ML20055C523
| ML20055C523 | |
| Person / Time | |
|---|---|
| Issue date: | 05/04/1990 |
| From: | Baker L, Yoarrondo L NRC OFFICE OF ADMINISTRATION (ADM), SCIENTECH, INC. |
| To: | |
| Shared Package | |
| ML20055C522 | List: |
| References | |
| CON-FIN-L-12460, CON-NRC-04-90-056, CON-NRC-4-90-56 NUDOCS 9005240283 | |
| Download: ML20055C523 (157) | |
Text
llDI b L AWARD / CONTRACT
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US Small-Business Administration Boise District-Office 1020. Main, Suite 290 y
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-Boise,. Idaho 83702 F. N AME ANO dQORE55 OF CON T R AC TOR r.%e.. screes, city, counev, or.ase ena <.Jt' Cuari 8.OELnERv I
c S'clentech, Inc.
CFC5 ORIGIN
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US Nuclear Regulatory Commission Division of Accounting & Finance _ GOV /COM SectiQ See Section F.5 of Prime Contract Washington, DC 20555
- 13. AcTHoniTv 80R v54NO~d*-r R TN AN FULL AND Opdr(CNDi~ 14. ACCovNTING ANO AppROPRi ATiON OAT A I
l-TION:
@ o u s e :53tcH s5 i
See Prime Contract to u.s C :so.nen 1
15A. ITEM NC,
'!S SUPPLIES / SERVICES i
15C. QUANTITY 150 GNITI 15E. UNIT calCE I
'58 AMOUNT fServicestoperformverificationand validation ass essment of COBRA-SFS and
! Hydra-II codes.
i
! See page ? for Special 8(a) Subcontract clauses.
This-is an incrementally_
l'
- funded cost plus fixed fee type contract.
9005240283 900504 Estimate j
-PDR CONTR NRC-04-90-056 _ PDC too. TOTAL AMOUNT OF CONTRACT DI $366.090.00 1
- 16. TABLE OF CONTENTS l
y) ISEC. !
O E SCRIPTION lPAGEISI vi I SEC. I DESCRIPTION IPAGEiS) !
I?
PART e - ?wE SCHEOULE PART ti-CONTR ACT CLAUSES X
A I SCLICITATIONICC'.72 ACT SORM l
I X'
I l CONTR ACT CLAI.;SES
! 2-8 l S'.P8 LIES OR SE: ICES AND PRICES / COSTS i
paRT 111 - List OF OoCUMENTs ExMtBsTS AND OT=ER ATT ACH.
C-DESCRIPTION / SPECS 'NORK STATEVENT l
l J l LIST OF ATTACHMENTS I
O 8ACK AGING ANC *.*ARKING PART IV - REPRESENTATIONS ANO INSTRUC?'ONS l;
E l INSPECTION ANO ACCEPTANCE K
REPRESENTATIONS. CERTIFICATIONS ANO oTHER STATEMENT't OF OFFEROPS F-I DELIVERIES OR DE*80RMANCE 1
l.
G ' CONTRACT ADMINISTRATION OATA l L INSTRS.CONOS.. ANO NOTICt S TG OFFHRCOS H
SPECIAL CONT A AC REQUIREMENTS I M EVALUATION F ACTORS FOR AWARO U
CONTRACTING OFFICER Will COMPLETE ITEM 17 OR 18 AS APPLICABLE 16 ( CO(dTRACTOR'S NEGOTIATED GREEMENT (Contractor is re-18.
AWARD (Contreetor as not recuered to seen fR88 document.J Your :
i rgutred to seen inns document ena *eturn ensies to eseums oltree.b of fet on Soncitation Numoer nciucing gne acceleont of Cnanees maos oy you wntCn acostions of Cfiangel I,
CCfitroClor 49 teel 10 turniin ario oeinvet all itemt os cofform oil tne servsceg not are get fortti en f uit aoove. 5 nereoy ACCooted al10 Ine items tigteg goove ano.-
l tottn of ottierwise scentifico aoove and on any Cofttinuation sneett for tne l_
' Conlicef ation StateG nerein. Tne eiints ano oohe.atiofit ut tne carties to test 3n afiy Continuation sneets. Triis avvero Conturntnates tne contract wnicn Con.
l C3fttraCl $neff De suoleCf to eng governed Dy tne foliowing CoCuments (4) inst tests of tive rossowing documents: ta) tne Government's toutstauf.,n anO Yout <
's f er, and (0) Ifles awarO/ Contract, siv f urtner contractuai Occument is neces.
awif G/ Contract. (0) Ifie tohCitatsori. et any, anO (C) sucn ornvillons, recroienta.
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- tiTnt. Certshcations, and to*CihCati'ans, as are attaCned or incorocrateO my
- gary, rtiettnce noteen.- (A troCaments are usted heresa.s 20A. NAla dONT R ACTING OF OF 49A. NAME ANO TITLE OF StGNER vType or annis L.J. YOarronia, President Contractinrv nh., - -
20C. QATE S.GN EO 198. N AME OF NT A TO 19C. OATE 54GNt.O 200.vNif 5 TE5 OF A MERIC A A AM& [ Y A
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<saneauer orpyr,an e unonad uo siano ajgopgo V j s iseherare or Cfnersruks ottneers
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, usa 7sAo os.tsasoes 41oi sTueoARO FORM 28 (REV.. 46)
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t SPECIAL 8(a) SUBCONTRACT CONDITIONS (FAR 52.219-12)
-(FEB 1990)
(a) The Small Business Administration (SBA) has entered into Contract No. NRC-04-90-056 with the Scientech. Inc.
to furnish the supplies or services as described therein.
A copy of the contract is attached hereto and made-a part hereof.
g (b)-
Scientech. Inc.
, hereafter referred to as the subcontractor, agrees and acknowledges as follows:
(1) That it will, for and on behalf of the SBA, fulfill and.
perform.all of the requirements of Contract No.
NR$r04-90-056 for the consideration stated therein and that it has read and is familiar with each and every part of the contract, i
(2) That the SBA has delegated responsibility for the l
administration of this subcontract to the U. S. Nuclear Regulatory
. Commission with complete authority to take any action on behalf of i
the Government'under the terms and conditions of this subcontract.
1' (3) That it will not subcontract the performance of any of the requirements of this subcontract to any lower-tier subcontractor without the. prior written approval of the SBA and,the designated Contracting Officer of the U. S. Nuclear Regulatory Commission.
'(4)' That it will notify the U.S. Nuclear Regulatory-Commission Contracting Officer in writing immediately upon entering an agreement (either oral or written) to transfer all or part ofcits stock or other ownership interest to any other party.
(c) Payments, including any progress payments under this subcontract, will be made directly to the subcontractor by the
-U. S. Nuclear Regulatory Commission.,
(End of clause)
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KJJARD/ CONTRACT
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Division of Contracts and Property Management Mail Stop P-1042 L
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Boise District Office
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1020 Main, Suite 200 Boise, Idaho 93702 SUBCONTRACTOR:
Scientech, Inc.
1690 International Way Idaho Falls, Idaho '83403-1406 to. Sw SW T INVOICES pitu H conwn untree o, hrs war nocentwtb TO THE CODE IF ActLITY CODE l AODREES SHOWN IN
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USNuclearRegulatoryCommisf5' Div. of Acetng. & Finance 30V/COM Section See Section F.5 of Prime Contract Washington, DC 20555
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v B&R No.:
0601921010 FIN NO,: !.-12460
,Appn No.:
31X0200.600 Obligation: $100,000.00 -
O io u.s c :so4:en pig 4 u s c. :ssicuf i
15A. lTEM NC.
'!S SUPPLIES /SEaVICES i
15C. QUANTITY 1150 LNiri 15E. UNIT 88 ICE l
'58 AMOUNT
!Servicestoperformverificationand validation 'issessment ofCOBRA-SNSand iHydra-II Codes in accordance with Sc ientech, Inc's technical proposal dated jNovember A, 1989 as revised February 21, 1990.
L!See FAR Clause 52.219-11,Section I, for special 8( a) contract conditions.
- This is an incrementally funded cost plus fixed fee type contract.
l l
l Estimate 150. TOTAL AMOUNT OF CONTRACT Dis 3T6,090.00
~
- 16. TABLE OF CONTENTS l/l ISEC. ! '
ISORIPTION lP AGE (SI' viiSEC 1 OESCRIPTION
- lPAGEiS)-
pART '
- wt SCHEDULE pamf it - CoNTR ACT CLAUSES XlA~ l SCLICITATION/CC'
- A ACT 80RM l 1 X'
I l CONTR ACT CLAUSES i Zl Xl 8 '- I S'.88 LIES OR SEPvlCES ANO PRICES / COSTS 7
oamT tu - t.isi or DOCUMENTS. EXMistTS AND OT,aE R ATTACM.
XlC l CESCRIPTION/SPcCS 'NORK STATEMENT 8.a i J l LIST OF ATTACHMENTS I
X-O ' l 8ACK AGINO AND ".*ARKING 9
paar iv - aspaESENTATIONS ANQ INSTRUCMNS X
- it i t*,SPECTION ANO ACCEPTANCE 1O i
REPRESENTATIONS. CERTIFICATIONS AND lK oTHER STATEMENT'l OF OFFEROPS Xl F I DELIVERIES OR PE280RMANCE 1l XlG l CCNTRACT ACMINISTRATION OATA I 14 i L l lNSTRS.CONOS_ A.NO NOTIChS rC OFFE ACDS XlH -I SPECIAL CON T A Af*" AEOUIREMENTS l 17 i M i EVALUATION FACTORS FOR AWAAO CONTRACTING OfflCER WilL COMPLETE ITEM 17 OR 18 AS APPLICABLE 11/ @ CONTRACTOR'S NE"soTIATED AGREEMENT (Contr.cfor u,e-88.
AWARO IC.nt.eet.r a n.t,que,ed f. Het (Au..coment.) You, Mif.#."*J,a".#f"o'"f"' "*.l'3".s-d,., i"#,f!* 3l'."0J!#f.!
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NRC-04-90-056 Section !
>c c
SPECIAL 8(a) CONTRACT CONDITIONS (FAR 52.219-11)
(FEB 1990)
The Small-Business Administration (SBA) agrees to the followingi (a) To furnish the supplies or services set forth in this contract according to the specifications and the terms _ and conditions hereof by subcontracting with an eligible concern pursuant to the provisions of section 8(a) of the Small Business Act, as. amended (15 U.S.C. 637(a)).
(b) Tha't in the event SBA does not award a subcontract for all j
or a part of the work hereunder, this contract may be terminated 4
either in whole or in part without cost to-either party.
(c) Except for novation agreements and advance payments, delegates to the U. S. Nuclear Regulatory Commission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on-behalf'of.
the Government under the terms and conditions of the subcontract; PROVIDED, HOWEVER, that'the U. S. Nuclear Regulatory Commission shall give. advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further performance, either in whole or in part, under the subcontract for default or for the convenience of the Government.
(d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the U. S. Nuclear Regulatory Commission.
(e) That the subcontractor awarded a subcontract hereunder shall 1
have the right of appeal from decisions of the Contracting Officer cognizable under the " Disputes" clause of said subcontract.
(f) To notify the U.S. Nuclear Regulatory Commission l.
Contracting Officer immediately upon notification by the
'~
subcontractor that the owner or owners upon whom 8(a) eligibility.
was based plan to relinguish ownership or control of the concern.
(End of clause) l 1
l
A c.
4
.i NRC-04-90-056
'J Page 1 of 3 Administrative Changes g
The following administrative changes are hereby made:
j 1.
Subsection B.2, Consideration and Obligation--Cost Plus Fixed Fee (JUNE j
1988) Alternate I (JUNE 1988) is completed by inserting the total-estimated cost amount of $366,090.00 the reimburseable costs amount of
$333,388.00, and the amount of $32,702.00 which represents the fixed-fee. - The amount presently obligated by the Government is $100,000.00-and is estimated to cover performance through nine months of the contract period.
2.
-Subsection F.5, PLACE OF DELIVERY--REPORTS (JUNE 1988), paragraph a is completed as follows:
Charles Nilsen, Project Officer U.S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research Division ~of Engineering M/S NL-217C-Washington, DC 20555 Paragraph b. of this same Subsection is completed by inserting:
NRC-04-90-056.
3.
Subsection G.1, INDIRECT COST RATES (JUNE 1988) IS COMPLETED AS FOLLOWS:
Rate Base 82% (overhead)
' Direct labor excluding employee of the Rockville, Maryland office.
75.4%(overhead)
Direct labor of employee of the Rockville, Maryland office.
l 9'.75% (general & administrative)
Total: direct cost and overhead.
l 0.0662 (FCCM)
Total direct labor l
0.0036 (FCCM)
Total direct cost and overhead 4.
Subsection G.2,.PR03ECT OFFICER AUTHORITY (3UNE 1988) is completed as follows:
1 NAME:
. Charles Nilsen l
ADDRESS:
US Nuclear' Regulatory Commission Office of Nuclear Regulatory Research Division of Engineering M/S NLS-217C Washington, DC 20555 TELEPHONE:301-492-3834 i
a
NRC-04-90-056 Page 2 of 3 5.
Subsection G.4, TRAVEL REIMBURSEMENT (JUNE 1988) is completed by inserting the amount of $33,000.00.
6.
Section H.1, KEY PERSONNEL (JUNE 1988) is completed as follows:
Monte Giles George Schulz Larry Wiles Alan Stephens Marvin Thurgood Harry Heiselmann James McFadden Virginia VanSicien 7.
Subsection I.2, SPECIAL 8(A) CONTRACT CONDITIONS (FAR 52.219-11) (APR 1984) is hereby deleted entirely and substituted with the following revision:
SPECIAL 8(a) CONTRACT CORDITIONS (FAR 52.219-11)
(FEB 1990)
The Small Business Administration (SBA) agrees to the following:
(a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and conditions hereof by subcontracting with an eligible concern pursuant to the provisions of section 8(a) of the Small Business Act, as amended (15 U.S.C. 637(a)).
(b) That in the event SBA does not award a subcontract for all 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 U. S. Nuclear Regulatory Commission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; PROVIDED, HOWEVER, that the U. S. Nuclear Regulatory Commission shall give advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further performance, either in whole or in part, under the subcontract for default or for the convenience of the Government.
(d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the U. S. Nuclear Regulatory Commission.
(e) That the subcontractor awarded a subcontract hereunder shall have the right of appeal from decisions of the Contracting Of ficer cognizable under the " Disputes" clause of said subcontract.
(f) To notify the U.S. Nuclear Regulatory Commission Contracting Of ficer immediately upon notification by the subcontractor that the owner or owners upon whom 8(a) eligibility was based plan to relinguish ownership or control of the concern.
(End of clause)
w l,*'
NRC-04-90-056 l
Page 3 of 3 t
4 8.
Subsection I.13, REQUIREMENT FOR CERTIFICATE OF-PROCUREMENT INTEGRITY
~
-- MODIFICATION. 52.203-9 (MAY 1989) is hereby deleted in its entirety.
- 9. -Section I -_ CONTRACT CLAUSES is hereby revised to incorporate the fcllowing full. text clause:
LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL
[
TRANSACTIONS--(FAR-52.203-12) (JAN 1990)
(a) Definitions.
" Agency", as used in this clause, means
'executiveLagency as defined in.2.101, 4
" Covered Federal action," as used in this clause, means any of the following-Federal actions:
(a) The awarding of any Federal contract..
(b) The making of
^ any Federal grant.;
(c) The making of any. Federal loan.
(d)
The entering into of any cooperative agreement, (e)The extension,. continuation, renewal, amendment,, or modification of any Federal contract. grant,. loan, or cooperative-agreement.
1
" Indian tribe" and " tribal organization," as used in this clause,.have the meaning provided in section 4 of the Inoian Self-Determination and Education Assistance Act (25 U.S.C. 4508) and include Alaskan Natives.
i' Influencing or attempting to influence," as used in,this clause, means making, with the intent to influence,: any
. communication to or appearance before an officer or employee of any agency, a' Member'of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covcted-Federal-action.
" Local government," as used in this clause, means a unit of p
government in a State and, if chartered, established, or otherwise p
recognized by a State for the performance of a governmental' duty, p
including a-local _public authority, a special district, an i
L intrastate district, a council of governments, a sponsor group o
representative organization, and any other instrumentality of a local government.
" Officer or employee of an agency," as used in this clause, includes the following individuals who are employed by an agency:
i' '
-NRC-04-90-056-Section I a
I
-(a) An individual who is appointed to a position in the Government under title 5, United States Code, including a position under a temporary appointment.
(b) A member of the uniformed services, as defined in subsection 101(3), title 37, United States _ Code.
(c) A special _ Government employee, as defined in section 202, title 18, United States Code.
(d) -An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act,. title 5, United States Code.. appendix 2.
" Person," as used in this clause, means an individual, corporation, company, association, authority, firm,' partnership,-
4 society,' State, and local government, regardless of whether such entity is operated for profit, or not for profit.
This term excludes an Indian tribe', tribal organization, or any other Indian organization with respect to expenditures specifically permitted by l
other Federal law.
" Reasonable compensation," as used in this clause, means, with respect to a regularly employed officer or employee of any person, compensation that is consistent with the normal compensation for such_ officer or~ employee for work that is not furnished to, not funded by, or not furnished in cooperation with the Federal Government.
l
" Reasonable payment," as used in this clause, means, with-respect to professional and other technical services, a payment in an amount that is consistent with the amount normally paid for such services in the private sector.
" Recipient," as used in this clause, includes the Contractor and 1
L all' subcontractors.
This term excludes an Indian tribe, tribal L
organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law, b
" Regularly employed," as used in this clause, means, with respect to an_ officer or employee of a person requesting or receiving a Federal contract, an officer or employee who is employed by :such person for at least 130 working days within 1 year 1'
l immediately preceding the date of the submission that initiates l
. agency consideration of such person-for receipt of such contract.
L An officer or employee who is employed by such person for less than l:.
130 working days within 1 year immediately preceding the date of the L'
submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days.
" State," as used in this clause, means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or
[
^" E NRC-04-90-056 i
g Section I-e
^
instrumentality of a State, and a multi-State, regional, or i
interstate. entity having governmental duties and powers.
(b) Prohibitions.-
(1) Section 1352 of title 31, United States Code, among other things, prohibits a recipient of a Federal contract, grant, loan, or cooperative agreement from using appropriated funds to pay any person' for influencing or attempting to_ influence an' officer or employee of'any agency, a Member of Congress,_an officer or employee of Congress, or ah employee of a Member of Congress in connection-with any of the_following covered Federal actions: the awarding of any Federal contract; the making of any Federal grant; the making of any Federal loan; the entering into of any cooperative agreement; or the modification of any Federal contract, grant, loan, or cooperative agreement.-
f_
(2) The Act also requires Contractors to furnish a disclosure if any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, r
or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a Federal contract, grant, loan, or cooperative agreement.
(3) The prohibitions of the Act do not apply under-the following conditions:
(1) Agency and legislative liaison by own employees.
(A) The prohibition on the use of appropriated funds, in paragraph (b)(1) of this clause, does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting. or receiving a covered Federal action if the payment is for agency and legislative liaison activities not
.directly related to a covered Federal action.
(B) For purposes of subdivision (b)(3)(1)(A) of this
- ~
clause, providing any information specifically requested by an agency.or Congress is permitted at any time.
E (C) The following agency and legislative liaison activities are-permitted at any time where they are not-related to a specific solicitation for any covered Federal action:
1 (1) Discussing with an agency the qualities and L
characteristics (including individual demonstrations) of the person's products or services, conditions or terms of sale, and service capabilities.
L (2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use.
t
)
NRC-04-90-056:
Section I i'
(0) The following agency and legislative liaison activities are permitted where they are prior to formal solicitation of any covered Federal action--
7 (1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action; (2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and 1
I (3) Capability presentations by persons seeking awards -
from an agency pursuant to the provisions of the Sma11' Business Act,.
as amended by Pub. L.95-507, and subsequent amendments.
(E) Only those activities expressly authorized by subdivision (b)(3)(1)(A) of this clause are permitted under this clause.
(ii) Professional and technical services.
(A) The prohibition on the use of appropriated funds, in subparagraph (b)(1) of this clause, does not apply in the case of--
i (1) A payment of' reasonable compensation made to an 1
officer.or employee of.a person requesting 'or receiving a covered a
. Federal action or an extension, continuation, renewal, amendment, or
.L u'
. modification of a covered Federal action, if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal action or for meeting requirements imposed by or pursuant to law as a condition for receiving that i
Federal action.
(2) Any reasonable payment to a person other than an officer or employee of a person requesting or receiving a covered Federal action or an extension, continuation, renewal, amendment, or D
modification of. a covered Federal action if the payment is for-L professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for-that Federal action or for meeting requirements l
imposed by or pursuant to law as a condition for receiving that Federal action.
Persons other than officers or employees of a person r.equesting or receiving a covered Federal action include consultants and trade associations.
(B) For purposes of subdivision (b)(3)(ii)(A) of this clause, " professional and technical services" shall be limited to advice-and analysis directly applying any professional or technical discipline.
For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable.
-Similarly, technical advice provided by an engineer on the l
W rformance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable.
NRC-04-90-056-4 Section I-However, communications with the intent to influence made by a professional:(such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional _or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation,.
submission or negotiation of a covered Federal action.
Thus, for i
example, communications with the intent-to influence 'made by a lawyer that do not provide-legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this'section because the lawyer is not providing professional legal services.
Similarly, communications with the intent to' influence.made by an engineer providing an engineering analysis prior to the preparation or submission of a-bid or proposal are.not allowable under this section since the engineer'is providing technical services.but not'directly in the preparation, submission or negotiation.of a covered Federal action.
(C) Requirements imposed by or' pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation and any other requirements in the
-actual award documents.
i (D) Only those services expressly authorized by subdiv'isions (b)(3)(ii)(A)(1) and (2) of thf s clause are permitted under this clause.
(E) The reporting requirements of FAR 3.803(a) shall.not apply with respect to payments of reasonable compensation made tv l
regularly employed officers or employees of a person.
(iii)_ Disclosure.
L (A) The Contractor who requests or receives from.an agency a Federal Contract shall file with that agency a disclosure form, 0MB standard form LLL, Disclosure of Lobbying Activities, if such
. person has made or has agreed to make any payment using c
L nonappropriated funds (to include profits from any covered Federal L
action), which would be prohibited under subparagraph (b)(1) of this clause, if paid for with appropriated funds.
1 (B) The Contractor shall file a disclosure form at the end of each calendar-quarter in which there occurs ~any event that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under subparagraph (c)(1)ofthisclause.
An event that materially affects the accuracy of the information reported includes--
(1) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or (2) A change in the person (s) or individual (s)
L influencing or attempting to influence a covered Federal action; or I-1
NRC-04-90-056 x
Section I c
(3) ~ A change in the-officer (s) employee (s), or
.~
Member (s) contacted to influence or attempt to influence a covered Federal action.
(C) The Contractor shall. require the submittal of a-certification, and if required, a disclosure form by any person who requests or received any subcontract exceeding $100,000 under the Federal contract.
(D) All. subcontractor disclosure forms-(but not certification): shall.be forwarded from tier to tier until received by the prime, Contractor.
The prime Contractor shall submit all 1
disclosures to the Contracting Officer'at the end of the calendar quarter in which the disclosure form is submitted by the subcontractor.
Each subcontractor certification shall be retained in the subcontract file of the awarding Contractor.
(iv) Agreement. -The Contractor agrees not to make any payment prohibited by this clause, i
L (v) Penalties, (A) Any person who makes an expenditure prohibited'under paragraph (a) of. this clause or who fails to file or amend the disclosure form to be filed or amended by paragraph (b) of this clause shall be subject to-civil penalties as provided for by 31 i
U.S.C. 1352.
An imposition of a civil penalty does not prevent the
-l l
Government from seeking'any other remedy that may be applicable.
i.
(B) Contractors may rely without liability on the representation made by their subcontractors in th'e certification _and 1
disclosure form.
l~
l (vi) Cost allowability.
Nothing in this clause makes allowable _
or reasonable any costs which would otherwise be unallowable or L
unreasonable.
Conversely, costs made specifically unallowable by l
the requirements in this clause will not be made allowable under any
]
l-other provision.
l (End of clause)
-l lL ALL OTHER TERMS AND CONDITIONS REMAIN UNCHANGED.
SOL 1C!TATION, OFFER AND AWARD Page 1 of 2 Pages
- 1. This contract is a rated. order under DPAS(15 CFR 350) RATING:
.2.
CONTRACT NO.
l3. SOLICITATION NO.
l4. TYPE OF SOLICITATION l
RS-RES-89-352 l
( ) SEALED BID (IFB) l (X) NEGOTIATED (RFP)
- 5. DATE ISSUED l6. REQUISITION / PURCHASE REQ. NO.
l RES-89-352 9/22/89.
- 7. ISSUED BY CODE l8. ADDRESS OFFER TO l
(If other than Item 7)
U.S. Nuclear Regulatory Commission l
Offer must be addressed as shown Div. of Contracts & Property Mgmt.
l in Item 7.
Handcarried offers Contract Neg. Branch No. 2, P-1042 l
(including Express Mail) must be Washington, DC 20555 delivered to the address in Item 9 NOTE: In sealed bid solicitations, " offer" and " offeror" mean " bid" and
" bidder".
SOLICITATION
- 9. Sealed offers in original and 5 copies for furnishing the supplies or services in-the Schedule will be' received at the place specified in Item 8, or if handcarried, in the depository located in Room 1011, 7920 Norfolk Avenue, Bethesda, MD 20814, until 11:00 AM local time on 10/23/89.
CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No.
52.214-7 or 52.215-10.
All offers are subject to all terms and conditions contained in this solicitation.
- 10. FOR INFORMATIONl A. NAME:
lB. TELEPHONE NO. (Include Area Code)
CALL:
l Joyce P. Bazin l
(NO COLLECT CALLS) l l
301-492-7182 l
l 11.
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 OR PERFORMANCE G
CONTRACT ADMINISTRATION. DATA H
SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I-CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J
LIST.OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K
REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS L
INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M
EVALUATION FACTORS FOR AWARD OFFER (Must be fully completed by offeror) q NOTE:
Item 12 does not apply if the solicitation includes the provision at 52.214-16, Minimum Bid Acceptance Period.
I SOLICITATION, OFFER AND AWARD Page 2 of 2 Pages
- 12. In compliance with the above, the understgr;ed agrees, if this offer is accepted within calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delisered at the designated point (s), within the time specified in the schedule.
- 13. DISCOUNT FOR PROMPT PAYMENT (See SecU on 1Clause No. 52.232-8) 10 CALENDAR DAYS 20 CALENDAR DAYC 30 CALENDAR DAYS CALENDAR DAYS 3
3
=%
- 14. ACKNOWLEDGEMENT OF AMENDMENTS (The offerer acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated:
AMENDMENT NO.
DATE AMENDMENT NO.
DATE 15A. NAME AND l CODE l FACI U TV tu N AND T1TIF V TE35CW ADDRESS l
l AUTHORIZED TO SIGN OFFER 0F (Type or print) 0FFEROR l
l 3
i 158. TELEPHONE NO (Include Area l15C. CHECK IF REMITTANCE ADDRESS IS Code) l ( ) DIFFERENT FROM ABOVE - ENTER SUCH l
ADDRESS IN SCREDULE
- 17. SIGNATURE:
l 18.ONERDATE:
AWARD (To be com Id % [vernment) c
- 19. ACCEPTED AS TO ITEMS NUMBERED l20. MOUNI l21. ACCOUNTING KND APPROPRIATION l
l_
- 22. AUTHORITY FOR USING OTHER-THAN FULL AND OPEN COMPETITION:
( ) 10 U.S.C. 2304(c)( )
(X) 41 U.S.C'. 253(c)(5)
- 23. SUBMIT INVOICES TO ADDRESS SHOWN IN l ITEM (4 copies unless otherwise specified)
- 24. ADMINISTERED BY CODE l l25. PAYMENT WILL BE MADE BY CODE l (If other than Item 7) l U.S. Nuclear Regulatory Commission l
Division of Accounting and Finance l
GOV /COM Accounting Section Washington, DC 20555
- 26. NAME OF CONTRACTING OFFICER l27. UNITED STATES OF AMERICA l28. AWARD (Type or Print) l l
DATE (Signature of Contracting Officer)
IMPORTANT - Award will be made on this Form or on Standard Form 26, or by other authorized official written notice.
EXCEPTION TO STANDARD FORM 33 (REV.4-85) m
TABLE OF COMTENTS PAGE 4
SOLICITATION, OFFER AND AWARD,.................,,
1 TABLE OF CONTENTS..........................
3 PART I - THE SCHEDULE........................
7 s
SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS..........
7 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)........
7 B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE,....
7 (JUNE 1988) ALTERNATE I (JUNE 1988)
SECTION C - DESCRIPTION / SPECIFICATION, 8A
/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987) 8A SECTION D - PACKAGING AND MARKING..............,,..
9 0.1 PACKAGING AND MARKING (MAR 1987)..............
9 SECTION E - INSPECTION AND ACCEPTANCE 10 E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.
10 SECTION F - DELIVERIES OR PERFORMANCE................
11 F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.
11 F2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988)..
11 F.3 TECHNICAL PROGRESS REPORT (JUNE 1988)...........
11 (OMB CLEARANCE NUMBER 3150-0112)
F.4 FINANCIAL STATUS REPORT (JUNE 1988).......
12 (OMB CLEARANCE NUMBER 3150-0112)
F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988)...........
12 F.6 0URATION OF CONTRACT PERIOD (MAR 1987).
13 F.7 ADDITIONAL TECHNICAL REPORT REQUIREMENTS 13 SECTION G - CONTRACT ADMINISTRATION DATA..,,
14 G.1-INDIRECT COST RATES (JUNE 1988)..............
14 G.2 PROJECT OFFICER AUTHORITY (JUNE 1988)...........
14 16A 1987)88)..............
C.3 REMITTANCE ADDRESS (MAR 16B G.4 TRAVEL REIMBURSEMENT (JUNE 19 SECTION H - SPECIAL CONTRACT REQUIREMENTS 17 H.1 KEY PERSONNEL (JUNE 1988)....
17 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1961).......
18 H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)...
18 H,4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988)..
18 H,5 ORGANIZATIONAL CONFLICTS OF INTEREST............
18 (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988)
PART II - CONTRACT CLAUSES.....
21 CONTRACT CLAUSES..................,
21 SECTION I I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 21 1.2 SPECIAL 8(A) CONTRACT CONDITIONS..............
23 1.3 LIMITATIONS ON SUBCONTRACTING................
24 (FAR 52.219-14)(OCT 1987)
I.4 PROMPT PAYMENT (FAR 52.232-25)(APR 1989)..........
25 I.S ELECTRONIC FUNDS TRANSFER PAYMENT METHODS..........
29 (FAR 52.232-28)(APR 1989)
I.6 PAYMENT FOR OVERTIME PREMIUMS...............
31 (FAR 52.222-2)(APR 1984)
TABLE OF CONTENTS PAGE
!.7 RIGHTS TO PROPOSAL DATA-(TECHNICAL)............
32 (FAR 52.227 23)(OUN 1987) 1.8 DRUG-FREE WORKPLACE (FAR52.223-6).............
33 1.9 REMEDIES FOR ILLEGAL OR IMPROPER ACTIVITY...
35 (FAR 52.203-10)(MAY 1989) 1.10 PROTECTING THE GOVERNMENT'S INTEREST WHEN SUBCO W. CIING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSEL FOR DEBARMENT (FAR 52.209-6)(MAY 1989)..............
37 1.11 RESTRICTIONS ON CONTRACT!NG WITH SANCTIONED PERSONS (FAR 52.225-13)(MAY 1989)........
38 1.12 CLAUSES INCORPORATE 03YME (FAR 52.252-2)(00N 1988)..................
39A 1.13 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT INTEGRITY MODIFICATION (FAR 52.203-9)(MAY 1989)...........
39B PART III - LIST OF DOCUMENTS EXHIBITS...............
39D AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS...................
390 J.1 ATTACHMENTS (MAR 1987)...................
390 REPRESENTATIONS AND INSTRUCTIONS............
40 PART IV SECTION K - REPRESENTATIONS, CERTIFICATIONS AND..........
40 OTHER STATEMENTS OF OFFEROPS K.1 CONTINGENT FEE REPRESENTATION AND.............
40 52.203-4)((APR1984)FAR 52.204-3) (NOV 1988).....
42 AGREEMENT (FAR K.2 TAXPAYER IDENTIFICATION K.3 TYPE OF BUSINESS ORGANIZAYION (FAR 52.215-6) (JUL 1987)..
42 K.4 AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APR 1984).....
K5 SMALL BUSINESS CONCERN REPRESENTATION,..........
43 (FAR 52.219-1) (MAY 1986)
K.6 SMALL DISADVANTAGED BUSINESS CONCERN............
43 REPRESENTATION (FAR 52.219-2) ( APR 1984)
K.7 WOMEN-0WNED SMALL BUSINESS REPRESENTATION.........
44 (FAR 52.219-3) (APR 1984)
K.8 PREFERENCE FOR LABOR SURPLUS AREA CONCERNS 44 (FAR 52.220-1) (APR 1984)
K.9 CERTIFICATION OF HONSEGREGATED FACILITIES 45 (FAR 52.222-21) (APR 1984)
K.10 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS.........
45 (FAR 52.222-22) (APR 1984)
K.11 AFFIRMATIVE ACTION COMPLIANCE,..............
46 4
(FAR 52.222-25) (APR 1984)
K.12 CLEAN AIR AND WATER CERTIFICATION 46 (FAR 52.223-1) (APR 1984)
K.13 ORGANIZATIONAL CONFLICTS OF INTEREST (JUNE 1988)......
47 K.14 CERTIFICATION REGARDING DEBARMENT STATUS (JUNE 1988)....
47 K.15 QUALIFICATIONS OF CONTRACT EMPLOYEES (JUNE 1988) 47 K.16 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT (JUNE 1988) 47
~
SECTION L - INSTRUCTIONS, C0NDITIONS, AND NOTICES..........
52 TO OFFERORS L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED 52 BY REFERENCE L.2 TYPE OF CONTRACT (FAR-52.216-1) (APR 1984).........
52 L.3 SERVICE OF PROTEST (FAR 52.233-2) (NOV 1988)........
52 L4 SOLICITATION PROVISIONS INCORPORATED BY..........
53 REFERENCE (FAR 52.252-1)(JUN 1988)
TABLE OF CONTENTS PAGE L.5 LEVEL OF EFFORT (JUNE 1988)................
53 L.6 ESTIMATED OURATION (JUNE 1988)...............
54 L.7 ACCEPTANCE PERIOD (MAR 1987)................
54 L8 SMALL BUSINESS SIZE STANDARD AND PRODUCT CLASSIFICATION..
54 (MAR 1987) ALTERNATE I (MAR 1987)
L.9 PROPOSAL PRESENTATION AND FORMAT (JUNE 1988) 54 (OMB CLEARANCE NUMBER 3150-0118)
NONDISCRIMINATION BECAUSE OF AGE (FAR 22.901) (MAR 1987) 57 L it
)ATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (MAR 1987)..
57 L.1:
TIMELY RECEIPT OF PROPOSALS / BIDS (JUNE 1988)........
57 SL
- sN M - EVALVATION FACTORS FOR AWARD..............
58 M.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE......................
58 ADDITIONAL REPRESENTATIONS CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0R$ UNDER SECTION K K.17 CERTIFICATION REGARDING A DRUG-FREE WORKPLACE........
48 K.18 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT AND OTHER RESPONSIBILITY l
MATTERS (52.209-5)(MAY 1989)................
50 K.19 NOTICE OF RESTRICTIONS ON CONTRACTING WITH SANCTIONED PERSONS (52.225-12)(MAY 1989).........
51 K.20 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT INTEGRITY 4
(FAR 52.203-8)(MAY 1989).................
518 1;
I l
l
Page 6 OFFER 0R$/ BIDDERS Pl. EASE NOTE:
An (*) means the information is to be incorporated into any resultant contract.
f 4
RS-RES-89-352 Section B PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)
The contractor shall provide expertise to perform verification / validation assessment of COBRA-SFS and HYDRA-II codes to confirm (or not confirm) with the acceptability of these codes for endorsement by the NRC for use in the licensing process.
(End of Clause)
B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (JUNE 1988) ALTERNATE I (JUNE 1988) a.
The total estimated cost to the Government for full performance of this contract is ___* _, of which the sum of ____* _
represents the estimated reimbursable costs, and of which represents the fixed fee, b.
There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost for performance of that work, c.
The amount presently obligated by the Government with respect to this contract is _
- __.
o.
It is estimated that the amount currently allotted will cover performance through (End of Clause)
RS-RES89-352 Page 8A Section C SECTION C - DESCRIPTION / SPECIFICATION / WORK / STATEMENT C.1 3471tGROUND:
The Department of Energy developed computer codes COBRA STS.
and HYDRA II under the provisions of Section 218 of the Nuclear Waste Policy Act (NWPA) of 1982. These codes were developed for the Department by Batte11e's Pacific Northwest Laboratory (PNL) to evaluate the thermal hydraulic performance of a wide variety of systems, including dry spent fuel storage casks.
Specifically, Section 218 requires that the Department provide generic research and development of alternative spent fuel storage systems to assist utilities in their licensing activities for interim at reactor storage, which are covered under Section 133 of the NWPA.
The codes are intended to perform design calculations which will be used to support license applications to the NRC for spent fuel storage systems.
Both COBRA-SFS and HYDRA-II are designed to analyze storage systems in three dimensions, considering all three heat transfer processes (conduction, convection, and thermal radiation) using conservation of mass, momentum and energy principles.
Both codes are written in FORTRAN 77 and developed to be run on CRAY computer systems.
COB}tA-SF5 COBRA-SFS (Spent Fuel Storage) is a generS1 thermal-hydraulic analysis computer code used to predict temperatures and velocities in a wide variety of systams.. The code was refined and specialized for spent fuel storage system analyses for the U.S. Department of Energy's Commercial Spent Fuel Management Program.
4 Tho' finite-volume equations governing mass, momentum, and energy conservation are written for an incompressible, single phase fluid. The flow equations model a wide range of conditions including natural circulation.
The energy equations include the effects of solid and fluid conduction, natural convection, and thermal radiation.
The COBRA-STS code l
is structured to perform both steady-state and transient calculations; however, the transient capability has not yet i
been validated.
The validation assessment for COBRA-SFS began with simulation of simple phenomena in simple geometries and proceeded systematically to complex phenomena and geometries.
Fourteen case comparisons were made of the COBRA-SFS predictions with the test data.from six separate spent fuel storage tests. The results of the comparisons demonstrated that COBRA-SFS was successful in predicting the thermal performance of single, I
sultiassembly, and consolidated assemblies under a variety of backfills (air, helium, nitrogen, and vacuum), heat loadings,
RS-RES-89-352 Page SB Section C and orientations (vertical, horizontal, and inclined).
These results demonstrate that COBRA SFS can be used for designing 1
and licensing safety analyses of spent fuel storage systems.
NYDRA-II NYDRA II is a hydrothermal computer code capable of three-dimensional analysis of coupled conduction, convection, i
and thermal radiation problems.
This code is especially appropriate for simulating the steady-state performance of spent fuel storage systems.
The code has been evaluated for this application for the U.S. Department of Energy's Commercial Spent Fuel Management Program.
KYDRO II provides a finite difference solution in Cartesian coordinates to the equations governing the conservation of mass, momentum, and energy.
A cylindrical coordinate system may also be used to enclose the Cartesian coordinate system.
i This exterior coordinate system is useful for modeling j
cylindrical cask bodies.
The different equations for conservation of momentum are enhanced by the incorporation of directional porosities and permeabilities that aid in modeling solid structures whose dimensions may be smaller than the computational mesh.
The equation for conservation of energy permits modeling of orthotropic physical properties and film resistances.
Several automated procedures are available to model radiation transfer within enclosures and from fuel rod to fuel rod.
The validation assessment for HYDRA-II was also based on a comparison of the computer code temperature distribution predictions with spent fuel storage tests.
Eleven case i
comparisons were made free experiments employing four separate spent fuel storage tests.
The results of the comparisons demonstrated that NYDRA II was successful in predicting the thermal performance for single and multiassembly storage configurations under a variety of backfills (air, helium, and vacuum), heat loadings, and orientations (horizontal, vertical, and inclined).
These results demonstrate that EYDRA-II can also be used for designing and licensing safety analyses of spent fuel storage systems.
The HYDRA-II code was also verified by comparisons of code predictions with analytical solutions to a simple pure-conduction problem (no fluid transport), and with detailed data obtained both experimentally and from separate numerical simulations from a simple-geometry, buoyancy driven, cavity problem.
For both comparisons, KYDRA-II agreed well with the analytical results.
RS-RES-89-352-Page BC Section C C.1.1 OBJECTIVE j
To perform a verification / validation assessment of COBRA-SFS and HYORA-II codes to confirm (or not confirm) the acceptability of these codes for endorsement by NRC for use in the licensing process.
C.1.2 WORK REQUIREMENT The contractor shall provide all necessary expertise, labor, equipment and facilities to perform a verification / validation assessment of COBRA-SFS and HYDRA-II codes to confirm (or not confirm) the acceptability of these codes for endorsement by the NRC in the licensing process.
The verification and validation shall be by peer review of three persons with expertise in thermal hydraulic / computer code development.
The contractor shall develop a plan and schedule of activities for the peer review to assess the codes.
The plan shall include, but not bc limited to, identification of specific areas to be reviewed, the method of assessment for each identified area and shall address the following questions:
- How well does the code reflect the phenomena believed to be important? (Are the correct phenomena included?)
- Is the level of detail in the code appropriate to its use?
- What is the capability and limitation of the codes?
(What does the code now model and what related phenomena does it not model?)
l
- What quality assurance program was the code subjected to?
The schedule of activities shall, as a minimum, establish procedures for l.
conducting the peer review and outline a system for monitoring the various aspects of the code reviews as they proceed.
The contractor shall submit the plan and schedule of activities to the NRC Project Officer for review and approval prior to initiation of such activities within. thirty days after the effective date of this contract.
The contractor shall submit all reports in accordance with the requirements L
specified under Section F herein.
Pursuant to FAR 52-219-14 Limitations on Subcontracting (refer to Section I l
herein) at least 50% of the cost of contract performance incurred for personnel shall be expended for employees of the concern.
,'c Page 9 RS-RES-89-352 Section D SECTION O - PACKAGING AND MARKING D.1 PACKAGING AND MARKING (MAR 1987)
The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe delivery at destination.
Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation.
On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.
(End of Clause) i t
r 4
l l
i
Page 10 RS-RES-89-352 Section E e
SECTION E - INSPECTION AND ACCEPTANCE E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE:
The following solicitation previsions and/or contract clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
NUMBER DATE TITLE 52.246-3 APR 1984 INSPECTION OF SUPPLIES--
COST-REIMBURSEMENT i
52.246-5 APR 1984 INSPECTION OF SERVICES--
COST-REIMBURSEMENT 4
l t
t2 j
Page 11 RS-RES-89-352 Section F SECTION F - DELIVERIES OR PERFORMANCE F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE l
NOTICE:
The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORKORDERALTERNATEI(APR1984)
F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988)
All technical reports required by Section C and all Technical l
Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202.
NRC Manual Chapter 3202 is not applicable to any Financial Status Report that i
may ce included in this contract (See Section 0 for List of Attachments).
(End of Clause)
F.3 TECHNICAL PROGRESS REPORT (JUNE 1988) l (OMB CLEARANCE NUMBER 3150-0112)
The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer.
The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report shall include the following for each discrete task:
4 a.
A listing of the efforts completed during the period; l
milestones reached or, if missed, an explanation provided; b.
Any problems or delays encountered or anticipated and l
recommendations for resolution; (if the recommended resolution L
involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall j
submit a separate letter to the Contracting Officer indentifying the J
required change and estimated cost impact).
l c.
A summary of progress to date; and d.
Plans for the next reporting period.
RS-RES-89-352 Section F (End of Clause)
F.4 FINANCIAL STATUS REPORT (JUNE 1988)
(OMB CLEARANCE NUMBER 3150-0112)
The. Contractor shall prov'ide a monthly Financial Status Report to the Project Officer and the Contracting Officer.
The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number.,
project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report shall include the following for each discrete task:
a.
Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
1)_ Total Estimated Contract Amount.
- 2) Total Funds Obligated To Date.
3 Total Costs Incurred This Reporting Period.
4 Total Costs Incurred To Date.
5 Balance of Obligations Remaining.
- 6) Balance of Funds Required To Complete Contract, b.
Detail of all direct and indirect costs incurred during the reporting period for each task.
(End of Clause)
F.5 PLACE 0F DELIVERY--REPORTS (JUNE 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
a.
Project Officer (3 copies) b.
Contracting Officer (1 copy)
.U.S. Nuclear Regulatory Commission Contract Number:
Division of Contracts and Property Management Contract Administration Branch Washington, DC 20555
RS-RES-89-352 Section F 4
F.6 DURATIONOFCONTRACTPERIOD(MAR 1987)
This contract shall commence on the effective date of this contract and shall expire twelve months thereafter.
(End of Clause)
F.7 ADDITIONAL TECHNICAL REPORT REQUIREMENTS The contractor shall submit a draft final report in accordance with Section F.5 hereunder.
The principal question to be answered by. this report is:
Can the codes be used to accurately predict heat transfer processes in fuel storace systems? The report snall be reviewed ano approveo Dy tne NRC Project Officer within seven working days after receipt from the contractor.
Any NRC Project Officer recommendations to the draft report shall be mutually agreed upon and included in the final technical report.
This draft report shall be submitted eleven months after the effective date of this contract.
The contractor shall submit the' final technical report and one reproducible master of the report in accordance with Section F.5 hereunder.
The final technical report shall be submitted within twelve months after the effective date of this contract.
3 l
3-4
'b t
Page 14 RS-RES-89-352 Section G i
f SECTION G - CONTRACT ADMINISTRATION DATA i
G.1 INDIRECT COST RATES (JUNE 1988) a.
Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows:
l b.
The Contracting Officer may adjust the above rates as
. appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor.
It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232 Limitation of Funds,
as applicable, if such change (s) affect (s) performance of work within the established cost or funding limitations.
(End of Clause)
G.2 PROJECT OFFICER AUTHORITY (JUNE 1988) a.
The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is:
Name:
r Address:
l l
l Telephone Number:
l b.
Performance of the work under this contract shall be l
subject to the technical direction of the NRC Project Officer.
The term " Technical Direction" is defined to include the following:
1)
Technical direction to the C:ntractor which shifts work emphasis between areas of work or tasks, fills in details or
-otherwise serves to accomplish the contractual statement of work.
2)
Provide advice and guidance to the Contractor in the preparation of drawings, specifications or technical portions of the work description.
n 3)
Review and, where required by the contract, approval
i Page 15 RS-RES-89-352 Section G l
.of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.
c.
Technical direction must be within the general statement of work stated in the contract.
The Project Officer does not have the J
authority to and may not issue any technical direction which:
- 1) Constitutes an assignment of additional work outside the general scope of the contract.
- 2) Constitutes a change as defined in the " Changes" clause of this contract.
3)
In any way causes an increase or decrease in the total i
estimated contract cost, the fixed fee, if any, or the time required for contract performance.
1
- 4) Changes any of the expressed terms, conditions or specifications of the contract,
- 5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.
d.
All technical directions shall be issued in writing by the J
Project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance.
A copy of said written direction shall be furnished.to the Contracting Officer, e.
The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the t
manner prescribed by this clause and within such person's authority under the provisions of this clause, f.
If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in e abcve, the Contractor shall'not proceed t ut shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly.
Upon receiving such notification from the Contractor.
the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the r
scope of this article and does not constitute a change under the Changes Clause, g.-
Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance and may even result in the Contractor expending funds for unallowable costs under the contract, h.
A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken
hs Page 16 A RS-RES-89-352 Secticn G 4
with respect thereto shall be subject to 52.233 Disputes.
1.
In addition to providing technical direction as defined above, the Project Officer is responsible for:
- 1) Monitoring the Con, tractor's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements.
- 2) Assisting the Contractor in the resolution of technical problems encountered during performance.
- 3) Reviewing all costs requested for reimbursement by the Contractor and submitting to the Contracting Officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
(End of Clause)
G.3 REMITTANCE ADDRESS (MAR 1987)
If item 15C. of the Standard Form 33 has been checked, enter the remittance address below.
Name:
Address:
(End of Clause) i L
L i
l I
l RS-RES-89-352 PAGE 16B Section 0 G.4 TRAVEL REIMSURSEMENT (WNE 1998) a.
Total esponditure for domestic travel shall not exceed without the prior approval of the Centracting Officer.
/
I b.
The Centracter is encouraged to use Severnment contract airlinese AMTRAK rail service, and discount hotel /metel properties in order to reduce the cost of travel under this contract.
The
)
Centracting Officer wille upon requeste provide each additional traveler with a letter of identificatten which is retuired in order to participate in this program.
The Federal Travel Directory (FTD) l identifies carrierse contract farese schedules, payment conditionse and hotel /metel properties which offer their services and rates to i
Government contracter personnel traveling en official business under this centract.
The FTD which is issued monthlve may be purchased 1
from the U.S. Severnment Printing Office. Washingtone DC 20402.
c.
The Centracter will be voimbursed por reasonable domestic travel costs incurred directly and specifically in_the performance of this centract.
The cost limitations for travel costs are determined by the Federal Travel Regulattens that are in effect en the date of the trip.
These Regulattens specify the daily manimum l
per dies rates for specific localities within the Conterminous United States (CONUS), the standard CONUS rate, the allowance for meals and incidental espenses (Mh!E). the cost of travel by privately owned automobiles and the items which require receipts.
A copy of the Regulations may be obtained from the Superintendent of Documents. Severnment Printing Office. Washington, DC 20402.
d.
When the Government changes the Federal Travel Regulations, it is the responsibility of the Contracter te notify l
the Contracting Officer in accordance with the Limitatten of Cost I
clause of this centract if the Centractor will be unable to make all of the approved trips and remain within the cost and fee limitattens I
sp this contract due to the change 9.
L e.
The rates for foreign travel are establir.hed by the U.S.
l Department et State and are listed in a publication entitled L
" Maximum Travel Per Dies Allowances For Foreign Aress".
Copies of i
L this publication may be obtained from the U.S.
Severnment Prie. ting Officee Washington, D.C.
30402.
i (End of Clause) 5
j Page 17 RS-RES-89-352 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (JUNE 1988)
I a.
The following individuals are considered to 1,e essential to the successful performance of the work hereunder.
]
l 1
~~
~.
The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.
j
- b.. If one or more of the key personnel, for whatever reason l
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 Contrb: ting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications, c.
All requests for approval of substitutions hereunder must be I
in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions.
They must contain a I
complete resume for the proposed substitute and other information requested by.the Contracting Officer to approve or disapprove the l
proposed substitution.
The Contracting Officer will evaluate such requests 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 hay personnel who have been reassigned, terminated or have otherwise become unavailable for i
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.
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.
t RS-RES-89-352 Section H l
l i
(End of Clause) j 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 i
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 i
the work; thereafter, a start order for resumption 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 (MAR 1987)
The Contractor shall comply with the requirements of the attached NRC Manual Chapters 3202 and 3206 (See Section J for List
.l of Attachments) regarding publications or dissemination to the t
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 (JUNE 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.
l.
(End of Clause) i H.5 ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) a.
Purpose.
The primary purpose of this clause is to aid in ensuring that the Contractor:
l 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 Yittue of its performance of this contract.
L
RS-RES-89-352 Section H
+
b.
Scope.
The restrictions described apply to performance or participation by the Contractor as defined in 41 CFR 20-1.5402 (f) in i
the activities covered by this clause.
j c.
Work for others.
Notwithstanding any other provision of this contract, during the term of this contract, the_ Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.
The Contractor shall ensure that all employees under this contract abide by the provision of this clause.
If the Contractor believes with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.
d.
Disclosure after award,
- 1) The Contractor warrants to the best of its knowledge and belief, and except as otherwise set forth in this contract, that it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).
g
- 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 description of the action which the Contractor has taken or 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, T
e.
Access to and use of information.
1)
If the' Contractor in the performance of this contract obtains access to informati n, such as NRC plans, policies, reports, i
studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:
(i)
Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six (6) months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public, or
-n
Page 20 i
RS-RES-89-352
$ection H (iv) Release the information without prior written approval by the Contracting Officer unless the information has previously been released to the pubite by the NRC.
t 2)
In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat the information in accordance with restrictions placed on use of the information.
- 3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
f.
Subcontracts.
Except as provided in 41 CFR 20-1.5402(h),
theContractorshallincludethisclause, including'"thisparagraph, in subcontracts of any tier.
The terms " contract, Contractor,"
l and " Contracting Officer " must be appropriately modified to preserve the Government's rights.
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 default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract, h.
Waiver.
A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 41 CFR.20-1.5411.
(End of Clause) i f
+
+,,..
.w.,
h Page 21 RS-RES-89-352 Section I PART II - CONTRACT CLAUSES CONTRACT CLAUSES SECTION I I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE:
The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR i
SALES TO THE GOVERNMENT i
52.203-7 OCT 1988 ANTI-KICKBACK PROCEDURES 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 DEC 1989 AUDIT -- NEGOTIATION 52.215-22 APR 1988 PRICE REDUCTION FOR DEFECTIVE COST.OR PRICING DATA 52.215-24 APR 1985 $UBCONTRACTOR COST OR PRICING DATA 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8' APR 1984 FIXED FEE 52.219-8 FEB 1990 UTILIZATION OF SMALL BUSINESS CONCERNS AND E
SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.222-1 APR 1984 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES L
52.222-3 APR 1984 CONVICT LABOR t:
52.222-26 APR 1984 EQUAL OPPORTUNITY l
52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL l
DISA8 LED AND VIETNAM ERA VETERANS l
52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.222-37 JAN 1988 EMPLOYMENT REPORTS ON SPECIAL L-l
y-Page 22 i
RS-RES-89-352 Section I DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223-2 APR 1984 CLEAN AIR AND WATER 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 1
52.227-2 APR 1984 NOTICE AND ASSISTANCE 1
REGARDING PATENT AND J
COPYRIGHT' INFRINGEMENT j
52.227-3 APR 1984 PATENT INDEMNITY 52.227-17 JUN 1987 RIGHTS IN DATA--SPECIAL WORKS i
52.228-7 APR 1984' INSURANCE -. LIABILITY TO THIRD PERSONS I
52.229-10 OCT 1988 STATE OF NEW MEXICO GROSS 1
RECEIPTS AND COMPENSATING TAX 52.232-9 APR 1984 LIMITATION ON WITHHOLDING 0F PAYMENTS 52.232-18 APR 1984 AVAILABILITY 0F FUNDS 52.232-22 APR 1984 LIMITATION OF FUNDS (ALTERNATE I - APR 1984) 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES 52.233-3 JUN 1985-PROTEST AFTER AWARD ALTERNATEI(JUN1985) 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT l'
ALTERNATE I (APR 1984) 52.244-2 JUL 1985 SUBCONTRACTS (COST-REIMBURSEMENT AND LETTER CONTRACTS) 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.245-5 JAN 1986 GOVERNMENT PROPERTY (COST-REIM-BURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS) 52.245-19 APR 1984 GOVERNMENT PROPERTY FURNISHED "AS IS
52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT)
~52.249-14 APR 1984 EXCUSABLE DELAYS q
52.232-17 APR 1984 INTEREST 52.232-20 APR 1984 LIMITATION OF COST 52.246-25 APR 1984 LIMITATION OF LIABILITY--SERVICES 2
l' l
l
RS-RES-89-352 Page 23 Section I I.2 SPECIAL 8(A) CONTRACT CONDITIONS (FAR. 52.219-11) (APR 1984)
The Small Business Administrat' ion (SBA) agrees to the following:
(a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and conditions hereof by subcontracting with an eligible concern pursuant to the provisions of section 8(a) of the Small Business Act, as amended (15 U.S.C. 637(a)).
(b) That in the event SBA does not award a subcontract for all or a part of the work hereunder, this contract may be terminated either in whole or in part without cost to either party.
(c) Delegates to the U.S. Nuclear RegulatoryCommission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; provided, however, that the U.S. Nuclear RegulatoryCommission shall give advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further i
performance, either in whole or in part, under the subcontract for default or for the convenience of the' Government.
(d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the U.S.
Nuclear RegulatoryCommission.
l (e) That the subcontractor awarded a subcontract hereunder shall have the right of appeal from decisions of the Contracting Officer cognizable under the " Disputes" clause of said subcontract.
(End of Clause) i i
e !
RS-RES-89-352 Page 24 Section !
1.3 LIMITATIONS ON SUBCONTRACTING (FAR 52.219-14) (OCT 1987)
By submission of an offer and execution of a contract, the Offeror / Contractor agrees that in performance of the contract in the case of a contract for--
(a) SERVICES (EXCEPT CONSTRUCTION).At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern.
(b) SUPPLIES (OTHER THAN PROCUREMENT FROM A REGULAR DEALER IN SUCH SUPPLIES). The concern shall perform work for at least 50 percent of the cost of manufacturing the supplies, not including the 3
cost of materials.
L l
(c) GENERAL CONSTRUCTION, The concern will perform at least 15 percent of.the cost of the contract, not including the cost of l
materials, with its own employees.
(d) CONSTRUCTION BY SPECIAL TRADE CONTRACTORS.
The concern will
)
perform at least 25 percent of the cost of the contract, not including the cost of materials, with its own employees.
L 1
1 I
i RS-RES-89-352 Page 25 Section I I.4 PROMPTPAYMENT(52.232-25)(APR1989)
Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause.
Payment shall be considered as' being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified.
(a)InvoicePayments (1) For purposes of this clause, " invoice payment" means a i
Government disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Government and final cost or fee payments where amounts owed have been settled between the Government and the Contractor.
I (2) Except as indicated in subparagraph (a)(3) and paragraph (c) l of this-clause, the due date for making invoice payments by the designated payment office shall be the later of the following two l
events:
i (i) The 30th day after the designated billing office has received a proper invoice from the Contractor.
(ii) The 30th day after Government acceptance of supplies delivered or. services performed by the Contractor.
On a final invoice where-the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective date of the cuntract settlement.
However, if the designated billing office fails to annotate the invoice with the l
actual date of receipt, the invoice payment due date shall be deemed to be the 30th day after the date the Contractor's invoice is dated, provided a proper invoice is received and there is no disagreement over quantity, quality, or Contractor compliance with contract requirements, t
(3) The due date on contracts for meat and meat food products, contracts for perishable agricultural commodities, contracts for dairy products, edible fats or oils, and food products prepared from edible fats or oils, and contracts not requiring submission of an invoice shall be as follows:
-(i) The due date for meat and meat fo'd products, as defined in o
Section 2(a)(3) of the Packers and Stockyard Act of 1921 (7 U.S.C.
182(3)) and further defined in Pub. L.98-181 to include any edible fresh or frozen poultry meat, an perishable poultry meat food product, fresh eggs, and any perishable egg product, will be as close as possible to, but not later than, the 7th day after product delivery.-
(ii) The due date for perishable agricultural commodities, as
RS-RES-89-352 Page 26 section 1 defined in Section 1(4) of the Perishable Agricultural Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later than, the 10th day after product delivery, unless another date is specified in the contract.
(iii) The due date for dairy products, as defined in Section 111(e) of the Dairy Production Stabilization Act of 1983 (7 U.S.C.
4502(e)), edible fats or oils, and food products prepared from eoible fats or oils, will be as close as possible to, but not later than the 10th day after the date on which a proper invoice has been received.
(4) An invoice is the Contractor's bill or written request for payment under the contract for supplies delivered or services performed.
An invoice shall be prepared and submitted to the designated billing officer specified in the contract.
A proper invoice must include the items listed in subdivisions (a)(4)(i) through(a)(4)(viii)ofthisclause.
If the invoice does not comply with these requirements, then the Contractor will be notified of the deftct within 7 days after receipt of the invoice at the designateo billing office (3 days for meat and meat food products and 5 days for perishable agricultural commodities, edible fats or oils, and food products prepared from edible fats or oils).
Untimely notification will be taken into account in the computation of any I
interest penalty owed the Contracto.r in the manner described in subparagraph (a)(6) of this clause.
(i) Name and address of the Contractor.
(ii)Invoicedate.
(iii)Contractnumberorotherauthorizationforsupplies delivered or services performed (including order number and contract line item number).
(iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.
(v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number and weight of shipment will be shown for shipments on Government bills of lading.
(vi) Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contract or in a proper notice of assignment).
(vii) Name (where practicable), title, phone number and mailing address of person to be notified in event of a defective invoice.
(viii) Any other information or documentation required by other requirements of the contract (such as evidence of shipment).
(5) An interest penalty shall be paid automatically by the i
Government, without request from the Contractor, if payment is not j_
L l RS-RES89-352' Page 27 v
Section I made by-the due date and the conditions listed in subdivisions (a)(5)(1) through (a)(5)(iii) of this clause are met, if applicable.
' An interest penalty shall not be paid on contracts awarded to
~
foreign vendors outside the United States for work performed outside the United States.
(i) A proper invoice was received by the designated billing office.
(ii) A receiving report or other Government documentation
' authorizing payment was processed and there was no_ disagreement over-quantity, quality, or contractor compliance with any contract term or, condi ti on.-
(11'i) In the case of a~ final invoice for any balance of funds due l
the Contractor for: supplies delivered or services performed, the amount was not subject to further contract settlement actions between the Government and the Contractor.
'(6) The interest penalty shall be the rate established by the i
Secreta'ry of..the Treasury under Section 12 of the Contract' Disputes Act of 1978 (41 U.S.C. 611) that:is in effect on the day after the due'date, except where the' interest penalty is prescribed by other
. governmental.' authority. This rate is referred to as the
" Renegotiation Board Interest Rate, and it is published'in the Federal Register semiannually on or about January 1 and July 1. The
. interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive from the_-first' day after the due date through the payment date. That is, interest accrued.at the end of any'30-day-period will
't be'added to the approved invoice payment'_ amount and be' subject to.
interest penalties if not paid in the succeeding 30-day period. If-u L
the desigr.ated billing office failed toinotify the contractor of a.
l defective invoice.within the periods prescribed in ' par gnph (a)(4) of this 4:lause, then the due date on the corrected inveMe _will be adjusted tiy subtracting:the-number of days taken beyond the
~
p J
- prescribd notification.of defects period. Any interest penalty owed l
the Contracter will be based on this adjusted-due date. Adjustments
- c h
. wili-be made by the designated payment office for errors in J
L calculating interest penalties, if requested by the Contractor.
J L'
(i) For the sole-purpose of computing an interest penalty that T
.might be due the Contractor, Government acceptance shall be deemed p
to have occurred constructively on the 7th day (unless otherwise specified in'this contract) after the Contractor delivered the P
supplies or performed the services in accordance with the terms and
?'
conditions of the contract, unless there is a disagreement over quantity, quality, or contractor compliance with a contract provision. In-the event that actual acceptance occurs within the constructive acceptance period, the determination of~an interest penalty shall be based on the actual date of acceptance.
The E
constructive acceptance requirement does not, however, compel Government officials to accept supplies or services, perform contract %dministration functions, or make payment prior to fulfil'lia; their responsibilities.
7
2 RS-RES-89-352 Page 28 Section I (ii) The-following periods of time will not be included in the determination of an interest pena'ty:
(A) The period taken to not,1fy the Contractor of defects in
}
invoices submitted'to the Government, but this may not exceed 7 days
~
(3 days for meat and meat food products and 5 days for perishable agricultural commodities, dairy products, edible fats or oils, and
. food products prepared from edible fats or oils).
(B) The period between the defects notice and resubmission of the corrected invoice by the Contractor, (iii) Interest penalties will not continue to actrue after the filing of a claim for such penalties under the clausa at 52.233-1, Disputes, or for more than 1 year. Interest penalties of less than j
$1.00 ne.ed not'be paid.
l (iv) Interest penalties are not required on payment delays due to disagreemene between the Government and Contractor over the payment-amount or other issues involving contract compliance or on amounts I
temporarily withheld or retained in accordance with the terms of.the
~
contract. Claims involving disputes, and any interest that may' be
-payable, will;be resolved in accordance with the clauseLat 52.233-1, i
Disputes.
4
~(7). An interest penalty shall also be paid automatically by the-designated payment office, without request from the contractor, if a-discount for prompt payment is taken-improperly. -The interest penalty will be calculated as described-in subparagraph (a)(6) of' this clause on the amount of discount taken for the period beginning with the first day after the end of the discount! period'through.the date when the Contractor is. paid.
(8) If this contract was awarded on or after October'1, 1989, a penalty amount, calculated in accordance with regulations. issued by j
the Office.of Management and Rudget, shall be paid in addition to I
the inteest. penalty amount if the Contractor-(i)
Is owed an interest penalty; i
(ii)
Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and
.(iii) Makes a written demand, not later than 40 days after the date the invoice amount is paid, that the agency pay such a penalty.
(b) Contract Financing Payments
'(1) For purposes of this clause, " contract financing payment" means a Government disbursement'of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progress payments based on cost under the q
clause at 52.232-16, Progress Payments, progress payments based on a
RS-RES-89-352 Page 29
+
['
^
percentage or stage of completion (32.102(e)(1)) other than those made under the clause at 52.232-6, Payments Under Fixed-Price Construction Contracts, or the clause at 52.232-10, Payments-Under Fixed-Price Architect-Enginese Contracts, and interim payments on cost type contracts.
(2) For contracts that provide for contract financing, requests for. payment shall be submitted to the designated billing office as specified jn this contract or as directed by the Contracting Officer.-Contract financing payments shall be made on the (insert day as prescribed by Agency head; if not prescribed, insert 30th day) day'after receipt of-a proper contract financing request by the designated billing office. In the event that an audit or other review of a specific. financing request is-required to ensure compliance with the terms and conditions of-the contract, the designated payment office is not compelled to make payment by the duc date specified.
(3) For advance payments, loans, or other arrangements that do not involve recurrent-submissions of contract financing requests, payment shall be made in accordance with the corresponding contract terms or as directed by the Contracting Officer.
(4) Contract financing-payments shall not be assessed an interest penalty for payment delays.
.(c) If this contract contains-the clause:at 52.213-1, Fast Payment Procedure, payments will be made within 15 days after the
-date of receipt of the invoice.
(End of Clause)
I5 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS
.(52.232-28)(APR1989)
Payments under this contract will be made by the Government either by check or electronic funds transfer (tnrough the Treasury Fedline Payment System (FEDLINE) or the Automated Clearing House (ACH)), at the: option of the Government.
After award, but no later than 14' days before an invoice or contract financing request is submitted, the Contractor shall designate a-financial institution for receipt of electronic funds transfer payments, and shall. submit this designation to the Contracting Officer or other Government official, as directed.
(a) For payment through FEDLINE, the-Contractor shall provide the following information:
(1) Name, address, and telegraphic abbreviation of the financial institution receiving payment.
-(2) The American Bankers Association 9-digit identifying number for wire transfers of the financing institution receiving payment if the institution has access to the Federal Reserve Communications System.
u
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RS-RES-89-352-Section I o-l (3) Payce's account number at the financial institution where
. funds are to be transferred, (4).If the financial institution does not have access to the Federal: Reserve Communications System, name,. address, and telegraphic abbreviation of the correspondent financial institution through which the financial institution receiving payment obtains wire transfer activity, Provide the telegraphic abbreviation and American Ba-kers; Association identifying number for the i
correspondt. inttitution.
.(b) For payment through ACH, the' Contractor shall provide the 1
following information:
e
.)
(1) Routing transit number of the financial institution receiving i
payment (same as American Bankers Association identifying number 1
used for-FEDLINE);
R (2) Number of account to which funds are to be deposited.
L i
(3) Type of depositor account ("C" for checking, "S" for savings),
-(4) If the Contractor is a.new enrollee to the ACH system, a
" Payment Information Form," SF 3881, must be completed before payment'can be processed,~
t (c) In the event the Contractor, during -the performance.of this r
l contractf elects to designate a different financial institution for L
the receipt of any payment'made usingielectronic funds transfer
. procedures, notification of such change and the required information specified above must be received by.the appropriate Government' official 30 days prior. to the date such change is' to become
. effective.
(d) The documents furnishing the information required in this clause must be dated and contain the signature, title, and telephone number of the' Contractor official authorized to provide it, as well as the Contractor's nate and contract number, (e)-Contractor failure to properly designate-a financial institution or-to provide appropriate payee bank account information may delay payments of amounts otherwise properly due.
(End of Clause) e-h d
Y
.. y Page 31
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RS-RES-89-352 Section I s..
I.6-PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984),
(a) The.use of-overtime is authorized under this contract if.the overtime' premium cost does not exceed $0.
In addition to this dollar -ceiling, overtime is permitted only for work--
.(1) Necessary tu cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of-production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or y;
accounting; (3) To perform tests, industrial processes, laboratory
. procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or
.(4) That will result in lower ove'rall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--
(1)' Identify the work unit;. e.g., department or; section in which the requested overtime will be used, together with present workload, staffing, and.other data of the affected unit sufficient to permit the Contracting Officer.to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule;
.(3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other
. Government contracts, together with identification of.each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.
(End of Clause) 1
a RS-RES-89-352 Page 32 Section !
i I.7 RIGHTS TO PROPOSAL DATA (TECHNICAL)
(FAR 52.227-23) (JUN 1987) l Except for data contained on pages
, it is agreed that as a l
condition of-award of this contract, and notwithstanding the conditions of any notice appearing thereon, the Government shall have unlimited rights (as defined in the " Rights in Data--General" clause contained in this contract) in and to the technical data contained in_the proposal dated upon which this contract is based.
(End of Clause) i r
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i
'RS-RES-89-352 Page 33 Section I I.8 DRUG-FREE WORKPl. ACE (FAR 52.223-6)
(a) Definitions. As used in 'this r:lause,
" Controlled substance" means a controlled substance in schedules I through V of section'202 of the Controlled Substances Act (21 U.S.C.
812) and as further defined in regulation at 21 CFR 1308,11-1308.15.
" Conviction" means a finding of guilt (including a plea of nolo
.' contendere)~or imposition of sentence, or both, by any judicial booy charged with the responsibility to determine violations of the Federal or State criminal drug statutes.
" Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession er. use of any controlled substance.
" Drug-free workplace" means a site for the performance of work done in connection with a specific contract at which employees of the contractor are prohibited from engaging in the unlawful manufacture, distributioni dispensing,' possession, or use of a controlled. substance.
" Employee" means an employee of a contractor directly engaged in the performance-of work under a Government contract,
" Individual" means an: offeror / contractor that has no more than s
one employee including the offeror / contractor.
(b) The Contractor, if other than an individual, shall --
(1) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violations of suen prohibition; (2) Establish a drug-free awareness program to inform such emoloyees about--
(1) The dangers of drug abuse in the workplace; (ii) The contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and 1
(iv) The penalties that may be imposed upon employees for drug abu'se violations occurring in the workplace.
(3) Provide all employees engaged -in performance of the contract
RS-RES-89-352 Page 34 Section I with:a copy of the statement required by subparagraph (b)(1) of this-clause:
(4). Notify such employees in the statement required by
^
subparagraph (b)(1) of this cla.use, that as'a condition of continued employment on this contract, the employee will --
(i) Abide by the terms of the statement; 'and (ii) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no.later than five (5) days after such conviction.
(5) Notify the contracting officer within ten (10) days after 3
receiving notice under subdivision (a)(4)(ii) of this clause,- from an employee or otherwise receiving actual notice of such conviction; (6) Within 30 days after receiving notice under subparagraph (a)(4) of this clause 'of.a conviction, impose the following sanctions or:remecial measures on any employee who.is convicted of l
drug. abuse violations occurring in the workplace:
E (1) Taking appropriate personnel action against such employee, up j
to and including termination; or
.(11) Recuire such employee to satisfactorily participate 1n a
~
drug abuse. assistance or. rehabilitation program approved for such purooses by a Federal, State, or local health, law enforcement, or h
other. appropriate agency.
(7) Make a good faith effort to maintain a drug-free workplace 1
through implementation of' subparagraphs (b)(1) through (b)(6)- of this clause.
l-(c) The Contractor, if an individual, agrees by award of the contract or accentance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use.
L of a centrolled suostance in the performance of this contract.
,(d) In addition to other remedies available to the Government,
.the Contractor's failure to comply with the requirements of paragraphs (b) ano {c) of;this clause may, pursuant to FAR 23.506, render the contractsr subject to suspension of contract payments, termination of the contract for default, and suspension or
-debarment.
(End of Clause)
O'
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s RS-RES-89-352.
Page 35-Section I-
'e F
i i
1,9 REMEDIES.FOR ILLEGAL OR IMPROPER ACTIVITY-(52.203-10)
.i (MAY 1989)
(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 (c) of this clause if the head of the agency or his or her designee, determines that_there was a violation of subsection 27(a) of the Office of Federal Procurement Policy Act-(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 associated with the particular.
contract modification.
-(b) Prior to making such a fee or profit reduction, the-agency we head or his or her designee shall provide to the Contractor a_
written notice of the action being considered'and the basis therefor. The Contractor shall have s' period determined by the-i agency head or.his or her designee, but in no event less than 30
~
calendar days after receipt of-such notice, to: submit in person, in writing,' or through a representative, information and argument in opposition to the proposed reduction. The agency head or his or her designee may, upon good cause-shown.. determine to' reduce the dentract or contract modification price or fee by-an amount-which is less than the amount determined under paragraph (c) of..this clause.
-(c) The price or fee reduction referred to in paragraph (a) of L
l 1
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s
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RS-RES-89-252 Page 36 Section I 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; J
(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.
-(3)Forcostplus-award-feecontracts--
(i) The base fee established in the contract at the time of k
contract award; (ii) If no base fee is specified in the contract, 10 percent of the amount of each award fee otherwise payable to the contractor for each incentive period or at each award fee determination point.
(4) For fixed price-incentive contracts, the Government may --
i
-(t)= Reduce the contract target price and contract target profit
.both by an amount-equal to the initial target profit specified in the contract at the time of contract award; (ii) When the: contract provides for multiple. deliverables, reduce the amount otherwise payable to the contractor upon each delivery-and. acceptance by an amount determined by the Contracting.0fficer to be the profit portion of each payable amount until the cumulative total of-such reductions is> equal to the initial target profit amount'specified in the contract at the time of contract award; 7
(iii) In sd'dition_.to.any other withholdings, retentions or reserves, reduce the amount of progress payments otherwise payable j
in connection with each-invoice. or voucher properly submitted by. the contractor for payment until the aggregate progress payments amounts so withheld equal the initial target profit established at the time y
of contract _ award; or q
(iv) If the Government elects either (c)(4) (ii) or (iii) of this L
- clause, at. the time of total final price establishment, the price established. in accordance with the incentive price revision provisions of the contract shall be reduced by an amount equal to-L E
the amount of initial target profit specified in-the contract at the time of contract award and such reduced price shall be the total final contract price. Any progress payments. amounts retained by the Government in (c)(4)(iii) of this clause shall be returned to the contractor, if appropriate.
i I
(5) For firm-fixed price contract or contract modifications, 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.
l (d) The Government may, at its election, reduce a prime
,JJi __ _ UJ
k J
l I
3 RS-RES-89-352 Section I l
}
Page 37 contractor's price or' fee 1'n accordance with the procedures of paragraphs (b) and (c) of this clause for violations of the Act by L
its subcontractors by an amount not to exceed the amount of profit-1 or fee reflected in the subcontract at the time the subcontract was first-definitively priced.
.(e) In addition to the remedy in paragraph (a) of this clause, j
the Government may terminate this contract or modification for default. The rights and remedies of the Government specified herein are not exclusive, and are in addition to any other rights-and i
J remedies provided by law or under this contract.
(End of clause) 1.10 PROTECTING THE GOVERNMENT'S INTEREST WHEN SUBCONTRACTING WITH CONTRACTOR $' DEBARRED, SUSPENDE9, OR PROPOSED FOR DEBARMENT (52.209-6) (MAY 1989)
(a) The Government suspends or debars Contractors to protect the-Government's interests. Contractors shall not enter into any i
subcontract equal to or in excess of $25,000 with a Contractor that -
has been debarred, suspended, or proposed for debarment unless there is a compelling reason to do so. If a Contractor intends-to
.i subcontract with a party that is debarred, suspended, or proposed for debarment (see FAR 9.404 for information on the list of Parties Excluded from_ Procurement Programs), a corporate officer or designee of the Contractor:shall notify the Contracting Officer, in writing,-
before entering into such subcontract. The notice must include the following:
(1) The name of the subcontractor; (2) The Contractor's knowledge-of the' reasons for the
, subcontractor being on the list of Parties Excluded from Procurement Programs;
.t (3) The compelling reason (s) for doing business with the subcontractor notwithstanding its inclusion on the list of Parties Excluded from Procurement Programs; and l
(4) The systems and procedures the Contractor has established to ensure that it is fully protecting the Government's interests when dealing with such subcontractor in view of the specific basis for the party's debarment, suspension, or proposed debarment.
(b) The Contractor's compliance with the requirements of 52.209-6 will be reviewed during Contractor Purchasing System Reviews (see FARSubpart44.3).
L (End of clause)
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. _. ~ _. _.
7, 6
RS-RES-89-352 Page 38 Section I y-1.11 RESTRICTIONS ON CONTRACTING WITH SANCTIONED PERSONS (52.225-13)(MAY1989)
(a) Definitions. (1) " Component part," means any article which 1.s not usable for_its intended functions without being imbedded or integrated into any other product and which, if used in production of a finished product, would be substantially transformed in that process.
(2) " Finished product," means any-article which is usable for its i
intended function without being imbedded in, or integrated into, any other product. It does not include an article produced by a person, other than a sanctioned person, that contains parts or components of the sanctioned person if the parts or components have been substantially transformed during production of the finished product.
t (3) " Sanctioned person," means a company or other foreign person upon whom prohibitions have been imposed.
(4) "Substantially transformed," when referring to a component part or finished product, means that the part or product has been subjected to a substantial manufacturing.or processing operation by which the part.or.. product is converted or' combined into a new and different article of commerce having a new name, character, and use.
(b) General. Section 2443 of the Multilateral Export Control Enhancement Amendments Act (Pub. L. 100-418) and Executive Order 12661,. effective December 28, 1988, impose, for a period of 3 years, with certain exceptions,-a prohibition on contracting.with, or procuring (including rental and lease / purchase). directly or indirectly the products or services of (1) Toshiba Machine Company, (2) Kongsberg Trading Company, (3) Toshiba-Corporation, or (4)
Kongsberg'Vaapenfabrikk. The Act and Executive Order also prohibit, for.the.same 3 year period, the importationlinto the United States
.of-all' products produced by Toshiba Machine Company and Kongsberg Trading Company. These prohibitions also apply to subsidiaries, successor entities or joint ventures of Toshiba Machine Company or Kongsberg Trading Company.
l (c) Restriction. Unless listed by the Contractor in its offer, in L
the solicitation provision at FAR 52.225-12, Notice of Restrictions i
on: Contracting with Sanctioned Persons, or unless one-of the exceptions in paragraph (d) of this clause applies, the Contractor 3
L' agrees that no products or services delivered to the Government l
under this contra'ct will be products or services of a sanctioned person.
L (d) Exceptions. The restrictions apply --
l (1) To finished products of nonsanctioned persons containing components of a sanctioned person if these components have been substantially transformed during the nianufacture of the finished product.
l (2) To products or services of a sanctioned person provided --
L L
RS-RES-89-352 Page 39 A Section I 4
(i)Theproductsaredesignedtothe.specificationsofa nonsanctioned person marketed under the trademark, brand or'name of the nonsanctioned person; (ii) The business relationship'between the nonsanctioned person and the sanctioned person clearly existed prior to June 30, 1987; and-(iii) The nonsanctioned person is not directly or indirectly owned by a sanctioned, person.
.(3)-If a determination has been made in accordance with FAR 25.1003L
~(a).or(b).
(e) Award.~ Award of any contract resulting from this solicitation will not affect the Contractor's obligation to comply with importation regulations of the Secretary of the: Treasury.
(End of clause)
I.12. CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (JUN 1988)
This contract. incorporates one or-more clauses by reference, with the same force and effect as i_f they were given in' full text.
Upon request, the Contracting Officer will make their full-text available.
(End of' Clause) 8
j RS-RES-89-352
'Page 398 See? ion I L
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1.13.
REQUIREMENT FOR CERTIFICATE OF PROCUREMENT i
INTEGRITY -- MODIFICATION. 52.203-9 (MAY 1989) n (a) Definitions. The definitions set forth in FAR 3.104-4 an 1
he mby incorporated in this clause.
f o
(b) The Contractor agrees that it will execute the certification j
~
. set forth in paragraph (c) of this clause when neuested by the Contracting Officer in connection with the execution of any modification of this contract. A contract modification may not be executed without the certification.
(c) Certification.JAs mquired in paragraph (b) of this clause, the officer or employee responsible for the modification proposal t
shall execute the foilowing certification:
~ CERTIFICATE OF PROCUREMENT: INTEGRITY - MODIFICATION (MAY 1989)
(1)I, (Nameof L
certifier), am the officer or employee responsible for the-4 l-preparation of this modification proposal and hereby certify that,
.to' the best of my knowledge and belief, with the exception of any K.
information described in this certification, I have no information L
concerningLa violation or possible violation of subsection 27(a),
l (b),'(c), or (e) of the Office of Federal Procu m ment Policy Act (41 U.S.C. 423), (hereinafter _ refernd to as the Act), as implemented in
(
the FAR, occurring during the conduct of this procurement-(contract r
number
) (modification number
).
l (2) As requind by subsection 27(d)(1)(B) of the Act, I further certify that each officer, employee, agent, n presentative, and consultant'of'
~
L (Name of L
offeror) who has participated personally and substantially in the-preparation:or submission of this proposal has certified that he or she is' familiar with,.and will comply with, the requirements of subsection 27(a) of the Act, as implemented in'the FAR,'and will s
report immediately to me any information concerning a violation or possible violation of subsections 27 (a), (b), (c), or (e) of the Act, as implemented in the FAR, pertaining to this procurement.
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- I'" I RS-RES-89-352
? age 39C
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'(3)' Violations or possible violations: (Continue on plain bond paper if necessary;and label " Certificate of Procurement Integrity
-- Modification (Continuation Sheet)") (ENTER "NONE" IF NONE EXISTS) 1 0
l E
l (Signature of the Officer or Employee. Responsible for the Modification Proposal)
)
(Date)
(Typed Name of the Officer or Employee Responsible for.the Mcdification) Proposal]
L THIS CERTIFICATION CONCERNS', A. MATTER WITHIN THE JURISDICTION OF L
L AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT.
~
TO PROSECUTION UNDER TITLE 18, UNITED STATES CODE, SECTION 1001, O
I L
(End of certification)
. (d) In making the certification in paragraph (2) of the-certificate,=the Contractor may rely upon the certification by an officer, employee,' agent, representative, or consultant that such p'
person is in compliance with the requirements of-subsections 27 (a),
(b), (c), aor (e) of the Office of-Federal Procurement Policy Act (41 u
U. S. C,1 423), as-implemented in-the FAR, unless the ' Contractor knows, or, should have known, of reasons to the contrary..The Contractor.may frely upon. periodic certifications that must.be obtained.at least annually, supplemented with periodic training programs. These
. certifications shall be maintained by the Contractor for a period.of
.i 6 years from the date of-execution, 4
o (e) The certification required by paragraph (c) of this clause is a material representation of fact upon which reliance will be placed in executing this modification.
l l
(End of clause) 4 w
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phy
RS-RES-89-352 Page 39D Section J x
s PART III - LIST OF DOCUMENTS.. EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS
- J1 ' ATTACHMENTS (KAR1987)
Attachment Number-Title 1
Billing Instructions.
2 NRC Contractor Organizational Conflicts of Interest (41 CFR Part-20) 3 NRC Manual Chapter J202 4
Standard Form-1411 with Instructions 5'
3 REVISED 8/89 BILLING INSTRUCTIONS FOR COST-REIMBURSEMENT TYPE CONTRACTS General:
The contractor shall prepare vouchers / invoices for reimbursement of costs in the manner and format described herein.
A ' sample voucher / invoice is provided for your reference.
FAILURE TO SUBMIT-VOUCHERS / INVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT IN REJECTION OF the V0UCHER/ INVOICE AS IMPROPER.
Number of Copies:
An original and three copies, including supporting documentation shall be submitted.
A copy of all supporting documents must be attached to each copy of your voucher / invoice.
Failure to submit all the required copies will result in rejection of the voucher / invoice as improper.
Desionated Acency Billina Office:
Vouchers / invoices shall be submitted to the following address:
U.,S. Nuclear Regulatory Commission Division of Contracts and Property Management Contract Administration Branch, P-902 Washington, D.C. -20555 HAND DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NOT EXPEDITE
~ PROCESSING BY NRC.
However, should you-choose to deliver vouchers / invoices
- by hand,' including delivery by any express mail services or special delivery services which use a courier or other person to deliver the
-voucher / invoice in-person to the NRC, such vouchers / invoices must be addressed to the above Designated Agency Billing Office and will only be accepted at the following location:
U. S. Nuclear Regulatory Commission One White Flint North 11555 Rockville Pike Mail Room Rockville, Maryland 20852 HAND-CARRIED SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS.
Note that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts and Property Management.
Agency Payment Office:
Payment will continue to be made by the office designated in the contract in Block 13 of SF 26 or Block 25 of SF 33, whichever is applicable.
l
.o
k 2
REVISED S/89 i
Freauency:
The contractor shall submit claims for reimbursement once each month, unless otherwise authorized by the Contracting Officer.
l 1
Fo'rm:
Claims should be submitted in the format depicted on the attached sample form entitled " Voucher for Purchases and Services Other than Personal." The. sample form is provided for guidance only..The form is not required for submission of a voucher / invoice.
Alternate formats are permissible provided all requirements of the, billing instructions are addressed. : Additional copies of the form are available from the Contracting Officer.
The instructions for preparation and itemization of.
the voucher / invoice are included with the sample' form.
Task Orderina Contracts:
If the contractor bills for more than one task i
4 order under a voucher / invoice, detailed cost information for each individual task. order shall be submitted, together with a cumulative r
summary of all charges billed on the voucher / invoice.
This includes all applicable cost elements discussed in paragraphs (a) through (p) of the attached instructions, together with appropriate supporting information.
Billina of Cost After Expiration of Contract:
If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.
To be considered a proper expiration voucher / invoice, contractor shall. clearly mark it " EXPIRATION VOUCHER" or " EXPIRATION INVOICE."
Final vouchers / invoices shall be marked " FINAL VOUCHER" or " FINAL INVOICE."
Currency:
Billings may be expressed in the currency normally-used by the i
contractor in maintaining his accounting records; payments will be made in that currency.
However, the-U..S. dollar equivalent for all
- vouchers / invoices' paid.under the contract may not exceed the total V. S.
dollars authorized in the contract.
S_upersession:
These-instructions supersede any previous billing instructions.
t 5
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Attachmenti i"
VOUCHEkS FOR PURCilASES AN0' SERVICES OTitER Tl!AN PcRSONAl.-
l 4
30fficial Agency Billing Office (a) Contract Number U.- S. Nucicar Regulatory Commission Task Order No (if Applicable)
- Division of Contracts and Property Management, P-902 (b). Title of Project "ashington, D.C.
20555 Payce's Name and Address (c) Voacher Number (d)
Project Officer Individual to Contact (e)
Date of Voucher Regarding This Voucher:
Name:
(f) Contract;: Amount Tel; No.:
(g)
Fixed Fee thru (hf This voucher represents reimbursable costs from Amount Billed (1 ) Current Period-(m). Inception to Date (i) Direct. Costs (1)' Direct Labor *
(2) fringe Benefits 0 7.
-(if computed as percentaoc)
_ 3)~~ Capitalized nonexpendable-(
Ecutoment *
(4)-' Materials.- Supplies and Noncapitalized Eauipment *
. (S )-
Premium Pav (6) Consultants
- _(7) Travel - Domestic
- Foreign -
(8). Subcontract *
-(9) ~.0tber Cos ts *
( j) ' INDIRECT COSTS
- A) Overhead-.
% of (Indicate Base)
Subtotal B) General & Administrative Expense
% of Cost Elements Nos; Total Costs
'(k)f FIXEO. FEE EARNED -(Formula)
(n)_JTotal' Amounts Claimed L(0) Adjustments -
Outstanding Suspensions
~ (p). Grand Tota h j(REQUIRESSUPPORTINGINFORMATION--SEEATTACHED) e J8/89/
a o.;
[
Attachment
~
.sh 2
REVISED 8/89 Instruction for Itemization of Costs and Supportino Information:
PreparationandItemizationoftheVoucher/ Invoice:
In. order to constitute a. proper invoice, the contractor shall furnish all.the information set forth below.
These notes are keyed to the entries on the
. sample voucher / invoice.
Payee's name and address:
Show the name of the contractor as it appears
-in the contract and its correct' address.
When an approved assignment has been made by the contractor, or a'different payee-
.or addressee has been designated, insert the name and address of the-payee.
Indicate the name and telephone number of the individual responsible for answering any questions that the NRC may have regarding the invoice.
e (a) Contract Number.
Insert the NRC contract number Task Order Number, if applicable.
Insert the task order number.
(b)- Title of Project.
List.the full title of the project being performed under the contract.
(c)- Sequential voucher / invoice number.
The appropriate sequential number-of the' voucher / invoice, beginning with 001 should be designated.
Contractors may also include individual internal accounting numbers, if desired..in addition to the 3-digit sequential number.
(d) Project Officer's name and mailstop as designated in the contract.
(e) Date of voucher / invoice.
Insert the date-the voucher / invoice'is prepared.
(f) Contract Amount.- Insert the total estimated cost of the contract, exclusive of fixed-fee.
Include this information as it applies to individual task orders as well.
(g)~ Fixed-Fee.
Insert total fixed-fee.
Include this information as it applies to individual task orders as well.
(h) Billing Period.
Insert the beginning and ending dates (day, month, year) of the period during which costs were incurred and for which reimbursement is claimed.
(i) Direct Costs.
Insert-the major cost elements:
(1) Direct Labor.
This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows:
9
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Attachment' t
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f
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3 REVISED 8/89 Labor Labor Hrs.
Hours-Cumulative Category Negotiated Billed Rate Total Hours Billed (2)
Fringe Benefits.
This represents fringe benefits applicable to
. direct labor and billed as-a direct cost..Where a rate-is used,
(
indicate'the rate.
Fringe benefits' included in direct labor or
?
in other indirect cost pools should not be identified here.
. i N
(3) Direct Equipment.
For educational institutions, list each_ item I
costing.$500.00 or more and having a life expectancy of more than one year lFor contractors other than educational institutions,,
list each item costing $200.00 or more and having a life S
expectancy of more than one year.
List only those items-of equipment for which reimbursement is requested.
A reference shall be made to the following (as applicable):
(a) the item number.for the specific piece of equipment listed in the property-schedule of the contract; (b) the Contracting.
Officer's approval letter if the; equipment is not covered by the property schedule; or (c) be preceded by an asterisk (*)
if the equipment.is below the approval level.
Further itemization of vouchers / invoices shall only be required for items having specific limitations set forth in'the contract.
(4) Materials, Supplies, or Other Expendable-Items.
These are,
consumable materials, supplies, and equipment other than that
- t described in (3) above, y
(5) Premium Pay.
This is remuneration in excess of the basic s
hourly rate.
(Requires written approval of the Contracting i
Officer.)-
1 (6)' Consultant's Fee. The supporting information must include the J
name, hourly or daily rate of the consultant, and reference the NRC approval (if not specifically approved in the original' contract),
b (7) Travel.
Domestic travel is travel within the United States, its p
territories, possessions, and Canada.
It should,be billed L
separately'from foreign travel.
l All costs associated with each trip must be shown in the
=-
p following format:
Date Traveler Destination Purpose Cost o
From To From To i
i 4
g*
p
[
[
e 4
REVISED 8/89
-(8)-Subcontracts.
Include separate detailed breakdown of all costs paid to approved subcontractors during the billing a.
period.
-i (9) Other, l.ist all other direct costs by cost element and dollar..
(
amount separately.
t (j) Indirect Costs -' Overhead.
Cite the formula (rate and base) in-i effect during the time the cost was incurred and for which
^!
reimbursement is claimed.
(k)
Fixed Fee..If the contract provides for a fixed fee, it must be.
-claimed as provided for by the contract.
Cite the formula or-method of computation.
The contractor may_ bill for fixed fee only up to 85% of total fee.
(1) Amount Billed for Current Period.
Insert the amount billed for the major cost elements, adjustments, and total amount for-the period.
l x!
(m) Cumulat'ive Amount from Inception to Date of Current Billing.
Insert the cumulative' amounts billed for the major cost elements and adjusted amounts claimed-during this; contract.
l (n) Total Amounts Claimed.
Insert the total amounts claimed for the current and cumulative periods.-
(o)_ Adjustments.
This includes cumulative amounts billed that have been suspended or disallowed.
-L (p) Grand Totals.
e
(*) ' Supporting Information. _ Cost elements requiring detailed supporting-
'information--sample attached.
f i
t.
E
- j
mm ;m
.}
i 3
[w '
Attachment-l
?
b A
c l
T t
. Supporting Information - Sample 1-
-1) Direct Labor - $2400 Labor Labor Hours-Hours Cumulative.
. Category Neoo ti-ted Billed Rate To tal Hours Bllled Senior Engineer I:
2400 100
$14.00
$1400 975
?
[
Engineer 31500 50
$10.00
$500-465 Computer Analyst' 700
.100
$5.00
$500 320 '-
$2400 3)' Direct Eouiptrent Spectrometer - General Electric (as approved in Pruperty Schedule) 55,000 1
- 4) Haterials, Supplies & Other Expenoable items cl0 Radon Tubes 0 $110.00
= $1100.00
$900.00 6 Pairs ' Electrostatic Gloves.0 $150.00
=
52000.00
' 5') Premium Pay Wal ter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />,0 $10.00 Per Hour = $100
-(This;was approved by NRC in letter dated 3/6/82. )
,6 ) Consultants' Fee J0r. Carney. - I hour 0 5100
= 5100 j
<7) : Travel Date Traveler Des tina tiori Purpose Costs _
<]
1 I
' From To From To
'l 3/1/82 3/6/82
' William King Chicago, Wash.,
- Meeting with
$200 J
ll DC Project Officer l
i i
?8/89
[:T f Q
1.z
,o E
Attachment' 4
- 8) Subcontracts XYZ C')RP - (CPFF)
Direct Labor:
- 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 0 $20,00 per hour = $1600.00 0/H 0 50%
$800.00
=
Travel - 2. Trips - Wash., DC
- 0 $200
$400.00.-
=
to Boston, MA
$200.00 Profit 0 7%
=
TOTAL:
53000.00-(k) Fixed-Fee (Fonnula) n (5%)
$350,000 X 5% = $17,500 Total Fixed Fee for this Contract'
$27,200.X 5 ' = $1360 Fee Billed for this Period -
. e
( o) Ad_iustments
$1700 Indicates arnount withheld from voucher #001,-now approved by Contracting Officer letter 3/10/82.
n 1
.t c.'
e 4
e t
9 O
J
+
3 ATTACHMENT 2
+;
yQ PART 20-1 -- GENERAL
_j Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec.
.- 1.5401 Scope and policy.
1 20-1.5402 Definitions.
~
20-1.5403 Criteria for recognizing' contractor organizational j
son'flicts of interest.
20-1.5404 Representation.
20-1.5405 Contract clauses.
20-1.5405-1 General contract clause.-
20-1.5405-2 Special contract provisions.
20-1.5406-Evaluation, findings, and contract award.,
20-1.5407 Conflicts identified after award.
20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1'.5410 Subcontractors.
20-1.5411 Waiver.
. 20-1.5412 Remedies.
AUTHORITY:
Sec. 8, ~ Pub. L.95-601, adding Sec.170A to Pub. L.
L,83-703.68 Stat.919,asamended(42U.S.C.ch.14) l L
820-1.5401 Scope and Policy L
(NRC)(a) It is the policy. of the U.S. Nuclear Regulatory Comis g
l-of interest. The NRC achieves this objective-by requiring:all prospective contro: tors to submit information describing relationships, if any, with i
organizations or persons (including those regulated by 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.
u automatically or routinely; the application of sound judgment' on~ virtually a case-by-case basis is necessary if the policy is to be applied so.as to: satisfy the overall-public interest.
It'is not possible to prescribe in advance-a specific method or cet of criteria which would serve to identify and~ resolve all of the Lontractor conflict of interest situations
~ !
~
which might arise; however, examples are provided in-these regulations to guide application of the policy.
NRC contracting-and program officials must be alert to'other situations which may warrant application of this policy guidance. -The ultimate test is:
Might the contractor, if awarded p
i 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 NRC (e.g., parties to a licensing proceeding) are not
. covered by this regulation.
This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC..
7590-01,
agreements with other government agencies, international organizations, or state, local or foreign governments; separata procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate, e
I20-1.5402 Definitions
-(a)
" Organizational 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-perfomed under an NRC contract which:
(1) May diminish its capacity.to give impartial. technically l
sound, objective assistance and advice or may otherwise result in a biased work product, or (2.) may result in its being given an unfair.
competitive advantage.:
(b)
"Research" means any scientific or technical-work involving theoretical ~ analysis, exploration, or experimentation.
(c)
- Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.
(d)
" Technical consulting and management support services" means internal. assistance to a component of the NRC in the fomulation or administration of.its programs, projects, or policies which normally
.requ re the contractor to be given access to information which has-not i
- been made available to the public. or proprietary infomation. Such services typically include assistance in the preparation of-program plans; artd preparation of preliminary designs, specifications, or statements.of work.
r (e)
" Contract" means any contract, agreement, or other arrangement.
.with the NRC except as provided in Section 20-1.5401(c).
1 (f)
" Contractor" means 'any person, fim, unincorporated association, joint venture, co-spongor, 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 is a party to a contract with the NRC.
(g). " Affiliates" means business concerns which are affiliates of
~
each other when'either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controis or has the power to control both (41 CFR 51-1.606-1(e)).
'. ( h )' " Subcontractor" means any subcontractor of any tier which I
performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.
(1)
" Prospective contractor" or " offeror" means any person, firm, i
unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to y
obtain a contract.
2 1.
~
t.
7590>01
" Potential conflict of interest" means that a factual situation
-(j) exists that suggests (indicates) that an actual-conflict of interest may The tem " potential conflict arise from award of a proposed contract.
of-interest" is used to signify, those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual. conflict or which must be reported to the c..- ;racting f
- officer for investigation if they arise during contract per omance.
Criteria for recognizing contractor organizational g 20-1.5403 -.
. conflicts of interest
. (a) General.
Two questions will be asked'in detemining whether (1)Are actual or potential organizational conflicts of interest exist:
there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC?
(2)Maythecontractorbegivenan
~ unfair competitive advantage based on the performance of:the contract?-
The ultimate:detemination by NRC as to whether organizational conflicts-of interest' exist will be.made in light of conson sense and good business-judgment based upon the relevant facts disclosed and the work to be-While it-is difficult to identify and to prescribe in advance a'. specific method for avoiding all of the various situations or relationships performed.
which might; involve potential organizational conflicts of interest NRC personnel;will pay particular attention to proposed' contractual' requirements which call for.the-rendering of advice, consultation or evaluation
, activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future-procurements, and research programs.
(b)
Situations or relationships which may give rise to organizational (1) The offeror or contractor shall disclose conflicts of interest.
information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:
Where the offeror or contractor provides advice and recommendations (1) to the NRC in a technical area in which it is also providing consulting' assistance in the same area to any organization regulated by the NRC.
(ii).Wheretheoffatororcontractorprovidesadviceto'theNRCon the same or similar matter in which it is also providing assistance to any organization regulated.by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity.Where the offeror or contractor has been substantially involved in their development or marketing.
(iv) Where 'the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in wh result in an unfair competitive advantage for the offeror or contractor. 5
~
lS 7590 01 l'
(2) The contracting officer may request specific infomation from an offeror or contractor or may require special contract provisions such as provided in. I20-1.6405-2 in the following circumstances:
(1) 'Where the. offeror or contractor prepares specifications which are toebe used in competitive procurements of products or services covered by such specifications.
(ik)Wheretheofferororcontractorpreparesplansforspecific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.
.(iii)'Where the offeror or contractor'is granted access to infomation-not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.
(iv)-Where the offeror or contractor is granted access to proprietary information of its competitors.
(v) Where the award of a contract might otherwise 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 may otherwise result in an unfair competitive advantage for the offeror or contractor.
-(c) Policy application guidance.
The'following examples ar's
. illustrative only and are not intended to identify and resolve all-contractor organizational conflict of interest situations.
(1)l Example.
The XYZ 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 XYZ Corp. is-one of several companies considered to be technically well' qualified..In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently performing similar analyses for the reactor manufacturer.
- Guidance. An NRC contract for that particular' work-normally would not be awarded to.the XYZ Corp, because it would be placed in a position in which its judgment could be biased in' relationship'to its work for-
.NRC. Since there are other well-qualified companies available, there l
would'be no reason for considering a waiver of the policy.
(2) Example.
The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of-advanced reactor.
As is the case with other technically qualified companies ~ responding 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.,
1 s
7590-01 Guidance.
An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias An appropriate clause would be included in with respect to the work.
the contract to preclude the ABC Corp. from subsequently contracting for l
work during the performance of.the NRC contract with the private sector which could create a conflict.
For example, ABC Corp. would'be precluded from the perfonnance of similar work for the company developing the advanced reactor mentioned in the example, j
1 Example. As a result ' f operating problems in a certain type (3) o of commercial nuclear facility, it is imperative that NRC secure specific 1
. data on various operational aspects of that type of plant so as to assure adequate safety protection of the public.
Only one manufacturer i
has extensive experience with that type of plant.
Consequently, that i
company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the t
reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in
' which its judgment could be biased in relationship to its work for NRC.
j Since the nature of the work required is vitally important in tems of j
NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted.
Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against. bias.
(4)
Example.
The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's perfomance for the purpose of t
developing standards that are important to the NRC program. The ABC Co.
has advised NRC that it intends to sell the new system to industry once its 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 Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private actix sties unless such information has been reported to NRC. Information which U Mported to NRC by contractors.
will nomally be disseminated by NRC to others so as to preclude an unfair c epetitive advantage that might otherwise accrue. When NRC furnishes'information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such infomation 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 under the contract is proposed to be used.
j 75g0-01,
(5)
Example. The ABC Corp., in response to a RFP proposes to i
assemble a map showing certain seismological features of the Appalachian j
fold belt..In accordance with the representatian in the RFP and 120-1.5403(b)(1)(i), ABC Corp. infoms the NRC that it is presently doing seismological studies for several utilities in the Eastern United 2
States but none of the sites are within the geographic area contemplated by the NRC study.
Guidance.
The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role.
)
where its.iudgment might be biased.
The work for others clause of a20-i 1.5405-1(c) would preclude ABC Corp. from accepting work during the tem of the NRC contract which could create a conflict of interest.
(d) Other considerations.
(1) 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 detemination of the existence of such conflicts prior to the awe.rd of i
a contract.
(2)
It is not relevant that the contractor has the profest
- ,ei j
reputation of being able to resist temptations which arise from c ganizational J
- enflicts 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.
520-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in detemining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.
1 (b)
Representation procedure.
The following organizatichel conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: ' (1) Evaluation sery4ces or activities; (2) technical consulting and managersent support servicest' (3) research; and (4) other contractual. situations where spiecial organizational conflicts of interest provisions are noted it the solicitation and would be included in toe resulting contr6ct.
This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the
- changes" cituse.
Where, however, a statement of the type required by the organitational conflicts of interest representation provision has previously been submitted with.
regard to the contract being modified, only an updating of such statement shall be required.
[ *
.,.. -.. -., ~,
l 7590-01 i
0RGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an involve situations or relationships existingcontractdoes()ordoesnot()(b)(1).
of the type set forth in 41 CFR I20-1.5403 (c)
Instructions to offerers.
The following shall be included in all NRC solicitations:
(1) If the representation as completed indicates l
that situations or relationships of the type set forth in 41 CFR I20-1.5403(b)(1) are involved, or the contracting officer otherwise detemines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer.
If the contracting officer determines that organizational (1)Imposeappropriate conflicts exist, the following actions may)be taken: disqualify the offeror, or conditions which avoid such conflicts (ii (iii) detemine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of i
I 20-1.5411.
(2) The refusal to provide the representation required by 120-1.5404(b) or upon request of the contracting officer the facts required by 's20-1.5404(c), shall result in disqualification of the offeror for award.
The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated.
The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other I
remedial actions provided by law or the resulting contract.
(d) The offeror may, because of actual or potential organizational l
conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion.
Any such proposed exclusion by an offeror 4
will be considered by the NRC in the evaluation of proposals.
If the NRC considers the proposed excluded work to be an essential or integral I
part of the required work and its exclusion would work to the detriment I
of the competitive posture of the other offerers, the proposal must be rejected as unacceptable.
(e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission.
]
I 20-1.5405 Contract clauses s 20-i.5405-1 General contract clause
\\
-y.
1
7590 01 All contracts of the types set forth in i 20-1.5404(b) shall include the following clauses:
(a)
Purpose.
The primary (purpose of this clause is to aid in1) Is not placed in ensuring that the contractor:
because of current or planned interest (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.
(b)
Scope.
The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause.
(c) Work for others.
Notwithstanding any other provision of this contract during the tem of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any fim or organization, the result of which may give rise to a conflict of interest with respect to the work being perfomed under this contract.
The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.
If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.
(d)
Disclosure after award.
(1)Thecontractorwarrantsthatto 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 41 CFR 520-1.5402(a).
(2) The contractor agrees that if after. award it discovers organizational conflicts of interest with respect to this contract, it shall make an innediate and full disclosure in writing to the contracting' officer.
This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the government.
(e) Access to and use of information.
(1) If the contractor in the performance of this contract obtains access to infomation, such as NRC plans policies, reports, studies. financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. g3-579), or data which has not been released to the public, the contractor agrees not to: (i)Use such information for any(private purpose until the information has been released to the public; ii) compete for work for the Comission based 8
.~. _. -
7 l
7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the i
public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without I
prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.
l t
(2). In addition, the contractor agrees that to the extent.it receives or is given access to proprietary data, data protected by the
[
Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial infomation under this contract, the contractor shall treat such infomation in accordance with restrictions placed on use of the information.
(3)
The contractor shall have, subject to patent and security
)
provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
. (f)
Subcontracts.
Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including"this paragraph, in subcontracts of any tier.
The terms " contract,
" contractor," and
" contracting officer," shall be. appropriately modified to preserve the government's - ri@ts.
g I
(g)
Remedies.
For breach of any of the above pruscriptions or for J.
intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from i
subsequent contractual efforts, and pursue'other remedies as may be permitted by law or this contract.
(h)
Waiver.
A request for waiver under this clause shall be-directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in i 20-1.5411.
I20-1.5405-2 Special contract provisions.
i (a)
If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can' be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision.
If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include i
but are net limited to:
9
7590-01.
9 j
(1)
Hardware exclusion clauses which prohibit the acceptance of 1
l procuttion contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3)
Clauses which require the' contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and 3
(4)
Clauses which provide for protection of confidential data and l
puard against its unauthorized use, j
(b)
The following additional contract clause may be included as section (i) in the clause set forth in s 20-1.5405-1 when it is determined I
that award of a follow-on contract would constitute an organizational
{
conflict of interest.
(i)
Follow-on effort.
(1) The contractor shall be ineligible to participate in HRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's perfomance of work under this contract.
Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perfom any technical consulting or management support services work or evaluation activities 1
i under this contract on any of its products or services or the products i
or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.
1 (2)
If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor i
shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications.
The contractor shell not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not i
apply.
(3)
Nothing in this paragraph shall preclude the contractor.from offering or selling its standard comercial items to the government.
I 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted t
by an offeror pursuant to the representation requirements of I201.5404(b)-
and other relevant information.
After evaluating this infomation against the criteria ofI20-1.5403, a finding will be made by the contracting officer whether organizational conflicts' of interest exist with respect to a particular offeror.
If it has been determined that conflicts of interest exist, then the contracting officer shall either:
(a)
Disqualify the offeror from award, l
7590-01
)
~(b)
Avoid or eliminate such conflicts by appropriate measures; or
]
I (c)
Award the contract under the waiver provision of I 20-1.5411.
g 120-1.$407 Conflicts identified after award.
If potential organizational conflicts of interest are identified after award with res;pect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by $20-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 120-1.5411, neutralize the effects
)
i of the identified conflict, 120-1.5408 (Reserved) 120-1.5409 (Reserved) 120-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with i20-1.5404(b) from subcontractors and consultants.
The contracting officer shall require the contractor to include contract clauses in acco'rdance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this-subsection.
r i20-1.5411 Waiver In the first instance, determination with respect'to the need to r,dek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director.
Upon the recommendation of the contracting officer,- and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
Such action shall be strictly limited to those situations in which:
(1) The work to be perfomed 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; and (3) contractual and/or technical' review and supervision methods can be employed by NRC to neutralize the conflict.
For any such waivers, the
+
justification and approval documents shall be placed in the Public Document Room.
' x
I i
.J 7590 01 520 1.5412 Remedies
)
In addition to such other remedies as may be 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 contracter from subsequent NRC contracts.
Dated at Washineton. D.cthis 27th day of March
- 1979, l
For the Nuclear Re9ulatory Commission cituud\\ (n.&
e Samuel J. Cnilk Secretary of the Comission L
9 4
t 9
4 t'
l l
4 L
12 l
ATTACHMENT 3 l'.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume:
3000 Information and Foreign Activities Part 3200 Technical Information and Document Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202 01-COVERAGE This chapter and its appendix handbook establish responsibilities, basic requiremen ts. standards and procedures for the documentation, production and dissemination. of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding.. These reports are hereafter referred to as contractor re-pnrts. This chapter does not cover NRC staff-generated documents, NRC l
docket material. ' or the documents generated by NRC boards, panels.
[
advisory committees and Offices that report to the Commission.
\\
3203-02 OBJECTIVES 0 21 to usure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act.
022 to assure that dissemination of technical reports is consistent with requirements for public availability of information.
023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports f rom N RC.
024 to assure that fonnal NRC ' contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification.
025 to provide for coordination of press or other media releases.
3202-03 RESPONSIBILITIES AND AUTHORITIES b
0 31 The Director, Office of Administration,:
develops and maintains, in consultation with Directors of ' Offices a.
and Divisions and Regical Administrators. NRC standards, proce-dures and guides for th production and dissemination of technical contractor reports.
Approved:
August 29, 1984 L
.q PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC 3202 032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
l b.
periodically surveys report activities throughout NRC to ascertai.n i
that the provisions of this chapter are adequate and are being implemented; makes any changes needed.
032 The Director. Division of ' Technical Information and Document Control:
develops and administers a central report control system for identi-l s.
fying, printing < and distributing contractor reports and responding to requests for unclassified reports.
4 b.
develops and maintains guides and standards for the documentation.
formatting, printing, dissemination, and public sale of unclassified contractor reports.
c.
assures that a sys.em exists for review of unclassified, contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination.
d.
establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure i
l adherence to the Government Printing and Binding Regulations I
issued by the Joint Committee on Printing (JCP), Congress of the United Stater,.
l e.
in response to requests of Directors of Offices and Regional l
Administrators, establishes distribution data banks, maintains official t
standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to I
the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act.
i 033 Directors of Offices and Rerional Administrators:
a.
establish the contract or Standard Order for Work
- provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendia; Chapter NRC-0260, Print-ing, Copying, Graphics and Photography and its appendixt and Chapter NRC-1102,
- Procedures for Placement of Work with the Department of Energy. In the Statement of Work:
(1) specify what reports will be ceviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addf-tion to the standard government disclaimer (see Exhibit 6).
- In the case of DOE work, this is NRC Form 173, Standard Order for DOE
~
Work. _ See Chapter NRC-1102.
' Approved:
August 29, 1984
['
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC 3202 034 4
(2) provide for the reviews necessary to insure that the national security, patent rights, copyrights, proprietary rights and i
rights in other sensitive unclassified information are not compromised by the release or - dissemination of the reports.
If DOE ' contractors are to be authorized to make the reviews, designate the contractor officials who are authorized to sign NRC Form 426A prior to NRC distribution of reports (see t
Appendix, Part IV).
Assure that sensitive unclassified and classified reports are marked and handled properly (see i
Appendix, Part V).
(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification, as illustrated in the appendix.
l (O specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP authorized federal print-ing plant (see Appendix, Parts 11 and IV),
(5) specify that all formal reports required by NRC shall be t
distributed by NRC.
(6) establish the number of copies the contractor may retain or request for internal and ' external distribution and charge
~
against NRC. Written justification must be provided, and i
L approval obtained of the NRC JCP representative (the Director.
L Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reportt..
L (7) assure the protection of classified and sensitive unclassified i
information, if any, in contractor. reports (see Appendix.
Part V).
b.
assure adherence to instructions and authorizations regarding the reproduction and distribution of reports, c.
recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control.
d.
provide changes to the official standard distribution lists to the Division of Technical Information and Document Control.
L establish procedures for review of contractor's proposed press and e.
other media releases.
034 The Office of the Executive f**al Director provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary = information, use of copyrighted material, national security, and i
other sensitive unclassified and classified information.
(
035 The Director. Office of Public Affairs, upon request of the project L
~ manager, reviews proposed contractor's press or other media releases for L
i appropriateness.
Approved:
August 29, 1984
I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC 3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director. Division of Security:
s.
administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information.
b.
advises staff of NRC Offices and Regions on the preparation and handling of reports containing classified, proprietary and other sen-sitive unclassified information.
037 The Director, Division of Contracts:
?
a, coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as they pertain to report production and distribution.
b, advises the contractor as to the source and method for obtaining reports required from the government for performance of the eentract.
c.
provides contnetor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3230, when appropriate.
d.
determines when requests.for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring t
contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government. Printing and Binding Regulations.
e.
ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information.
3202-04 DEFINITIONS
- j.
041 camera-ready copy - pages ready for printing by the offset printing.
process. This is a colloquial term used even though the printing process may l
not involve the so-called copy camera (see.also reproducible masters).
042 central report control system - means for developing and n.21ntaining the policies, procedures and guides needed to identify and produce regulatory D
and technical reports and to assure adherence to requirements and standards for -documentation, formatting, printing and dis,tribution.
L 043 contractor report record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an y
l interagency agreement.
N
.Words underscored in definitions are also defined in list.
4
. Approved:
August 29, 1984
l c
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202 044 044 copyright - a form of protection provided by the laws of the United States (Title l' 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.
045 disseminate'- to announce the publication of reports and make them available for free distribution, sale or copying.
046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.
047 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.
048 draf t or final material for ine'lusion in " Safety Evaluation Reports"
(
written material requested for input to or " Environmental Statements" (ES)
SERs or ESs to be assued as NUREGs. Such material may be edited or modi-l l
fied at the discretion of the NRC staff.
049 formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This product is a l
formal technical report for publication in the NUREG/CR series. For extensive j
long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report
[
may be requested for comment prior to preparation of the camera-ready copy.
0410 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.
examination by legal staff to assure protection 0411 patent review rights in inventions.
0412 proprietary information - trade secrets; privileged or confidential research, development, commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by. the NRC.
0413 publicly available documents - information (reports and references) l which.is available in the NRC Pubbe Document Room (PDR) for public inspec-tion and copying or available in the public domain.
Approved: August 29, 1984
-]
i:
PUBLICATION OF TECHNICAL REPORTS PREPARED BY i
l NRC CONTRACTORS, INCLUDING REPORTS PREPARED l
l NRC-3202 0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS S
0414 reproducible masters camera ready copy which includes (1) origi-nals of line drawmgs (or prmts that can be copied), (2) glossy prmts of black and white photographs (colored photographs cannot be reproduced).
(3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce.
0415 technical reports information on the technical aspects of contract work. These may be mteria or final technical letter reports, draft or final a
fomal technical reports for publication in the NUREG/CR or NUREG/CP series, or draft or final material for inclusion in SERs or ESs.
0416 technical letter reports (also caued technical evaluation reports )
- interint or fmal letters that provide information on the technical aspects of contract work.
Interim technical letter reports may be required at various stages of a project. These reports.usuaUy are fonowed by a final technical letter report or a' formal technical report.
Final technical letter reports are usually specified in situations where the technical work is review and eval-untion of work of others or work to be used by the staff in the licensing and regulation process.
Interim letter reports may include, but are not limited to, informal (interim) progress reports, quick look reports, data reports, status summary reports, project descriptions, pre-tested predictions, model verifications, experiment safety analyses, experiment operating procedures.
facility certification reports, and test result reports.
0417 unioue identification - NRC identification used on a report and its attachments, revisions, and supplements that is not used on any other report.
3202-05 BASIC REQUIREMENTS 0 51 Applicabilitv. The provisions of this chapter and its appendix apply to NRC consultants, grantees,. contractors and subcontractors, including those t
working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels,
advisory committees and Offices which report directly to the 4
Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission.
These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be riven wide public dissemination.
052 Foms. NRC Form 426A, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shan be used as provided in o
the appendix, j
053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work,
,) ~
i and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with
. contreet requirements or interagency agreements.
Approved:
August 29, 1984
.. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED
~
UNDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS NRC 3202 054
)
~
054 Preparation Requirements a.
Reports to be Printed by NR.C. All contractor reports to be printed I
by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution she.11 be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.
b.
Reports Printed by Authorized Federal Printing Plants.
All contrac-I tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi.
cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa;;e.
a completed NRC Form 335.
055 References. The NRC chapters referenced and NUREG 0794 (ref. j) and Nl' REG-0650 (ref. 'i) are available from the Division of Technical Informa-tion and Document Control. The other publications are available from the Government Printing Office.
a.
Chapter NRC-0260. " Printing Copying. Graphics and Photography."
b.
Chapter and Appendix NRC-2101, "NRC Security Program."
c.
Chapter NRC-3203. " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents."
d.
Chapter N R C-I l 0". " Procedures for Placement of Work with the Department of Energy."
e.
Chapter NRC-3206. "NRC Contractor Speeches, Papers and Journal Articles on Regulatory and Technical Subjects."
f.
Chapter NRC-3207,
" Conferences and Conference Proceedings. "
g.
Title 44, U.S. Code. "Public Printing and Documents." Government Printing Office.
h.
Government Printing and Binding Regulations of the Joint Committee on Printing. Congress of the United States, No. 24, April 1977 (JCP Regulations). Government Printing Office.
I.
Title 5.
U.S.
Code. " Government Organization and Employees."
Government Printing Office.
Approved:
August 29, 1984
r l
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
.l NRC CONTRACTORS. INCLL' DING REPORTS PREPARED NRC 3000 055 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS e
j.
" Technical Writing Style Guide." A. W. Savolainen et al., compilers.
l'.S.
NRC Report NUREG 0650 November 1979, and Supplement 1.
February 1982.
k.
" Protection of Unclassified Safeguards Information," D. J. Kasun.
USNRC Report St* REG 0794. October 1981.
Chapter NRC.0255, " Mail Management," and Appendix 02'55, Part V. '
1.-
Annex A.
l t
1 i
i 1
L l
.I l
l l
Approved:
August 29, 1984.
l I
PUBLICATION OF TECHNICAL REPORTS PREPARED BY I
NRC CONTR ACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l
CONTENTS PAGE PART I PREPARATION OF REPORTING REQUIREMENTS PORTIONS OF STAi.. ANTS l
OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A.
LI ST OF T ECHNICAL REPORT REQUIREMENTS.........................
I B.
REQUIREMENTS FOR FORMAL REP 0RTS...............................
2 C.
REQUIREMENTS FOR DRAFT REP 0RTS................................
2 D.. PUBLISHING UNCLAS$1FIED. NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS......................
3 t
E.
TYP0 GRAPHY....................................................
4 F.
REPORTS CONTAINING SENSITIVE UNCLASSIFIED kND 4
CLAS$1FIED INFORMATION........................................
G.
PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4
AND WORKSH0PS.................................................
H.
WRIT]NS AND PUBLISHING UNCLASSIFIED B00KS.....................
5 1.
DISTRIBUTION OF REPORTS TO CONTRACTORS........................
5' J.
COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UN:LASSlFIED INFORMAT10N...................................
5 PART 11 UNCLAS$1FIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...
7 A.
00CUMENTAT10N.................................................
7 a
1.
Applicability............................................
7 2.
Front Cover and Title Page...............................
7 3.
Availability Information.................................
9 4.
D i s c l a i me r...............................................
9 5 '.
Previous Reports in Series...............................
9 6.
Abstract.................................................
9 7.
References and Bibliographies............................
9 8.
Bibliographic Data Sheet.................................
10 B.
PATENT AND SECURITY REV1EWS...................................
10 1.
Patent Review............................................
10 10 2.
Security Review..........................................
t i
Approved:
August 29, 1984 Q.
I PUBLICATION OF TECHNICA1. REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER OR PURSitANT TO INTERAGENCY AGREEMENTS i
CONTENTS (Continued)-
i PAG [
C.
PROCEDURES FOR PRINTING AND DISTRIBUTING......................
11 l
.\\
1.
Printing..........................................
11 5
2.
Reprinting................................................
11 3.-
Distribution of Reports..................................
11 1
1 FxHIBITS 1
1.
Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorizea Federa.1 Printing P1 ants...........................................
13 2.
Sample Title Page for Unclassified Formal Contractor-Prepared l
Reports, Excluding Those Printed by DOE Laboratories with JCP Authorizeo Federal Printing P1 ants................................
14 l
3.
Sample Cover for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants..........
15 4.
Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants....,,......................................................
16 5.
NRC Form 426A, Publications Release...............................
17 6.
Di sc1cimer ed %ailability Statements............................
18 7.
NRC Form 335 Bibliographic Data Sheart............................
19 PART 111 UNCLASSIF. LED TECHNICAL LETTER REP 0RTS........................
21 A.
F0RMAT.......................................................
21 1.
Applicability...........................................
21 2.
Requirements............................................
21 B.
PATENT AND SECURITY REVIEWS.................................
21 1.
Patent Review..........................................
21 2.
Security Review.................
22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS......................
23 A.
DOCUMENTATION,..............................................
23
~
I 1.
Applicability..........................................
23 2.
Front Cover and Title Page.............................
23 4
Approved:
August 29 1984 11
]
0 PUBLICATION OF TECHNICAL REPORTS PREPARED BY L
o-NRC CONTRACTORS. INCLUDING REPORTS PREPARED I
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 o
CONTENTS (Continued)
PAGE j
3.
hvailability and Pric'e Information.....................
25 l
4 Ditcla1mer.............................................
25
?revious Reports in Series.............................
25 6.
Abstract...........
25 7.
References and Bibliographies..........................
26 8.
Bibliographic Data Sheet...............................
26 B.
PATENT AND SECURITY REVIEWS.................................
26 1.
Patent Review..........................................
26 2.
Security Review........................................
26 C.
PROCEDURES FOR PRINTING AND DISTRIBUTING....................
27 1.
Printing..............................................
27 2.
Reprinting.............................................
27 3.
Distribution of Reports................................
27 PART V REPORTS CONTAINING SENSITIVE UNCLASS!FIED AND CLAS$1FIED INFORMAT10N......................................
29 A.
APPLICABILITY...............................................
29 B.
OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION......
29 C.
PROPRIETARY INFORMAT10N.....................................
30 l
C.
SAFEGUARDS INFORMAT10N......................................
31 E.
CLASSIFIED INFORMAT10N......................................
31
[
t EXHIBITS 8.
Sample Cover for a Contractor Report Containing Official Use O n l y I n f o rm a t i o n..................................................
33 9.
Sample Title Page for a Contractor Report Containing Official Use Only Information..............................................
34 10.
Sample Back Cover for a Contractor Report Containing Official Use Only Information..............................................
35 11.
Sample Cover for a Contractor Report Containing Limited Official Use Information..........................................
36 12.
Sample Title Page for a Contractor Report Containing Limited Official Use Information..........................................
37
\\
s lii Approved:
August 29, 1984
1 PUBLICATION OP TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 1*NDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENT $ (Continued)
PAGE 13.
Sample Back Cover.for a Contractor Report Containin Officiai use information...........................g Limited j
38 14.
Sample Cover for a Contractor Report Containing Proprietary i
information Obtainee from a U.S.
Organization................*.....
39 J
15.
Sample Cover Page for a Contractor Report Containing i
Proprietary Inf ormation Obtained f rom a Foreign Source............
40 16.
Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization.........
41 17.' Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source............
42 18.
Sample Back Cover for a Contractor Report Containing Proprietary Information...........................................
43' 19.
Cover Sheet f or Reports Containing Proprietary Inf ormation........
44 20.
Sample Cover for a Contractor Report Containing Unclassified Safeguards Information...............................
45 s
21.
Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information...............................
46 22.
Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information...............................
47 23.
Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information............................................
48 PART VI.
HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE 4
PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY.....................................................
49 A.
PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT.........
49 1
B.
DISTRIBUTION BY NRC PROJECT MANAGERS.........................
50 C.-
COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT...............
50 0.
REPORT IDENTIFIERS...........................................
50
'E.
MAILING TO PROGRAM PARTICIPANTS..............................
51 F.
. SECURITY....................................................,
51 Approved:
August 29. 1984 iv
- a. -
L 111-n.,
'Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED l'NDER OR PURSl' ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CDNTENTS (Continued)
PAGE 1
EXHIBITS 24 Semple Cover for a Draft Preliminary Report (Code) for Comment...
52 i$.
Transmittal Letter f rom Contractor to NRC Projeci Manager for Dra f t Prelimi na ry Report (Code)...................................
53 26.
Transmittal Sheet for Requesting Mailing to Cooperative Program Participants......................................................
$1.
[
i P
I
(
1
?
l
\\
v Approved:
August 29, 1984
.~
PUBLICATION'OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 I
L PARTI PREPARATION OF REPO'RTING REQUIREMENT PORTIONS OF STATEMENTS OF WORN FOR CONTRACTS, GRANTS AND l
STANDARD ORDERS FOR DOE WORN A.
LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask.
1 as applicable. State when and to whom they should be submitted and
+
what they should contain. These reports may be unclassified, sensitive i
unclassified or classified.
Standards for each of these categories are presented in Parts 11 through V.
The following definitions describe the types of reports that may be specified:
technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft i
or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draf t or final material for inclusion in SER$.
^
or ESs (see definitions below).
technical letter re? orts (also called technical evaluation reports) interim or final etters that-provide information on the technical
,l'.
be required at various stages of a project, These interim letters aspects of the contract work. Interim technical letter reports may usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of -
work of others or work to.be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to. informal (interim) progress reports, quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions. model verifications, experiment safety anal-
- yses, experiment operating procedures, facility certification reports, and test result reports.
These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes.
The num-l ber of copies to be prepared and the distribution _of those copies i
will be specified by the project manager, I
formal technical reports - the final product of research, an original invesugation, or a significant compilation of information. This pro-duet is a formal technical report for. publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draf t of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.
i s
'Ll %
1 Approved:
August 29, 1984
1 PUBLICATION OF TECHNICAL REPORTS. PREPARED BY i
NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS s
draf t or final material for publication or inclusion in - SER s.
Ess.
letters. or heense amendments written material requested for use In the NRC heenstng process.
Such material may be tl) abstracted in a NUREG report or attached to a NUREG report. (2) attached to-J a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff.
NRC requires patent review and full management review of this material by the performing organiza-tion.
This material is to be submitted to NRC as a technical letter J
report addressed to the project manager and identified by the FIN i
number.
For purposes of this Part, contractor means a private contractor, con-sultant. grantee. another State or Federal Agency workD9g under an interagency agreement, or s ' DOE / facility or National Laboratory (con-tractor) and subcontractors.
B.
REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation. state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. ' The camera ready copy is to be prepared in accordance with the provisions of this appen-dix. Parts 11 and V (for contractors other than DOE contractors), or Parts IV and V of.this appendix and Chapter 1102 (for. DOE contrac-tors).
A style guide is also available free, upon request (NUREG-0650).
If the. report is to be printed by NRC and it is unclassified the camera ready copy.is to be submitted by the contractor to the Director.
l Division of Technical:nformation and Document Control, NRC. Washington.
E D.C. 20555 by first class mail.
For handling of sensitive unclassified E
'and classified reports see Part V of this appendix and NRC Appendix 2101.
j.
Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix i
l and/or Chapter 1102, 1
C.
REQUIREMENTS FOR DRAFT REPORTS If a draft is desired prior to completion of a @al technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comugents on the draft. State that all draft material should be submitted to the cognizant project manager.
When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.
If agreemeist on the changes is reached, the NRC manager will authoriae the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the Director. Division of Technical Information and Document Control, if it is l
. Approved:
August 29, 1984 2
PUBLICATION OF TECHNICAL REPORTS PREPARED BY f
r NRC CONTRACTORS. INCLUDING-REPORTS PREPARED NRC Appendix 320' UNDER OR P11RSUANT TO INTERAGENCY AGREEMENTS Part 1 L
camera-ready copy for printing and distribution. This is to be done to assure proper publiestion, handling, and distribution and, among other things. to preclude further changes that might nullify the agreement, if caveats were agreed to and the project manager wishes to check the final document for their presence he/she should inform TIDC of that desire.
In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.
i Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is nJ reached, the NRC project manager may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections.
Such caveats may range from the "The views expressed e
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.
State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report.
In the case of DOE / National Laboratory I
reports, the DOE Operations Office Manager responsible for that labora-i tory should be informed by the NRC Office Director or Regional Adminis.-
trator of the decision and the reasons therefor, with a copy to the
,[
Laboratory Director. In the case 'of another Federal agency, a State, or
(
a private contractor, the person who executed the contract should simii larly be informed by the NRC Contracting Officer. The contractor is-then free to publish without NRC identification of the report.
Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.
D.
PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS i
q l
If the contractor's principal inutigator is to be allowed to publish in l
the open literature instead of submitting a final report and/or present j
papers at public or association meetings during the course of the work, add the following statement to the Statement of Work:
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 1
p the work.
If.the project manager wants to review the paper or journal article prior 1
to presentation or submission for publication, state this in the Statement of Work, as follows:
The principal investigator (s) may publish the results of this work in
)
the open literature instead of submitting a final report and/or pre-(
sent papers at public or association meetings at interim stages of C work, if the article or paper has been reviewed by the NRC propd 3
Approved:
August 29, 1984
i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
manager in draft form and agreement has been reached on the con-l tent. The applicable procedures set forth in Chapters NRC-3206 er
,i NRC-Il02 must be followed.
If agreement is not reachid, NRC may also ask that'the paper include l
in addition to the standard statement " Work supported by the l'.S.-
j Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in thropen liters-ture and/or presentation of papers, i
l In the latter case. NRC will inform the contractor of the decision, as i
stated above for formal reports (see Section C, paragraphs 3 and 4).
The contractor is. then free to publish without NRC identification of the information.
This will not affect payment - of the contract work costs.
Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.
1 If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to -NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor-j mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved.
(See Chapter 3206 for provisions relating to payment of page charges and a
travel costs for presentation of papers.)
E.
TYPOGRAPHY The text of reports must be single spaced on 8 x 11-in, paper, unless otherwise specifically authorized. Occasionally, reports with many sym-bols and mathematical expressions may require one and one half spacing
.to provide for superscripts and subscripts. This spacing should be allowed where needed, but should be considered an exception, not the standard.
F.
REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION C
Details of the marking of reports designated Official Use only, Limited Official Use, Proprietary Information, Safeguards Information,
and classified (Confidential. Secret, and Top Secret) are provided in Part V r
of this appendix and in NRC Appendix 2101.
G.
PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS
- NRC publishes or assists in the publication of compilations of papers presented at meetings,
conferences, and symposiums in which NRC Approved:
August 29, 1984 4
h PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 L UNDER OR PURSU ANT -TO INTER AGENCY AGREEMENTS Part I participates as a sponsor or cosponsor.
Chapter NRC-3207. " Conferences and Conference Proceedings," provides general information and guidance for this.
More detaDed guidance is available from TIDC upon request.
H.
WRITING AND PUBLISHING UNCLASSIFIED BOOKS NRC may, under certain circumstances, publish books prepared by grantees or contractors.
For general information and guidance on book publishing, see Chapter NRC-3210 " Book Writing and Publishing."
1.
DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified formal technical reports may be retained by. or will be bulk shipped to the contractor by NRC for internal use.
If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A.
Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justiff-cation should be addressed to the NRC project manager, with a copy to NRC/TIDC,
if the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the _ distribution will be made along with the (I.
standard distribution.
Distribution of sensitive unclassified and classi-fied reports will be made by the project manager on a case-by-casi basis.
J.
COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media relesse on the work being done. Such request shall be made to the project manager', who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination.
This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.
{.
5 Approved:
August 29, 1984
=
_=_ - - - _ _
I IIbI PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 4
I(.:
PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A.
DOCUMENTATION 1.
Applicability The requirements of this part apply _to contractor and inter-a.
reports that are to be printed by. NRC.
agency agreement Contractors may not print reports prepared for NRC except those DOE laboratories with JCP authorized printing plants. and then only those reports prepared for NRC's Office of Nueb:ar Regulatory Research, to sensitive unclassified and classified reports, With respect b.
the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.
The requirements of this part do not apply to consultants and c.
contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.
2.
Front Cover and Title Page Separate covers and title pages are required (see Exhibits 1 a.
and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*
b.
The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.**
(1) NRC Report Number report shall be identified by an NRC-controlled Each alpha-numeric designation as the prime designation unique to that report.
The centralised report control system for unique identification is maintained by the Division of Technical Information and Document Control.
Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.
- Reproducible copy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit 1 must be included.
the specifications of American National Standard
- These requirements meet Guidelines for Format and Production of Scientific and
(
ANSI 239.18-1974, Technical Reports, and ANSI Z39.23-1974. Technical Report Numbers.
7 Approved: August 29, 1984
i 1
Pl*Bl! CATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR Pl*RSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form:
i NUREG/CR LUX or NUREG/CP-LUX where CP indicates conference proceeding.
The contrac-I tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in i
Exhibits ) through 4, if desired by the contractor.
When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate i
volume, supplement, part or revision designation shall appear immediately below the report number.
(2) Title and ' Subtitle
)
(a) Use a brief title that indicates clearly the subject j
i matter covered in the report.
(b) When a report is prepared in more than one volume, repeat the primary title on each volume.
j (c) If appropriate, show the type of report (e.g.,
annual report, final report, thesis, etc.) and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s) i Authors' names should be given on the title page and cover unless this is, impractical, as in the case of annual reports which have many contributors, if authors' contri-butions are as editors, compilers. etc., so indicate on the title page following the names. In addition, list affiliation f
of each author only if affiliated with an organization other than the organization generating the document.
(4). Orranization Identification On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4.
(5) Basis for Report Date(s) l (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed,
date published, date distributed, etc.
_r (b) More than one date, with the basis for each, may be I
shown where this is necessary.
r i
, Approved:
August 29, 1984 8
l
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' PUBLICATION OF TECHNICAL REPORTS PREPARED BY
- 5
'NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR-PURSUANT TO INTERAGENCY AGREEMENTS Part - 11 3.
Availability Information
,. 3 All formal l reports will be made available for sale by NRC and by the L National Technical Information Service (NTIS).
Exhibit 6 will be ' inserted on the inside of the front cover by the. Division of Technical Information and Document Control.
4.
Disclaimer The following. notice will be added during the print 4g step on the
.inside front cover (Exhibit 6): "This report was Trepared ' as.an account of work: sponsored by' an agency of the United States Government. Neither the United States Government nor any :tgency thereof, or any of their employees, makes any warranty, expressed -
or implied, or-assumes any legal liability or responsibility for any third party's use. or the results of such use, off any -information,
apparatus', product or process: disclosed in this report, or. repre-sents' that its' use by such third party would not infringe privately owned rights'. " The following. additional statement, _ "The views expressed Lin this - report are not ~ necessarily.those, of ti e. U'.S.
Nuclear Regulatory Commission" will be printed below the standard disclaimer, if - appropriate.
Other qualifying statements may be -
added, if needed.(see Part 1.C., Requirements.for Draft Reports).
5, Previous Reports in Series
(
('
If the reportc being prepared is one in an ongoing series, list all previous. reports in the series.
Include report numbers and issu-ance dates.
Place this list on the back of the title page.
6 Abstract An abstract of 200 words or. less shall be prepared for each formal' report.
Within the report, the abstract.shall appear on a separate page' between the list of previous documents' in the series and the contents page.*
7.
- References and Bibliographies c
- 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, at the National Technical Information Service, or~ at ' other reference or sales outlets) or in the NRC Public Document Room.
This means that references should. not
~
be made to personal communications. and interviews, unpublished
- =This preferred positioning of the abstract in the report need not be followed
.if the style manual of the originating organization requires a different (1
location.
9 Approved:
August 29, 1984
/
.i
J PUBLICATION OF TECHNICAL REPORTS PREPARED BY' f
. NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED
' Part 11 UNDER OR PURSUANT TO INTERAGENCY ' AGREEMENTS information and information with restricted distribution (e.g.,
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 individuals,- they can.be mentioned in the text or in-an acknow-ledgement 1section.
Availability may be stated couectively for all entries (see Exhibit 6).
Guidelines ~ for developing and presenting reference' material are provided in NUREG-0650,
" Technical Writing Style Guide."
published in November 1979 (see Appendix A, pp. 19-23.
for m
specific guidance) and Supplement I dated February 1982.
8.
Bibliographie-Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy _ as the final right-hand page.
B.
PATENT AND SECURITY REVIEWS 1.
patent Review Patent implications shall 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 contractuaUy: managed through another government agency -(e.g..
DOE laboratories),. that government agency should be' requested by the ' contractor to perform the patent review.
The -result of such review shall be reported on NRC Fom 1426A in item 11 (Exhibit 5).
If:NRC directly administers the contract or. the contractor is unable to obtain a patent clearance from the government agency administer-ing -the-contract, the responsible NRC contracting officer shau be consulted, and the responsible NRC project manager shall consider the' ' patent implications.
If there is no need: for. patent review 4
because of the certainty that the. report contains no-description of novel technical developments which may be of an inventive. nature, NRC - Form 426A may be completed with the statement "Not_ Appli-cable" or "N/A" 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 Patent Counsel, Office of.the Executive Legal Director..
2.
Security - Review In most cases, contractor reports will be unclassified.
Should a report of sensitive unclassified or classified work be required,
however. the NRC project manager must work with the ~ NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer.
The standards for marking and handling such reports are given in P, art V of this appendix and NRC Appendix 2101.
7 Approved :
August 29, 1984 10 m
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- PUBLICATION OF TECHNICAL REPORTS PREPARED BY s'
?
NRC CONTRACTORS,11NCLUDING REPORTS PREPARED NRC Appendix 3202
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UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 I
7-C.
PROCEDURES FOR PRINTING AND DISTRIBUTING 3
I 1
Printing Reproducible masters prepared in-accordance with this appendix shall be transmitted to the Division of Technical Information and-Document
- Control, accompanied by-completed NRC Form 426A (Exhibit 5).
NRC Form 426A must -be signed by the NRC project manager or a contractor official-authorized by the project manager.
Such authorization shall be: reported -in writing to TIDC.
l The Division of Technical Information and Document Control will l
review the masters for adherence to the standards set forth in. this chapter and appendix and will arrange for-printing and distributing the report.
Unsatisfactory masters will be reported to the NRC project manager for-appropriate contractual action by. the contract-ing. officer or, in the case of government agency or interagency agreement
- work, the publications manager of the performing organization _.
f 2.
Reprinting 4
-Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with :ad-(~:
dress labels for the recipients.
e 3.
Distribution of Reports All copies' of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also-arrange automatic - distribution of-these reports ' to the NRC Docu-ment Control System, the NRC Public Document Room, the National-Technical Information Service (NTIS), the Government Printing; Office and the Depository Library Service.
If any distribution-is to be made other t.han, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the -
Division of Technical Information and Document. Control. Address.
labels for the additional distribution must be supplied.
l Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.
L, s
p 4
Approved:
August 29, 1984 11 5
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. DOCUMENTS, EXCLUDING.THOSE PREPARED UNDER OR PURSUANT TO j
INTERAGENCY AGREEMENTS
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August 29,1984
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.7 NRC Appendix 3202 NRC. CONTR ACTORS, INCLUDING REPORTS PREPARED Part 11_. __ _
l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1
EXHIBIT 2
,i SAMPLE TITLE PAGE FOR WNCLASSIFIED FORMAL CONTRACTOR.
n PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No.
NUAEG 'CR 1676 Contractor Repon No. (if any)
%5AC le6 Vol., Part, Rev., etc. (if any)
Distribution Category No. (if any)
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,,esi neo,,
(Annual, Tos,ical, etc.) -
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e,
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Contreetor Name g.g r,,.r.7.,,,
and Address -
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August 29, 1984 14 o
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- N RP Annandiv ??no UNDER OR PL'RSl' ANT TO INTERAGENCY AGREEMENTS Par'. : L EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED
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August 29, 1984 9
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17 Approved:
August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BT NRC Appendix 3202 - NRC CONTRACTORS INCLUDING NF.AGRTS PREPARED 14 1 11 UNDER OR PURSUANT TO INTER AGENCY, AGREEMENTS EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COV8m NOTIC8 This sumpt om sepped a en semesa of easti souses by a aguer of as immed Sigelo Gesumeent Beenher es Usesse heems gesersment apr say M Wauf W Say el Gelt essetetaus, saebe any aerranty, meses:sf er tagless, e emeuse Wev IW EEllERY 88 8D' egensesteev ter any esel party's uns, e the seassa el aseh use, of any estuuseinen, assema, peeust a pesas gesteens en tIse vaart, er sepsents est 45 em by andt 91155 parey emulf 8#8 merwegs erspee#v sesus rights es0TICE Ae.teeion, of Aetenses testense Cseed in teRC Pubessetens Most osewmean sites in NRC outineations all be suedelse tem one et se tellemne eewen
- 1. The NRC Puenc Desument Reem,1717 M Seest, N.W.
Weensageen, DC 30B86
- 3. The NAC/Geo Sease prayem, U.S. Nussene Aeprestory Genamemon, weshangeon, DC 38546
- 3. The Notense Teennseen latermetsen Servios, Senngfises VA 22181 Annaugh tne im ag onei temene repassam teu nearn, et ensumana ense in teaC sunsammens-et a not intonese to se emaeustwo Reesponess seswmens esadetes ter 6mesertsoa ens essewis ter a toe tsom se 888C Puties Desw-mont Room insivos NAC esmeconsenes and onesmet NRC smuurenas:NRC ONias of Issemnem one Entersement tweietene twowtsee, entermstson notten. enspostaan esas taumegenen nesse; Leonese Iwnt Aeoors, veneer rescru ens eenempiesnee Commason essere;sie seeksset ans heensee oosumensans canamensense The 964tevang ecewnene in the NURES senes are sueltatte ter meeless tem the leaCJ0F0 asas peorem: tweet NAC nett one compasser reports, NACgannewes eenesses pressames. ens N AC tookies and legemuses. Aase osedsees are Aspesserv Geem, N#C septsessas ei es Conti et Aenew assummons. ens Nueese auswooy ce== amen sesenam Doeumens esademie tem teme essoones Teshaleet tasonsesen aereas inshmas eeU8100 eries neuere one tesanoea soons sneeres by emer tessel assoas and supers oneses by the Assam Bassgv Canonemen, torerusuer egensy es the 90seler Repsistory Gamenteden.
Olussens seedsete Snee gutels and semise emshaland laserem enabste as egen tassase asas, essh a teoke, eownsi and genedleal ergletus, sad genession, aseleaf abuggeer assises, tessel and see tegneseen, one eenyesense vesere com immely to seelnes hem one samenes Deemmene esen es ename, amenneens, teralen sesore and Jessesensu,eseaanseateuelemese esemudens are emm8masa ter gesegese spam sie spadastaan igaseutig ges N egiogL Swiges esones of NAC oreN recens are amedette tree,to the mesmo of aesty.usen wressiseasses to the Owisen et Teshasses intormenion ens Doesment Consel, U.S. 8hencer Rendamery Cam.
namen weeisagoon. OC 30866.
Ceems et aneuse, essa one massare uses in e admenose sammer in es seeC segelsesev gruses are suomennes et stie NRC Utsery. 7930 80eresak Asenue, Seemuh, langtenul, ens ese ausmusse these ter meesPenas use tv Was subies, Ceein and tensee are tanssey esognpaed eng sesy be ennensues trem the artginsemus ergnemen er, W owy se Amansen geoment gename, gegen se Amenaea Namenet Seenewes instavne,1430 Brosesey. Been Vert. NY 1C010.
soo e
, seus e
- Approved -
August 29, 1981 18
t
-j PUBLICATION Of TECHNICAL REPORTS PREPARED BY
. NRC CONTRACTORS. INCLUDING-REPORTS PREPARED NRC ' Annendix 3202 i
UNDER OR' PURSUANT TO INTERAGFNCY AGREEMENTS Far: II 1
1 a.: -
EXHIBfT 7 l
NRC FORM 3lI5. BIBLIOGRAPHIC DATA BHEET E;;l' scuoenapwec oATA susti 4 084 W I vii a.a..m it sa i-g M
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I
- t. -
19 Approved:
August _
29, 1984.___.,
l PUBLICATION OF TECHNICAL REPORTS PREPARED BY.
i NRC Appendix '3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED l
- Part !!
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
l EXHIBIT 7 (Continued)
. 8ACK OF NRC FORM 335 l
L l.
- i-l
. )
I l
DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREO REPORT i= raw?ma.
esmC 80mu 334, tilit00a A#tetC DATA SMtET.18 SAS40 04 Out0ELinest 80m 80mMAT Aase pe00uCT10N Oe Sciesets*#C t
AND TOCM88tCAL R890mTE. ANSI 239.10 1614 AVAILASLE PR0es A88048CAN Natl 0NAL STAse0AA081e:3717978, 1830 sacaturav. New voan. esv tects SACM 88PARATILY 80WWO REPORT-80m ExAtePLt. 8ACM v0Luest see a asuL
- 88T-tmL MAvt 178 WN6098 Siebl0GaA*MIC DATA Se EET.
1.
2000AT coumett, geen 6aea,.eveny so no,eeeet een te specestagess 900Aestaaftees. List teaC 0. vie.ea. 0H ee.
r eerev e va eve eenea morie seesgasten shuasGe seigase v.s. Nueses, Aeguessee, Gema.es.ea. meempica, DC 20604 u
era the 0 s.ea et Teename, eatermeten one Oesumeat Ceavees. ADM, m essoresase with Ameriosa Notenes it. a. TV98 09 Repe#T. $ies ere t. tmes.orehemsey. teswei.
l '.
Steasere A N81 234.23-1914 Teenneen Assert s
asu iese seenassee vegvesseev, eusevoeiv, etc. eaa. d eseussene.
I.
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incive.=e asies a eneas eniv. es e tae tonew.ag esemosos NUSEG.0100.
v NuttGIC8 00le). *VA803CR.0100, one 8evacGism.0010
- e. PGat00 00venge.
80' eeeeets ia a w.c ees vn.. Swee., Revie.ea eae Acepaewm. wasa asesenery. Aes coateesto, evoe>re'eeeace
- 12. Supp48estelTAAv 080788. Game.aeoemet.ea nee. ace ees neoatd. set.ea a ment til envi essen NUROG aumese, e g,
eessnesee out verf vi, swen se Preseres a sneerenea w ta l
w w
PN L.a x x x,3 ANo a m.x x x x. SA6.m a x x peessame et eenseeense e#
To se suchenes Deenei
.No t TITLE AND SUSTlTLt. T.ie onevie ine.sete eiesee, eae W810a e reseet.e eewees. me10te wastaer tae aout resset aussessess er sweetsmeats tae eier eeeeet l
orioW the sunseet toeveresel of ine resset, inciveing ear p
ovetme to the meia t.t.,
waea e esseet e erosenes ia meee
- 13. AaBTAACT. aatives e geset (200 esees ee. iesel feetwo' sw taea eae vetuaae resset tae premer, enee, ese ve.ume a mese m
I v
mer, et ene meet sagastisent.avermetica sente.aes ia tae eat meives swetme toe tae seetitie veaume use wooc one vesset if tae resort coate.as e engai+4 eat essi seresa, ea
' esmee sees wites, evt seenense esmovese sees aemes De hecestwee owcaev e+ m itese se*wmes meat ea t neee Ateiveet i
w aet ww screa es eae eaetee 4ms e tities. mov es esese a v
seeenthes e 4 te se ereserse av evenee et presset meaeger
- 14. 00CuesseeT 48eALysis 3.
LEAvt SL ANE.
4.
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- e. REY 8eeeOS488CAeP7084. Sesoci feem tae Eacov Dete Bees avesset Tmeasurve. 006/flC300m a s tae saesenag meatn one voor seesestreeen same eves presse evenerees terms test seentiev tee me.ee teaccet of tele M ene ore tieffeeGatey Wifue sae eresies to S.
AUTMOS(SL Give nemetal ia convent eaei eteer se e. Jena R Dee. J Reeert Deel. List evenee s eHoetea d it is sittee.
es mese as inese entres ter acesses.ag eat teem the sedeemeng eegen. set.ea.
- 4. 6e88f78988R8 Asee Optse 888000 Tsaem. Wee aseate feers fee erosset nemos, sees asmes, sevemeat see gastees.
O.
SAff 48p0A7 15u00, geen esport enen son, e soie ees uss essmenees teevisseest ierms we tesa m eservetoe seesestwig mentm ens veer eusesense term tteel ter smose euessete ter suewen no eeneresee '
essene sa che tIgegenee.
7 #848080808s8 000Atel3ATIces esAtet Atee esAstesse A00#tSL Grue nome, street, city, state, one Ilp seee it. AVAILA04Lifv STATEneSeft. Genew ovos.e cessnese.htv.
Last no more taea tese senses of en esgenassesenes neereren.
for seeniese "unaasisees *. er essweet oa toe resesas etase v
Geesesy tmo nome et the eegeasesteen seeste, es sensee:
taen essereev.
Casioien. Otties. Gegoniemeson er Generaaient egenev, erse escrees.
- 18. 900uRITY CLAmePICAfleet, sawe v s seevrity Ciessa est.ea m eerereense meta U S Oss eet, meeviet.eas i. e,
a sneaeCTnAss/wena unt? mustaan. W. ine e, ect.
.ae=
assi.
teek one suces wait numeers wasse sensen the resort sees erseeree tif anyt
- 17. eNAGGR 09 PA048. Leeue tone. (Asses av Nt:81
- e.
et= On GaAw? wuusen. inee,i ine eiN., great a. men is. enics. Lee.e mene.iAeese av NTi >
.a c.a.sa resort es.sese,ee i
- Approved:
August 29, 1984 20
+ +
+
.~
- c X
g PUBLICATION OF TECHNICdL REPORTS PREPARED BY 1,1 NRC CONTRACTORS ~,. INCLUDING-REPORTS PREPARED.
- l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 s
PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A.
FORMAT 1.
' Applicability a.
The requirements of this part apply t'o unclassified ~ contractor technical letter reports.
(See Part I. A for definition.)
b.'
The requirements of this part do not apply to consultants and i
contractors to the NRC boards,. panels, and advisory commit-J tees which report directly to the Commission.
t i-2.
Requiretuents l
Technical letter reports-are prepared, duplicated and distributed'in.
f-accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must t be ~ identified with the financial number (FIN) assigned to.the'
't project.
The number of copies to be prepared and the distribution =
gL.
f of ^ those copies will be specified by the project manager.
If unclas--
3 sified and non-sensitive, the -NRC project manager -is - responsible '
y for making such: reports available in the NRC-Public Document Room 1
(PDR)'by sending them to the PDR through the NRC Document Control System.
y' B.
PATENT AND SECURITY REVIEWS
~
q.
i 1.
Patent Review Patent implications shall be considered: prior to approval of reports for public release so: that disclosure will not adversely affect the patent rights; of NRC. If the' work being reported is. contractually 1
managed through another government ' agency (e.g., DOE Inbora-tories), that= government agency abould be requested 1by the con-tractor to' perform the patent review.
If NRC.directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer -
ing - the contract, the responsible NRC contracting officer shall-be consulted, and the responsible NRC pmject manager shall consider the patent implications.
If' there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
21 Approved:
August 29, 1984 L
m.
b m
+9-
n: ;p '
- i !
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
, :NRC Appendix-3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED 4
Part 111 UNDER OR-PURSUANT TO INTERAGENCY AGREEMENTS
?
2.
Security Review In most cases. contractor. technical letter reports will be. unclassi-fied. Should.a report of sensitive unclassified or classified.. work L
be required. however, the project manager 'must work. with the Division of Security to establish the appropriate security procedures and inform the contractor of such procedures.
The standards for i
marking and. handling such reports 'are given - in Part V of this appendix and NRC Appendix 2101.
n a
+
d k
7 i
-i t
p i
i e,
<4 I
I
' Approved:
August 29, 1984 22
w v.
+
- PUBLICATION 'OF TECHNICAL REPORTS PREPARED BY l'
NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR -PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202.
r k.
PART IV e
UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE
. LABORATORIES WITH ~JCP-AUTHORIZED FEDERAL PRINTING PLANTS A.
DOCUMENTATION 1.
Applicability a '.
The requirements of this part apply to NRC staff who ara responsible-for agreements with DOE Laboratories and their contractors who print - regulatory and technical reports re-quired by NRC.
(See also Chapter NRC-1102).
b.
With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be tised in conjunction with NRC Appendix 2101.
The requirements of this part do not apply to consultants and c.
contractors to the NRC boards, panels and advisory committees which report directly to the Commission.
(\\
2.
Front Cover and Title Page Separate covers (of different paper than that of the text) and a.
title page are required.* -
b.
Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-priate.** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence.
(1) NRC' Report Number Each report shall be id'entified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralised report control system for unique identification is maintained by the Division-of Technical Information and Document Control. Numbers may
- The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.
These requirements meet the specifications of American National Standard
.c so li ANSI 239.18-1974, " Guidelines for Format and Production of Scientific and l
Technical Reports," and ANSI 239.23-1974, " Technical Report Numbers. "
23 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY-
-NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS-PREPARED:
[~
- Part IF
-UNDER OR' PURSUANT TO INTERAGENCY AGREEMENTS -
be' obtained by' calling the Division of Technical Informa-tion and Document Control. or by submitting a copy of NRC Form 426A, (Exhibit 5) with a request for a number.
The NRC identification number wiD have the form:
NUREG/CR-XXXX or NUREG/CP-XXXX_
The contractor's report number, if any, wiB be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by_ the contractor.
When a report consists of more than' one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number (s).
NRC report numbers on covers and-title pages shall be shown entirely on one-line to facilitate computer processing.
(2) Title and Subtitle (a) Use a brief title, which indicates clearly _'the subject matter covered in the report.
(b) -When a report is prepared in-more than one volume,
. repeat the primary title on each volume.
(c) If appropriate, show - the type of report (e.g,
annual report, final report, etc.) and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s)
(a) Authors' names should be ! riven on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contributions. are as editors, compilers,
etc., so indicate on title-page and cover foDowing the names. In addition, list affDistion of each author only if affiliated with an organisation other than the-organization generating the report.
(b) Authors - may be identified on backstrips (spines) of
- bound volumes.
(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by
" Prepared for the U.S.
Nuclear Regulatory Commission."
Approved: August-29, 1984 24
x
- (
=
- PUBLICATION 'OF TECHNICAL REPORTS PREPARED BY
- NRC CONTRACTORS, ' INCLUDING REPORTS PREPARED NRC Appendix 3202
- UNDER OR PURSUANT TO-INTERAGENCY AGREEMENTS Part IV
]
(b) On the title page, provide information of the type j
illustrated in Exhibit 4.
(5) Basis for Report. Dates (s)
(a) The basis for. dating may be shown along with: the date on the title page. Various bases for dating are j
possible; e.g., date report completed,- date reviews i
completed y date published,_ date distributed, etc.
(b) More than one date, with the basis-for each, may= be shown where this is necessary.
- 3 '.
Availability and Price Information All formal reports will be made available for sale by NRC and NTis.
The statement shown in Exhibit 6 is required on the inside = of the
+
front cover.
j 4.
Disclaimer b
The following notice shall' be added during the printing step on the-inside front' cover (Exhibit 6): "This report was prepared as an e
account '_ of' work. sponsored by the United States - _ Government.
7
- Neither the United States Government nor any agency thereof, or-4 any of their employees, makes any warranty, expressed or implied; or. assumes any legal-liability or responsibility for any third party's--
i use, or - the results of such use, of any infonnation, apparatus.
product or process disclosed, or represents that-its use by such.
third. party would not infringe privately owned rights." The follow-
.t
'ing 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 (see Part I.C.,
l
?
Requirements for Draft Reports).
5.
Previous Reports in Series If the report being prepared is one in an ongoing series, list all 1
previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
6.
Abstract An abstract of 200 words or less shall be prepared for each formal i
report. Within-the report, the abstract shall appear on a separate page - between the list of previous documents in the series and the a
L contents page.*
p(.c
,This preferred-positioning of the abstract in the document need not be fol-lowed if the style manual of the originating organization requires a different location. -
25 Approved:
August 29, 1984 J- - -
{
' PUBLICATION OF TECHNICAL REPORTS - PREPARED BY NRC ' Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OP PURSUANT TO INTERAGENCY AGREEMENTS 7.
References and-Bibliographies 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, at the National Technical Information Service, or ' at other reference or - sales outlets) or in the NRC
= Public Document Room.
This means that references. should not be-made to personal communications and interviews, unpublished iniormation and information with restricted distribution' (e.g.,
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 individuals,. they can be mentioned in the text or in an acknow-ledgement section.
Availability may be stated collectively for all entries ~.(see Exhibit 6).
Guidelines for developing and presenting - reference material are provided in NUREG-0650, "' Technical Writmg Style Guide," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and-Supplement I dated February 1982.
8.
Bibliograpic Data Sheet NRC Form 335 (Exhibit-7) shall be prepared and included in the camera-ready copy as the final right-hand page.
B.
PATENT AND SECURITY REVIEWS 1.
Patent Review Patent implications. shall be considered prior to approval of reports for public release so that disclosure will not advarsely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review.
The results of such review shall be reporte3 by.the contractor on NRC Form 426A in item 11 (Exhibit 5).
2.
Security Review In most cases, reports will be unclassified. Should a report of sen-sitive - unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor.
The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
Approved: August 29, 1984 26
'~
- h; t
9 o*
4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY
.e,
L NRC CONTRACTORS INCLUDING REPORTS PREPARED
- NRC Appendix 3202 e
'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS' Part IV q-C.
PROCEDURES FOR PRINTING AND DISTRIBUTING 1.
- Printing Contractor reports may be printed only by a JCP-authorized print-ing plant.and then only if prepared for the NRC Office of Nuclear Research. - Reports - printed-by the contracter and on_e-Regulatory reproducible master shall be submitted to the Divibian of Technical Information and Document Control, with completed NRC Form 426A.
The number of copies specified by the Statement-of Work for stand--
ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be ~obtained as discussed in Section. A.2.b.(1).
2.
Reprinting Requests for reprinting of any report at NRC expense subsequent to the -initial printing requires approval of the Division of Technical-Information and. Document Control.
The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.
3.
Distribution of Reports
/
All copies of unclassified formal contractor reports will' be distrib-g'-
uted by the Division of Technical Information and Document Control in accordance - with instructions on NRC Form 426A -(Exhibit 5).
NRC Form 426A_ must be signed by a contractor official' authorized Such authorization shall be reported in by the project manager.
writing to the Division of Technical Information _ and Document Control.
If any distribution is to be made other than, or in addition to, the standard distribution established-for the report, written justification and the - project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control.
Address labels for the additional distribution must be supplied.
The Division of Technical Information~ and Document Control win arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.
Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis.
l 27 Approved:
August 29, 1984
i 4
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
'NRC CONTRACTORS, INCLUDING REPORTS PREPARED
> UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 p
l 0
PART V j-L REPORTS CONTAINING SENSITIVE UNCLASSIFIED-AND CLASSIFIED INFORMATION A.
APPLICABILITY j
These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors.
These reports include those designatod:
F Official Use Only Limited Official Use Proprietary Information Safeguards Information t
Confidential Secret u
Top Secret l
Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.
Details of the NRC Security Program and specific provisions for deter-
,(
mining. when to use the markings exhibited are contained-in NRC -
l(-
Appendix 2101.
The reports covered are defined as sensitive unclassified or classified.
Sensitive unclassified information refers to information designated Official Use Only. Limited Official Use, and Proprietary Information.
Sensitive unclassified information also includes Safeguards Information that. must - be : protected from unauthorized disclosure pursuant to 10 CFR 73.21 and. Section 147 of the Atomic Energy 'Act of 1954, as
- amended, information ' withheld from public dissemination under the a
Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.
Classified information as used in : this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection ' in one of the three classification ~ categories described in Executive Order 12356:
Top Secret, Secret or Confidential.
The uses of each of the-sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the J
following sections.
All sensitive unclassified and classified reports are to be sent directly to the project manager.
B.
OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.
NRC regulations require an Official Use Only marking to be placed on a s',(
report only when the originator or other holder believes the marking is f
O' 29 Approved:
August 29, 1984
- u g
q T
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC / Appendix 3202 -NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 'V-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
['.
8 L
essential to ensure proper handling.
Reports designated Official Use 1
Only will contain only unclassified information originated by or furnished-g to an NRC contractor which is to be withheld from public disclosure.- The l
report on which -the marking appears must be reviewed at the time a 4
request for: release is received to determine its releasability. The Official-1 L
Use' Only marking is notice of the originator's determination of the applica--
1 L
bility of an exemption. under the Freedom 'of Information Act or Privacy
- Act or both at the time of origination.
- Official Use Only NRC contractor reports shall be' marked as shown in i
g Exhibits 8 through 10, r
Limited -Official Use information is information originated by the U.S.
Department ' of State.
A report originated by an NRC contractor that.
4 contains Limited Official Use information shall be. marked as shown in l
Exhibits 11 through 13.
L Procedures for reproducing, transmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC-L Appendix 2101.
C.
PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-
' tion.
Proprietary information includes:
]
1.
trade secrets.
- 2.
privileged or confidential research, development, commercial or i
financial information exempt from mandatory disclosure under 10 CFR Part 2, " Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 'and 2.790 and under 10 CFR Part 9, "Publie Records," Section 9.5, " Exemptions."
3.
information submitted in confidence to NRC by a foreign source.
I which has been determined by NRC'to be unclassified.
Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18.
In each instance, the optional wording that describes the material being presented should; j
- be selected.
If a report - contains both Official Use Only information and proprietary information, the front cover shall be niarked as proprietary information and may also be marked as Official Use Only information, if necessary.
Pages in the report that contain proprietary information: may be marked accordingly, including, marginal or other indicators of the specific wording that is proprietary.
Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only l
Approved:
August 29, 1984 30
g
'a
- p PUBLI' CATION OF TECHNICAL REPORTS PREPARED BY
/i NRC CONTRACTORS INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V 4
Procedures for - reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detaued in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be_ placed 'on each hard copy of a report containing proprietary information.
D.
SAFEGUARDS INFORMATION Safeguards information may be of three types:
(1) classified informa-tion, which is marked and handled as indicated in Section E (2) un-classified information restricted under Section 147-of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information, which is publicly available and handled as indicated in Parts I through IV.
The safeguards information that is to be protected as described here is unclastuied information used in a report which specifically identifies certain licensee's or applicant's detaDed:
1.
security measures for the physical protection of special nuclear material 2.
security measures for the physical protection and location of certain plant equiptent vital to the safety. of production or utuization
.(-
facilities.
Unclassified NRC-contractor reports containing safeguards information that is to be protected shall.be marked as shown in Exhibits 20 through 22.
Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101.
A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.
E.
CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly -Restricted Data and National Security Information.
The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such - reports from classified categories are detaued in NRC Appendix 2101. These procedures are too complex for summarizing here.
Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE.
Authorized classifiers are responsible for insuring-that reports they determine to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101.
=k 31 Approved: August 29, 1984
PUBLICATION OF. TECHNICAL REPORTS PREPARED BY i
' NRC ~ Appendix-3202 ' NRC CONTRACTORS,-INCLUDING REPORTS -PREPARED t
. Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS '
It is important: to note that information may not be'. classified irr order -
to prevent or delay.the release of information that does not require
- protection in the. interest of national security. -Basic scientific research y
information.not; clearly, related _ to national security may not be classified.
1
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- i EXHISIT S 1
SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY i
NRC Appendi.N 3202-NRC CONTRACTORS. INCLUDING REPORTS PREPARED 4
~ Part \\'
l'NDER OR Pt'RS1* ANT TO INTERAGENCY AGREEMENTS EXHIBIT S SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING r
0FFICIAL USE ONLY INFORMATION 4 I
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Sutnme and Type of Report maea.nnar c e i.eie ags.e gi7 Comw.o' asme one espees
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- sM V EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION 0FFICIAL USE ONLY W
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_1 35 Approved:
August 29, 1984
+
I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC. Appendix 3202-NRC CONTRACTORS, INCLUDING REPORTS - PREPARED w.
Part V UNDFR OR: PURSUANT TO INTERAGENCY AGREEMENTS
, i.
EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING
- s;. -
LIMITED OPPICIAL USE INFORMATION umiso omeiat use NUAEGICR XXXX (S)
Title-Subtitle and Type of Report g;.;., u.io,i.,
$e e negatetery Commission
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y Approved:
August 29, 1984 36 s
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- NRC. CONTRACTORS, INCLUDING REPORTS PREPARED NRC ' Appendix 3202:
- ^
UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS-Fm Y (1.
EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OPPICIAL USE INFORMATION i
UMITED OPMCIAL USE NUREG/CR XXXX (S)
Title SutWee and Type of Report m m aw Dem i
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UMITED OPMCIAL USE 37 Approved:
August 29, 1984
I j
. PUBLICATION' OF. TECHNICAL REPORTS PREPARED-BY~
. NRC. Appendix. 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED-
- Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l
EXHIBIT 13 e
SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING l
LIMITED OFFICIAL USE INFORMATION uMmD oppic AL use-
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' Approved:
August 29, 1984 38 i
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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 i
UNDER OR PURSU ANT TO INTER AGE?4CY AGREEMENTS Par: Y EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OSTAINED PROM A U.S. ORGANIZATION l
PROPRIETARY INPORMAfl0N NUREGICM XXXX (P)
Tit e Subtitle and Type of Report AuthoHel. GeneNel i*4". "leveteer P.eevistory Commise6en
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39 Approved:
August 29, 1984
PUBLICAT!ON OF TECHN3 CAL REFORTS PPEPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORT 5 PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT il SAMPLE COVER PAGE POR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A POREIGN SOURCE o
PROPRitTARY INPORMATION f
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4 Approved:
August 29, 1984 40 L
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NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pre-Y i
EXHIBIT 18 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRitTARY INFORMATION OSTAINED PROM A U.S. ORGANIZATION l
a PROPRitTARY INPORMATION l
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August 29. 1984
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PUBMCATION OF TECHNICAL REPORTS PREPARED BY O
L' NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED
~
Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS.
EXHIBIT 17 3 AMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING
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PROPRIETARY INFORMATION OBTAINED FROM A POREl0N BOURCE PROPRitTARY INp0AMAtlett i
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August 29, 1984 42
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August 29, 1984 h
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
- NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 COVER SHEET POR REPORT CONTAINING PROPRIETARY INFORMATION
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August 29, 1984 44 4
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August 29, 1984
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEQUARDS INFORMATION t
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August 29, 1984 46 c
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' PUBLICATION OF TECHNICAL REPORTS PREPARED BY
-t NRC CONTRACTORS, INCLUDING REPORTS PREPARED WRC Anoendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa:- Y lk.
EXHIBIT 22 i
SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SApteuAmos INPonMADON t
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SAFEQUARDS INFORMATION 47 Approved:
August 29, 1984
. _. _.. _ _... _ _... _ _. _ _. _. ~..
PL9BLICATION OF TECHNICAL REPORTS PREPARED BY WRC, Appendix 3808 NRC CONTRACTORS. INCLt9 DING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHISIT 23 COVER SHEET POR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION
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THl5 DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM
,y UNAUTHORIZED OlSCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY r
ACT OF 19fd APPLY. VIOLATIONS ARE SUSJECT TO CIVIL OR CRIMINAL PENALTIES.
i THis DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSISLE TO UNAUTHORIZED
)
PERSONS WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE
.c r
CONTAINER.
I IT IS YOUR RE1'ONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THis DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURF.
r, t
i SAFEGUARDS INFORM / MON i
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Approved:
Aurust 29. 1984 na
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT 70 INTERAGENCY AGREEMENTS NRC Appendix 3202 t
t PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FORElGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations.
Such involvement includes monetary contributions, information exchange, and comments on program plans and results. This is authorized in 42 U. S. C. 5801. - To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to partacipants.
These procedures apply only to NRC managed wory, not programatically funded by DOE.
The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for
(
comment for a specified period of time, followed by issue as formal NUREG/CR
(
reports, with the concurrence of the participants.
Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subentractors working on these programs are presented in the following sections.
The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.
A.
PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of infonnation by a contractor shall be designated
" Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.
The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):
NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action.
It has not have received patent review and may con-tain information received in confidence.
Therefore, the con-tents of this report should neither be disclosed to others nor
- (f reproduced, wholly or partially, unless written permission to do so has been obtained.from the appropriate USNRC office.
The recipient is requested to take the necessary action to ensure the protection of this report.
49 Approved:
August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix '3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED P2rt V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of Lioth NRC and DOE and is not to be added to or changed.
Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.
The " Draft Preliminary Report (or Cceik/" shan be submitted by first class or express mail-by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies,specified by the project manager (in most instances this will be fewer than 20 copies).
The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use.
DOE facilities and contractors and their subcontractors shau not distribute copies of this draft report to DOE /TlDC. Draft reports may be distributed to interested DOE program offices.
Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of e NUREG/CR report.
" Draft Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.
B.
DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know.
and (3) others authorized by the program or project manager.
Trans-mittal to participants shall be by firr*. class or express mail, including air mail to foreign participants.
If premium cost mail services are to be used, a Divisien Director or comparable or higher authority must certify to the need on NRC Form 420
" Request for Premium Cost Mail Se rvice. "
Premium cost mail is:
1.
Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2.
International Express Mail (Air Mail weighing more than 10 ounces)
(See Chapter NRC-0255 058 and NRC Appendix 0255, Part V. Annex A)
C.
COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six fronths will be allowed for comments and resolution of comments.
At the end of the comment, period, the NRC project manager
- shall, with the cor.currence of the participants, authorize the contractor to issue the information at a NUREG/CR report in accordance with the provisions of this Chapter.
D.
REPORT IDENTIFIERS The " Draft Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and
. Approved:
August 29, 1984 50
.~-
j PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI s
the appropriate periodic notation, if any, included in the title (Ex-hibit 24).
They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.
At that time, the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.
E.
MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC '.o program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants suppljed by the project manager.
The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.
F.
SECURITY If information included in the report or code has been detemined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply.
The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants.
(
51 Approved:
August. 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)
POR COMMENT DRAFT PRELIMINARY REPORT (CCDE) FOR CDPMENT l
FIN N0.
I i
Title of Program r
Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)
P t
Prepared by (Name of 00E Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT Is !$$UED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Comission action.
It has not received patent review and may.contain information received in confidence.
Therefore, the contents of this report should neither be disclosed to others-nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.
The recipient is requested to take the necessary action to ensure the protection of this report.
' Approved :
August 29,1984 '
52 P
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-.--.y
i PUBLICATION OF TECHNICAL REPORTS PREPARED BY
. NRC-CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI f
EXHlBIT 5 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT i
I i
i TO:
NRC Project Manager I
SUBJECT:
. DRAFT PRELIMINARY REPORT (C0DE) ON (PROGRAM TITLE) FOR ComENT 1
The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.
It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants.
Upon resolution of the comments after that period and with concurrence of the cooperative program participants,_the NRC Program Manager will authorize publication of this
.h
- report in the NUREG/CR series under the provisions of HRC Manual Chapter 1102 or 3202.
f P
DOE Facility or Contractor Representative 53 Approved:
August 29, 1984
r i
PUBLICATION OF TECHNICAL REPORTS PREPARED BY l
NRC CONTRACTORS. INCLUDING REPORTS PREPARED
.NRC Apnendix 3202
ifDER OR PUR$UANT TO INTER AGENCY AGREEMENTS Part VI tq EXHIBIT 26
+
TRANSMITTAL. SHEET FOR REQUESTING i
MAILING TO COOPERATIVE PROGRAM 6
PARTICIPANTS Recipients :
Addresses on attached labels Method of Malling:
l C/ First Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses
- C/ Air mail to fereign addresses
- t
'C/ Surface mail to foreign addresses (may require up to three (3) months)
THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:
e i
Individual Requesting Mailing:
Project Mar.uvr or High Authority l
Enclosures
- L 1 1.
Address labels I
2.
Documents to be maued
- !f premium cost mail services are to be used, a Division Director e,r compar-able or higher authority must certify to the need on NRC Fom 420. " Request for Premium Cost Man Service," Premium cost mau is:
1.
Express mad, Priority Ma0 (First Class weighing more than 12 ounces) 2.
International Express Mau (Air Mail weighing more than 10 ounces)
(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) k i
p S
t' 54 Approved:
August 29, 1984
w f.
ATTACHMENT 4
STANDARD FORM 1411 WITH INSTRUCTIONS 1.
SF 1411 provides a vehicle for the offerer to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item i
with supporting information, adequately cross-referenced, suitable for i
detaileo analysis.
A cost-element breakdown, using the applicable fonnat prescribed in 7A, B, or C below, shall be attached for each proposed line item and must reflect any specific requirements established by the Contracting Officer.
Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system.
When more than one contract line item is prnposed, suninary total amounts covering all
- ine items must be furnished for each cost element.
If agreement has oeen reacheo with Government representatives on use of fomard pricing rates / factors, identify the agreement, include a copy, and describe its nature.
Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:
Materials - Provide a consolidated priced summary of individual material a
quantities included in the various tasks, orders, or contract line items bein proposed and the basis for pricing (vendor quotes, invoice prices, etc..
Subcontracted Items - Include parts, components, assemblies, and services that are to be produced or performed by others in accordance with offeror's design, specifications, or direction and that are applicable only to the i
~
prime contract.
For each subcontract over $500,000, the support should provide a listing by source, item quantity, price, type of subcontract, l
degree of competition, and basis for establishing source and reasonableness L
of price, as well as the results of review and evaluation of subcontract l
proposals when required by FAR 15.806.
Consists of items that offeror normally Standard Commercial Items f abricates,
in whole or in part, and that are generally stocked in inventory.
Provide an appropriate explanation of the basis for pricing.
If price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for exemption from submission of cost or pricing data, as required by FAR 15.804-3(e).
Interor anir.ational Transfer (at other than cost) - Explain pricing method used.
See FAR 31.205-26).
Raw Material - Consists of materiel in a form or state that requires further l
processing.
Provide priced quantities of items required for the proposal.
Purchased Parts - Includes material items not covered above.
Provide priced quantities of items required for the proposal.
Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.
s.
w i
Provide a time-phased (e.g., monthly, quarterly, etc.)
i Direct Labor breakdown of labor hours, rates, and cost by appropriate category, a'nd j
furnish bases for estimates.
Indirect Costs - Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and shawing trends and budgetary data, to provice a basis for evaluating the reasonableness of proposed rates.
Indicate the rates used and provide an appropriate explanation, Other Costs - List all other costs not otherwise included in the categories described above (e.g., special -tooling, travel, computer and consultant services, preservation, packaging and packing, spoilage and rework, and
,E Federal excise tax on finished articles) and provide bases for pricing.
Royalties - If more than $250, provide the following information on separate page for each separate royalty or license fee:
name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or other basis on which the royalty is payable; brief description (including any part or model numbers of each contract item or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract -item; number of units; and total i
dollar amount of royalties.
In addition, if specifically requested by the Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents.
(See FAR 27.204 and31.205-37).
t Facilities Capital Cost of Money - When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror must submit Fom CASB-CMF and show the calculation of the proposed amount (see FAR31.205-10).
2.
As part of the specific infomation required, the offeror must submit' with offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR 15.801).
In addition, submit with offeror's proposal any information reasonably required to explain offeror's estimating process, including; l
i The judgmental factors applied and the mathematical or other methods a.
usea in the estimate, including those used in projecting from known data; and b.
The nature and amount of any contingencies included in the proposed l
price.
3.
There is a clear distinction between submitting cost or pricing data and merely making available books,
- records, and other documents without identification.
The requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the offeror have been submitted, either actually or by specific identification, to the Contracting Officer or an authorized representative.
As later information comes into the offeror's possession, it should be promptly submitted to - the Contracting Officer.
The requirement for. submission of cost or pricing data continues to the time of final agreement on. price.
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4.
In submitting offeror's proposal,
offeror must include an
- index, appropriately referenced, af all the cost or pricing data and information accompanying or identified in the proposal.
In addition, any future additions and/or revisions, up to the date of agreement on price, must be annotated on a supplemental index.
5.
By submitting offeror's proposal, the offeror, if selected for negotiation, i
grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will permit adequata evaluation of - the proposed price.
This right may be i
exercised at any time before award, i
6.
As soon as practicable after final agreement on price, but before the award resulting from the proposal, the offeror shall, under the conditions stated in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.
7.
Headings for Submission of Line-Item Summaries:
A.
NewContracts(includingLettercontracts).
' Proposed Centract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference (1)
(2')
(3)
(4) r
'Under Column (1) - Enter appropriate cost elements.
Under Column (2) - Enter those necessary and reasonable costs that in offeror's judgment will properly be incurred in efficient contract performance.
When any of the costs in this column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule.
When preproduction or startup costs are significant, or when specifically requested to do so by the Contracting Officer, provide a full identification and explanation of them.
Under Column (3) - Optional, unless required by the Contracting Officer.
Under Column (4) - Identify the attachment in which the information supporting the specific cost element may be found.
Attach separa:e pages as necessary, i
_.___.____,_____m___
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t B.
Change Orders (modifications).
Cost of Estimated Deleted Cost of All Work Cost Work Already Net Cost To Cost Of Net Cost Of l
Elements Deleted Performed Be Deleted Work Added Change Reference (1)
(2)
(3)
(4)
(5)
(6)
(7)
UnderColumn(1)-Enterappropriatecostelements.
Under Column' (2) - Include (1) current estimates of what the cost would have been to complete deleted work not yet perfonned, and (ii) the cost of deleted work already perfonned.
Under Column (3) - Incluoe the incurred cost of deleted work already performed, actually computed if
- possible, or estimated in the Contractor's accounting records.
Attech a detailed inventory of work, materials,
- parts, components, and hardware already purchased, manufactured, or performed and deleted by the change, indicating the cost and propor,ed disposition of each line item.
Also, if offeror desires to retain these items or any portion of them, indicate the amount offered for them.
Under Column (4) - Enter tM att cost to be deleted -which is the estimated cost of all deleted nrk less the cost of deleted work already performed.
Column (2) less Column (3) = Column (4).
Under Column (5) - Enter the offeror's estimate for cost of work added by the charge.
When nonrecurring costs are significant, or when specifically requestec to do so by the Contracting Officer, provide full identification and explanation of them.
Uader Column (6) - Enter the net cost of change which is the cost of work added, less the net cost to be deleted.
When this result is Column (4) less Column (5) =
negative,) place the amount in parentheses.
Column (6.
Under Column (7) - Identify the attachment in which the information supporting the specific cost element may be found.
Attach separate pages.as necessary.
9
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C.
Price Revision / Redetermination Number of Numoer of Recetermina-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed Amount Amount Difference
?
.(1)
(2)
(3)
(4)
(5)
(6)
P Incurred Incurred Incurred Cost-Cost-Cost-Total Estimated
' Cost Preproduc-Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
Under Column (1) - Enter the cutoff date required by the contract, if applicable.
Unoer Column (2) - Enter the number of units completed during the period for which experienced costs of production are being submitted.
Under Column (3) - Enter the number of units remb:ing to be completed under the contract.
Under Column (4) - Enter the cumulative contract amount.
Under Column (5) - Enter the offeror's redetermination proposal amount.
Under Column (6) - Enter the difference between the contract amount and the redetemination proposal amount.
When this result is negative, place the amount in parenthesis.
Column (4) less Column (5) = Column (6).
Under Column (7; - Enter appropriate cost elements.
When residual inventory
- exists, the fia) ccsts established under fixed-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market value of such inventory.
In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status.
~
Under Column (8) - Enter all costs incurred under the contract before l
starting production and other nonrecurring costs (usually referred to as startup costs) from offferor's books and records as of the cutoff date.
These include such costs as preproduction engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc.
In the event the amounts are not segregated in or otherwise available from offeror's records, enter in this column offeror's best estimates.
Explain the basis for each estimate and how the costs are charged on offeror's accounting records II 1
= _
i (e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.). Also how the costs would be allocated to the units at their various states of contract completion.
under Columns (9) and (10) - Enter in Column (9) the production costs from offeror's books and records (exclusive of preproduction costs reported in Column (8) of the units completed as of the cutoff date.
Enter in Column (10) the costs of. work in process as detemined from offeror's records or inventories at the cutoff date.
When the amounts. for work in process -are not available in Contractor's records but reliable estimates for them can be and enter in Column (9) the made, enter the estimated amounts in Column (10)(exclusive of preproduction differences between the total incurred costs costs) as of the cutoff date and these estimates.
Explain the basis for the estimates, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc.
Furnsih experienced unit or lot costs (or labor hours) from inception of contract to the cutoff date, improvement curves, and any other available
- production cost history pertaining to the item (s) to which offeror's proposal relates.
Under Column (11) - Enter total incurred costs (Total of Columns (B), (9),
1 and-(10)).,
Under Column (12) - Enter those necessary and reasonable costs that. in-t Contractor's judgment will properly be incurred in completing the remaining work to be performed under the contract with respect to the item (s) to which Contractor's proposal relates.
Under Column' (13) - Enter total estimated cost (Total of Columns (11) and (12)).
Identify the attachment in which the information Under Column (14) supporting the specific cost element may be found.
Attach separate pages as necessary, 6
9
1 5GLeCIT A T 6DN/CQNT R ACTiMO D6 F iCAT ION F5R M APPRQ V E D CONTRACT PRICING PROPOSAL COVER SHEET -
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- 4. TYPE OF CONTRACT ACTION rCheets A. NEW CONTR ACT lD. LETTE R CONTm&CT 3.CHANGEOmOEm E. UNPRICE O OmOE m C. PRICE REVtStON/
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- 7. PLACE 45: Amo #ERioptEn or PERFORMANCE I
- 8. Lict ene referones the leentificat#on. eventity one total ones processe for auch contreet line item. A line leem cost treeneoual swooerting this reces is re.
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- g. PROVICE NAME. ADOREES. AND TELEPHONE NUMBER FOR THE FOLLOWING tif aseideoers A. CONTR ACT ADMtNIETR AT4QN QFF4CE
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- 5. M A V E YOU EV5MITTE D A CA55 DIECLQ5V R E ETA TEMENT A. We5NSt (It "No." esonenn sa propeams tcAss DS.I er est tit "Yee." oneesty a c'eteesi sne effere to which T8 assaistere see af messemimes se ne esegeoers O vtS NO YES NO C.MAvE YOU BEEN NOT4F4ED THAT You ARE OR MAY BE sh NON.
D. 45 ANY A5PECT OF TMil PRQWCEAL 8NCON565 TENT W6TM VQVR l
ECMDLIANCE WITH YOUR OtSCLOSURE ST ATEMENT OR COST OtSCLOSEO PR ACTICES OR Ap*LICAsLE CcST ACCOUNTING CCOVNTING STANDARDSP ff/ " YH."espessa en p**peano STANOAROSt(If Yu."espese an prepassJ hNO YES NO VES i
Thet orocoesi is suomittee in reioones to the RF P contreet. modification, etc. in item t one retiects our tiest estimeios eno.or actuoi costs es of this cete ll. N AME AND T4TLE (Tipos
- 46. N AME QF F6 AM 4 7. 54 GNAT U R E J !s. DATE OF 5W5MI5540N NON 7940 01448 0046 3413 101 STAfeOARD PORM 1411 UMas preesraeme av OEA 8 U.S. 00meterr PRINT 3pe OFFICE 1984 0 = 421-526 (37)
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ATTACHMENT 5 l
U.S. NUdLEAR REGULATORY COMMISSION WRC MANUAL
/
Volues:
3000 Infomation and Foreign Activities 3200 Technical Inforention and Document control ADM Part :
CHAPTER 3206 NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES l
AND PRESS OR OTHER MEDIA RELEASES ON REGULATORY ANO
.1 TECHNICAL SU8JECTS 3206-01 COVERAGE This chapter covers the NRC responsibilities and procedures for (a) authorfma-tion of contractor repordng by means. of papers, journal ardeles and press or other media releases; (b) payment of page charges for publicadon of summaries or abstracts of papers in transactions or p(roceedings or for publicadon of complete papers in journals or proceedings; c) payment of travel costs asso-
,ciated with presenta on of papers; and (d) disclosure requirements.
d This chapt'ar does not cover speeches and papers by NRC staff, members of Panels, and Advisory Committees, and the Commissioners.
l NRC Boards, it does not cover speeches and papers by contractor personnel
- Further, presented at formal or informal NRC moedags (including those to which appli-l cants, vendors or other contractors may be invited), or meetings of informal l-l work groups with or without participadon of other 'non-NRC personnel.
For the purposes of this chapter, the term contractor includes organizations performing. work for NRC under cor. tract or under or pursuant so interagency
[
agreements.
I 3206-02 OBJECTIVES 021 To encourage presentation of informadon on' NRC-sponsored research and uahMeal programs in papers at meetings of professional societies, and.by publicadon of articles in professional journals.
022 To provide uniform procedures for authorizing and reviewing papers and journal articles prepared by NRC contractors.
023 To provide procedures for paying page charges.
024 To establish recording and disclosure requirements and responsibil-ities for public availability.
025 To provide assurance that national security, patent rights, and commercial proprietary rights are not compromised by presentation or publica-tion of papers and journal articles.
026 To provide for coordination of press or other media releases.
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NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASES
- NRC-3206-03 ON REGULATORY AND TECHNICAL SUBJECTS 3206-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director. Office of Administration, develops and maintains, in consultation with Directors of Offices, NRC policies, standards, procedures, and guides for the publication and disclosure of NRC contractor papers and j:urnal articles.
/
.i 032 The Director. Division of TeehaiaalInformation and Document Control; a.
establishes procedures for recording reviews and approvals and for publication and disclosure of NRC contractor papers and journal
- articles, b.
maintains records of papers and journal articles, and announces their public availability, c.
assists NRC contracting officers and project managers, as requested, in advising contractors regarding the preparation of papers (includ-ing hand-outs), journal articles, and press or other media releases, and in meetin ing sponsors,g the requirements of conference, symposium, and meet-as well as the NRC requirements for recording and disclosure.
033 Directors of Offices and Rerional Ad=4a4=trators:
establish procedures for determining whether reporting by means of a.
papers, journal articles and press or other media releases.will be authorised (see appendiz for Guidelines),
b, designate contractor officials who, if any, are authorized to sign NRC Form 426A to certify that the papers or journal articles are authorized by NRC and that the appropriate peer review for tech-nical content has been made.
designate contractor officials to review content of papers and journal c.
articles for material that might compromise commercial proprietary rights.
034 The Executive Leral Director provides legal review and advice on questions regarding inventions, patents and copyright considerations, unless the work being reported is contractually managed through another Government egency (e.g., DOE laboratories). (See Chapter NRC-1102, Exhibit 4, Sec.12.)
035 The Director. Division of Contracts, establishes in consultation with project manager the terms and conditions of contracts as they pertain to papers, journal articles, and press or other medh releases.
036 The Director. Division of Security, povides classification review of papers and journal articles, as required, to. assure - protection of classified information. It is the responsibility of the author and the contractor to protect classified information.
i l
Approved: July 7' 1982 rW JTEi A'WG"W NWV"":' T "mFWWT5#9CN70V' M'P"* '
P NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASES ON REGULATORY AND TECHNICAL SUBJECTS NRC-3206-037 037 The Director, Office of Public Affairs, upon request of project manager, reviews proposed contractor's press or other media releases for appropriateness.
3206-04 DEFINITIONS (for purposes of this chapter)*
041 Conference. Any formal national or international public meeting of interest to NRC convened for the interchange of views ED'i information on the programmatic (including reactor safety technology), management, and admin-istrative tapacts of the regulatory process and related confirmatory research.
Such meeting are typically characterized by formal agendas and the issuance of invitanons. The publication and distribution of transactions or proceedings may be involved. Press conferences, formal or informal NRC staff meetings (including those to which applicants, vendors, constructors, or other con-tractors may be invited), and meetings of informal working groups and stand-ards committees, with or without participation of other non-NRC personnel, are not included in this definition.
042 Centerence sponsor. A body which assumes responsibility for organiz-ing a confiFrence. It may be a U.S. national, public,.or private organization, or a foreign national or international group.
043 Disclosure recuirements.
Pre-and post-conference, symposium,
meetin't requirements for availability of speeches and papers to conference parncipants (see handouts) and to the public (see public availability).
044 Hand-outs. Copies of the paper on which a speech is based that are made available to the audience at the time the speech is made.
045 Journals. Publications of technical and professional societies that accept complete papers (articles) for publication. Most journals require review and acceptance by their own reviewers (peers, referees) and editorial board prior to publication. They may'also assess pla e charges. Many wiu not accept papers previously published in any type of forma, document that is publicly available. Special provisions for this type of publication by government employees and their contractors were established in a Federal Register notice, fDad November 18, 1974. (Federal Rerister, Vol. 39, No. 224
- Tuesday, November 19, 1974). This notice of policy of the Federal Council for Science,
and Technology on pare charres establishes the following criteria for use by Government agencies in honoring care-charge bills (invoices) submitted by journal publishers: "(1) The research papers report work supported by the
. Government. (2) Mandatory or voluntary page-charge policies are acceptable, provided that the page-charge policy of the publication is admwatered impart-ially for Government sponsored research reports. (3) The journals involved are not operated for profit." Before submission of papers for publication, authors should inquire about pare charges.
046 Meetings. In this context, meetings are synonymous with conferences and symposiums.
- Words underscored in definitions are defined in this alphabetical list of definitions.
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NRC-CONTRACTOR UNCLASSIFIED PAPERS JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASIS NRC-3206-047 ON REGULATORY AND TECHNICAL SUBJECTS 047 NRC Profect Manarer.
The NRC individual responsible for the performance of a consultant or contractor and his subcontractor or work per-farmed under or pursuac.t to an interagency agreement.
048 Pare Charres.
The charges typically assessed by professional societies and journals for publication of abstracts, summaries, or complete papers in transactions, 1roceedings, and fournals. Payment of the ae charres usually assures dalivery of 50 or more free copies of the publis e paper to the author.
049 Pacers. ihe formal, written transcript of a speech or a formal, written report suitable for publication in transactions, proceedinrs, and Wurnals following peer review.and acceptance by the conference sponsors or a
- ournal.
0410 Proceedings. Publications prepared by or for conference, symposium ~,
er meeting sponsors to' record the information presented at the conference.
Subatssion of a complete paper for such publication may be mandatory or voluntary and the papers may be required to be in camera-ready copy, may be composed from draft copy, or may be edited and composed, depending on the requirements of the conference sponsor and the publisher. Such publications
- may require peer review and modifications for acceptance and the payment of PAa e chstres. Information on all these aspects of publication should be avail-able to tse contributor in advance of the conference.
0411 - Public avaiabigt. Unclassif'ied oaoers and fournal articles (papers) must be made public,y available. Because of the long time that may occur betwan the ttne a journal article or a paper for a conference proceeding that is to be copyrighted and published commercially is accepted and printed, the final draft or preprint must be submitted to the fournal or commercial publisher.
When the journal article or conference proceedings document is published, the draft must be replaced with a copy of the article or paper by sending two author's copies, properly identified, to the Division of Technical Information and Document Control. (See appendix.)
0412
~
Speeches. The verbal presentation of a paper. The paper may or may not' be published in the open literature, but if presented in lieu of a formal report two copies must be submitted with a completed NRC Form 426 to the NRC Division of TechnW1 Information and Document Control for record-ing, announcing, and transmitting to the NRC-PDR.
0413 Symposiums. In this context, symposiums. are shmonymous with conferences and meetings.
0414 Transactions. Publications prepared by or for conference, symposium
.cr meetine sponsors to record abstracts or summaries of papers to be presented at conferences. For such publications, abstracts and summaries submitted-in advance of the conference, symposium or meetine are subje'eted to peer review and program review. for acceptance for, presentation at the conference, symposium, or meetinr. Transactions are normally available to - participants before or at the meeting, but they may be distributed after the meeting.
Usually, conferences for which transactions are prepared are not recorded in i
1 Approved: July 7,1982 l
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NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL
- ' 'o ARTICLES AND PRESS OR OTHER MEDIA RELEASES ON REGULATORY AND TECHNICAL SUBJECTS NRC-3206-05 procee&rs. If the author desires publication of his complete paper, he must subent it to a fournd for consideration.
3206-05 BASIC REQUIREMENTS 051 AnolicabGity. The provisions of this chapter and its appendix apply to all contractors of NRC, with the exception of contractors of NRC Boards, Panels, Advisory Committees and the Commissioners.
052 Annendia 3206. Procedures for preparation, recording, and disclosing papers for conferences, symposiums, meetings, and journals are presented in the appendix to this chapter.
3206-06 REFERENCES 061 Chapter NRC-3205, NRC Staff Speeches, Papers, and Journal Articles on Regulatory and Taahaieal Subjects.
062 Chapter NRC-3207, Conferences and Conference Proceedings.
063 Chapter NRC-3202, Publication of Unclassified Regulatory and Tech-nical Reports Prepared by NRC Contractors, Including Reports Prepared Under or Pursuant to Interagency Agreements.
064 Chapter NRC-1102, Procedure for Placement of Work with DOE.
065 Federal Re rister, Vol. 39, No. 224, Tuesday, November 19, 1974,
" Federal Counce for Ecience and Technology, Notice of Policy on Page Charges."
066 Title 17, United States
- Code, entitled
" Copyrights" (Public Law 94-553).
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3, NRC CONTRACTOR UNCLASSIFIED PAPIRS,- JOURNAL l
ARTICLES AND PRESS OR OTHER MEDIA RELEASES a-
-ON REGULATORY AND TECHNICAL SUBJECTS NRC Appendh_3J6 y
PARTI GUIDELINES FOR DETERMINING WHITHER REPORTING BY MEANS OFj PAPERS AND JOURNAL ARTICLES WILL BE AUTHORIZED AND WHETHER PRESS ' OR OTHER MEDIA RELEASES. WILL BE APPROVED A.
Authorization in Statement of Work As set forth in the.Ob'jectives (3206-02), the reporung of tech
- and regulatory work being performed for.
NRC by-- means of _ papers and journal articles is encouraged. If-such -
reporting is to-be authorized in lieu of submitting formal. reports, state g
the fe.bwing in the contract or statement of. work:
The. contractor's investigator (s) may publish - the results of tb.is
~
7 L
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 project manager wants to review the paper or journal article i
prior to presentation or submission for publication, state this in the j
statement of work, as follows:
1 The contractor's 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 j
' stages of the work, if the arucle or paper has been reviewed by the NRC project marager in draft form and. agreement has-- been s
4 P
reached on the content.
If agreement is not reached. NRC may also. ask that the; paper 3
include, in addition to the standard' statement " Work supported by.
the U.S.. Nuclear Regulatory Commission," any caveats deemed neces-sary to cover the NRC objections. If the NRC objections cannot be covered in this manner, NRC can refuse to authorize publication >in:
the open literature and/or presentatics of papers, j
rn#
In the. latter case NRC will inform the contractor of this decision in the same manner as for reports (see Chapter NRC-3202). The contractor is 4
then free to publish without NRC identification of the information. This will not affect payment of the contract work costs. Project manager or higher level decisions may be appealed to the NRC Executive Director
{
for Operations.
If the contractor proposes to publish in the open literature or present the:information at meetings in addition to submitting the required tech-akal reports', approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC pioject manager shall either approve the material as submitted.. approve it subject to NRC-suggested. revisions, or -disapprove it: In any event, a project manager may. disapprove or delay.presen:ation or-publicutien of papers. en infor--
mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved.
1 Approved: July.7,-1982 ~
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NRC ' CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL:
LNRC ' Appendix 3206 Art 1CLES AND PRESS OR OTHER MEDIA RELEASES Part !
ON REGULATORY AND TECHNICAL SUBJECTi}
Presentations or pubhcadon in the open literature of ' papers or data based on reports already approved by NRC as formal final reports do not require NRC approval 3.
Pare Charges. -If page charges are involved, they may be paid frcm the contract funds if authe-ized by the program manager. (See Definitions, 045 Journals, for Federal Policy on page charges.)
C.
Travel Costs. If presentatien of a paper at a public association meeting has been authorized in the statement of. work, the NRC project manager may authorize payment of the travel costs involved from the contract funds. If, however, the NRC manager determines that presentation of the paper does not support the NRC program or project, even though the-presentation may be authorized, the contractor win not be authorized to charge the cost of the presentation to the contract funds. This will not affect ' payment of the contract work costs.
If the presentation or paper is in addition to the required terWra reports and the NRC project manager htermines that it wiu benefit the NRC project, the project manager may authorize payment of travel and the publishing costs, if any, from the contract funds. If the project manager dete mines that the article or presentation would not benefit the NRC project - the project manager can specify that costs associated with the presentation or publication win be borne by the contractor.
D.
Patent. Classification and Commercial Pronrietarv Interest.-
Publications Ec presentanons made-puolicly available may not udlude information that would ' compromise the - national security, patent rights, copyrights and ccmmercial prop'rietary interests of NRC. The project manager may request the assistance of the Dffice-of the Executive Legal Director and-the Division of Security as needed in making decisions. (see also Patent and Security Review provisions in Chapter NRC-3202').
E.
Contractar Recuest for Review. The contractor may request NRC -review of papers and journal arucles on technical and regulatory issues for possible policy implications prior to completion of NRC Form 426A. Con-tractors wiu not be authorized to present themselves as speaking for the Commission on: NRC policy issues in papers. and journal articles. Con-r.ractor comments on NRC policy issues must be accompanied by a suitable.
disclasmer, such as:
The views expressed in this paper (or journal article) are not necessarily those of the U.S. Nuclear Regulatory Commission.
F..
Discosition~ of Paners or Journal Articles Not Accented bv Professional
.Socleues or Journals. If tne proposed paper or journal arucle is not accepted by the journal or other publisher and was prepared in lieu of a formal report, the author must publish his findings as an NRC con-tractor publication. The provisions of Chapter NRC-:5202 and its Appen-dix or Chapter NRC-1102, Exhibit 4, Section 12, are applicable.
N Approved:- July 7,1982 2
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NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASES ON REGULATORY AND TECHNICAL SUBJECTS NRC Apocn_d_ix 3206 PART11 STEPS IN THE PREPARATION. REVIEW, APPROVAL, AND DISCLOSURE OF PAPERS AND JOURNAL ARTICLES A.
Author 1.
Prepare paper or journal article in accordance with contract or state-ment of work provisions and instructions of conference, symposium, or meeting sponsors or the journal in which the paper is to be published.
2.
Obtuin required reviews and appropriate signatures on NRC Form 426A. Send two copies of paper or journal article and completed and signed NRC Form 426A to NRC Division of Tech *al Information and Document Control.
3.
If the paper or journal article is to be published in a copyrighted journal, clearly indicate the following on the first page of each copy submitted with NRC Farm 426:
" Submitted to ( name of fournal or publisher) for publication ott (date)."
"This preprint (draft) is not to be cited or reproduced."
"This is a preprint (draft) of a paper intended for publication in a journal or proceedings. Since changes may be made before publication, this preprint (draft) is made available with the undarstanding that it wiH not be cited or reproduced without the permission of the author."
If requested by the journal or other publisher to trsusfer the copy-right,. respond to the journal or other publisher, in writing, in accordance with the samplo letter shown in Exhibit 1.
4.
If assistance is needed in completing these steps, contact the NRC Contzacting Officer or project manager or the NRC Division of Technical Information and Document Control.
B.
Division of Technical Information and Document Control 1.
Assist NE? Contracting Officer or project manager as requested.
2.
Assist author, Contracung Officer or project manager in complying with disclosure requirements.
3.
Maintain record:.; of papers and approval documents.
4.
Announce public availability and publication of papers.
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NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLRS AND PRESS OR OTHER MEDIA RELEASES ON REGULATORY AND TECHNICAL Sl*B.1ECTS NRO Appendix 3206 E.%ibit 1'
$ AMPLE LETTER 0N COPYRIGHT AGREEMENT Dear We recently-received a document for signature assigning copyright and republi-cation ' rights in the submitted article (title) to (name of publicadon). This '
letter is offered in Ifeu of that document as a means of completing the transfer of ownership. - Accordingly. we hereby expressly transfer and assign our rights-
,of ownership in the above cited work to-(name of publisher).
~ You are advised, however, that the above assignmant 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 (grantee) of - the U.S.
Government under contract (grant) No '.
' Accordingly,.. the U.S. Government retains 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..
In addition, each article which results from the placanient of NRC work with a contractor or another - government agency must state " Work Supported ;by the -
U.S.
. Nuclear Regulatory Commission, Office of under Contract / Interagency Agreement (number)."
Sincerely, e
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