EDO)
(031)
Delegates to the Deputy Executive Directors for Operation decisionmaking authority for the resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored information in the open literature, and about permitting contractors to issue press or other media releases concerning NRC-sponsored information.
Deputy Executive Director for i
Nuclear Reactor Regulation, Regional Operations and Research (032)
As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, Office of Nuclear Regulatory Research. and Regional Offices:
When an Office Director refuses to publish an NRC-sponsored e
document because of irreconcilable differences between themselves and the author (s) about the contents of the i
document. (a)
When an Office Director refuses to permit a contractor's principal e
investigator to publish NRC-sponsored information in the open literature. (b) 2 (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 31 O
Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research i
(032) (continued)
When an Office Director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)
Deputy Executive Director for Nuclear Materials Safety, Safeguards.
and Operations Suppott i
(033)
As delegated from the EDO, makes final decisions in the following areas for the offices reporting to this officiah When an Office Director refuses to publish an NRC-sponsored j
document because of irreconcilable differences between themselves and the author (s) about the contents of the document.
i (a)
When an Office Director refuses to permit a contractor's principal investigator to publish NRC sponsored information in the open literature. (b) t When an Office Director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)
Directors of Oflices i
(034) t Ensure that publications will be reviewed in draft prior to final printing and distribution for acceptability by determining that they are consistent with agency policy, management decisions, and that they raise no significant legal issues. (a)
Ensure that statements of work include statements requiring i
contractor
- compliance with this directive and handbook and Government Printing and Binding Regulations. (b)
- Connact"in &s conicat encompues the *Starulard order for DOE W<n k"(NRC lerin 173). interagency and inierna and grants.
Approved: April 23.1991 (Revised 6/I7/91) 3
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8 Directors of Ofiices (034) (continued)
Sign, or delegate signature authority for, the NRC Form 426A,
" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports, and for memoranda requesting reprints of contractor publications. (c)
Director, Office of Administration (ADM)
(035)
As delegated from the Deputy Executive Director for Nuclear Materi-als Safety, Safeguards, and Operations Support, administers NRC's programs and policies for publishing unclassified contractor and grantee reports and books in the NUREG series.
Director, Division of Freedom of Information and Publications Services, ADM (036)
Develops and administers, as delegated from the Director, ADM, NRC's program and policies for publishing unclassified contractor, consultant, and grantee formal reports, books, and international agreement reports in the NUREG/CR, NUREG/GR, and j
NUREG/IA series. (a)
Applies the policy, procedures, standards, and guides for the docu-mentation, formatting, composition, printing, and dissemination of NRC-sponsored publications in the NUREG series consistent with the mission of the agency and in accordance with the require-ments of the Government Printing and Binding Regulationsissued by the Joint Committee on Printing, U.S. Congress. (b)
Develops and administers the central agency publication numbering system for identifying, producing, and retrieving unclassified NRC-sponsored publications in the NUREG series. (c)
Director, Division of Contracts and Property Management, ADM (037)
Ensures that those requests for proposals, imitations for bids, and grant proposals, and the ensuring contracts and grants that require 4
(Revised 6/17/91)
Approved: April 23,1991
~
+
Unclassified Contractor and Grantee i
Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8 l
l l
Director, Division of Contracts and I
Property Management, ADM i
(037) (continued) publications as deliverables, include provisions requiring contractor j
compliance with this directive and handbook and Gevernment i
Printing and Binding Regulations.
Applicability (3.8-04) l Employees (041) j This directive and handbook apply to and must be followed by all NRC
{
employees.
i Other Publications (042)
The provisions of this directive and handbook do not apply to NRC staff publications in the NUREG series. NRC docket material, or e
documents created by NRC boards, panels, advisozy committees, and i
offices that report to the Commission.
i Handbook l
(3.8-05)
Detailed guidelines for the preparation of publications are contained
)
in Handbook 3.8.
i 1
i References I
(3.8-06)
- 1. Executive Order 12291-Federal Regulation, February 17,1981.
4
- 2. Title 17, U.S. Code Copyrights.
f 1-
- 3. Government Printing and Binding Regulations, S. Pub.101-9, i
j February 1990.
I i
l l
Approved: April 23.1991 (Revised 6/17/91) 5
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8 References (3.8-06) (continued)
- 4. DOE-NRC Memorandum of Understanding, February 24,1978.
- 5. Title 44, U.S. Code, "Public Printing and Documents," Chapter 3 Government Printing Office.
- 6. U.S. Government Printing Office Style Manual,1984.
- 7. Energy Reorganization Act of 1974 (42 U.S.C. 5801, et seq.).
- 8. The Freedom of Information Act (5 U.S.C. 522).
- 9. Public 12w 95-224, The Federal Grant and Cooperative Agreement Act, February 3,1978.
t
- 10. Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations, OMB Circular A-110, July 1976.
- 11. Cost Principles for State and Loca! Governments, OMB Circular A-87, January 1981.
- 12. NUREG-0650. Revision 1, " Publishing Documents in the i
NUREG Series." November 1990.
i l
l i
6 (Revised 6/17/91)
Approved: April 23,1991
1
- o Unciassified Contractor and w
Grantee Publications in the NUREG Series i
i Handbook (Formerly Q
Appendix 3202) mU i
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Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Parts I - V r
t(
Contents I n t rod u c t i o n..........................................................
1 Part I Preparing Publication Requirements for Statements of Wo rk fo r Co n t ra cts..............................................
2 Specifying Publication Requirements (A)................................
2 Publishing Formal Reports (B)........................................
2 Publishing Unclassified Information in Open Literature and P res ent in g Pa pers (C)...............................................
4 Reports Containing Sensitive Unclassified and Classified I n fo rm a t i o n (D).......................................................
6 Conference and Workshop Proceedings (E)............................
7 Distribution of Reports to Contractors (F)............................
7 Coordinating Contractor Press or Other Media Releases of I n fo r m a t i o n (G ).....................................................
7 Part II Draft and Final NUREG Reports.............................
8 Identification Information (A)......................................... 8 N U R E G N u m be r ( 1 ).................................................
8 A u t hor N a m e s (2 )....................................................
8 Organizational Identifica tion (3)....................................
9 Previous R eports in Series (4)........................................
9 Report Dates (5).........
9 s
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Approved: April 23.1991 (Revised 6/17/91) i t.
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Parts I - V O
Contents (continued)
~
L Part II(continued)
Report Organization and Components (B).............................
9 Pre-Publication Reviews (C).........................................
10 Pa t e n t R eview ( 1 )...................................................
10 Se curi ty Review (2).................................................
10 Copyrigh t Review (3)..............................................
10 i
Color Prin ting (D)............................
11 M icro fich e (E)........................................
12 Disclaimer (F)..................
1
........................ 13 Availability Information (G)..........................................
13 Reference Availability (1)............................
13 R epo rt Ava il a b ili ty (2 )...............................................
14 orms@)..........................................................
14 i
I Bibliographic Data Sheet (NRC Form 335) (1)...............
1 14 i
Release to Publish Unclassified NRC Contractor, Consultant, or
.i Conference Proceedings Reports (NRC Form 426A) (2)....................
14 P ri'n t in g a n d Rep ri n t i n g (I)........................................... 15 Dis t ri b u t io n (J).....................................................
15 Part III International Agreement Reports.............................
16 Background and Rationale (A)......
16 Identification Information (B)......................................
i 16 ii (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Parts I - V r
(
Contents (continued)
Part III (continued)
Cove r a n d Ti tl e Pa ge (1 )..............................................
16 NRC R eport N um ber (2).............................................
16 Previous Reports in Series (3)..........................................
17 Report Organization and Components (C).............................
17 Availability Information (D)..........
17 References and Bibliographies (1).......................................
17 R eport Availa bility (2)..............................................
18 D i s cl a i m e r (E)........................................................
18 Fo r m s ( F)............................................................ 18
(
Bibliographic Data Sheet (NRC Form 335) (1)............................
18
(
Release to Publish Undassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Forrn 426A) (2)..................
19 Classified or Sensitive Unclassified Information (G)....................
19 1
Part IV Books............................................................20 D e fi n i t i o n ( A)........................................................ 2 Fo r m a t ( B )....................................................... 20 i
i N RC D ocu m e n t Nu m b er (C)........................................ 21 Availability of Reference Materials (D)................................. 21 Reviews (E)
......................................................... 22 Peer (1).......................................................
22
(
Copyright (2)...
............................................... 23 l
Approved: April 23.1991 (Revised 6/17/91) iii
Unclassified Contractor and Grantee
~
Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Parts I - V O:
Contents (continued)
Part IV (continued)
S e cu ri ty ( 3 )......................................................... 23 P a t e n t (4 )........................................................ 23 Publishing Authorization Form (F).................................... 23 Discla i m ers (G).....................................
23 Printing (H) 24 Distribution and Sales (1)..
......................................... 24 Part V i
Grant Publications..............
25 i
Background and Rationale (A).......
25 Publication of Results (B)....
25 Publication by NRC (1)..........
'5 Publication by a Grantee (2)
..................................... 25 i
L Open Literature Publication by Grantee (3)........................... 25 Reprints of Open Literature Publications (4)............................ 27 Identification of Grant Publications (C)............................. 27 Pre-Pu blicat ion Reviews (D)........................................ 27 G l o s s a ry.....................................................
2 8 Exhibits 1.
Form 426A. " Release to Pcblish Unclassified NRC Contractor.
Consultant. or Conference Proceedings Reports"......................... 32 2A. Form 335," Bibliographic Data Sheet"
.............33 2B. Form 335. " Instructions".......
~
..........34 i
3.
Microfiche Sheet Sample............
35 i
av (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure C'
(
Handbook 3.8 Introduction Introduction This handbook specifies the procedures necessary for Nuclear Regulatory Commission (NRC) contractors and grantees to follow when preparing the following kinds of publications for the NRC.
Final NUREG Reports e
International Agreement Reports Books e
Grant Publications e
The handbook is divided into five major parts and includes a glossary (q']
consideration in the preparation of statements of work. Parts II, III, and exhibits. Part I provides general information for staff IV, and V provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications.
Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a DOE facility or subcontractor, such as the National Laboratories, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations.
\\
This directive and handbook, as well as a copy of " Publishing Documentsin the NUREG Series"(NUREG-0650, Revision 1), must be included or referenced in all contracts, interagency and international agreements,and grants for which the publications listed above are contract deliverables or grant obligations. In addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part I.
l Approved: April 23,1991 (Revised 6/17/91) l 1
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3,8 Part I Part I Preparing Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)
List and describe the type of technical reports required from each project, task or subtask, as applicable. State when, how many, and to whom they should be submitted and the scope of information they should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to NRC Management Directive 12.2, NRC Information Security Program (formerly MC 2101).
This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/IA, and NUREG/GR series.
Publishing Formal Reports (s)
NUREG series reports will be printed and distributed by NRC from camera-ready copy submitted by the contractor to the Regulatory Publications Branch, MS P-223, U.S.
Nuclear Regulatory Commission, Washington, DC 20555. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the organization and format of formal reports are specified in " Publishing Documents in the NUREG Series" (NUREG-0650, Resision 1).
When the report contains sensitive unclassified or classified information, the contractor must comply with Management Directive 12.2, NRC Information Security Program (formerly MC 2101).
2 (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part I Publishing Formal Reports (a)(continued)
If a draft is desired prior to completion of a final report, specify in the statement of work (SOW) the due date for delivering the final camera-ready copy af:er receiving NRC or participant comments (if applicable) on the draft. State that all draft material be submitted to the cognizant NRC contact.
When the contractor is to submit draft material for comment prior to the preparation of the final repon, state that if there are NRC program or participant comments (if applicable), the contractor will be asked to make changes. If agreement on the changes is reached, the NRC contact will authorize the contractor to prepare the final copy and submit it to the NRC contact,ifit is a letter report or input to a Safety Evaluation Report or an Emironmental Statement, or to the Director, Division of Freedom of Information and Publications Services (DFIPS), ifit is a camera-ready copy for printing and distribution. This is to be done to ensure proper publication, handling, distribution and, among other things, to preclude further changes that might nullify the agreement.
If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany Form 426A (Exhibit 1) for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS.
If agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, th3 NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section II.F. below), any caveats deemed necessary to cover NRC objections. Such caveats may range from "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission to the addition of a preface setting forth the NRC -
opinion or footnotes at appropriate locations within the text.
If NRC objections cannot be covered in this manner, NRC car refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that laboratory should be informed by the NRC Office Director or Regional Administrator of the decision and the reasons therefor, with a copy to the 1.aboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the NRC contracting officer. The contractor is then free to publish the report without NRC i
Approved: April 23,1991 (Revised 6/17/91) 3
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part I Publishing Formal Reports (n)(continued) being identified as the funding sponsor of the report and without the NRC disclaimer. Office Director or designee decisions may be appealed to the appropriate Deputy Executive Director for Operations.
Publishing Unclassified Information in Open Literature and Presenting Papers (C)
Specify whether the contractor's principal investigator is permitted to publish in the open literature instead of submitting a final report and/or to present papers at public or association meetings during the course of the work. If that arrangement is authorized, add the following statement to the Statement of Work (SOW):
The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at' interim stages of the work.
If the NRC contact wants to review the paper orjournal article prior to presentation or submission for publication, state so in the SOW, as follows:
The principal investigator (s) may publish the results of f his work in the open literature instead ofsubmitting a final report and/or present papers at public or association meetings at interim stages of the work,if the article or paper has been reviewed by the NRC contact in draft form and agreement has been reached on the content, if the agreement is not reached, NRC may also require that the paper l
include in addition to the standard statement " Work supported by the l
U.S. Nuclear Regulatory Commission,"any caveats deemed necessary I
to cover NRC objections. If NRC objections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers.
In the latter case, NRC will inform the contractor of the decision, as stated above. The contractor is then free to publish without NRC being identified as the funding sponsor of the information. Office Director 4
(Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Informhtion Disclosure
~
Handbook 3.8 Part I t
Publishing Unclassified Inforrnation in Open Literature and Presenting Papers (C)(continued) or designee decisions may be appealed to the appropriate NRC Deputy Executive Director for Operations.
If the ( ontractor proposes to publish in the open literature or present the iniarmation at meetings in addition to submitting the required technical wports, approval of the proposed article or presentation should be obtained from the NRC. The NRC shall take one of the following actions: approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, the i
NRC may disapprove or delay presentation of papers on information that is subject to Commission approval that has not been ruled upon or which has been disapproved.
If the contractor requests permission to publish in the open literature even though the contract does not explicitly provide for this type of publication, the contract can be modified to provide for such presentations.
When the contractor submits journal articles for publication, each must be accompanied by the following statement:
The submitted manuscript has been authored by a contractor of I
the U.S. Government under Contract
- No.
. Aecordingly, the
-U.S.LGovernment has'a nonexclusive, royalty-free license to publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Government purposes..
All published papers and articles must include the following i
disclaimer:
This report was prerared as an account of work sponsored by an agency of the Unhed States Government. Neither the United States Government nor any agency thereof, or-any of their employees, makes 'any'. warranty, expressed : or implied, or assu mes any legalliability or responsibility for any third party's use or the results of heh use, of any information,' apparatus, prod uct or process dic ;losed in this report, or represents that its use by such thirt arty would not infringe privately owned rights. The views expressed in'this paper are not necessarily those of the U.S. Nuclear Regulatory Commission.
Approved: April 23.1991 (Revised 6/17/91) 5
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part I l
Publishing Unclassified Information in i
Open Literature and Presenting Papers (C)(continued)
Should the contractor be requested by the journal or other publisher to transfer the copyright, the contract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:
Dear (Copyright Holder's Name):
We recently received a document for signature assigning copyright and republication rights in the submitted article-(title) to.(name of publication). This letter is ofTered in lieu of 2 the document as a means of completing the transfer of ownership. Accordingly, we hereby expressly transfer and assign our rights of o vnership in the above-cited work to (name of publisher).
! You'are advised, however, that the above assignment and any publication or republication of the above-cited work is subject to the following Government rights:
The submitted manuscript has been authored by a contractor of the U.S. Government under Contract No.
' Accordingly, the U.s. Government _ has a nonexclusive, royalty-freelicense to publish or reproduce the published form of-this contribution,. or allow others to do so, for. U.S.
Government purposes.
Sincerely, If NRC approves open literature publication and page charges and travel costs are required for the presentation of papers, see Management Directive 3.10, NRC Contractor Unclassified Papers, Journal Articles, and Press or Other Media Releases on Regulatory and Technical Subjects (formerly MC 3206).
Reports Containing Sensitive Unclassified and Classified Information (D)
Examples of the proper marking of reports designated Official Use Only. Limited Official Use, Proprietary Information, Safeguards 6
(Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part I Reports Containing Sensitive Unclassified and Classified Information (D)(continued)
Information, and Classified (Confidential, Sectet, and Top Secret)are provided in Management Directive 12.2, NRC Information Security Program (formerly MC 2101).
Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC-sponsored or cosponsored meetings, conferences, and symposia, see Management Directive 3.11, Conferences and Conference Proceedings (formerly MC 3207).
Distribution of Reports to Contractors (F)
Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR, and NUREG/lA reports will be bulk shipped to the contractor by NRC. (Joint Committee on Printing's Goremment Printing and Binding Regulations permit contractors to receive up to 50 copies of reports they have produced for NRC free of charge.) If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A (Exhibit 1). Contractors requesting single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC contact may address such request (s), with written justification, to the NRC contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Regulatory Publications Branch, DFIPS, USNRC, Washington, DC 20555, and that distribution will be made along with the standard distribution.
Coordinating Contractor Press or Other Media Releases ofInformation (G)
A contractor may request permission to issue a press or other media release on the work being done.That request must be made to the NRC Office Diiector or designee, who will consult with the Public Affairs staff. The contractor must not issue a press release on nonroutine information without this prior approval. This approval may be obtained by a telephone call to the Office Director or designee to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.
Approved: April 23,1991 (Revised 6/17/91) 7
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part II Part II Draft and Final NUREG Reports Identification Information (A)
NUREG Number (1)
Each contractor report published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Services (DFIPS). To obtain an NRC report number, call the Regulatory Publications Branch, DFIPS, at FTS 49-27001 or (301)49-27001.
The NRC identification numbers will have one of the following forms-NUREG/CR-0000 NUREG/GR-0000 NUREG/IA-0000 where CR indicates contractor report, GR indicates grant report, and 1A indicates international agreement report. The contractor report number, if any, will be placed below the NUREG number on the title page and cover.
When a report consists of more than one volume or binding or isissued in more than one edition, an appropriate volume, number, supplement, part, addendum. or revision designation must appear immediately below the NRC report number and the contractor's report number,if any.
Author Names (2)
Authors' names routinely appear on the report cover and title page, unless doing so is impractica!, as for an annual report having many contributors. Editors or compilers with subject-area expertise may also be identified as such on the cover and title page. Author 8
(Revised 6/17/91) Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part II Identification Information (A)(continued)
Author Names (2)(continued) affiliations need not be listed unless the affiliation differs from the organization creating the report.
Organizational Identification (3)
The Regulatory Publications Branch, DFIPS, prepares the covers and title pages for all reports and will list information about the organization that created the report as it is provided.
Previous Reports in Series (4) i If the report being preparedis one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
Report Dates (5)
The report dates are shown on the title page. These dates include the month and year the report is completed, and the month and year it is -
published.
Report Organization and Components (B)
The organization and components of contractor reports vary somewhat, depending on their purpose and scope. Recommended format and organizational guidelines appear in " Publishing Documents in the NUREG Series"(NUREG-0650, Revision 1).
Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents. The abstract must also appear on the Bibliographic Data Sheet, NRC Form 335 (Exhibit 2A). The back of Form 335 contains instructions for completing the form (Exhibit 2B). G uidelines on the special writing requirements for preparing abstracts appears in i
Section 5.5 of NUREG-0650. Revision 1.
J Approved: April 23,1991 (Revised 6/17/91) 9
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part II Pre-Publication Reviews (C)
Patent Review (1)
Patent implications must be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported is contractually managed through another Government agency (e.g.,
DOE National Laboratories), that Government agency should be requested by the contractor to perform the patent review. The result of the review must be reported on NRC Form 426A under item 8 (Exhibit 1).
If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agency administering the contract, the responsible NRC contracting officer must be consulted, and the responsible NRC technical contact shall consider the patent implications. If there is no need for pa tent review beca use of the certainty that the report contains no description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Form 426A in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Assistant General Counsel for Administration, Office of the General Counsel, on FTS 49-21553 or (301)49-21553.
Security Review (2)
Should a report ofsensitive unclassified or classified work be required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking and handling these reports are given in Management Directive 12.2, NRC Information Security Program (formerly MC 2101).
Capyright Review (3)
Copyrighted material must not appear in NRC-sponsored publications without written permission from the copyright holder.
See NUREG-0650, Revision 1, Section 3.4, for information about obtaining copyright permission.
10 (Revised 6/17/91) Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part II O
Color Printing (o)
Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " Demonstrably valuable multicolor printing..." includes the following categories:
Maps and technical diagrams where additional color is necessary for clarity. (a)
Object identification (medical specimens, diseases, plants, flags, uniforms, etc.). (b)
Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)
Areas wherein clearly identifiable savings in costs can be soundly predicated on multicolor use. (d)
Printing for programs required by law, whose relative success or failure is in direct ratio to the degree of public response, and where p
that response can be logically attributable to the number of colors
(
planned and the mannerin which thcy are proposed to be used. (e)
Color for promotional or motivational purposes such as programs concerning public health, safety, consumer benefits: or to l
l encourage utilization of Government facilities such as programs for Social Security, Medicare, and certain areas of need for veterans would come within this category. (f)
The regulations indicate that the following categories do not meet the
" demonstrable value criteria.
Printed items wherein additional color is used primarily for decorative effect. (a)
Printed items where additional color is used primarily in lieu of effective layout and design. (b)
Printed items where additional color is used excessively, i.e., four colors when two or three will fulfill the need; three colors when two are adequate: two colors when one is adequate. (c)
Printed items wherein the inclusion of multicolor does not reflect careful, competent advanced planning which recognizes the contribution that the use of color is expected to make to the ultimate end-purpose. (d)
Approved: April 23,1991 (Revised 6/17/91) 11 1
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part II Color Printing (D)(continued)
If color printing is anticipated when the statement of work or Standard Order for DOE work is being prepared, contact the Regulatory Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared, submit a written justification for its use to the Director of DFIPS.
Microfiche (E)
NRC contractors and DOE Laboratories submitting microfiche with reports must submit a hard copy of each microfiche, include headers on each microfiche, as shown in Exhibit 3, and conform to the following NRC specifications.*
- 1. Microfiche must conform to either the 24/98 format for source documents with 14 columns and 7 rows (reduction ratio of 1:24) or the 48/270 format for computer output microfilm with 18 columns and 15 rows (reduction ratio of 1:48).
- 2. The microfiche sheet must be standard 105 mm x 148 mm.
- 3. The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid free envelopes.
- 4. The microfiche must contain headers as shown in the sample in Exhibit 3. Specifically, the first block of the header must contain the NUREG number (include volume or revision,if applicable),
the contractor identification number, and the classification (e.g.,
unclassified, proprietary). The second block must contain the description of the microfiche and mayinclude the contmcror name.
The third block must contain the publication da;e and sheet identification.
- 5. The header information must be eye readable on a clear background.
- 6. A foldout page must be microfilmed in sections if the page is too large to be microfilmed in a double frame. No less than 25 mm overlap of original material is aceptable.
- With the exception of items 3. 4 and 8. these s$necifications are consistent with the Amencan National " Stan Micrographics-Microfiche. ANSI!AllM MS5-198 " Copies of this Standard are availahlc from the Amencan Nationa!
Standards Institute. ATEN: sales Department.1430 Broadway.New York.NY MH8 (212)354-33m. or from the Association for Information and image Management. ATrN Pubhcations section.1100 Wayne Avenue. Silver spnng, MD 209]O (301)S98-8201 12 (Revised 6/17/91) Approved: April 23.1991
?
Unclassified Contractor and Grantee.
Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure p
Handbook 3.8 Part 11 Microfiche (e)(continued)
- 7. The first frame must be blank (on the first sheet only), and the second frame must contain the National Institute of Standards and Techncelogy's Reference Material resolution target in Microcopy Test Charts (NBS SRM 1010A).
(
- 8. Jacketed microfiche is unacceptable.
Disclaimer (F)
The following notice will be added by the Regulatory Publications Branch, DFIPS, before the printing process on the inside front cover:
This report was p;rpared as an account of work sponsored by m agency of the United States Government.Neither the United States Government norfany agency thereof, or any of their; employees, makes any warranty, expressed or ~ implied, or assumes any legal liability or responsibility forany third party's use, or the results of such use, of any information, apparatus, product or process disclosed in this report, or represents tha t its use by such third party would not infringe. privately owned
. rights.
The following additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed.
Availability Information (G) i Reference Availability (1)
Reports or other documents referenced in text, reference sections,
)
bibliographies, and appendixes of unclassified regulatory and
{
technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Senice (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be made to personal communications and inteniews, unpublished information and information with restricted distribution (e.g.,
b Approved: April 23,1991 (Revised 6/17/91) 13
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part II Availability Information (G)(continued) proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to indisiduals, they can be mentioned in the text or in an acknowledgement section. Availability may be stated collectively for all entries.
Guidelines for developing and presenting reference material are prosided in NUREG-0650, Resision 1.
Report Availability (2)
Most final reports are sold by the GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Regulatory Publications Branch, DFIPS, before the report is printed.
Draft reports for which comments are requested are typically announced in the Fedeml Register as being available from the NRC.
These reports are not sold at GPO or at NTI';.
Forms (n)
Bibliographic Data Sheet (NRC Form 335)(1)
All published NRC reports must include an NRC Form 335 as the final right-hand page of the manuscript. Instructions for completing the form appear on the back of the form. A completed Form 335 must be submitted to the Regulatory Publications Branch, DFIPS, with the camera-ready copy of the report. Exhibit 2A shows a completed Form 335.
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
The NRC contact must submit a completed NRC Form 426A (Exhibit 1) with the camera-ready copy of the report to the Regulatory Publications Branch. DFIPS. NRC Form 426A must be signed by the i
staff member designated by the appropriate Office Director.
14 (Revised 6/17/91) Approved:. April 23,1991
\\
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part H Printing and Reprinting (I)
The Regulatory Publications Branch, DFIPS, will review the camera-ready report submitted for printing for its adherence to the standards and requirements se t forth in this directive and handbook, as well as any relevant guidelines from NUREG-0650, Revision -1.
Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action.
Submit a memorandum requesting a reprint to the Director, DFIPS, for approval. Include with the request a written justification and the approval of tne Office Director of designee for reprinting. Send address labels for recipients of the reprinted copies,if appropriate.
Distribution (>>
Distribution arrangements will be made by the Regulatory Publications Branch, DFIPS, for all copies of unclassified formal contractor reportsin accordance with instructions on NRC Form 426A (Exhibit 1). The Regulatory Publications Branch, DFIPS, will also arrange automatic distribution of these reports to the NRC NUDOCS, the NRC PDR, NTIS, GPO, and the Depository Library Ser ice.
Distribution of sensitive unclassified and classified reports will be made by the NRC sponsoring office on a case-by-case basis.
i I
I f
J t
)
i
[
f 1
Approved: April 23.1991 - (Revised 6/17/91) i 15-
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part III Part III International Agreement Reports Background and Rationale (A)
NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.
industry.
These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in 42 U.S.C. 5801. To this end, international and U.S.
industry agreements have been signed that provide for transmitting unclassified technical information from foreign participants to NRC.
These procedures apply only to NRC-managed work.
The interests of all NRC international nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC.
Identification Information (s)
Cover and Title Page (1)
These will contain a title, subtitle (if appropriate), authors, performing organization, and NRC office sponsoring the project. The cover and title page will be prepared by the Regulatory Publications Branch, I
DFIPS.
NR ' Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized document control system for unique identification is maintained by DFIPS. Numbers may be obtained by calling Regulatory Publications Branch at FTS 49-24954 or (301)49-24954.
The NRC identification number will have the form:
. NUREG/IA-0000 i
16 (Revised 6/17/91) Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Infortnation Disclosure llamibook 3.8 Part III Identification Information (n)(continued)
NRC Report Number (2)(continued) where IA indicates " international agreement." The foreign participant's report number, if any, may be inserted below the NUREG number on the cover,if desired.
When a report consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear below the report number and the foreign participant's report number, if any.
j Previous Reports in Series (3)
[,
1 If the report being prepared is one in an ongoing series, list all previous.
reports in the series. Include report numbers and issuance dates. Place j
this list on the back of the title page.
~
Report Organization and Components (C)
The organization and components of cooperative agreement reports
[
vary somewhat, depending on their purpose and scope. Each of these j
reports must include an abstract of 200 words or less that appears on a separate page before the table of ccmtents. The abstract must also appear on the Bibliographic Data Sheet, Form 335 (Exhibit 2A).
Instructions for completing the form appear on the back (Exhibit 2B).
Guidance on the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Revision 1.
j Availability Information (o) r References and Bibliographies (1) i Reports'or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (asin a public library, at GPO, at NTIS, or at otner reference or sales outlets) or in the NRC PDR.
This means that references should not be made to personal communications -interviews, and unpublished information with restricted distribution (e.g., proprietary, national security, official use -
only). If the unretrievable information is important and unrestricted,it i
Approved: April 23,1991 (Revised 6/17/91)
_17 j
h N
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure llandbook 3.8 Part III 1
Availability Information (D)(continued)
References and Bibliographies (1)(continued) can be quotedin the text,in footnotes, orin appendixes. If the title of a document containing proprietary information is unclassified, it can also be quoted in the text,in a footnote, or in appendixes. If credit is due to indisiduals, they can be mentioned in the text or in an acknowledgement section. Availability may be stated collectively for all entries. Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1.
Report Availability (2)
These reports will be made available for sale by GPO and NTIS.
Disclaimer (E)
The following notice will be added by the Regulatory Publications Branch, DFIPS, on the inside front cover prior to printing.
NOTICE.
This report was prepared under an international cooperative agreement for the exchange of technical information. Neither the United States Government nor any agency thereof, or any of their employees, ma kes any warra n ty, expressed or implied, or assu mes any legal liability or responsibility for any third party's use, or t he results of such use, of any information, apparatus, product, or process disclosed in this report, or represents that its use by.such -
third party would not infringe privately mvned rights.
Forms (F)
Bibliographic Data Sheet (NRC Form 335) (1)
A typed NRC Form 335 (Exhibit 2A) must be submitted with the camera ready copy to the Regulatory Publications Branch, DFfPS, as the final right-hand page.
18 (Revised 6/17/91) Approved: April 23,1991
Unclassilsed Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Inforrnation Disclosure llamthook 3.8 Part 111 Forms (F)(continued)
Release to Publish Unclassined NRC Contractor, Consultant, or I
Conference Proceedings Reports (NRC Form 426A) (2)
An NRC Form 426A (Exhibit 1) must be completed and signed by the Office Director or designee and submitted with the camera-ready copy of the report to the Regulatory Publications Branch, DFIPS.
Classified or Sensitive Unclassified Information (G)
The NRC contact should refer to Management Directive 12.2, NRC Information Security Program (formerly MC 2101), or call the Division of Security for answers to questions about the status of classified or sensitive unclassified information in NUREG/IA reports.
\\.
4 Approved: April 23,1991 (Revised 6/17/91) 19
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Infortnation Disclosure Handbook 3.8 Part IV Part IV Books These guidelines apply to books written by contractors and grantees that are printed by NRC. See Section V below for guidance on publications, including books, by grantees.
Definition (A)
A book refers to a publication intended as a permanent reference or as a textbook or major critical review of a technical or regulatory topic.
Format (B) h Books are usually 6 x 9 inches in trim size, but size will be based on such requirements as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Government Printing Office S.yle Manual and in The Chicago Manual ofStyle (13th edition). Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1).
l The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Regulatory Publications Branch, DFIPS, where it will be reviewed for adherence to the standards set forth and referenced in this directive and handbook. The manuscript will also undergo a printing acceptability review by the Printing, Audiovisual, and Mail Services Branch, DFIPS.
Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contracting officer or,in the case of Government agency or interagency agreement work, the publications manager of the performing organization.
~
O 20 (Revised 6/17/91) Approved: April 23,1991
1 Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part IV 3
Format (a)(continued)
DFIPS will approve design of the cover and title page to contain the appropriate information concerning:
(1) author names (s)
(2) organizationalidentification (3) public availability and sales.
All books must include a comprehensive subject index of the book's contents, unless it is made up almost exclusively of graphical or tabular matter. See NUREG-0650, Revision 1, or The Chicago ManualofStyle (13th ed.) for guidelines on creating an index.
NRC Document Number (c)
Each book must be identified by an NRC-controlled alphanumeric code unique to that book. The alphanumeric code will have the form:
NUREG/CR for contractor-prepared books and NUREG/GR for grantee. prepared books.
When a book consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number,-
supplement, part, addendum, or revision designation must appear
{
directly below the document number.
Numbers are assigned by the Regulatory Publications Branch, DFIPS.
The number may be obtained in advance of the time that the manuscript is submitted to DFIPS for printing by calling the Regulatory Publications Branch at FTS 49-24954 or (301)49-24954.
The DFIPS staff will arrange to meet with the NRC contact for the project and when appropriate, the author (s), to discuss the publication production requirements and schedule for the book.
Availability of Reference Materials (n)
The guidelines for availability of reference material applicable in Section ll.G. of this handbook also apply to contractor-prepared and grantee-prepared books published by NRC.
Approved: April 23,1991 (Revised 6/17/91) 21
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Inforrnation Disclosure Handbook 3.8 Part IV Reviews (E)
Peer (1)
NRC published books must undergo peer review from experts within and outside NRC. Peer resiew refers to a critical evaluation of the technical contents of a publication. These reviews may be conducted anonymously by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript.
Reviewers should be chosen by the NRC Office sponsoring the book from the potential audience for the publication and should provide an independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from academia, the National Laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, ANSI subcommittees, and the like. Do not choose more than one reviewer from the same organization.
When assessing potential peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the judgement, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of information reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultants to licensees nor reviewers from intenenor groups. Likewise, do not choose resiewers who may profit financially from influencing the information reviewed.
The services of reviewers from outside the agency may be acquired through consultant senices contracts. The decision as to whether to reimburse peer reviewers should be made on a case-by-case basis, however. Recognize that reimbursing peer reviewers may give the appearance of a conflict ofinterest, suggesting to some that because 1
NRC is paying for this senice, the agency will seek only reviewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers
,i from independent organizations, like the American Physics Society, Ol i
l 22 (Revised 6/17/91)
Approved: April 23,1991
t Unclassified Contractor and Grantee Publications in the NUREG Series' Part 1 - Publications, Mail, and Inforrnation Disclosure l
Ilandbook 3.8 Part IV l
Reviews (E)(continued)
Peer (1) (continued)
{
the American Nuclear Society, the American Society of Mechanical l
Engineers, or appropriate universities. Reimbursement could then be j
made to the organization.
l Copyright (2)
Copyrighted material must not be reproduced in NRC books without
[
the written permission of the copyright holder. See NUREG-0650, i
Revision 1, Section 3.4, for information about obtaining copyright l
permission.
r security (3)
Based on knowledge of the information sources used, the author is l
responsible for ensuring that the manuscript does not contain classified or other access-controlled information. If ther-is uncertainty with respect to the security classification of a reference j
document or manuscript, an authorized classifier or the NRC Division of Security should be contacted for assistance. See also Management Directive 12.2. NRC Information Security Program (formerly.
MC 2101)..
Patent (4) l The patent-review guidelines for draft and final. formal reports specifiedin Section II.C of this handbook also apply to contractor-and grantee-prepared books.
Publishing Authorization Form (F)
A completed NRC Form 426A (Exhibit 1), signed by the Office Director or designees or by a DOE National Laboratory-authorized j
ofncial if the publication is done for the Office of Nuclear Regulatory j
Research, if applicable, must be submitted to DFIPS with the book i
manusenpt.
Disclaimers (G)
The following standard U.S. Government notice will be added prior to printing:
Approved: April 23,1991 (Revised 6/17/91)
-23
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Inforntation Disclosure Handbook 3.8 Part IV Disclairners (c)(continued)
E This docu ment was prepared 'as an account ofivork sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their em ployees, n akes any warranty, exp ressed cr implied, or assumes any legal liability.or responsibility for any third party's use, or the results of such use, of any information, apparatus, product, or process disclosed in this document, or represents that its use bysuch third partywould not infringe privately owned rights.
The following additional statement may be printed below the standard disclaimer,if authorized by the NRC Office Director or designee.
This document was prepared under U.S. Nuslear' Regulatory Commission (NRC) Contract No.
. -The opinions,.
findings, conclusions, and recommendations expressed hereini are those of the author (s) and do r of necessarily reflect the.
views of the NRC.
Other qualifying statements may be added, if needed.
Printing (H)
Book manuscripts must be submitted by DFIPS to GPO for printing.
The printing cycle requires from 6 to 8 weeks.
Distribution and Sales (i)
Distribution will be arranged by the DFIPS staffin accordance with distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibit 1).
Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter bears directly on their work at or for NRC.
DFIPS will arrange to make the book available for sale through GPO.
DFIPS will also arrange to have it made available at the NRC PDR and the GPO Depository Library Program.
O 24 (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part V Part V Grant Publications 1
Background and Rationale (A)
The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions, State and local Governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended, Sections 31.a. and 141.b.
Publication of Results (n)
The grant will specify the publication requirements of the award, Grant results may be published by NRC, by the grantee, or in the open literature.
Publication by NRC (1) l This publication option must be governed by the guidelines specified in Part I of this handbook for reports orin Part III of this handbook for books, as appropriate. See Identification of Grant Publications in the paragraphs under V.C.
Publication by a Grantee (2)
When the grant specifies that the grantee is to publish the results, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.
Open Literature Publication by Grantee G)
When the grantee submits journal articles for publication, each must be accompanied by the following statement:
Approved: April 23,1991 (Revised 6/17/91) 25
Unclassified Contractor and Grantee l
Publications in the NUREG Series l
Part 1 - Publications, Mail, and Infortnation Disclosure Handbook 3.8 Part V Publication of ReSultS (B)(continued)
Open Literature Publication by Grantee (3)(continued)
The submitted manuscript has been authored by a grantee of the U.S. Government under Grant No.
. Accordingly,-
the U.S. Governmen t has a nonexclusive, royalty-free license to publish or reproduce the published form of this contribution -
or allow others to do so, for U.S. Government purposes.
1 All open literature publications prepared under this grant must contain the following statement:
This paper was prepared with the support of the U.S. Nuclear Regulatory Commission (NRC) under Grant No.
.The-
- opinions. findings, conclusions, and ' recommendations expressed herein are' those of the author (s): and do not -
necessarily reflect the views of the NRC.
O Should the grantee be requested by the journal or other publisher to transfer the copyright, the grantee author will respond to the journal or other publisher in writmg in accord with the sample letter shown as follows:
' Dear'(Publisher's Name)f We recently received a document for. signature assigning copyright and republication rights in the submitted article (title) to (name of publication). This letteris offered in lieu of the document as a means; of completing the transfer of ownership. Accordingly,swe hereby expressly transfer and assign our rights of mvnership in the above-cited work to (name of publishcr).
You are advised, however,'that:the above assignment and any publication or republication of the above-cited work is su bject to the following Government rights:
The submitted manuscript has been authored by a gremtec of the U.S.~
Government under grant No.
. Accordingly, the U.S.
Government has~a nonexclusive, royalty-free' license to' publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Government purposes.
Sincerely, 4
26 (Revised 6/17/91)
Approved: April 23.1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part I - Publications, Mail, and Information Disclosure llandbook 3.8 Part_Y l
l Publication of Results (n)(continued)
^
)
Reprints of Open Literature Publications (4) i When any article resulting from work under the grant is published in a f
scientific, technical, or professional journal, two reprints of the publication must be sent to the cognizant NRC Program Officer, i
clearly labeled with the grant number and other appropriate identifying information.
Identification of Grant Publications (c)
Each report or book published by NRC that results from a grant must be identified by an alphanumeric number, as follows:
NUREG/GR-0000 When the publication consists of more than one volume, number, t
i supplement, part, or binding, or is issued in more than one edition, an 4
appropriate volume, supplement, part, or revision designation must 9
appear below the NUREG/GR mimber.
j Numbers may be obtained from the Regulatory Publications Branch at FTS 49-24954 or (301)49-24954.
Pre-Publication Reviews (o)
I The U.S. Congress characterizes the relationship between a Federal agency and a grant recipient as one in which "the recipient can expect
{
to run the project without agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the instrument...."
4 4
2 l
k i
Approved: April 23,1991 (Revised 6/17/91) 27
~
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Glossarv Glossary
- Book. Apublication intended as a permanent reference or textbook or as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound.
Camera-ready copy. Pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
Casebound. Term denoting a book with a hard cover.
Compose. To arrange letters, in type or film, for printing. Usually synonymous with typesetting.
Composition. The process of setting type by hot-metal casting, phototypesetting. or electronic character generating devices (e.g.,
computers) for the purpose of producing camera copy, negatives, a plate, or image to be used in the production of printing or microform.
Contractor report. Record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
Copyright. A form of protection provided by the laws of the United States (Tide 17, U.S. Code), to the authors of" original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Copyrighted material may not be reproduced without the permission of the author or publisher.
Disseminate. To announce the publication of reports and make them available for free distribution. sale, or copying.
words in wies m derimtions are also defined in the sk*sary.
28 (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor an'd Grantee
+
Publications in the NUREG Series 1
Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Glossary l
i Glossary ( ontinued) c Distribute. To dispense reports to specific organizations and i
individuals to ensure their participation in the regulatory process j
and support of research and technological investigations. Such distribution may be accomplished by the use of standard distribution data banks established and maintained by the Division 1
L of Information Support Senices, Office ofInformation Resources i
Management, at the request of the originating office or region.
Documentation. Classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract.
number (or FIN number), date, and availability.
Edition. All copies of a book printed from the same type. Edition also i
refers to format, such aspaperback, casebound, or to the text, as ~
i revised, expanded, and so on. If extensive revisions have been
-l made to the text and the book is reprinted, the revised version is the j
new edition.
Grant. Alegalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, senices or anything of value to the recipient for the j
accomplishment of a public purpose of support or stimulation authorized by law. A grant presumes a limited amount of l
involvement by the agency in the performance by the recipient.
Grant Report. A record of work done prepared in accordance with the provisions of grant.
Index. An alphabeticallist of all major topics discussed in a book. It cites the page numbers where each topic can be found. The index comes as the last section of a book.
i i
International a;;reement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized.
under 42 U.S.C. 5801, includes monetary contributions, i
information exchanges, and comments on program plans and j
results.
J International agreement report. A record of work done prepared in l
accordance with the provisions of an intcmational agreement.
j t
.I Approved: April 23.1991 (Revised 6/17/91) 29
[
l Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure lInndbook 3.8 Glossarv Glossary (cominued)
Manuscript. A handwTitten, typewTitten, or composed version of a document, as distinguished from a printed copy.
NRC project manager. The NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.
Paperback. A book with a flexible paper cover.
Peer review. A critical evaluation of the technical centents of a publication. These reviews are conducted by reviewers from the author's own or a related field who are totallyindependent of the work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should provide an i
independent judgment about whether the publication successfully accomplishes the author's aims.
Photocomposition. Typesetting performed when photosensitive paper or film is exposed to light in the form of letters and characters.
Photocomposition is to be distinguished from hot metal and typewriter composition.
Printing. As defined by the Joint Committee on Printing, includes and
}
applies to the process of composition, platemaking, presswork, l
collating, and microform; the equipment used in such processes; or the end product produced by such processes and equipment.
Proprietary information. Trade secrets; privileged or confidential research, development, commercial or financial information, exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
i Public domain. Materials on which copyright never existed, such as j
U.S. Government publications, or on which copyright has expired.
Publicly available documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in the public domain.
O l
30 (Revised 6/17/91)
Approved: April 23.1991 l
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Glossarv Glossary (continued)
Reproducible masters. Camera-ready copy that includes (1) originals ofline drawings (or prints tt can be copied); (2) glossy prints of black and white photogra as: (3) original typeset or printed text, tables. cover, title page, cc.itents, and abstract; or (4) other forms of the materials that a printer can reproduce.
Trim size. The fimal size of the whole page, margins included.
Typesetting. The placement of type on a page (letters, numbers, and otner characters) in conformance with specific style and layout instructions.
/
Unique identification. NRCidentifica tion (NUREG number) used on a report and its attachments, revisions, and supplements, that is not i
used on any other publication.
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Approved: April 23,1991 (Revised 6/17/91) 31
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Unclassified Contractor and Grantee Publications in the NUREG Series
~
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Approved: April 23.1991
Unclassified Cowmv and Grantee 4
Publications in the NUREG Series a
Part 1 - Publications, Mail, and Information Disclosure l
Handbook 3.8 Exhibits
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DIBLIOGf1APHIC DATA SHEET
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NUREG/CR-5603 EGG-2607 Pressure-Dependent Fragilities for Piping Components :
Pilot Study on Davis-Besse Nuclear Power Station 3
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27401 Los Altos, Suite 480 Idaho National Engi ering aboratory i
1 Mission Viejo, CA 92691 EG&G Idaho, Irc.
Idahc Falls 5
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l Division of Safety Issue Resolution 1
Office of Nuclear Regulatory Research U.S. Regulatory Ecmission Washington. D.C. 20555 io, su.etaus us..v oin s
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The capacities of four, lp#Prqssu fl ys ms t wi stand pressures and tempera-tures above the design evels wer. ettab df the avis-Besse Nuclear Power Stat-ion. The results will e used in luat g.he p bability of plant damage from Inter-facing System Loss of C lant den t (I O part of the probabilistic risk as-sessment of the Davis-Ses cluded in this pe luation% nucl'e wer s ti undertaken by EG&G Idaho, Inc.
In-a the hea exchangers, filters, pumps, valves, and flanged conneptions 3r each tem. T abilities of failure, as a function of in-ternal pressu e, are es uated l>$ wel s
e variabilities associated with them. Leat rates or leak real;.re e nated or the controlling modes of failure. The pressure capacities for he and ssel., ar6 evaluated using limit-state analyses for the various failure mode o idere.
The capacities are dependent on several factors, in-clu_'.,
e matert 1 p erties, ieted-flance connections, valves, anJ pumps do not lene eling assumptions, and the postulated failure cri-rr t
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Th failure moces f (s
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h(b Ph 4(.i Approved: April 23. ;991 (Revised 6/17/91) 33
Unclassified Contractor and Grantee Publications in the NUREG Series e
Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Exhibits Exhibit 2B DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT e
INSTRUCTIONS NRC FORM 335 BIBLIOGRAPHIC CATA SHEET,45 BASED ON CutDELINES FOR 7ORMAT AND PRCDUCTION OF SCIENTIFIC AND TECHNICAL REPCRTS, ANSI 239.18-1987 AVAILABLE FRONI AMERICAN NATIONAL STANDARDS INSTITUTE 1430 BROADWAY, NEW YORK. NY 10018. EACH SEPARATELY BOUND REPORT-FCR E XAMFLE, E ACH VOLUME IN A MULTIVOLUME SET-SHALL HAVE ITS UNIQUE BIBLIOGRAPHIC DATA SHEET.
- 1. REPORT NUMBER. Each inttividually bound report must
- 8. PERFORMING ORGANIZATION,AHAtt ND WAtLING carry a unious a$hanurrene designation (NUREG) assegned ADDRESS. Ghe narre, streety.: sty, sta., and ZIP code.
by the Reguistory Publicat ons Bron:t. DMs60m of Freedom i
i of Informenon and Publications Servius, M accordance with List no more than two levelpf an orpe66:suonal beerarchy, Displey the name of stupreamatieg ena,h foteows:
Arnarican National Stanaterd ANSI 239.23-1983, Stande e DMsion, Office, Organteste or Govetry6ent e
y, and Technscal Report Number (STRN). Use uppercase letters, achsress.
Arsolc numerals, sleses, and hyphens caly, as in the foenos.
6ng eammpass: NUREG4100. NUREG/CP 0010, NUREGI
- 9. SPONSORING ORGANIZATION.
NRC tv
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- as CR4100, and NUREG4RC010. For reports in e series adtf atsove"; if ca9 tractor, provide NRC Dewhinn, Of f ace
- Reyeart, Vol., Sua., Rev.. and Adoendum, when necessary. Add U.S. Nucle Testatory Commisuon, and me:s mod ess, c+estractor cross <eterence identification numter lif eny)
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below NUREG-series number, e.g., PNL.XXXX, SANDXX.
- 10. SUPPLE E NTARYWOTES. Enter inform *t ti ord X XX X, S Al-XXXX.
elsewhere '
useful, skh as: Prepared in coopera with...
Presented at s terena o. To 44 pythteed.s. Docket No.
- 2. TITLE AND SUBTITLE. Title shinald indicate clearly and brirfly the out$ect (cowwegel of the reoart; inchsdeng arty subtstk to the main th3e. VWhen a report is prepared in enore R
ACT. Moe f GOD 9 or M fM m than one volume, repeat the girimary title, add volume numte arid include subtitle for the specific volume. Use upper Itw rm Uk t into suon tened m W lower case letters, but capitaide computer code names. De if thp/ report contee 44gnificans bibt:03 aphy or liteisture s,/vey or multip)e volumes, mentson 4: tuva. Abstract not use e-conyms e us inetistisms in intes; may be aed in Datenthesis.
le to be W author or prW meroper.
8 12.
EY WO QS/DESCRIPTORS. Select from the Erwrgy Date
- 3. DATE REPORT PUBLISHED. Each report must arry a date B'ay Subject \\ Thesaurus. DOE / TIC 700R R 5, the proper indicatir's month and year putslished, authbrlzad terr $ that identify the er.aior corcept of the renaarc and are suffriently specific and precese to be used 4.
.he FIN or at mter Unger which report was propered.
AVA ClLITY STATE MENT. Denote public seitassbihty, r
ample "unismiles", or limitation for reasons other 5.
AUTHORIS). Geve nameh) in conven nel ore
., John I
secunty.
R. Doe J. Robert Docht.ist author's othketion if is er-eat from t%e perforvrpg Iretion.
1 SECURITY CLASStFICATION. Enter U.S. Secunty Classifi.
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cat.on in accordance evith U.S. $ecurity Regulations fie.,
TYPE OF REPOR% Sta gaft, fa prel rni
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technical, regulatory, annual, rterty, e
- 15. NUMBE R DF PACES. Leeve bisnk, {Act: sed uy NTi$)
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l 34 (Revised 6/17/91)
Approved: April 23,1991 l
J
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Unclassified Contractor and Grantee Publications in the NUREG Series j
Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Exhibits
!O Exhibit 3 i
MICROFICHE SHEET SAMPLE 1
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52.219-12. SPECIJJ 3 (a) SUBCCNTRAC ~ CONDITIONS-(.EB 1990)
(a)
The Small Business Administraticn (SBA) has entered._
MO.TicMf'!.R.f.6F/tfW. b C; M -95.291..... wi+A-into Centrace No NF tha
- to furnish the supplies or services as descrlhed there.in.
A copy of the centrac= is attacned heretc.
and =ade a part-hereof.
(b)
The #f7t"W/Ftt#.9'L/9., hereafter referred to as the_
succentracter, agrees ar.d ackntwledges as follows:
(1)
That-it. Will, fc:t and cn behalf. of the SEA,.
fulfdll_and "erfor= all of the recuirements of Centracc No. h.C;M.".3;[2Fl... f or the censideration stated therein and that:it has. read.and.is familiar with_each and every par = of the centract..
(2)
That.tha. SEA ha'.% delegated responsibility, eaPC fc= novation agreements:and:advancespay==ne,._ for-ther ac4m4 n 4 ntratien of-this: subc.w
_to-ther. Of R M with-ce=plete authority.to take any action en behalf of the.
Govern =ent under-the ter=s and conditions of this suteentract.
(3)
That it will not succentract the perter =ance of any of the requirements of this suteentract to any icwer tier subcentract without the prior written approval of the SEA and the desicrnated Centracting Officer of the
...u.t2.c............'.......
(4)
That it will notify the (insert name of A/s? C centr?cting agency) Contracting Officer in writing i= ediately upon entering an agreement (either oral or written) to transfer all or part of its stcck or other cwnership interest to any other party.
(c)
Fayments, including any progress payments under this suteentract, will be made directl by s e. lJ. R..L........................ y to th e s ub c entra cte r (End cf clause)
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