ML20056F051
| ML20056F051 | |
| Person / Time | |
|---|---|
| Issue date: | 07/28/1993 |
| From: | Mace M, Young B NRC OFFICE OF ADMINISTRATION (ADM), SCIENCE APPLICATIONS INTERNATIONAL CORP. (FORMERLY |
| To: | |
| References | |
| CON-NRC-04-93-050, CON-NRC-4-93-50 NUDOCS 9308250478 | |
| Download: ML20056F051 (92) | |
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AWARD / CONTRACT Page 1 of 2
- 1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 350)
RATING
- 2. CONTRACT NO.
3.
EFFECTIVE DATE 4.
REQUISITION / PROJECT NO.
M 2 8 1933 NRC-04-93-050 5.
ISSUED BY Code:
- 6. ADMINISTERED BY Code:
(If other than Item 5)
U.S. Nuclear Regulate y Commission U.S. Nuclear Regulatory Commission Div. of Contracts & i_operty Mgmt.
Division of Contracts & Property Mgmt.
Contract Neg. Branch No. 2 Contract Admin. Branch No. 1 Washington, D. C.
20555 Mail Stop:
P-902
'fashington, D. C.
20555
- 7. NAME AND ADDRESS OF CONTRACTOR
- 8. DELIVERY Science Applications International
[]
FOB ORIGIN 10260 Campus Point Drive
[X]
OTHER (See below)
San Diego, CA 92121
- 9. DISCOUNT FOR PROMPT PAYMENT N/A Principal Investigator / Technical
Contact:
Tony' Rhea Telephone No: 615-481-2345 l
1
- 10. SUBMIT INVOICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN ITEM: 6
- 11. SHIP TO/ MARK FOR CODE
- 12. PAYMENT WILL BE MADE BY CODE g
U.S. Nuclear Regulartory Comm.
U.S. Nuclear Regulatory Commission Attn:
Cheryl Trottier - RES Div. of Accounting & Finance GOV /COM i
Mail Stop:
NLS-139 Washington, D.
C.
20555 Washington, D.
C.
20555 f
- 13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION
[] 10 U.S.C. 2304 (c) ( )
[] 41 U.S.C. 253 (c) ( 1) l l
- 14. ACCOUNTING AND APPROPRIATION DATA B&R No.:
36019202400 FIN No.:
L2497
]
Appn. No.:
31X0200.360 OBLIGATED AMOUNT:
$68,512.00 15A. ITEM 15B. SUPPLIES /
15C. QUANTITY 15D. UNIT 15E. UNIT 15F. AMOUNT NO.
SERVICES PRICE l
The U.S. Nuclear Regulatory Commission hereby accepts SAIC's '
technical proposal dated 12/28/92 and revision thereto dated i
06/09/93, both of which are incorporated herein by reference to provide " Technical Assistance For Regulatory Guidance For Part 20 Implementation" as specified hereunder.
THIS IS A FULLY FUNDED COST PLUS FIXED FEE TYPE CONTRACT.
j 15G. TOTAL AMOUNT OF CONTRACT
$68,512.00 EXCEPTION TO STANDARD FORM SF26 (REV. 4 - 85 )
Prascribed by GSA FAR(48 CFR) 53. 214 (a) n U
9308250478 93072'd hj PDR CONTR 6
NRC-04-93-050 PDR
J i AWARD / CONTRACT Page 2 of 2 Pages 16.
TABLE OF CONTENTS X SEC DESCRIPTION PAGE (S)
PART I - THE SCHEDULE A
SOLICITATION / CONTRACT FOkM 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 OFFERORS L
INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M
EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETF ITEM 17 OR 18 AS APPLICABLE 17.
[X] CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return three copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein.
The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein.
(Attachments are listed herein.)
18.
[ ] AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This ward a
consummates the contract which consists of the following documents: (a) the i
Government's solicitation and your offer, and (b) this award / contract. No further contractual document is necessary.
19A. NAME AND TITLE OF SIGNER 20A. NAME OF CONTRACTING, OFFICER j
(Type or print)
{
Mary H. Mace
,/
0 Brend.a 3. % nd r
19 AME OF
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xACTORCJ 20B. UNITE STATFf/OF ICA by (L%cO.'
M-by
+ ll kh] tJi ll f/
(Sigfnat12re o[/ pgrsogauthorized to sign)
(Signature 'of Contracting Of ficer) ll l
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DATE SIGW'U" 20C.
19C. DATE SIGNED s ur?
%,In EXCEPTION TO STANDARD FORM 26 (REV.4-85)
/
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TABLE OF CONTENTS PAGE AWARD / CONTRACT v
PART I - THE SCHEDULE.
3 SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS.
3 B.1 PROJECT TITLE.
3 B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) 3 B.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE.
3 (JUN 1988) ALTERNATE I (JUN 1991) i SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT.
4 4
C.1 STATEMENT OF WORK.
C.1.1 Introduction.
4 l
C.1.2 Objective.
4 C.1.3 Project Tasks.
4 C.1.4 Level of Effort 5
5 C.1.5 Meetings and Travel..................
C.1.6 NRC Furnished Material.
5 C.2 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) 6 C.3 6
SECTION D - PACKAGING AND MARKING.
7 D.1 PACKAGING AND MARKING (MAR 1987) 7 SECTION E - INSPECTION AND ACCEPTANCE.
8 B.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 8 E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987).
8 SECTION F - DELIVERIES OR PERFORMANCE.
9 F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 9 F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL.
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9 REPORTS (JAN 1993)
F.3 NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT.
9 F.4 PLACE OF DELIVERY--REPORTS (JUN 1988).
10 F.5 DURATION OF CONTRACT PERIOD (MAR 1987) 10 F.6 ADDITIONAL REPORTING REQUIREMENTS.
10 SECTION G - CONTRACT ADMINISTRATION DATA.
12 G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY.
12 1
(JAN 1993)
G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT.
14
- ALTERNATE 1 (JAN 1993)
G.3 NRCAR 2052.216-72 INDIRECT COST RATES.
15
- ALTERNATE 1 (JAN 1993)
G.4 REMITTANCE ADDRESS (MAR 1987).
15 '
SECTION H - SPECIAL CONTRACT REQUIREMENTS.
16 H.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL.
16 CONFLICTS OF INTEREST (JAN 1993) i
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I H.2 NRCAR 2052.215-70. KEY PERSONNEL (JAN 1993) 20 H.3 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED.
21 l
(JUN 1988) l PART II - CONTRACT CLAUSES.
22 22 SECTION I - CONTRACT CLAUSES I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 22
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PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS.
26
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l 24 SECTION J - LIST OF ATTACHMENTS.
20 J.1 ATTACHMENTS (MAR 1987) i I
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NRC-04-93-050 Section B Y
PART I - THE SCHEDULE l
SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS l
B.1 PROJECT TITLE i
The title of this project is as follows:
" Technical Assistance For Regulatory Guidance For Part 20 Implementation"
[End of Clause)
B.2 BRIEF DESCRIPTION OF WORK (MAR 1987)
Prepare a NUREG document for guidance to NRC and licensees in the implementation of 10 CFR Part 20 with emphasis on providing, in one place, guidance on evaluating the I
workplace environment to determine monitoring needs with a step-by-step description of dose assessment including data collection, evaluation, and reporting.
The NUREG should include acceptable calculation methods with examples.
[End of Clause]
j B.3 CONSIDERATION AND OBLIGATION--COST PLUS FTIRn FEE (JUN 1988) ALTERNATE I (JUN 1991)
(a) The total estimated cost to the Government for full performance of this contract is $68,512.00, of which the sum of $63,437.00 represents the estimated reimbursable costs, and of which $5,075.00 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.
5 (c) The amount currently obligated by the Government with_ respect to this contract is $68,512.00, of which the sum of $63,437.00 j
represents the estimated reimbursable costs, and of which
$5,075.00 represents the fixed fee.
(d) It is estimated that the amount currently allotted will cover performance through expiration.
[End of Clause]
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m Section C NRC-04-93-050 SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT C.1 STATEMENT OF WORK Col.1 Introduction The NRC has published in the FederalRegister on May 21, 1991 (56 FR 23360) a major revision to 10 CFR Part 20, " Standards for Protection Against Radiation."
This revision incorporates recommendations from the International Commission on Radiation Protection and Measurements and the National Council for Radiation Protection and Measurements, and Presidential guidance for occupational exposure (52 FR 2822).
This revision resulted in significant changes in the methods used by licensees to calculate occupational and public doses.
A number of regulatory. guides have i
been developed to support this rulemaking.
A technical NUREG document is needed to support this rulemaking by providing in one document a discussion of how each of the regulatory guides can be used in calculating occupational doses with examples using each dose assessment methodology.
C.1.2 Objective The objective of this effort is to prepare a NUREG document for guidance to NRC staff and licensees in the implementation of 10 CFR Part 20.
Emphasis shall be placed on providing, in one place, guidance on evaluating the workplace environment to determine monitoring needs with a step-by-step description of dose asseesment, including data collection, evaluation, and reporting.
The NUREG should include acceptable calculation methods with i
examples.
This NUREG will be used to train the NRC staff in the Part 20 revisions prior to the January 1, 1994 required implementation and will be useful to licensees in implementing the rule.
C.1.3 Project Tasks Within 30 calendar days of the contract effective date, the contractor shall develop and submit, to the NRC, an outline for a' NUREG based on a review of the regulatory guides and the i
associated NUREGs which deal with the revised Part 20.
This outline shall follow a logical flow from evaluating the need for monitoring, through data collection and analysis, to reporting.
This shall include a comprehensive listing of the example calculations that shall be developed.
The NRC will review and provide comments to the contractor within 10 working days after receipt of the outline.
During NRC's review, the contractor shall continue work on the calculation examples.
Page 4 of 24
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NRC-04-93-050 Section C C.1.3 (Continued)
In accordance with the NRC approved outline and NRC comments, the contractor shall provide the draft NUREG within 90 calendar days of the contract effective date.
This submittal shall cross-reference the existing guidance documents in outlining the j
steps necessary to conduct an assessment of occupational and public dose.
In particular, basic formulas and examples which i
appeared in the July 22, 1991 draft of degulatory Guide 8.N.5 shall be included.
Any additional formulas needed for dose j
assessment and not available in existing regulatory guidance should be included in this NUREG.
l The contractor shall provide examples to facilitate the readers' understanding of the dose assessment methodology discussed in the regulatory guides.
Examples of dose calculations pertinent to NRC licensees shall include, but are not limited to, medical, l
industrial, manufacturing, research and development, fuel facilities, and power reactors.
Each example shall address all aspects of dose assessment from data collection to dose calculation and, if necessary, reporting.
The contractor shall develop a list of cases to be addressed in the examples for NRC i
review and approval prior to incorporation into the NUREG.
This list shall encompass sufficient examples to cover, as a minimum, i
those licensee types discussed above (medical, industrial, j
manufacturing, research and development, fuel facilities, and power reactors) and dose assessments performed for all the l
applicable uses of radioactive material by each of the represented licensees.
Reporting requirements for this effort are specified under Section F herein.
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4 C.1.4 Level of Effort j
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The level of effort for this project is estimated at 0.6 person-l t
years.
3 C.1.5 Meetings and Travel j
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It is anticipated that approximately three trips to NRC Headquarters located in Rockville, Maryland will be required 3
l during the contract period.
Each trip will be of one day duration
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l-C.1.6 NRC Furnished Material f
Copies of regulatory guides, NUREGs, and other available IEC documents will be provided to the contractor as needed.
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[End of Clausel Page 5 of 24 i
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IRC 93 - 05 0 Section C C.2 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993)
(a) All domestic travel requires the prior approval of the project officer.
i (b) All foreign travel must be approved in advance by the NRC on NRC Form 445 and must be in compliance with FAR 52.247-63 Preference for U.S. Flag Air Carriers.
Foreign travel l
approval must be communicated in writing through the contracting officer.
[End of Clause]
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Section D NRC-04-93-050 SECTION D - 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 ensure acceptance by common carrier and safe delivery at destination.
Containers and closures shall comply with the Interstate Commerce Commission Regulations, Unifonn 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.
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[End of Clause]
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NRC-04-93-050 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.246-5 INSPECTION OF SERVICES APR 1984 I
- COST-REIMBURSEMENT i
[End of Clause]
E.2 PLACE OF INSPECTION AND ACCEPTANCE (FJLR 1987)
Inspection and acceptance of the deliverable items to be l
furnished hereunder shall be made by the Project Officer at the destination.
[End of Clause]
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NRC-04-93-050 Section F SECTION F - DELIVERIES OR PERFORMANCE F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE i
52.212-13 STOP-WORK ORDER AUG 1989 r
Alternate i (APR 1984)
[End of Clause]
F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL REPORTS (JAN 1993)
All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached Management Directive 3.8,
" Unclassified Contractor and Grantee Publications in the NUREG Series."
Management Directive 3.8 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract.
(See Section J for List of Attachments).
[End of Clause]
F.3 NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT ll 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 must identify the title of the project, the contract number, l
Financial Identification Number (FIN), project manager an'/or d
principal investigator, the contract period of performance, and the period covered by t.he report.
Each report must include the following for each discrete task / task order i
(a) A listing of the efforts completed during the period, and 3
milestones reached or, if missed, an explanation provided; i
(b) Any problems or delays encountered or anticipated and recommendations for resolution.
If the recommended resolution involves a contract modification, e.g.,
change in work Page 9 of 24 i
WRC-04-93-050 Section F i
F.3 (Continued) requirements, level of effort (cost) or schedule delay, the contractor shall submit a separate letter to the contracting officer identifying the required change and estimated cost impact.
(c) A summary of progress to date; and (d) Plans for the next reporting period.
[End of Clause]
F.4 PLACE OF DELIVERY--REPORTS (JUN 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
(a) Project Officer (3 copies)
U.S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research ATTN:
Cheryl Trottier Mail Stop NLS-139 Washington, D.C.
20555 (b) Contracting Officer (1 copy) f
[End of Clause]
F.5 DURATION OF CONTRACT PERIOD (MAR 1987) t This contract shall commence on the effective date and will expire nina months thereafter.
[End of Clause]
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t F.6 ADDITIONAL REPORTING REQUIREMENTS In addition to the deliverables required under Section C.,4, herein, the contractor shall submit a draft NUREG report in accordance with Section F.5 herein, within 90 calendar days of the contract effective date.
The NRC will provide comments within 3 l
months of receipt of the draft.
A draft final report with a comparative text showing how NRC comments were resolved shall be submitted by the contractor within 30 calendar days of receipt of NRC comments on the draft final report.
The NRC will provide comments on the draft final report within 15 working days of receipt.
The contractor shall provide a final (camera ready)
NUREG report within 15 working days of receipt of NRC comments on the draft final report.
Page 10 of 24
4.
NRC-04-93-050 Section F F.6 (Continued)
(End of Clause)
F.7 2052.212.73 Financial Status Report - Alternate 1 The contractor shall provide 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 principalinvestigator, the contract period of performance, and the period covered by the report. Each report shallinclude the i
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) i Page 11 of 24 i
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L NRC-04-93-050 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY (JAN 1993)
(a)
The contracting officer's authorized representative hereinaf ter referred to as the project officer for this contract is:
Name:
Cheryl Trottier
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Address: U.S. Nuclear Regulatory Commission _
Office of Nuclear Regulatory Research Mail Stop:
NLS-139 Washington, D.C.
20555 Telephone Number: 301-492-3640 j
(b) Performance of the work under this contract is 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 contractor which shifts work emphasis between areas of work or tasks, fills in details, or otherwise serves to accomplish the l
contractual statement of work.
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(2) Provide advice and guidance to the contractor in the preparation of drawings, specifications, or technical portions of the work description.
(3) Review and, where required by the contract, approval of technical 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 1
have the authority to and may not issue any technical j
direction which i
(1) Constitutes an assignment of work outside the general i
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 Page 12 of 24 I
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NRC-04-93-050 Section G G.1 (Continued) i estimated contract cost, the fixed fee, if any, or the time required for contract performance.
(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 must be issued in writing by the project officer or must be confirmed by the project officer in i
writing within ten (10) working days after verbal issuance.
A copy of the written direction must 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 manner prescribed by this clause and within the project officer'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 paragraph (c) of this section, the
- r contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly.
Upon receiving the 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 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 with respect there to is subject to FAR 52.233-1 Disputes.
(i) In addition to providing technical direction as defined in paragraph (b) of the.section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.
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- NRC-04-93-050 Section G G.1 (Continued) i (2) Assist the contractor in the resolution of technical i
problems encountered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
[End of Clause]
G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT i
- ALTERNATE 1 (JAN 1993)
(a) The contractor is encouraged to use Government contract airlines, AMrRAK rail services, and discount hotel / motel properties in order to reduce the cost of travel under this contract.
The contracting officer shall, upon request, provide each traveler with a letter of identification which is required in order to participate in this program.
The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor personnel traveling on official business under this contract.
The FTD, which is issued monthly, may be purchased from the U.S. Government Printing Office, Washington, DC 20402.
8 (b) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract.
The cost limitations for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip.
Travel costs for research and related activities performed at State and nonprofit institutions, in accordance j
with Section 12 of Pub. L.
100-679, shall be charged in accordance with the contractor's institutional policy to the degree that the limitations of Office of Management and Budget (OMB) guidance are not exceeded.
Applicable guidance j
documents include OMB Circular A-87, Cost Principles for State l
and Local Governments; OMB Circular A-122, Cost Principles for i
Nonprofit Organizations; and OMB Circular A-21, Cost Principles for Educational Institutions.
(c) When the Government changes the Federal Travel Regulations, or other applicable regulations, it is the responsibility of the contractor to notify the contracting officer in accordance j
with the Limitations of Cost clause of this contract if the l
contractor will be unable to make all of the approved trips i
and remain within the cost and fee limitations of this contract due to the changes.
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- NRC-04-93-050 Section G G.2 (Continued)
(End of Clause)
G.3 NRCAR 2052.216-71 INDIRECT COST RATES - ALTERNATE 2 (JAN 1993)
(a) Pending the establishment of final indirect rates which must be negotiated based on audit of actual costs, the contractor shall be reimbursed for allowable indirect costs as follows:
FY94 1
Overhead 87%
(Based against Total Direct Labor)
Fringe Benefits 35.5%
General & Administrative 10.3% (Based against Total Direct Costs)
(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 FAR 52.232-20, Limitation of Cost, or FAR 52.232-22, Limitation of Funds, as applicable, if these changes affect performance of work within the established cost or funding limitations.
(End of Clause) t G.4 REMITTANCE ADDRESS (MAR 1987)
Remittance address is as follows:
i Name:
Science Applications International Corp.
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Address: Bank of America Account No.
14520-00006 ABA No. 121000358 j
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[End of Clause]
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NRC-04-93-050 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)
(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or -
planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b) Scope. The restrictions described apply to performance or participation by the contractor, as defined in 48 CFR 2009.570-2 in the activities covered by this clause.
(c) Work for others.
(1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees to forego 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 I
respect to the work being performed under this contract.
The contractor shall ensure that all employees under this I
contract abide by the provision of this clause.
If the i
I contractor has reason to believe with respect to itself o
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 before the execution of such contractual arrangement.
(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC audit, inspection, or review where the activities that are the subject of the audit, inspection or review are the same as or substantially similar to the services within the scope of this contract (or task order as appropriate), except where the NRC licensee or applicant,
requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.
Page 16 of 24
NRC-04-93-050 Section H H.1 (Continued) l (3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither solicit nor perform work in the same or similar technical area for that licensee or applicant organization for a period commencing with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task order contract).
(4) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, i
(i) The contractor may not solicit work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate.
(ii) The contractor may not perform work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate, and for one year thereafter.
(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or perform this type of work (except work in the same or similar technical area) if the contracting officer determines that the situation will not pose a potential for technical bias or unfair competitive advantage.
(d) Disclosure after award.
(1) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest as defined in 48 CFR 2009.570-2.
(2) The contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to thia 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.
(3) It is recognized that the scope of work of a task-order-type contract necescarily encompasses a broad Page 17 of 24
L 5
NRC-04-93-050 Section H l
H.1 (Continued) 1 spectrum of activities. Consequently, if this is a i
'3 task-order-type contract, the contractor agrees that it i
will disclose all proposed new work involving NRC licensees or applicants which comes within the scope of 3
work of the underlying contract. Further, if this contract involves work at a licensee or applicant site, the contractor agrees to exercise diligence to discover and disclose any new work at that licensee or applicant site.
This disclosure must be made before the submission l
of a bid or proposal to the utility or other regulated l
entity and must be received by the NRC at least 15 days j
before the proposed award date in any event, unless a written justification demonstrating urgency and due diligence to discover and disclose is provided by the i
contractor and approved by the contracting officer.
The j
disclosure must include the statement of work, the dollar value of the proposed contract, and any other documents i
i that are needed to fully describe the proposed work for the regulated utility or other regulated entity.
NRC may
[
deny approval of the disclosed work only when the NRC has issued a task order which includes the technical area i
and, if site-specific, the site, or has plans to issue a i
task order which includes the technical area and, if l
l site-specific, the site, or when the work violates i
I
]
paragraphs (c) (2), (c) (3) or (c) (4) of this section.
l (e) Access to and use of information.
l j
(1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans,
}
policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (5 U.S.C.
j Section 552a (1988)), or the Freedom of Information Act (5 U.S.C. Section 552 (1986)), the contractor agrees not l
to:
4 (i) Use this information for any private purpose until l
the information has been released to the public;
}
(ii) Compete for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of j
the information to the public, whichever is first; j
I (iii) Submit an unsolicited proposal to the Government l
based on the information until one year after the
[
release of the information to the public; or l
i r
J j
(iv) Release the information without prior written l
j approval by the contracting officer unless the j
information has previously been released to the l
Page 18 of 24 l
4
L e
' ~
NRC-04-93-050 Section H i
H.1 (Continued) public by the NRC.
(2) In addition, the contractor agrees that, to the extent it
(
receives or is given access to proprietary data, data l
protected by the Privacy Act of 1974 (5 U.S.C. Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.
I Section 552 (1986)), 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 i
information.
(3) Subject to patent and security provisions of this contract, the contractor shall have the right to use technical data it produces under this contract for private purposes provided that all requirements of this r
contract have been met.
i (f) Subcontracts.
Except as provided in 48 CFR 2009.570-2, j
the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms contract, contractor, 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 4
a relevant interest required to be disclosed concerning this contract or for such erroneous representations that l
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.
)
1 (h) Waiver.
A request for waiver under this clause must be i
directed in writing to the contracting officer in accordance with the procedures outlined in 48 CFR 2009.570-9.
a (i) Follow-on effort.
The contractor shall be ineligible to i
participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited), which stem directly from l
l the contractor's performance of. work under this contract.
Purthermore, unless so directed in writing by the contracting l
l officer, the contractor may not perform any technical j
consulting or management support services work or evaluation i
activities under this-contract on any of its products or l
services or the products or services of another firm if the j
contractor has been substantially involved in the development or marketing of the products or services.
i (1) If the contractor, under this contract, prepares a l
complete or essentially complete statement of work or j
i 1
i Page 19 of 24 j
1 l
i
NRC-04-93-050 Section H
~
H.1 (Continued)
L specifications, the contractor is not eligible to perform t
or participate in the initial contractual effort which is based on the statement of work or specifications.
The contractor may not incorporate its products or services in the statement of work or specifications unless so directed in writing by the contracting officer, in which case the restrictions in this paragraph do not apply.
i (2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.
[End of Clause]
i-i E.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)
+
(a) The following individuals are considered to be essential to the successful performance of the work hereunder:
Tony Rhea The contractor agrees that personnel may not be removed from j
the contract work or replaced without compliance with paragraphs (b) and (c) of this section.
(b) If one or more of the key personnel, for whatever reason, becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel with personnel of at least substantially equal ability and qualifications.
(c) Each request for approval of substitutions must be in' writing and contain a detailed explanation of the circumstances necessitating the proposed substitutions.
The request must also contain a complete resume for the proposed substitute and other information requested or needed by the contracting 1
officer to evaluate the proposed substitution.
The contracting officer or his/her authorized representative shall evaluate the request and promptly notify the contractor of his or her approval or disapproval in writing.
(d) If the contracting officer determines that suitable and timely Page 20 of 24
i e
~
NRC-04-93-050 Section H
~~ '
H.2 (Continued) replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the contracting officer for default or for the convenience of the Government, as appropriate.
If the contracting officer finds the contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss, or damage.
[End of Clause]
H.3 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NO2E PROVIDED (JUN 1988)
The Government will not provide any equipment / property under this contract.
[End of Clause]
t i
1 i
Page 21 of 24
t Section I l
' NRC-04-93-050 PART II - CONTRACT CLAUSES t
SECTION I - CONTRACT CLAUSES f
I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 19881 This contract incorporates one or more clauses by reference, l
with the same force and effect as if they were given in full text.
Upon request, the Cor_tracting Officer will make their full text available.
f I.
FEDERAL ACQUISITION REGULATION (48 C N CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.202-1 DEFINITIONS SEP 1991 52.203-1 OFFICIALS NOT TO BENEFIT APR 1984 52.203-3 GRATUITIES APR 1984 52.203-5 COVENANT AGAINST CONTINGENT FEES APR 1984 52.203-6 RESTRICTIONS ON SUBCONTRACTOR JUL 1985 SALES TO THE GOVERNMENT 52.203-7 ANTI-KICKBACK PROCEDURES OCT 1988 52.203-10 PRICE OR FEE ADJUSTMENT FOR SEP 1990 ILLEGAL OR IMPROPER ACTIVITY 52.209-6 PROTECTING THE GOVERNMENT'S NOV 1992 INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, l
OR PROPOSED FOR DEBARMENT 52.215-1 EXAMINATION OF RECORDS BY FEB 1993 COMPTROLLER GENERAL 52.215-2 AUDIT - NEGOTIATION FEB 1993 52.215-22 PRICE REDUCTION FOR DEFECTIVE JAN 1991 COST OR PRICING DATA i
52.215-24 SUBCONTRACTOR COST OR DEC 1991 PRICING DATA 52.215-27 TERMINATION OF DEFINED BENEFIT SEP 1989 l
PENSION PLANS 52.215-33 ORDER OF PRECEDENCE JAN 1986 52.215-39 REVERSION OR ADJUSTMENT OF PLANS JUL 1991 FOR POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB) 52.216-7 ALLOWABLE COST AND PAYMENT JUL 1991 52.216-8 FIXED FEB APR 1984 52.219-8 UTILIZATION OF SMALL BUSINESS FEB 1990 t
CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 UTILIZATION OF WOMEN-OWNED AUG 1986
~
SMALL BUSINESSES l
Page 22 of 24 i
l Section I.
- ., WRC-04-93-050 I.1 (Continued)
NUMBER TITLE DATE y
52.220-3 UTILIZATION OF LABOR SURPLUS APR 1984 AREA CONCERNS 52.222-3 CONVICT LABOR APR 1984 l
52.222-4 CONTRACT WORK HOURS AND MAR 1986 SAFETY STANDARDS ACT - OVERTIME COMPENSATION 52.222-26 EQUAL OPPORTUNITY APR 1984 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 i
DISABLED AND VIETNAM ERk VETERANS 52.222-36 AFFMMATIVE ACTION FOR APR 1984 l
HANDICAPPED WORKERS 52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 l
T.ISA3 LED VETERANS AND VETERANS OF THC VIETNAM ERA 52.223-6 DRUG-FREE WORKPLACE JUL 1990 52.225-11 RESTRICTIONS ON CERTAIN FOREIGN MAY 1992 l
PURCHASES 52.227-1 AUTHORIZATION AND CONSENT APR 1984 52.227-2 NOTICE AND ASSISTANCE REGARDING APR 1984 PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 INSURANCE - LIABILITY TO THIRD APR 1984
[
PERSONS 52.232-9 LIMITATION ON WITHHOLDING OF APR 1984
-i i
PAYMENTS 52.232-17 INTEREST JAN 1991 1
52.232-22 LIMITATION OF FUNDS APR 1984 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986
[
52.232-25 PROMPT PAYMENT SEP 1992 52.232-28 ELECTRONIC FUNDS TRANSFER APR 1989-l PAYMENT METHODS 52.233-1 DISPUTES DEC 1991 52.233-3 PROTEST AFTER AWARD JUN 1985 t
Alternate I (JUN 1985)
}
52.242-1 NOTICE OF INTENT TO DISALLOW COSTS APR 1984 52.242-13 BANKRUPTCY APR 1991 52.243-2 CHANGES - COST-REIMBURSEMENT AUG 1987 Alternate I (APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT JUL 1985 l
AND LETTER CONTRACTS) i 52.246-25 LIMITATION OF LIABILITY - SERVICES APR 1984 52.249-6 TERMINATION (COST-REIMBURSEMENT)
MAY 1986 52.249-14 EXCUSABLE DELAYS APR 1984 52.253-1 COMPUTER GENERATED FORMS JAN 1991 i
i
[End of Clause]
i 7
l Page 23 of 24
Section J
- ,,.NRC-04-93-050 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS 1
J.1 ATTACHMENTS (MAR 1987)
Attachment Number Title P
P 1
Billing Instructions 2
NRC Contractor Organizational Conflicts of In~_erest 3
NRC Handbook 3.8 j
1 P
i f
i I
s i
Page 24 of 24
\\
~.
ATTACHilENT ONE REVISED 8/89 BILLING INSTRUCTIONS FOR COST-REIMBURSEMENT TYPE CONTRACTS General: The contractor shall prepare vouchers / invoices for reimeursement of costs in the manner and fermat described h'erein.
A sampie voucher / invoice is provided for your reference.
FAILURE TO SUBMIT VOUCHERS / INVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT IN REJECTION OF the VOUCHER / INVOICE AS IMPROPER.
Numeer of Cecies: An original and three copies, including supporting docu=entation shall be submitted.
A copy of all supporting documents must be attached to eacn copy of your voucher / invoice.
Failure to submit all 1
the requireo cepies will result in rejection of the voucher / invoice as improper.
Desienatee Acency Billino Office:
Vouchers / invoices shall be suomittea to tne following acdress:
U. 5. Nuclear Regulatory Commission Division of Contracts and Property Management Contract Administration Branch, P-902 Wasnington, D.C.
20555 HAND DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NOT EXPEDITE PROCESSING BY NRC. However, should you choose to deliver voucners/ 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 addressee to the above Designated Agency Billing Office and will only te accepted at the following location:
U. 5. Nuclear Regulatory Commission One White Flint North II555 Rockville Pike Mail Room Rockville, Maryland 20852 HANO-CARRIED SUEMISSION5 WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADORE 55.
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 Of fice:
Payment will continue to be made by the of fice designated in the contract in Block Hl.of SF 26 or Block 25 of SF 33, whichever is applicable.
S 1
REVISED 8/89 Page 2 Frecuency: The contractor shall submit claims for reimbursement once eacn montn unless otherwise authorized by the Contracting Officer.
Form: Claims should be submitted in the format depicted on the attachea 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 addressec. 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.
Tast Orderino Contracts:
If the contractor bills for more than one task orcer uncer a voucher / invoice. detailed cost information for eacn incividuai task orcer shall be submitted. together with a cumulative summary of all charges billed on the voucner/ invoice.
This includes all aopiitable cost elements discussed in paragraphs (a) througn (p) of the attacneo i structions, together with appropriate sucporting information.
Billi o ef Cost After Expiration of Contract:
If costs are incurreo curing tne contract perico ano claimeo af ter the contract has expired, the perica curing which these costs were incurred must be citeo.
To be consicerec a proper expiration voucher / invoice, contractor shall clearly it " EXPIRATION VOUCHER" or "EXPIRATICN INVOICE."
marx Final vecc ers/ invoices shall be marked " FINAL VOUCHER" or " FINAL INVOICE."
Currency:
Billings may be expresseo in the currency normally used by the contract:r in maintaining his accounting records; payments will be mace in that :urreacy.
However, the U. 5. dollar equivalent for all voucnerst voices paid under tne contract may not exceed the total U. 5.
dollars autnerized in the contract.
Suoersess'en:
These' instructions supersece any previous billing instructi:ns.
i
REVISED 8/89 YOUCl!ERS FOR PURCIIASES At40 SERvfCES OTirER titan dcRSONA Page 3 r
f b
Of ficui A9ency flilling Office (a) Contract Numner I
U. 5, Nuclear Regulatory Connission Task Order No. (If Applicable)
I Division of Contracts and Property Management. P-902 (b) Titic of Project
.:ashington, D.C.
20555 l
payee s inne and Address l
(Cl Voucher Numbcr l
(d) Project Offic'cr Individual to Contact (e) Date or Voucher
'l
,c9arcsnc inis,.,oucacr*
(f) Contract Amount a
Name:
j
! Te l. ::o.
(9)
Fixeo Fee i
- .".ru reimbursa:,lc costs from
'(n) ni: :.:ccr.e-erresents Amoun: Si :ec (1 )
urrent e-ioc l (='
Incestier.
ca:e_
l l
I fi! Oire:-
s::
I ec:* '.:::
- 1 7
]
- ? -, rye -er.e* : ;s i
- _ ::::utc: as cercentac:
.a;i:::::cc '.cne-rencause icu:: 2nt
-1 N) la te r :215, supplies ano I
.'onc2:::alireo Ec::iment 8
(S*
rem::= ra ~.
'.:n:c::7. :::
- rave. - C:=:st::
I
' cre ten '
t J
(8) SvDcon;r:c' '
1 0tter Costs -
(C) _
io;al Direct Cost.:
j ( J) If! DIRECT C0575 A) Overneac
% of
-t (Indica;f Ease)
Suuto tal I
General I. Administra tive Expense B)
- of Cost Elements rios.
Total Cos:s (t) riXED. FEE EAR::E0 (Formula)
(n) Total Amounts Claimed 1 (0) Adju::ments Outs:anding Suspensions t
I. ( p) f.ratie) Io ;a l,
4 ;.;
, *(RE0 VIRES SUPP0:iTING INFORr'.ATIOH--SEE ATTACHED) l.
?
L l=
NEVISED 8/89 Page 4 Instruction for itemization of Costs and Supporting Information:
Preoaration and itemization of the Voucher / 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 l
l 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 i
or addressee has been designated, insert the name and address of the Indicate the name and telephone number of the inoividual payee.
responsible for answering any questions that the NP.C may have regarding the
~
invoice.
(a) Contract Numoer.
Insert the NRC contract numoer Tas( Orcer Numoer, if acclicable.
Insert tne task orcer numcer.
(b) Title of Project.
List the full title of the project teing performeo unoer the contract.
(:) Secuential voucher / invoice numcer.
The appropriate secuential numcer of :ne voucher / invoice, beginning with 001 should be cesignated.
Contractors may also include incividual internal accounting numoers, if cesired, in addition to the 3-cigit secuential numoer.
t (c) Project Of ficer's name and mailstop as designated in the contract.
l te) Cate of voucher / invoice.
Insert the date the voucher / invoice is -
preoarea.
(') Contract. Amount.
Insert the total estimated cost of the contract.
i exclusive of fixed-fee.
Incluce this information as it applies to individual task orders as well.
(g) Fixec-Fee.
Insert totai fixec-fee.
Include this information as it applies to individual task orcers as well.
(h) Billing Period.
Insert the beginning and ending dates (day, montn, year) of the period during which costs were incurred ano for whicn 1
reimoursement is claimec.
l 1
(i) Direct Costs.
Insert tne major cost elements:
(1) Direct Labor.
This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as -
follows:
i
~
~
l I
REVISED 8/89 Page 5 Labor Labor Hrs.
Hours Cumulative Category Negotiated Billed Rate Total Hours Billec (2) Fringe Benefits.
This represents fringe benefits applicaole to j
direct labor and billed as a d ?ct cost. Where a rate is usea, t
inaicate the rate.
Fringe benefits included in direct labor or in other indirect cost pools should not be identified here.
(3) Direct Equipment.
For eaucational institutions, list eacn item
['
costing 5500.00 or more and having a life expectancy of more than For contractors other than educational institutions, i
list each item costing $200.00 or more and having a iffe l
one year.
i expectancy of more than one year.
List only those items of eouicment for which reimbursement is requestec. A reference i'
shall be mace to the following (as applicable):
(a) the item numcer for the specific piece of equipment listec in the property scneaule of the contract; (b) the Contracting Of ficer's approval letter if the equipment is not coverec by 4
ine property scheaule; or (c) be preceaed by an asterisk (*)
if the eauipment is below the approval level.
Further item 1:ation of voucners/ invoices shall only be recuirea for items naving specific limitations set forth in the contract.
f (4) Materiais, Supplies, or Other Expencable Items.
These are I
consumable materials, supplies, and equipment :ther than :nat describec in (3) above.
(5) Premium Pay.
This is remuneration in excess of the basic heuriy rate.
(Requires written approval of the Contracting l
Officer.)
t (6) Consultant's Fee. The supporting information must incluce the name, hourly or daily rate of the consultant, anc reference the I
NRC approval (if not specifically approved in the original contract).
t (7) Travel.
Domestic travel is travel within the United States, its territories, possessions, and Canada.
It should be billed separately from foreign travel.
All costs associated with each trip must be shown in the folicwing format:
Date Traveler Destination Purpose Cost f
i from To From To 5
t t
^
a i
REVISED 8/89 i
Page 6 (8) Subcontracts.
Include separate detailed breakdown of all costs paid to approved subcontractors during the billing period.
(9) Other.
List all other direct costs by cost element and dollar amount separately.
(j) Indirect Costs - Overhead. Cite the formula (rate and base) in 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 te a
claimed as provided for by the contract.
Cite the formula or l
metnod of computation.
The contractor may bill for fixed fee cnly t
up to 85% of total fee.
l (1) Amount Billed for Current Period.
Insert the amount oilleo for the major cost elements, adjustments, and total amount for the
- eriod.
(m) Cumulative Amount from Inception to Date of Current Billing.
Insert I
tne cumulative amounts billed for the major cost elements ano adjusted amounts claimed during this contract.
t (n) Totai Amounts Claimed.
Insert the total amounts claimeo for tee current and cumulative periods.
(o) Adjust =ents.
This includes cumulative amounts billed that have Oeen susoenced or disallowed.
(p) Grano Totals.
(*)
Succorting Information.
Cost elements reouiring detailed sucporting information--sample attached.
b a
a
REVISED 3/89 i
Page 7 Supporting Information - Sample I
t
!) Direct Labor - 1240J LJbor Jiours liours Curnul a ti ve Neoo tia ted Ullied Rate Totsi lburs Billed Labor Catecorv Senior Engineer i 2400 100
$14.00 11400 975 i
1500 50
$10.00
~1500 465 l
Engineer Computer Analys:
700 100 15.00 5500 220 ihGG 3)
.D_.i_re c : feuicx nt f
5 5,C:C Secc: : eter - Gener.:1 Electric (:s :pproved in Property Sct.coule:
1
..::e r : 2 : 5. Sancise: ' Other fxcereaole !:c,s w
i 51100.00 51:0.00
=
10 0::
.c :
s 5900.00 l
'e::-n;:: : 5;cres 3 ::50.00
=
, ::r.
9600.00 1
j
~*4.::
.:. - - ;0 n:ur; G ?D.:0 Ter-usur = $103
{
- P.C i, ic:::" catec 2/6/89. )
(~ :s -:: ::: cvec '.
B 3e r s;:::-::
e Dr. Carr.e... :.:ur I'C0
= 1100
- 7) Travei J
Treveic-Des:ination Purcose C::::
Date from To Fmm To 2/1/89 56/89
' illiem r.ing Chicago, t! ash.,
Meeting with 3:02 11 DC Pmject Officer e
i i
i 1
- . =
I
- r REVISED 8/89 Page 8 P
- 8) Subcontracts i
nZ CORP.
(CPFF) r i
Direct Labor:
- 80 hour: 0 $20.00 per hour = $1600.00 5800.00 0 50:
0/H 5400.00 i
Travel -
Trips Wash.. DC 9 5200 to Boston PA Profit 97
~=
5200.00 53000.00 TOTAL;
( k) rized fee (Ferrula)
- f. c - )
$17.500 Tot:1 fixec fce for :nis Centra :
5 50,000 x 5:
=
- .0y 5: = $1250 Fea Eilled fer -ni's Peried
( C } i _' us : &1 *'.
~
j'7.*
-::C:;05 :S3cn: -i
- h*1eid f M vouche" d 00.
' O"POVC C 0;- C;~Pl~!in?
I f#i:gr ie;*0r* 3.'I2/89.
e d
I i
I 1
i 1
1
' l
' l J
l
- s,
i NUCLEAR REGULATORY COMMISSION ACQUISITION REGULATION 2009.570 NRC organizational conflicts of interest.
j
~
E2009.570-1 Scope of policy.
(a)
It is the policy of NRC to avoid, eliminate, or neutralize
}
contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including 7
those regulated by the NRC) which may give rise to actual or potential l
conflicts of interest in the event of contract award.
l (b)
Contractor conflict of interest determinations cannot be made automatically or routinely. The application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied to satisfy the overall public interest.
It is not possible to prescribe in advance a i
specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise.
However, examples are provided in these regulations to guide application of i
this policy guidance.
The ultimate test is as follows: Might the contractor, i
if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?
(c)
The conflict of interest rule contained in this subpart applies to contractors and offerors only.
Individuals or firms who have other i
relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of
[
consulting services through the personnel appointment process, NRC agreements l
with other Government agencies, international organizations, or state, local, i
or foreign Governments. Separate procedures for avoiding conflicts of l
interest will be employed in these agreements, as appropriate.
i 52009.570-2 Definitions.
1 As used in 92009.570:
Affiliates means business concerns which are affiliates of each other 1
when either directly or indirectly one concern or individual controls or has t
the power to control another, or when a third party controls or has the power to control both.
Contract means any contractual agreement or other arrangement with the NRC except as provided in s2009.570-1(c).
i l
Contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates thereof, or their successors in interast, including their chief executives, directors, key personnel (identified in the contract), propo.;ed consultants or l
subcontractors, which are a party to a contract with the NRC.
l Evaluation activities means any effort involving the appraisal of a technology, process, product, or policy.
1 i
i
-~
L4-f Offeror er prospective contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, or their affiliates or successors in interest,. including their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC fio obtain a contract.
Oraanizational conflicts of interest means that a relationship exists l
whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which:
j i
(1)
May diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwise result in a biased work i
product; or (2)
May result in its being given an unfair competitive advantage.
Potential conflict of interest means that a factual situation exists ~
that suggests that an actual conflict of interest may arise from award of a proposed contract. The term potential conflict of interest is used to signify j
those situations that-(1)
Merit investigation before contract award to ascertain whether.
[
award would give rise to an actual conflict; or (2)
Must be reported to the contracting officer for investigation if j
they arise during contract performance.
j Research means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
j Subcontractor means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts not exceeding the small purchase threshold.
1 Technical consultina and manaaement support services means internal assistance to a component of the NRC in the formulation or administration of i
its programs, projects, or policies which normally require that the contractor be given access to proprietary information or to information that has not been made available to the public. These services typically include assistance in the preparation of program plans, preliminary designs, specifications, or j
statements of work.
s2009.570-3 Criteria for recognizing contractor organizational conflicts of interest.
(a)
- General, 1
(1)
Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:
i (i)
Are there conflicting roles which might bias an i
offeror's or contractor's judgment in relation to its work for the NRC?
I
L:
(ii) May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?
~!
(2)
NRC's ultimate determination that organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts. While it is difficult to identify and I
to prescribe in advance a specific method for avoiding all of the various situations or relationships that might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering of advice, consultation.
or evaluation activities, or similar activities that directly lay the groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs. Any work performed at an applicant or licensee site will also be closely scrutinized by the NRC staff.
(b)
Situations or relationships. The following situations or relationships may give rise to organizational conflicts of interest:
(1)
The offeror or contractor shall disclose information, that may give rise to organizational conflicts of interest under the following circumstances. The information may include the scope of work or specification for the requirement, being performed, the period of performance, and the name and telephone number for a point of contact at the organization knowledgeable about the commercial contract.
i (i)
Where the offeror or contractor provides advice and i
recommendations to the NRC in the same technical area where it is also providing consulting assistance to any organization regulated by the NRC.
(ii) Where the offeror or contractor provides advice to the l
NRC on the same or similar matter on which it is also providing assistance to any organization regulated by the NRC.
.i (iii) Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity.
[
(iv) Where the award of a contract would 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 would result in an unfair competitive advantage for the offeror or contractor.
(v)
Where the offeror or contractor solicits or performs work at an applicant or licensee site while performing work in the i
same technical area for the NRC at the same site.
j (2)
The contracting officer may request specific information from an offeror or contractor or may require special contract clauses such as provided in s2009.570-5(b) in the following circumstances.
I t
4 (i)
Where the offeror or contractor prepares
-l specifications that are to be used in competitive procurements of products or services covered by the specifications.
i (ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procuiements using the approaches or methodologies.
(iii) Where the offeror or contractor is granted access to i
information not available to the public concerning NRC plans, policies, or programs that could form the basis for a later procurement action.
(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
j (v)
Where the award of a contract might result in placing the offeror or' contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or might result in an unfair competitive advantage for the offeror or contractor.
(c)
Policy apolication cuidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1)
(i)
Example. The ABC Corp., in response to a Request For Proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The ABC Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the ABC Corp. advises that it is currently performing similar analyses for the reactor manufacturer.
(ii) Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp. because the company would be placed in a position in which its judgment could be biased in relationship to its work for the NRC.
Because there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2)
(i)
Example. The ABC Corp., in response to an RFP, proposes to perform certain analyses of a reactor component that is unique to one type of advanced reactor. As is the case with other technically qualified companies responding 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.
(ii) Guidance. An NRC contract normally could be awarded i
to the ABC Corp. because no conflict of interest exists which
~
i
- .e could motivate bias with respect tc the work.
An appropriate clause would be included in the contract to preclude the ABC Corp.
from subsequently contracting for work with the private sector that could create -a conflict during the performance of the NRC i
contract.
For example, ABC Corp. would be precluded from the l
performance of similar work for the company developing the advanced reactor mentioned in the example.
(3)
(i)
Example. The ABC Corp., in response to a competitive RFP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 10 CFR Part 20. ABC Corp. is the only firm determined to be technically acceptable. ABC Corp. has performed substantial work i
for regulated utilities in the past and is expected to continue similar efforts in the future. The work has and will cover the writing, implementation, and administration of compliance respiratory protection programs for nuclear power' plants.
(ii) Guidance. This situation would place the firm in a i
role where its judgment could be biased in relationship to its i
work for the NRC. Because the nature of the required work is vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in accordance with s2009.570-9 may be warranted.
Any waiver must be fully documented in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
l (4)
(i)
Exampl e.
The ABC Corp. submits a-proposal for a new system to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Corp. has advised the NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older i
systems for evaluation of the specific reactor component.
(ii) Guidance.
A contract could be awarded to the ABC Corp. if the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless this information has been reported to the NRC.
Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC 3
to others to preclude an unfair competitive advantage. When the i
NRC furnishes information about the reactor component to the con-tractor for the performance of contracted work, the information i
may not be used in the contractor's private activities unless the information is generally available to others.
Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information, developed about the performance of the reactor component under the contract, is proposed to be used.
3 (5)
(i)
Example.
The ABC Corp., in response to a RFP.
proposes to assemble a map showing certain seismological features I
t
r..
(
.s a
of the Appalachian fold belt.
In accordance with the representation in the RFP and s2009.570-3(b)(1)(i), ABC Corp.
informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC study.
i (ii) Guidance.
The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased.
Section l
2052.209-73(c) Work for Others, would preclude ABC Corp. from accepting work which could create a conflict of interest during the term of the NRC contract.
(6)
(i)
Examole. AD Division of ABC Corp., in response to a RFP, submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for the i
construction, cperation, and decommissioning of fuel cycle i
facilities. ABC Corp. is divided into two separate and distinct divisions, AD and BC. The BC Division performs the same or y
similar services for industry.
The BC Division is currently pro-i viding the same or similar services required under the NRC's contract for an applicant or licensee.
(ii) Guidance. An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be placed in a position to pass judgment on work performed by the BC Division, which could bias its work for NRC.
Further, the Conflict of Interest provisions apply to ABC Corp. and not to separate or distinct divisions within the company.
If no reasonable alternative exists, a waiver of the policy could be sought in accordance with 62009.570-9.
7(i)
EXAMPLE The ABC Corp. completes an analysis for NRC of steam l
generator tube leaks at one of a utility's six sites.
Three months later, ABC Corp. is asked by this utility to perform the same analysis at another of its sites.
(ii) GUIDANCE E2052.290-73(c)(3) would prohibit the contractor from beginning this work for the utility until one year l
after completion of the NRC work at the first site.
l l
8(i)
EXAMPLE ABC Corp. is assisting NRC in a major on-site analysis of a utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated t
value of SS million. Near the completion of the NRC work, ABC Corp. requests authority to solicit for a $100K contract with the same utility to transport spent fuel to a disposal site. ABC j
Corp. is performing no other work for the utility.
(ii) GUIDANCE The Contracting Officer, would allow the contractor to proceed with the solicitation because A) it is not in the same technical area as the NRC work and B) the potential for technical bias by the contractor because of financial ties to i
{
f i
n l
i the utility is slight due to the relative value of thE two j
contracts.
I 9(i) EXAMPLE The ABC Corp. is constructing a turbine building and installing new turbines at a reactor site. The contract with the utility is for five years and has a total value of $100 million.
g ABC Corp. has responded to an NRC Request For Proposal requiring the contractor to participate in a major team inspection unrelated to the turbine work at the same site.
The estimated value of the contract is 575K.
(ii) GUIDANCE An NRC contract would not normally be awarded to ABC Corp. since these factors create the potential for financial loyalty to the utility that may bias the technical judgment of the contractor.
(d)
Other considerations.
(1)
The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a determination of the i
existence of conflicts prior to the award of a contract.
(2)
It is not relevant that the contractor has the professional reputation of beino able to resist temptations which arise from organizational f
conflicts of interest, or that a follow-on procurement is not involved, or j
that a contract is awarded on a competitive or a sole source basis.
l
$2009.570-4 Reprtsentation.
(a)
The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a j
particular offeror or contractor. The procedures apply to small. purchases i
meeting the criteria stated in the following paragraph (b) of this section.
(b)
The organizational conflicts of interest representation provision l
at s2052.209-72 mlst be included in solicitations and unsolicited proposals, i
(including those for task orders and modifications for new work) for:
(1)
Evaluation services or activities; (2)
Technical consulting and management support services; (3)
Research; and (4)
Other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be i
included in the resulting contract. This representation requirement also applies to all modifications for additional effort under the contract except those issued under'the " Changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.
I
=
l n..
(c)
The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work contained in a RFP unless the RFP specifically prohibits the exclusion. Any such proposed
{
exclusion by an offeror will be considered by the NRC in the evaluation of I
proposals. _ If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would be to the detriment of the competitive posture of the other offerors, the NRC shall l
reject the proposal as unacceptable.
j (d)
The offeror's failure to execute the representation required by paragraph (b) of this section with respect to an invitation for bids is considered to be a minor informality. The offeror will be permitted to correct the omission.
l
{2009.570-5 Contract clauses.
t (a)
General contract clause. All contracts and small purchases of the types set forth in s2009.570-4(b) must include the clause entitled,
" Contractor Organizational Conflicts of Interest," set forth in s2052.209-73.
(b)
Other special contract clauses.
If it is determined from the nature of the proposed contract that an organizational conflict of interest exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with 52009.570-9, neutralized through the use of an appropriate special contract clause.
If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any restriction.
These clauses include but are not limited to:
(1)
Hardware exclusion clauses which prohibit the acceptance of production contracts following a related non-production contract previously performed by the contractor; i
(2)
Software exclusion clauses;
't (3)
Clauses which require the contractor (and certain of its key personnel) to avoid certain organizational conflicts of interest; and l
(4)
Clauses which provide for protection of confidential data and guard against its unauthorized use.
i 62009.570-6 Evaluation, findings, and contract award.
The contracting officer shall evaluate all relevant facts submitted by an offeror and other relevant information. After evaluating this information against the criteria of f2009.570-3, the contracting officer shall make a i
finding of whether organizational conflicts of interest exist with respect to a particular offeror.
If it has been determined that real or potential conflicts of interest exist, the contracting officer shall:
(a)
Disqualify the offeror from award; (b)
Avoid or eliminate such conflicts by appropriate measures; or
^
(c)
Award the contract under the waiver provision of s2009.570-9.
62009.570-7 Conflicts identified after award.
r If potential organizational conflicts of interest are identified after award with respect to a particular contractor, and the contracting officer i
determines that conflicts do exist and that it would not be in the best i
interest of the Government to terminate the contract, as provided in the clauses required by s2009.570-5, the contracting officer shall take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with s2009.570-9, neutralize the effects of the identified i
conflict.
62009.570-8 Subcontracts.
The contracting officer shall require offerors and contractors to submit i
a representation statement from all subcontractors (other than a supply
~
i subcontractor) and consultants performing services in excess of $10,000 in accordance with s2009.570-4(b). The contracting officer shall require the contractor to include contract clauses in accordance with s2009.570-5 in consultant agreements or subcontracts involving performance of work under a prime contract.
62009.570-9 Waiver.
(a)
The contracting officer determines the need to seek a waiver for specific contract awards, with the advice and concurrence of the program office director and legal counsel. Upon the recommendation of the Procurement Executive, and after consultation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
r (b)
Waiver action is strictly limited to those situations in which:
r (1)
The work to be performed under contract is vital to the NRC program.
(2)
The work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest.
(3)
Contractual and/or technical review and surveillance methods can be employed by the NRC to neutralize the conflict.
(c)
For any waivers, the justification and approval documents must be placed in the NRC Public Document Room, 2120 L Street, NW. (Lower Level),
Washington, DC.
62009.570-10 Remedies.
In addition to other remedies permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
O Unciassified Contractor and Grantee Publications in the NUREG Series j.
Directive E
E i
(Formerly Q
,y 1
i i
I i
.)
,a
Unclassified Contractor and Grantee Publications in the NUREG Scries' Part 1 - Publications, Mail, and Information Disclosure t
Directive 3.8
, g
- i Contents l
a Policy................................................................
1 l
t
'l O bj ec t i ves............................................................
1 i
i Organizational Responsibilities and Delegations of Authority...........
2
.j i
Executive Director for Operations (EDO)................................
2 l
Deputy Executive Director for Nuclear Reactor Regulation, j
Regional Operations and Research......................................
2 Deputy Executive Director for Nuclear Materials Safety, Safeguards.
[
and Opera tions S upport...............................................
3 i
Direct ors of Offices...................................................
3 i
t Director, Office of Administration (ADM)................................
4 Director, Division of Fr.;edom of Information and Publications j
Se rvi ces, AD M......................................................
4 l
Director, Division of Contracts and Property Management, ADM.............
5 I
o A p p li cab il i ty..........................................................
5 t
E m pl oye e s..........................................................
5 O ther Pu blica tions...................................................
5 I
Handbook.............................................................
5 l
R e fere n ces...........................................................
5 4
'l i
5 I
+
i
^ $
?
Approved: April 23,1991 (Revised 6/17/91) i
GCic'%U. S. Nuclear Regulatory Commission i
j Volume: 3 Information Management
%,' * *
- e / Part 1:
Publications, Mail, and Information Disclosure ADM Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy (3.8-01)
This directive and handbook govern the publishing of(1) unclassified NRC contractor, consultant or grantee formal reports, books, and international agreement reports, in the NUREG/CR, NUREG/GR, and NUREG/lA series; (2) reports and books by contractors of the U.S. Department of Energy (DOE); and (3) publications prepared for NRC under memoranda of understanding and interagency agreements.
Objectives (3.8-02)
To ensure the production and dissemination of information and publications as required by the Energy Reorganization Act of 1974 and the Freedom of Information Act. (a)
To ensure the technical and management reviews of formal reports and books prior to publication. (b)
To ensure that national security, patent rights, copyrights, proprietary rights, and rights in other sensitive unclassified information, including those specified in interagency and I
international agreements and memoranda of understanding, are not compromised by the release or publication ofinformation by NRC. (c)
To ensure that all unclassified NRC contractor or grantee publications in the NUREG series carry the registered Govern-ment identification NUREG/CR-0000, NUREG/GR-0000, or NUREG/IA-0000, with the exception of some publications Approved: April 23.1991 (Revised 6/17/91) 1
Unclassified Contractor and Grantee Publications in the.NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8 Objectives (3.8-02) (continued) prepared by grantees, and indicate the availability of source material used in these publications. (d)
To ensure that NRC-sponsored book manuscripts receive proper peer review from experts within and outside NRC. (e) i
)
To provide uniform procedures for publishing formal reports and books prepared by NRC contractors or grantees. (f)
Organizational Responsibilities and Delegations of Authority (3.8-03)
Executive Director for Operations (EDO)
(031) i Delegates to the Deputy Executive Directors for Operation decisionmaking authority for the resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored information in the open literature, and about permitting contractors to issue press or other media releases concerning NRC-sponsored information.
Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (032)
As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, Office of Nuclear Regulatory Research, and Regional Offices:
When an Office Director refuses to publish an NRC-sponsored document because of irreconcilable differences between themselves and the author (s) about the contents of the document. (a)
When an Office Director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b) 2 (Revised 6/17/91)
Approved: April 23,1991
1 Unclassified Contractor and Grantee-Publications in the NUREG Series I
Part 1 - Publications, Mail, and Information Disclosure
.l Directive 3.8 i
i Deputy Executive Director for Nuclear Reactor Regulation, 1
Regional Operations and Research (032)(continued)
I t
1 When an Office Director refuses to permit a contractor to issue a j
press or other media release about an NRC-sponsored publication. (c)
.l f
Deputy Executive Director for l
Nuclear Materials Safety, Safeguards, i
and Operations Support j
(033) t i
As delegated from the EDO, makes final decisions in the following
(
areas for the offices reporting to this officiah When an Office Director refuses to publish an NRC-sponsored e
document because of irreconcilable differences between l
themselves and the author (s) about the contents of the document.
(a) i i
When an Office Director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open i
literature. (b)
When an Office Director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored
[
publication. (c) i Directors of Offices i
(034) i Ensure that publications will be reviewed in draft prior to final l
printing and distribution for acceptability by determining that they l
are consistent with agency policy, management decisions, and that they raise no significant legal issues. (a)
Ensure that statements of work include statements requiring j
contractor
- compliance with this directive and handbook and Government Printing and Binding Regulations. (b) i i
" Contract'in this context encompimes the -Standard onder for DOE Wor k *(NRC I orm 173 ). interagency and interna tionala;;rrements, and grants.
]
i Approved: April 23,1991 (Revised 6/17/91) 3
Unclassified Contractor and Grantee Publications in the NUREG Series
.i Part 1 - Publications, Mail, and Information Disclosure Directive 3,8 Directors of Offices (034) (continued)
Sign, or delegate signature authority for, the NRC Form 426A, e
" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports, and for memoranda requesting reprints of contractor publications. (c)
Director, Office of Administration (ADM)
(035)
As delegated from the Deputy Executive Director for Nuclear Materi-als Safety. Safeguards, and Operations Support, administers NRC's programs and policies for publishing unclassified contractor and grantee reports and books in the NUREG series.
Director, Division of Freedom of Information and Publications Services. ADM (036)
G, Develops and administers, as delegated from the Director, ADM, NRC's program and policies for publishing unclassified contra ctor, consultant, and grantee formal reports, books, and international agreement reports in the NUREG/CR, NUREG/GR, and l
NUREG/lA series. (a)
Applies the policy, procedures, standards, and guides for the docu-mentation, formatting, composition, printing, and dissemination of NRC-sponsored publications in the NUREG series consistent with the mission of the agency and in accordance with the require-ments of the Government Printing and Binding Regula: ions issued by the Joint Committee on Printing, U.S. Congress. (b)
Develops and administers the central agency publication numbering system for identifying, producing, and retrieving unclassified NRC-sponsored publications in the NUREG series. (c)
Director, Division of Contracts and Property Management, ADM (037) 1 Ensures that those requests for proposals, invitations for bids, and grant proposals, and the ensuring contracts and grants that require 4
(Revised 6/17/91)
Approved: April 23,1991
a Unclassified Contractor and Grantec Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8_
Director, Division of Contracts and Property Management, ADM (037) (continued) publications as deliverables, include provisions requiring contractor compliance with this directive and handbook and Government Printing and Binding Regulations.
Applicability (3.8-04)
Employees (041)
This directive and handbook apply to and must be followed by all NRC employees.
Other Publications (042)
The provisions of this directive and handbook do not apply to NRC stalT publications in the NUREG series, NRC docket material, or documents created by NRC boards, panels, advisory committees, and offices that report to the Commission.
Handbook (3.8-05)
Detailed guidelines for the preparation of publications are contained in Handbook 3.8.
References (3.8-06)
- 1. Executive Order 12291-Federal Regulation, February 17,1981.
- 2. Title 17. U.S. Code, Copyrights.
- 3. Government Printing and Binding Regulations, S. Pub.101-9, February 1990.
Approved: April 23,1991 (Revised 6/17/91) 5
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Directive 3.8 References (3.8-06) (continued)
- 4. DOE-NRC Memorandum of Understanding, February 24,1978.
- 5. Title 44, U.S. Code,"Public Printing and Documents," Chapter 3, Government Printing Office.
- 6. U.S. Government Printing Office Style Manual,1984.
- 7. Energy Reorganizatio.. Act of 1974 (42 U.S.C. 5801, et seq.).
- 8. The Freedom of Information Act (5 U.S.C. 522).
- 9. Public Law 95-224, The Federal Grant and Cooperative Agreement Act, February 3,1978.
- 10. Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations, OMB Circular A-110, July 1976.
- 11. Cost Principles for State and Local Governments. OMB Circular A-87, January 1981.
- 12. NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series, November 1990.
O 6
(Revised 6/17/91)
Approved: April 23,1991
i I
- O Unciassified Contractor and Grantee Publications in the NUREG Series Handbook i
Appendix 3202) 3a 8 i
i i
i
.O I
+
)
)
Unclassified Contractor and Grantee l
Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Parts I - V Contents I n t rod u ct i on..........................................................
1 Part I Preparing Publication Requirements for Statements of-Wo rk fo r Co n tra c t s..............................................
2 Specifying Publication Requirements (A)................................
2 l
Publishing Formal Reports (B)........................................
2 Publishing Unclassified Information in Open Literature and P rese nting Pa pers (C).................................................
4 Reports Containing Sensitive Unclassified and Classified I n fo r m a t i o n (D).......................................................
6 Conference anal Workshop Proceedings (E).............................
7 Distribution of Reports to Contractors (F)...............................
7 Coordinating Contractor Press or Other Media Releases of I n fo rm a t i o n (G ).......................................................
7 Part II Draft a nd Final NUREG Reports.............................
8 Identification In formation (A).........................................
8 N U R EG N umber ( 1 ).................................................
8 Auth o r N a m es (2).................................................... 8-Organizational Identification (3)........................................
9 Previous Reports in Series (4)..........................................
9 R eport Da t es (5 ).....................................................
9 Approved: April 23.1991 (Revised 6/17/91) i
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure
~
Handbook 3.8 Parts I - V O
Contents (continued)
~
Part II (continued)
~
Report Organization and Components (B)............................
9 Pre-Publication Reviews (C)........................................
10 Pa t e n t R e view ( 1 ).................................................
10 S e cu ri ty R evi e w (2)...............................................
10 Copyright Review (3)........
10 Colo r P ri n t i n g (D)..................................................
11 Microfiche (E) 12 Disclaimer (F)...........
13 Availability Information (G)....
13 Reference Availability (1)............
13 Report Availability (2).......
14 Fo r m s ( H ).........................................
14 Bibliographic Data Sheet (NRC Form 335) (1).........................
14 Release to Publish Unclassified NRC Contractor. Consultant, or Conference Proceedings Reports (NRC Forrn 426A) (2)..................
14 Printing and Reprinting (1)......................................
15 Distribution (J)....
15 Part III International Agreement Reports.........
16 Background and Rationale (A) 16 Identification Information (B) 16 ii (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Parts I - V Contents (continued)
Part III (continued) r Cover and Title Page (1)..............................................
16' f
NRC Report Number (2)..............................................
16 Previous Reports in Series (3)..........................................
17 s
Report Organization and Components (C)..............................
17 L
Availability Information (D)...........................................
17
[
References and Bibliographies (1)......................................
17
[
Report Availability (2)...............................................
18 D i s cl a i m e r (E)......................................................
18 Fo r m s ( F).............................................................
18 Bibliographic Data Sheet (NRC Form 335) (3).............................
18 Release to Publish Unclassified NRC Contractor, Consultant, or l
Conference Proceedings Reports (NRC Forrn 426A) (2)....................
19 Classified or Sensitive Unclassified Information (G)....................
19 Part IV Books.............................................................20 D e fi n i t i o n ( A)........................................................ 20 Fo r m a t (13)........................................................... 20 N RC Docu m en t N u m ber (C)........................................... 21 Availability of Reference Materials (D)................................. 21 R e vi ew s ( E ).......................................................... 22 Peer (1)..........................................................
22 Copyrigh t (2)...........................,.................... 23 b'
Approved: April 23,1991 (Revised 6/17/91) lii
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Parts I - V O
Contents (continued)
Part IV (continued)
S e cu ri ty (3 )........................................................ 23 P a t e n t (4 )......................................................... 23 Publishing Authorization Form (F)................................... 23 D i s cl ai m e rs (G )................................................. 23 Printing (H) 24 Dist ribution and Sales (1)..............................
24 Part V Grant Publications.
25 Background and Rationale (A).......
.. 25 Publication of Results (B)....................
25 P u bli ca t i o n by N R C ( 1 )............................................ 25 Publication by a G ran tee (2)..................................... 25 Open Literature Publication by Grantee (3).....
25 Reprints of Open Literature Publications (4)....................
27 Identification of Grant Publications (C)............................. 27 Pre-Publication Reviews (D) 27 Glossary..
28 Exhibits 1.
Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"..
32 2A. Forrn 335," Bibliographic Data Sheet"
................33
- 28. Form 335. " Instructions".
. 34 3.
Microfiche Sheet Sample.
. 35 iv (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure I
Handbook 3.8 Introduction Introduction This handbook specifies the procedures necessary for Nuclear Regulatory Commission (NRC) contractors and grantees to follow when preparing the following kinds of publications for the NRC.
Final NUREG Reports International Agreement Reports e Books Grant Publications The handbook is divided into five major parts and includes a glossary and exhibits. Part I provides general information for staff l
consideration in the preparation of statements of work. Parts II, III, IV, and V provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications.
L Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a '
l DOE facility or subcontractor, such as the National l2boratories, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations.
This directive and handbook,:as well as a copy of " Publishing Documents in the NUREG Series"(NUREG-0650, Revision 1), must.
l be included or referenced in - all contracts, interagency and international agreements, and grants for which the publications listed -
above are contract deliverables or grant obligations. In addition to the i
guidelines specific to each type 'of publication that appear in subsequent parts of this handbook, all statements of work'.must contain the applicable guidelines outlined in Part I.
1 l
Approved: April 23,1991 (Revised 6/17/91) 3.
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part I Part I Preparing Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)
List and describe the type of technical reports required from each project, task or subtask, as applicable. State when, how many, and to whom they should be submitted and the scope ofinformation they should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to NRC hianagement Directive 12.2, NRC Information Security Program (formerly hf C 2101).
This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/lA, and NUREG/GR series.
Publishing Formal Reports (n) l NUREG series reports will be printed and distributed by NRC from camera-ready copy submitted by the contractor to the Regulatory Publications Branch, hts P-223, U.S.
Nuclear Regulatory Commission, Washington, DC 20555. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the organization and format of formal reports are specified in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1).
When the report contains sensitive unclassified or classified information, the contractor must comply with hianagement Directive 12.2, NRC Information Security Program (formerly h1C 2101).
O 2
(Revised 6/17/91)
Approved: April 23,1991 j
i
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure i
Handbook 3.8 Part I Publishing Formal Reports (B)(continued)
If a draft is desired prior to completion of a final report, specify in the statement of work (SOW) the due date for delivering the final camera-ready copy after receiving NRC or participant comments (if applicable) on the draft. State that all draft material be submitted to the cognizant NRC contact.
When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program or participant comments (if applicable), the contractor will be asked to make changes. If agreement on the changes is reached the NRC contac: will authorize the contractor to prepare the final copy and submit it to the NRC contact,ifit is a letter report or input to a Safety Evaluation Report or an Emironmental Statement, or to the Director.
Division of Freedom of Information and Publications Services (DFIPS),ifit is a camera-ready copy for printing and distribution. This is to be done to ensure proper publication, handling, distribution and, among other things, to preclude further changes that might nullify the agreement.
I If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany Form 426A (Exhibit I) for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS.
If agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section ll.F. below), any caveats deemed necessary to cover NRC objections. Such caveats may range from "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text.
If NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports, :he DOE Operations Office Manager responsible for that laboratory should be informed by the NRC Office Director or Regional Administrator of the decision and the reasons therefor, with a copy to the Laboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the NRC contracting officer. The contractor is then free to publish the report without NRC Approved: April 23,1991 (Revised 6/17/91) 3
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part I Publishing Formal Reports (n)(continued) being identified as the funding sponsor of the report and without the NRC disclaimer. Office Director or designee decisions may be appealed to the appropriate Deputy Executive Director for Operations.
Publishing Unclassified Information in Open Literature and Presenting Papers (C)
Specify whether the contractor's principal investigator is permitted to publish in the open literature instead of submitting a final report and/or to present papers at public or association meetings during the course of the work. If that arrarreramt is authorized, add the following statement to the Statement (J Work (SOW):
The principal investiga t or(s) may publish t he results of this work 1 in the open literatureinstead of submitting a final report and/or)
~
present papers at public ' r association meetings at interim 1 o
stages of the work.
If the NRC contact wants to review the paper orjournal article prior to presentation or submission for publication, state so in the SOW, as follows:
The principal investigator (s) may pu blish the results of this work.
in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim-stages of the work,if the article or paper has been reviewed bythe NRC contact in draft form and agreement has been reached on the contente If the agreement is not reached, NRC may also require that the paper include in addition to the standard statement " Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers.
In the latter case, NRC will inform the contractor of the decision, as stated above.The contractoris then free to publish without NRC being identified as the funding sponsor of the information. Office Director 4
(Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series
~
Part 1 - Publications, Mail, and Information Disclosure Harulhook 3.8 Part I Publishing Unclassified Information in Open Literature and Presenting Papers (C)(continued) or designee decisions may be appealed to the appropriate NRC Deputy Executive Director for Operations.
If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation should be obtained from the NRC. The NRC shall take one of the following actions: approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, the NRC may disapprove or delay presentation of papers on information that is subject to Commission approval that has not been ruled upon or which has been disapproved.
If the contractor requests permission to publish in the open literature even though the contract does not explicitly provide for this type of publication, the contract can be modified to provide for such presentations.
When the contractor submits journal articles for publication, each must be accompanied by the following statement:
The submitted. manuscript has been authored by a ~eontractor of the U.S. Government under Contract
- No.
'. Accordingly, the
-U.S. Government ~ has a nonexclusiveJ royalty-free' license to publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Government purposes.
All published papers and articles must include the following disclaimer:
This report was prepared as an account of work sponsored by an agency of the United States Gov' rnment. Neither the United e
States Government nor _anylagency thereof, or' any of their employees, makes any warranty, expressed or; implied,Jor assu mes any legal liability or responsibility for any third party's use'or the results.of such use,'of any information, apparatus, product or process disclosed in this report, or represents that its use by such third party would not infringe privately owned rights. The views expressed in this paper are not necessarily those of the U.S. Nuclear Itegulatory Commission.
ror non work oracts the appropriate FIN number is appbcable.
P Approved: April 23,1991 (Ilevised 6/17/91) 5
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part I g
Publishing Unclassified Information in 3
Open Literature and Presenting Papers (C)(continued)
Should the contractor be requested by the journal or other publisher to transfer the copyright, the contract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:
Dear (Copyright nolder's Name):
We ' recently; received.-a; document for signature - assigning copyright and republication rights in the submitted article 1 (title) to (name of publication). This letter is offered in lieu of'.
- the 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 assignment and any publication or republication of the above-cited work'is subject
- to the following Government rightsi
- The submitted manuscript has been authored by a contractor of the U.S. Government under Contract No.
Accordingly, the.U.S. Government-has a nonexclusive, royalty-freelicense to publish or reproduce the published form of this contribution, or - allow others to. do so,- for U.s.
- Government purposes.
Sincerely,-
If NRC approves open literature publication and page charges and travel costs are required for the presentation of papers, see Management Directive 3.10, NRC Contractor Unclassified Papers, Journal Articles, and Press or Other Media Releases on Regulatory and Technical Subjects (formerly MC 3206).
Reports Containing Sensitive Unclassified and Classified Information (o)
Examples of the proper marking of reports designated Official Use Only, Limited Official Use, Proprietary Information, Safeguards 6
(Revised 6/17/91)
Approved: April 23.1991 l
1
Unclassified Contractor and Grantee Publications in the NUREG Series
~~
Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part I s
Reports Containing Sensitive Unclassified and Classified Information (D)(continued)
Information, and Classified (Confidential, Secret, and Top Secret) are provided in Management Directive 12.2, NRC Information Security Program (formerly MC 2101).
Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC-sponsored or cosponsored meetings, conferences, and symposia, see Management Directive 3.11, Conferences and Conference Proceedings (formerly MC 3207).
Distribution of Reports to Contractors (F)
Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR, and NUREG/IA reports will be bulk shipped to the contractor by NRC. (Joint Committee on Printing's Govemment Printing and Binding Regulations permit contractors to receive up to 50 copies of reports they have produced for NRC free of charge.) If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A (Exhibit 1). Contractors requesting single copies for specific indisiduals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC contact may address such request (s), with written justification, to the NRC contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Regulatory Publications Branch, DFIPS, USNRC, Washington, DC 20555, and that distribution will be made along with the standard distribution.
Coordinating Contractor Press or Other Media Releases ofInformation (G)
A contractor may request permission to issue a press or other media release on the work being done.That request must be made to the NRC Office Director or designee, who will consult with the Public Affairs staff. The contractor must not issue a press release on
!^
nonroutine information without this prior approval. This approval l
may be obtained by a telephone call to the Office Director or designee to expedite the request. The contractor may appeal decisions not to O
authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.
Approved: April 23,1991 (Revised 6/17/91) 7 lo
Unclassified Contractor and Grantec Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part II Part II Draft and Final NUREG Reports Identification Information (A)
NUREG Number (1)
Each contractor report published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Services (DFIPS). To obtain an NRC report number, call the Regulatory Publications Branch, DFIPS, at FTS 49-27001 or (301)49-27001.
The NRC identification numbers will have one of the following forms:
l NUREG/GR-0000 e
w here CR indicates contractor report, G R indicates grant report, and IA indicates international agreement report. The contractor report number,if any, will be placed below the NUREG number on the title page and cover.
When a report consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear immediately below the NRC report number and the contractor's report number,if any.
Author Names (2)
Authors' names routinely appear on the report cover and title page, unless doing so is impractical. as for an annual report having many contributors. Editors or compilers with subject-area expertise may also be identified as such on the cover and title page. Author 8
(Revised 6/17/91)
Approved: April 23,1991
~
. Unclassified Contractor and Grantee i
Publications in the NUREG Series i
Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part II i
N-Identification Information (A)(continued) i Author Names (2) (continued) affiliations need not be listed unless the affiliation differs from the l-organization creating the report.
Organizational Identification (3)
The Regulatory Publications Branch, DFIPS, prepares the covers and title pages for all reports and will list information about the organization that created the report as it is prosided.
Previous Reports in Series (4)
If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
Report Dates (5)
The report dates are shown on the title page. These dates include the month and year the report is completed, and the month and year it is published.
1 Report Organization and Components (B)
The organization and components of contractor reports vary somewhat, depending on their purpose and scope. Recommended l
format and organizational guidelines appear in "Publishmg Documents in the NUREG Series(NUREG-0650, Revision 1).
j Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents.The abstract must also appear on the Bibliographic Data Sheet, NRC Form 335 (Exhibit 2A). The back of Form 335 i
containsinstructions for completing the form (Exhibit 2B). Guidelines j
on the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Revision 1.
)
l
. Approved: April 23,1991 (Revised 6/17/91) 9 1
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part 11 Pre-Publication Reviews (C)
Patent Review (1)
Patent implications must be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported is contractually managed through another Government agency (e.g.,
DOE National Laboratories), that Government agency should be requested by the contractor to perform the patent review.The result of the review must be reported on NRC Form 426A under item 8 (Exhibit 1).
If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agencyadministering the contract, the responsible NRC contracting officer must be consulted, and the responsible NRC technical contact shall consider the patent implications. If there is no need for patent review because of the certainty that the report contains no description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Form 426A in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Assistant General Counsel for Administration, Office of the General Counsel, on FI'S 49-21553 or (301)49-21553.
Security Review (2)
Should a report of sensitive unclassified or classified work be required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking and handling these reports are given in Management Directive 12.2, NRC Information Security Program (formerly MC 2101).
Copyright Review (3)
Copyrighted material must not appear in NRC-sponsored publications without written permission from the copyright holder.
See NUREG-0650, Revision 1, Section 3.4, for information about obtaining copyright permission.
- O.
i 10 (Revised 6/17/91) Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part II Color Printing (o)
Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " Demonstrably valuable multicolor printing..." includes the following categories:
Maps and technical diagrams where additional color is necessary for clarity. (a)
Object identification (medical specimens, diseases, plants, flags, uniforms, etc.). (b)
Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)
Areas wherein clearly identifiable savings in costs can be soundly predicated on multicolor use. (d)
Printing for programs required by law, whose relative success or failure is in direct ratio to the degree of public response, and where that response can be logically attributable to the number of colors planned and the mannerin which they are proposed to be used. (e)
Color for promotional or motivational purposes such as programs concerning public health, safety, consumer benefits; or to encourage utilization of Government facilities such as programs for Social Security, Medicare, and certain areas of need for veterans would come within this category. (f)
The regulations indicate that the following categories do not meet the
" demonstrable value criteria.
Printed items wherein additional color is used primarily for decorative effect. (a)
Printed items where additional color is used primarily in lieu of effective layout and design. (b)
Printed items where additional color is used excessively, i.e., four colors when two or three will fulfill the need; three colors when two are adequate: two colors when one is adequate. (c)
Printed items wherein the inclusion of multicolor does not reflect careful, competent advanced planning which recognizes the cont:ibution that the use of color is expected to make to the ultimate end-purpose. (d)
Approved: April 23,1991 (Revised 6/17/91) 11
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Llandbook 3.8 Part II i
Color Printing (o)(continued)
If color printing is anticipated when the statement of work or Standard Order for DOE work is being prepared, contact the Regulatory Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared, submit a written justification for its use to the Director of DFIPS.
Microfiche (E)
NRC-contractors and DOE I2boratories submitting microfiche with reports must submit a hard copy of each microfiche, include headers on each microfiche, as shown in Exhibit 3, and conform to the following NRC specifications.*
- 1. Microfiche must conform to either the 24/98 format for source documents with 14 columns and 7 rows (reduction ratio of 1:24) or the 48/270 format for computer output microfilm with 18 columns and 15 rows (reduction ratio of 1:48).
- 2. The microfiche sheet must be standard 105 mm x 148 mm.
- 3. The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid free envelopes.
- 4. The microfiche must contain headers as shown in the sample in Exhibit 3. Specifically, the first block of the header must contain the NUREG number (include volume or revision,if applicable),
the contractor identification number, and the classification (e.g.,
unclassified, proprietary). The second block must contain the l
description of the microfiche and mayinclude the contractor name.
The third block must contain the publication date and sheet identification.
- 5. The header information must be eye readable on a clear background.
- 6. A foldout page must be microfilmed in sections if the page is too l
large to be microfilmed in a double frame. No less than 25 mm l
overlap of original material is acceptable.
'With the exception of items 3. 4 and 8. these specifications are consistent with the American National " Standard for Micrographics-Microfiche. ANSI /AliM MSS.198.i" Copies of this Standard are available from the American National Standards Institute. ATrN: Sales Department.1430 Broadway, New York.NY 10018 (212)354-3300, or from the Association for Information and 1 mage Management. ATrN: r iblications Section.1100 Wayne Avenue. Silver spnng, MD 20910 (301)598-8202.
12 (Revised 6/17/91) Approved: April 23,1991
Unclassified Contractor and Grantee I
Publications in the NUREG Series ~
Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part 11 3
Microfiche (n)(continued) l
- 7. The first frame must be blank (on the first sheet only), and the second frame must contain the National Institute of Standards and Technology's Reference Material resolution target in Microcopy j
Test Charts (NBS SRM 1010A).
[
- 8. Jacketed microfiche is unacceptable.
i Disclaimer (F) k The following notice will be added by the Regulatory Publications Branch, DFIPS, before the printing process on the inside front cover:
dThis report was.pr:eparedf.as ari account of work [sionsored by
~
i an a'gency of the United States Government.Neither the United
~
f employees { makes[anygarr[ agency?therebrJorLa States 1Governmentinorfany j
antyeexpressed orjimplied,:{or
[
j s assu mes anylegalliability or responsibility forany third party's use, or.the results of such usel of any informhtionj appaEatus,
_' product or process disclosed in' this reportioFrepresents iha t its
(
{Erights.use bylsuch' third party (wouldinotfinfringelpEiviit i
The following additional statement, "The views expressed in this i
report are not necessarily those of the U.S. Nuclear Regulatory l
Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed, i
Availability Information (G)
Reference Availability (1) l Reports or other documents referenced in text, reference sections,
[
bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Service i
(NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be i
made to personal communications and interviews, unpublished l
information and information with restricted distribution (e.g.,
r t
i Approved: April 23,1991 (Revised 6/17/91) 13 I
y.--
,n Y
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part II Availability Information (G)(continued) proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to J
individuals, they can be mentioned in the text or in an acknowledgement section. Availability may be stated collectively for all entries.
l Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1.
Report Availability (2)
Most final reports are sold by the GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Regulatory Publications Branch, DFIPS, before the report is printed.
Draft reports for which comments are requested are typically announced in the FederalRegister as being available from the NRC.
These reports are not sold at GPO or at NTIS.
Forms (n)
Bibliographic Data Sheet (NRC Form 335) (1)
All published NRC repons must include an NRC Form 335 as the final right-hand page of the manuscript. Instructions for completing the form appear on the back of the form. A completed Form 335 must be submitted to the Regulatory Publications Branch, DFIPS, with the camera-ready copy of the report. Exhibit 2A shows a completed Form 335.
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A)(2)
The NRC contact must submit a completed NRC Form 426A (Exhibit 1)with the camera-ready copy of the report to the Regulatory Publications Branch, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate Office Director.
~
O 14 (Revised 6/17/91) Approved: April 23.1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Ilandbook 3.8 Part[1 i
i Printing and Reprinting g) l The Regulatory Publications Branch, DFIPS, will resiew the camera-ready report submitted for printing for its adherence to the standards an d requirements set forth in this directive and handbook, as well as any relevant guidelines from NUREG-0650, Resision 1.
Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action.
Submit a memorandum requesting a reprint to the Director, DFIPS, for approval. Include with the request a written justification and the approval of the Office Director of designee for reprinting. Send address labels for recipients of the reprinted copies,if appropriate.
Distribution v)
Distribution arrangements will be made by the Regulatory Publications Branch, DFIPS, for all copies of unciassified formal contractor reports in accordance with instructions on NRC Form 426A (Exhibit 1). The Regulatory Publications Branch, DFIPS, will also arrange automatic distribution of these reports to the NRC NUDOCS, the NRC PDR, NTIS, GPO, and the Depository Library Senice.
Distribution of sensitive unclassified and classified reports will be made by the NRC sponsoring office on a case-by-case basis.
I
.((
Approved: April 23,1991 (Revised 6/17/91) 15
. Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure 1
IIandbook 3.8 Part III Part III International Agreement Reports Background and Rationale (A)
NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.
industry.
These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in 42 U.S.C. 5801. To this end, international and U.S.
industry agreements have been signed that provide for transmitting unclassified technical information from foreign participants to NRC.
These procedures apply only to NRC-managed work.
The interests of all NRC international nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC.
Identification Information (a)
Cover and Title Page (1)
These will contain a title, subtitle (if appropriate), authors, performing organization, and NRC office sponsoring the project. The cover and title page will be prepared by the Regulatory Publications Branch, DFIPS.
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized document control system for unique identification is maintained by DFIPS. Numbers may be obtained by calling Regulatory Publications
~
Branch at FTS 49-24954 or (301)49-24954.
The NRC identification number will have the form:
NUREG/lA-0000 16 (Revised 6/17/91) Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series i
Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Ptirt III Identification Information (n)(continued) i NRC Report Number (2)(continued) where IA indicates " international agreement." The foreign participant's report number, if any, may be inserted below the NUREG number on the cover,if desired.
When a report consists of more than one volume or binding or isissued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear i
below the report number and the foreign participant's report number, if any.
Previous Reports in Series (3)
I If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
Report Organization and Components (C)
The organization and components of cooperative agreement reports vary somewhat, depending on their purpose and scope. Each of these reports must include an abstract of 200 words or less that appears on a separate page before the table of contents. The abstract must also appear on the Bibliographic Data Sheet, Form 335 (Exhibit 2A).
Instructions for completing the form appear on the back (Exhibit 2B).
Guidance on the special writing requirements for preparing abstracts appears in Section 5 5 of NUREG-0650, Revision 1.
Availability Information (D)
References and Ilibliographics (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory end technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at G PO, at NTIS, or at other reference or sales outlets) or in the NRC PDR.
This means that references should not be made to personal communications, interviews, and unpublished information with
.p restricted distribution (e.g., proprietary, national security, official use
\\
only). If the unretrievable information is important and unrestricted,it Approved: April 23,1991 (Revised 6/17/91) 17 r
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part III Availability Information (D)(continued)
References and Bibliographies (1)(continued) can be quoted in the text.in footnotes, orin appendixes. If the title of a document containing proprietary information is unclassified, it can also be quoted in the text,in a footnote, or in appendixes. If credit is due to indisiduals, they can be mentioned in the text or in an acknowledgement section. Availability may be stated collectively for all entries. Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1.
Report Availability (2)
These reports will be made available for sale by GPO and NTIS.
Disclaimer (E)
The following notice will be added by the Regulatory Publications Branch, DFIPS, on the inside front cover prior to printing.
NOTICE This report was prepared under an international cooperative agreement for the exchange of technical information. Neither the -
United States Government nor any agency thereof, or any of their employees, 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, of any information, apparatus, product, ors process disclosed in this report, or represents that its use by such
{
third party would not infringe privately owed rights.
I Forms (F)
Bibliographic Data Sheet (NRC Form 335)(1)
A typed NRC Form 335 (Exhibit 2A) must be submitted with the
)
camera-ready copy to the Regulatory Publications Branch, DFIPS, as l
the final right-hand page.
- I O
18 (Revised 6/17/91) Approved: April 23,1991
l Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part lll
[.
i
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Forms (F)(continued)
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
An NRC Form 426A (Exhibit 1) must be completed and signed by the Office Director ordesignee and submitted with the camera-ready copy of the report to the Regulatory Publications 13 ranch, DFIPS.
Classified or Sensitive Unclassified Information (G)
The NRC contact should refer to Management Directive 12.2, NRC Information Security Program (formerly MC 2101), or call the Division of Security for answers to questions about the status of classified or sensitive unclassified information in NUREG/l A reports.
(
Approved: April 23,1991 (Revised 6/17/91) 19
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part IV Part IV Books
{
These guidelines apply to books written by contractors and grantees i
thtt are printed by NRC. See Section V below for guidance on pubibations, including books, by grantees.
Definition (A)
A book refers to a publication intended as a permanent reference or as a textbook or major critical resiew of a technical or regulatory topic.
Format (n) h Books are usually 6 x 9 inches in trim size, but size will be based on such requirements as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Government l
Printing Office Style Manual and in The Chicago ManualofStyle (l3th j
edition). Refer also to NRC's " Publishing Documents in the NUREG Series (NUREG-0650, Revision 1).
l The contractor shall submit to the NRC project manager the typeset j
(photocomposed) manuscript suitable for printing. The NRC contact l
shall submit the manuscript to the Chief, Regulatory Publications Branch, DFIPS, where it will be reviewed for adherence to the standards set forth and referenced in this directive and handbook.The j
manuscript will also undergo a printing acceptability review by the Printing, Audiovisual, and Mail Services Branch, - DFIPS.
l Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contracting officer or,in i
the case of Government agency or interagency agreement work the publications manager of the performing organization.
O I
20 (Revised 6/17/91) Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part IV Format (B)(continued)
DFIPS will approve design of the cover and title page to contain the appropriate information concerning:
(1) author names (s)
(2) organizationalidentification (3) public availability and sales.
All books must include a comprehensive subject index of the book's contents, unless it is made up almost exclusively of graphical or tabular matter. See NUREG-0650, Revision 1, or The Chicago ManualofStyle (13th ed.) for guidelines on creating an index.
NRC Document Number (C)
Each book must be identified by an NRC-controlled alphanumeric code unique to that book.The alphanumeric code will have the form:
NUREG/CR for contractor-prepared books and NUREG/GR for grantee-prepared books.
When a book consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear directly below the document number.
~
l Numbers are assigned by the Regulatory Publications Branch, DFIPS.
i The number may be obtained in advance of the time that the
.l manuscript is submitted to DFIPS for printing by calling the i
Regulatory Publications Branch at FTS 49-24954 or (301)49-24954.
l The DFIPS staff will arrange to meet with the NRC contact for the j
project and when appropria:e, the author (s), to discuss the publication l
production requirements and schedule for the book.
Availability of Reference Materials (D)
The guidelines for availability of reference material applicable in Section H.G. of this handbook also apply to contractor-prepared and grantee-prepared books published by NRC.
Approved: April 23,1991 (Revised 6/17/91) 21
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part IV Reviews (E)
Peer (1)
NRC published books must undergo peer review from experts within and outside NRC. Peer review refers to a critical evaluation of the technical contents of a publication. These reviews may be conducted anonymously by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript.
Reviewers should be chosen by the NRC Office sponsoring the book from the potential audience for the publication and should prmide an independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from academia, the National Laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, ANSI subcommittees, and the like. Do not choose more than one reviewer from the same organization.
When assessing potential peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the Judgement, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of information reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultants to licensees nor reviewers from intervenor groups. Likewise, do not choose reviewers who may profit financially from influencing the information reviewed.
The services of reviewers from outside the agency may be acquired through consultant senices contracts. The decision as to whether to reimburse peer reviewers should be made on a case-by-case basis, however. Recognize that reimbursing peer reviewers may give the appearance of a conflict ofinterest, suggesting to some that because NRC is paying for this service, the agency will seek only reviewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers from independent organizations, like the American Physics Society, O'
i 22 (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Part IV
(\\
Reviews (E)(continued)
Peer (1) (continued) the American Nuclear Society, the American Society of Mechanical Engineers, or appropriate universities. Reimbursement could then be made to the organization.
Copyright (2) l Copyrighted material must not be reproduced in NRC books without the written permission of the copyright holder. See NUREG-0650, Revision 1, Section 3.4, for information about obtaining copyright permission.
Security (3'
. Based on knowledge of the information sources used, the author is responsible for ensuring that the manuscript does not contain classified or other access-controlled information. If there is uncertainty with respect to the security classification of a reference document or manuscript, an authorized classifier or the NRC Division w
of Security should be contacted for assistance. See also Management Directive 12.2, NRC Information Security Program (formerly M C 2101).
Patent (4)
The patent-review guidelines for draft and final formal reports specified in Section II.C of this handbook also apply to contractor-and grantee-prepared books.
Publishing Authorization Form (F)
A completed NRC Form 426A (Exhibit 1), signed by the Office Director or designees or by a DOE National Laboratory-authorized officialif the publication is done for the Office of Nuclear Regulatory Research, if applicable, must be submitted to DFIPS with the book manuscript.
Disclaimers (G)
The following standard U.S. Government notice will be added prior to printing 1
Approved: April 23,1991 (Revised 6/17/91) 23
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Part IV Disclaimers (G)(continued)
This document was prepared as an account of Work sponsored
.by an agency of the United States Government. Neither the
~
~ United States Government nor any agency thereof, or any of
~
their em ployees, 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, of any information, apparatus, product, or process disclosed in' this document, or represents that its use by such third party would not infringe privately owned rights.
The following additional statement may be printed below the standard disclaimer,if authorized by the NRC Office Director or designee.
This document was prepared under U.S. Nuclear Regulatory:
Commission (NRC) Contract No.
. The opinions, findings, conclusions, and recommendations expressed herein ;
are those of the author (s) and do not necessarily reflect the views of the NRC.
Other qualifying statements may be added, if needed.
Printing (n)
Book manuscripts must be submitted by DFIPS to GPO for printing.
The printing cycle requires from 6 to 8 weeks.
Distribution and Sales (i)
Distribution will be arranged by the DFIPS staffin accordance with distribution guidance provided by the NRC project manager on N'RC Form 426A (Exhibit 1).
Free distribution should be limited to those who contributed materially to the book or to those forwhom the book's subject matter bears directly on their work at or for NRC.
DFIPS will arrange o.ake the book available for sale through GPO.
DFIPS will also arrange to have it made available at the NRC PDR and the GPO Depository Library Program.
O 24 (Revised 6/17/91)
Approved: April 23.1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure G[_\\
Handbook 3.8 Part V Part V Grant Publications Background and Rationale (A)
The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions, State and local Governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended.
Sections 31.a. and 141.b.
Publication of Results (a)
The grant will specify the publication requirements of the award.
Grant results may be published by NRC, by the grantee, or in the open literature.
Publication by NRC (1)
This publication option must Le governed by the guidelines specified in Part I of this handbook for reports or in Part III of this handbook for books, as appropriate. See Identification of Grant Publications in the paragraphs under V.C.
Publication by a Grantee (2)
When the grant specifies that the grantee is to publish the results, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.
Open Literature Publication by Grantee (3)
When the grantee submits journal articles for publication, each must be accompanied by the following statement:
Approved: April 23,1991 (Revised 6/17/91) 25
I Unclassified Contractor and Grantee
{
Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Llandbook 3.8 Part V Publication of Results (n)(continued)
Open Literature Publication by Grantee (3)(continued)
The submitted manuscript has been authored by a grantee of
-the U.S. Government under Grant No.
. Accordingly, the U.S. Government has a nonexclusive, royalty-free licens;c to.
publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Government purposes.
j All open literature publications prepared under this grant must l
contain the following statement:
This paperwas prepared with the support of the U.S. Nuclear Regulatory Commission (NRC) under Grant No.
.The l
opinions, findings,- _ conclusions, and recommendations J
expressed herein are those of the author (s) and do not necessarily reflect the views of the NRC.
O Should the grantee be requested by the journal or other pubbsher to transfer the copyright, the grantee author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:
Dear (Publisher's Name):
We recently received a document for signature assigning copyright and republication rights in the submitted article (title) to (name of publication). This letteris offered in lieu of the document as a means of completing the transfer of ownership. Accordingly, we hereby expressly transfer and assign our rights of mvnership in the above-cited work to (name of publisher).
You are advised, however, that the above assignment and any publication or republication of the above-cited work is subject to the.
following Government rights:
The submitted manuscript has been nu thored by a grantec orthe U.S.
Government under grant No.
. Accordingly, the U.S.
Government has a nonexclusive, royalty-free license to publish or reproduce the published form of this contribution, orallow others to do so, for U.S. Government purposes.
Sincerely, 26 (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure 1
Handbook 3.8 Part V Publication of Results (n)(continued)
Reprints of Open Literature Publications (4)
When any article resulting from work under the grant is published in a scientific, technical, or professional journal, two reprints of the publication must be sent to the cognizant NRC Program Officer, clearly labeled with the grant number and other appropriate identifying information.
Identification of Grant Publications (C)
Each report or book published by NRC that results from a grant most be identified by an alphanumeric number, as follows:
NUREG/GR-0000 e
When the publication consists of more than one volume, number, supplement, part, or binding. or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number.
Numbers may be obtained from the Regulatory Publications Branch a t FTS 49-24954 or L 11)49-24954.
Pre-Publication Reviews (o)
The U.S. Congress characterizes the relationship between a Federal L
agency and a grant recipient as one in which "the recipient can expect to run the project without agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the instrument..."
Approved: April 23.1991 (Revised 6/17/91) 27
Unclassified Contractor and Grantec Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Glossary 4
Glossary
- Book. A publication intended as a permanent reference or textbook or as a major critical resiew of a technical or regulatory topic. It may be casebound (hardback) or paperbound.
Camera-ready copy. Pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
Casebound. Term denoting a book with a hard cover.
Compose. To arrange letters, in type or film, for printing. Usually synonymous with typescuing.
Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g.,
computers) for the purpose of producing camera copy, negatives, a plate, or image to be used in the production of printing or microform.
Contractor report. Record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
Copyright. A form of protection provided by the laws of the United States (Title 17, U.S. Code), to the authors of " original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This prote: tion is available to both published and unpublished works. Copyrighted material may not be reproduced without the permission of the author or publisher.
Disseminate. To announce the publication of reports and make them available for free distribution, sale, or copying.
'Words in italics in defmitions are aho defmed in the gkssary.
28 (Revised 6/17/91)
Approved: April 23,1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Glossarv Glossary (continued)
Distribute. To dispense reports to specific organizations and individuals to ensure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by. the use of standard distribution data banks established and maintained by the Disision ofInformation Support Services, Office of Information Resources Managemem, at the request of the originating office or region.
Documentation. Classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract number (or FIN number), date, and availability.
Edition. All copies of a book printed from the same type. Edition also refers to format, such aspaperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.
Grant. A legalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, services or anything of value to the ~ recipient _ for the accomplishment of a public purpose of support or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.
Grant Report. A record of work done prepared in accordance with the provisions of grant.
Index. An alphabetical list of all major topics discussed in a book. It cites the page numbers where each topic can be found. The index comes as the last section of a book.
International agreement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized under 42 U.S.C.
5801, includes monetary contributions, information exchanges, and comments on program plans and results.
International agrcement report. A record of work done prepared in accordance with the provisions of an internationalagreement.
Approved: April 23,1991 (Revised 6/17/91) 29
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Glossary Glossary (continued)
Manuscript. A handwritten, typewritten, or composed version of a document, as distinguished from a printed copy.
NRC project manager. The NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.
Paperback. A book with a flexible paper cover.
Peer review. A critical evaluation of the technical contents of a publication. These reviews are conducted by reviewers from the author's own or a related field who are totallyindependent of the work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should provide an i
independent judgment about whether the publication successfully I
accomplishes the author's aims.
Photocomposition. Typesetting performed when photosensitive paper or film is exposed to light in the form of letters and characters.
Photocomposition is to be distinguished from hot metal and typewriter composition.
Printing. As defined by the Joint Committee on Printing,includesand applies to the process of composition, platemaking, presswork.
collating, and microform; the equipment used in such processes; or the end product produced by such processes and equipment.
l Proprietary information. Trade secrets; privileged or confidential research, development, commercial or financial information, exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17): and other information subrnitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
Public domain. Materials on which copyright never existed, such as U.S. Government publications, or on which copyright has expired.
Publicly available documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in the public domain.
O 30 (Revised 6/17/91)
Approved: April 23,1991
~
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Glossary Glossary (continued)
Reproducible masters. Camera-ready copy that includes (1) originals ofline drawings (or prints that can be copied): (2) glossy prints of black and white photographs; (3) original typeset or printed text, tables, cover, title page, contents, and abstract; or (4) other forms of the materials that a printer can reproduce.
I Trim size. The final size of the whole page, margins included.
Typesetting. The placement of type on a page (letters, numbers, and other characters) in conformance with specific style and layout instructions.
Unique identification. NRC identification (NUREG number) used on a report and its attachments, revisions, and supplements that is not used on any other publication.
l Approved: April 23,1991 (Revised 6/17/91) 31
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Exhibits Exhibit 1
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Approved: April 23.1991
Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure Handbook 3.8 Exhibits
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Exhibit 2A Nmc opetes 3Js U.S. 8%8CL 4 AA Ri Gut ATOsa v (,.pennaispOto i t PL e'umt Noutst n
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1990
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In-cluded in this pv luation a% the hca exchangers, filters, pumps, valves, and flanged conner ions stem.\\T r each 9y'at welTNss t e variabilities associated with themabilities of failure, as r
ternal pressu e, are e uated Leak rates or leak reahree., matedMor 18e c >ntrolling modes of failure. The pressure capacities for he e and ssel Va evaluated using limit-state analyses for the various failure r.pdes idere The capacities are dependent on several factors, in-ciudhr rties, m-eling assumptions, and the postulated failure cri-tgda.g-t e matertgl p Th failure modes f gas.eted-flange connections, valves, and pumps do not lene
,themselvp., to evalua ion.. conventional structural mechanics technioues and evaluation mus y,.prm.aP(ly o the esults from ongoing gasket research test programs and avail-abl por infor1 io an test data, u ny wunosmisCp % 5,o prhsure-depen t f agilities Unlimited o.......... o o
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Interfac' Syst.- Loss of Coolant Accidents (ISLOCA) probabil M ic r k assessment Unclassified Davis-Sesse Nuclear Power Station e
Unclassified a -no,o.uus Sie d'ae ALE Approved: April 23,1991 (Revised 6/17/91) 33
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Approved: April 23,1991
l Unclassified Contractor and Grantee Publications in the NUREG Series Part 1 - Publications, Mail, and Information Disclosure IIandbook 3.8 Exhibits O
Exhibit 3 MICROFICHE SHEET SAMPLE l
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O Approved: April 23,1991 (Revised 6/17/91) 35
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